IN THE MATTER OF DANIEL CARROLL

COIB CASE NO. 2005-151

JUNE 30, 2005

SUMMARY: In COIB v. Daniel Carroll, COIB Case No. 2005-151 (2005), the Board and the Department of Design and Construction (“DDC”) concluded a settlement with DDC Project Manager Daniel Carroll. Carroll admitted that from January 2004 to September 2004, he made or received over 2,000 calls on his DDC telephone. These calls were mostly conference calls related to Carroll's private business. Carroll also admitted that he used City resources to produce business flyers on which he listed his DDC telephone number. Carroll acknowledged that his conduct violated the City's conflicts of interest law, which prohibits public servants from misusing City time and resources for any non-City purpose and agreed to pay a fine of $3,000 to the Board and to serve a 25-day suspension without pay, which is worth another $3,000.

STIPULATION AND DISPOSITION

WHEREAS, the New York City Conflicts of Interest Board (the “Board”), the Department of Design and Construction, and Daniel Carroll wish to resolve these matters on the following terms, Respondent Daniel Carroll states the following:

  1. I have been employed as a project manager at the Department of Design and Construction (“DDC”) since June 23, 1996,and at all relevant times mentioned herein, I was a public servant within the meaning of Charter Section 2601(19).
  2. From about January 2004 to September 2004, I participated in a private business that involved marketing a personal care product.
  3. From about January 2004 to September 2004, I made or received about 2,157 personal calls on my telephone at DDC. These calls were mostly conference calls related to my private business, and many of these calls lasted over forty-minutes.
  4. In 2004, I periodically used City equipment and supplies, including my assigned DDC computer, a DDC copier, and DDC paper, to produce flyers advertising my private business. I also listed my DDC telephone number on the flyers as one of the contact numbers for my private business.
  5. In the summer of 2004, I distributed the flyers I had produced for my private business using DDC’s computer, copier and paper throughout the neighborhoods near my home and near my DDC office in Long Island City. The flyers listed my DDC telephone number as a contact number for my private business. I represent that I made no profit from my private business, and actually lost money on the enterprise.
  6. I freely and voluntarily admit that my conduct in using City time, equipment, supplies, and resources to conduct my private business violated New York City Charter Sections 2604(b)(3) and (b)(2), as well as Rules of the Board Section 1-13(a) and (b) which provide as follows:

“No public servant shall engage in any business, transaction or private employment, or have any financial or other private interest, direct or indirect, which is in conflict with the proper discharge of his or her official duties. [Charter Section 2604(b)(2)]”

“No public servant shall use or attempt to use his or her position as a public servant to obtain any financial gain, contract, license, privilege or other private or personal advantage, direct or indirect, for the public servant or any person or firm associated with the public servant. [Charter Section 2604(b)(3)]

(a) it shall be a violation of City Charter § 2604(b)(2) for any public servant to pursue personal and private activities during times when the public servant is required to perform services for the City. [Board Rules Sections 1-13(a)]

(b) it shall be a violation of City Charter § 2604(b)(2) for any public servant to use City letterhead, personnel, equipment, resources, or supplies for any non-City purpose. [Board Rules Sections 1-13(b)]”

  1. On March 2, 2005, DDC served upon me disciplinary charges, pursuant to Section 75 of the Civil Service Law, relating to my misuse of DDC equipment, supplies, resources, and time. I acknowledge that my above-described conduct violated DDC Rules and Procedures, as set forth in the DDC disciplinary charges, a copy of which is attached hereto as “Exhibit A.”
  2. In recognition of the foregoing I agree to pay a fine of $6,000 (Six Thousand Dollars) as follows:

(a)“I will be suspended without pay for 25 (twenty-five) days, which, at my current salary, has a value of approximately $3,000. I agree that I will serve this suspension in the form of five (5) days suspension without pay per month, for five consecutive months, commencing upon full execution of this Disposition.

(b)I agree to pay a fine of $3,000 to the Conflicts of Interest Board as follows: (i) $500 upon my signature of this Disposition; (ii) $200 on or before the fifteenth day of each month thereafter, commencing July 15, 2005, until November 15, 2005; and (iii) $250 on or before the fifteenth day of each month commencing December 15, 2005, until, but no later than, May 15, 2006, or earlier if I prepay the total fine amount of $3,000 prior to May 15, 2006. I understand that the Conflicts of Interest Board is permitting me to pay the $3,000 fine in installments because of my current financial difficulties and the fact that I will be suspended without pay for twenty-five days.”

In addition, I agree to execute a confession of judgment in the form attached hereto, to secure my payment of the $3,000 fine to the Conflicts of Interest Board. I understand that in the event of my failure to pay any amount due the Conflicts of Interest Board when due hereunder, the total amount of the fine unpaid to the Conflicts of Interest Board shall be immediately due and payable to the Conflicts of Interest Board, and ten (10) calendar days after service of written notice of Respondent’s default on any such payment, the Conflicts of Interest Board shall be immediately entitled to enter judgment for such remaining unpaid balance of the fine and penalty. The notice of default shall be in the form of a letter served by first class mail upon Respondent. All monies owed to the Conflicts of Interest Board shall be paid by money order or by cashier, bank, or certified check made payable to the “New York City Conflicts of Interest Board.”

  1. I agree that this statement is a public and final resolution of the charges against me. Furthermore, I agree to provide a copy of this Disposition to any City agency where I apply for employment upon the request of such agency or in response to any inquiry calling for such information, and in any event, prior to accepting employment with the City. I understand that a copy of this Disposition will be permanently incorporated into my personnel file.
  2. I knowingly waive on my behalf and on behalf of my successors any rights to commence any judicial or administrative proceeding or appeal before any court of competent jurisdiction, administrative tribunal, political subdivision, or office of the City or the State of New York or the United States with respect to this proceeding of the Conflicts of Interest Board and DDC, and to contest the lawfulness, authority, jurisdiction, or power of the Conflicts of Interest Board and DDC in imposing the penalty which is embodied in this agreement, and I waive any right to make any legal or equitable claims or to initiate any legal proceedings of any kind against the Conflicts of Interest Board, DDC, or any members or employees thereof, relating to or arising out of this matter.
  3. Respondent and DDC consent to making the Conflicts of Interest Board a party to this disposition.
  4. Any material misstatement of the facts of this matter, including of the Disposition, by Respondent or Respondent’s attorney or agent, shall, at the discretion of the Conflicts of Interest Board, be deemed a waiver of confidentiality of this matter.
  5. I confirm that I have entered into this agreement freely, knowingly and intentionally, without coercion or duress, and after having been represented by my union, and have had a full opportunity to consult with counsel of my choice; that I accept all terms and conditions contained herein without reliance on any other promises or offers previously made or tendered by any past or present representative of the Conflicts of Interest Board or DDC; and that I fully understand all the terms of this Disposition.
  6. This Disposition shall not be effective until all parties have affixed their signatures below.
  7. The New York City Conflicts of Interest Board and DDC accept this Disposition and the terms contained herein as a final disposition of the above-captioned matters only, and, accordingly, affirmatively state that other than as specified herein, no further enforcement or administrative action will be taken by the Conflicts of Interest Board or DDC against Respondent based upon the facts and circumstances set forth herein, except that the Board and DDC shall be entitled to take any and all actions necessary to enforce the terms of this Disposition.
  8. This Disposition constitutes the entire understanding among the parties.

Dated:June 13, 2005______/s/______Daniel Carroll

Respondent

Dated:June 13, 2005______/s/______

Michelle Keller

Vice President/Local 375

Union Representative to Respondent

Dated:June 13, 2005______/s/______

Janice M. Stroughter, Esq.

Director of Discipline

Office of Disciplinary Proceedings

Department of Design and Construction

Dated:June 22, 2005______/s/______

Steven B. Rosenfeld, Esq.

Chair

NYC Conflicts of Interest Board