Seventh Interim Report Exhs. 1-10

EXHIBIT 1
Current Job Start Processing Worisflow

1. Employer notifies Council ofjob start by phone call or fax to OWL Dept 2. OWL Dept processes employer job start notification. Members of the OWL Dept: a. Create a job number in Liberty system for new job. This applies to all jobs including one and two person jobs and jobs requiring a shop steward. b. Complete portions of Green sheets (hand written), from information obtained from employer and Liberty system. c. For jobs that require a steward, use the green sheets and job start documents to dispatch a steward to job using ULTRA and print out steward dispatch record. A member of the OWL department also completes the portions ofthe green sheet with the steward's name and cell phone number. d. For one and two person jobs, the OWL Dept provides the contractor with a job number by fax. e. Send completed green sheets, shop steward and regular dispatch records and one and two person job sheets for each job to the business rep centers (by fax to Queens and by hand to Manhattan) for use by business rep centers the next day. 3. The next morning, business rep center managers review documents provided by the OWL Dept a. Managers sort and place the green sheets, steward and regular dispatch records and two person job start records in appropriate zones. b. These documents are given to the business representative responsible for the zone 4. Business representatives report to assigned business rep center to perform morning office work a. Business representatives receive documents,(green sheets, dispatches and two person job starts) for their zone. b. The business representatives prepare daily action plan based on the documents received. c. Create or update job folders using documents received. d. On Wednesday and Thursday morning meet with shop stewards at rep center. 5. Business representatives field work a. Perform job site visits to speak with newly dispatched stewards. b. Perform follow up job site visits. c. Job site visits to resolve issues. d. File grievances. e. Update green sheets. f. Telephone calls to resolve issues. 6. Return to the office for "afternoon debrief' at approximately 2 PM. a. Return updated green sheets for manual data entry into Council's database (currently 7 months behind in Manhattan rep center). b. Update business center managers on issues in the field. c. Telephone calls to resolve issues.
EXHIBIT 2
Pilot Program Job Start Processing Workflow

This workflow is based on two business agents participating, one in Brooklyn and one in Queens ("The Pilot Program Zones"). Changes from the current workflow are underlined. 1. Employer notifies Council ofjob start by phone call or fax to OWL Dept 2. The OWL Dept processes the employer job start notification. a. Create a job number in Liberty system for new job. This applies to all jobs including one and two person jobs and jobs requiring a shop steward. b. Separate all job start documents for Brooklyn and Queens [performed by members of the OWL Dept]. Job start documents for jobs in the Pilot Program Zones are segregated by the Rep Center Assistant("RCA") prior to shop steward dispatching at 3PM.[The RCA is responsible for administering the pilot program document flow. The RCA is assigned by Lead Regional Manager from the business rep center staff although other options are available] c. For Pilot Program Zone job start documents: The RCA completes portions of Green sheets in electronic pdf form using information obtained from employer and the Liberty system. The RCA saves the electronic green sheets on the Council's network drive for access by appropriate managers and staff. d. For jobs that require a steward,the OWL Dept uses the job start documents to dispatch a steward to the job using the ULTRA system. A steward dispatch record is printed out. A member of the OWL department provides the RCA with steward dispatch records so that the RCA can complete the portions of the green sheet in electronic pdf form with the steward's name and cell phone number. The RCA saves the updated electronic green sheet on the Council's network drive, e. For one and two person jobs, the OWL Dept provides the contractor with a job number by fax. For Pilot Program Zone two person jobs, the RCA creates an electronic green sheet listing the names and telephone numbers of the workers. The RCA saves the electronic green sheets on the Council's network drive. f. Continue normal practice ofsending completed green sheets, shop steward and regular dispatch records and one and two person job records for each job to the business rep centers(By fax to Queens and by hand to Manhattan)for use by business rep centers the next day. For Pilot Program Zones. the RCA emails electronic green sheets and regular dispatch sheets to the appropriate business representatives for each zone, business rep center managers, RO and IG. g. The OWL dept provides the RCA with all regular dispatch records for Brooklyn and Queens. The RCA separates the dispatch records into the two Pilot Program Zones. The RCA scans and save the documents on the Council's network drive [so that the documents can be emailed to the business representatives]. 3. The next morning, business rep center managers review documents provided by OWL Dept a. Managers sort and place in appropriate zone the Green sheets,steward and regular dispatches and two person job starts. b. These documents are given to the business representative responsible for the zone.
4. Business representatives report to assigned business rep center to perform morning office work a. Business representatives receive documents,(green sheets, dispatches and two person job starts) for their zone. b. The business representatives prepare daily action plan based on the documents received c. Create or update job folders using documents received d. On Wednesday and Thursday morning meet with shop stewards at rep center 5. Business representatives assigned to the Pilot Program Zones receive email with green sheets and dispatches directly from RCA and begin business representative fieldwork directly from remote location_ [The workflow for the business representatives assigned to the Pilot Program Zones is the same as business representatives not in pilot program except that the green sheets will be updated electronically by the business representatives in the pilot program]. 6. Business representatives field work. a. Perform job site visits to speak with newly dispatched stewards. b. Perform follow up job site visits. c. Perform job site visits to resolve issues. d. File grievances. e. Update green sheets, electronically for business reps in Pilot Program Zones. f. Create electronic green sheets for unscheduled job site visits. g. Telephone calls to resolve issues. 7. Return to the office for afternoon debrief at approximately 2 PM [Only business representatives not in the pilot program]. a. Return updated green sheets for manual data entry into Council's database (currently 7 months behind in Manhattan rep center). b. Update business center managers on issues in the field. c. Telephone calls to resolve issues. 8. Business representatives assigned to the Pilot Program Zones email all green sheets after each job site visit to the business rep center managers. RCA, RO and IG. The business representatives do not have to report to the "afternoon debrief." Business rep center managers have the discretion to communicate with the business representatives at any time by phone or email. The business representatives in the Pilot Program Zones will not have to complete RO time sheets. 9. The RCA saves the updated electronic green sheet received from the business representative on the Council's network drive as version 2 of the electronic green sheet.
EXHIBIT 3
Visit Date: 11:1New Bldg DRenovation Night Shift
Rep#1: Prevailing Wage IDOCS IP Plan
Rep#2:
['Board Check OUrilori Ig Non-Union Mixed
t.
Active IOComplete Upcoming / / /
OPLA-Building Trades OPLA-NYC Public
[Warning Letter:
IDPLA-NYC 10Day Letter:
Visibility High (g Medium (Low Banner 10Yes IDNo.
[Elves
Demonstratidni
Close Out Job
Follow Up Date
Follow Up Reason:
tOM MION
Name of Job: JobAddress: City: Owner: Tenant' Commercial Retail Store Alone [DRetail Mall State: Zip:
Sq Ft:
Dollar Amt: Floor: County: # of Floors:
Developer: NYC Agency: Dies Low Rise Iples High Rise NYC Affordable Housing II:Marking Lot 03ridge InFoundation DAcoustical unch List Misc.
ipenant Improv .School Heavy Highway Ejindustrial
IOCharter School LjHospital fjReligious Restaurant Calle Driving IDDrywall Dviod Fum
ciPlanning
rparpet
REFERENCE
lock&Plank
EiBidding
EISteel Structure []Interior Trim
riAwarded
OFraming
['Arch
r:R
einf Concrete
Complete !
([Mooring mise
Millwork
['Dodge 1::]cMD larive-By ['Bldg Permit DOther Other Explain' []Self Perfom. ['Union DC Audit#: DC Job#: Assoc: Email: Steward Cell: ElmwBE Contact:
#ol Carps
GC Name* Specialty: Mint Agreernent NYC DoBit: Phone: Steward: Fax:
Non-Union;
Date:
VVebsite: DIGrievance Date: DUnlon NYC DOB#: Phone* ~~~~-Onion
Sub1 Name*
44. co C7)
Specialty* DC Job#:
Date
DC Auditt
Dint AgreementcoMWBE Assoc: Fax: Steward: Sub 2 Name. DC Audit#: Dint Agreement Fax* Steward DC Job# Assoc: Email* Steward Cell* Email* Steward Cell:
Contact. VVebsite: # of Carps
Grievance Date: Specialty* Date: NYC DOB# Phone* Website:

# of Carps
['Union
Non-Uni9n
pM WBE
Contact*
Grievance Date:
Sub 3 Name* DC Auditt (20 (.1) Int Agreement Fax: Steward, Sub'4 Name. DC Audit#: Dint Agreement Fax; Steward: DC Job#: Assoc: Email . Steward Cell; (MWBE DC Job# Assoc; Email. Steward Cell.
Specialty Date: Contact; NYC DOME.
z lnlon
Phone;
on-Union
#W:cbsarPit4e:
DGrievance Date' Otinion NYC DOB# Phone Non-Union
Specialty: Date: Contact Website:

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r1 f ofCa
Sub.5 Name' DC Audit# . Clint Agreement Fax. Steward: DC Jobt. AssocOMWBE Emelt.: Steward Cell;
'Specialty: Date' CoMilicf . :..,..:.
Non-Union
Eprievance
Date:
TOTAL NUMBER OF CARPENTER,CRAFT EMPLOYEES ON JOBSITE:

REP WHO FILLED OUT THIS FORM (REP 111) OTHER REP (REP 112)
NAME: CELL:
COMPANY LETTER HEAD
FAX REQUEST TO:(212)229-0316
DAILY REPORTING HOTLINE:(212)366-3331
NEW JOB START NOTIFICATION FORM New Job Start: 1 Person Job: Yes 2 Person Job: No CBA
Name (1P): UBC/S.S.# Contact #

7 Hour Day Company Representative: Representative Title: Company Name: General Contractor: Job Name: Job Address: Foreman: Job Start Date: Special Instructions: 8 Hour Day
Name (2P): UBC/S.S. # Contact #

Shift Fax# Phone: Employer ID # Phone: Unknown
FI: Phone: Start Time:
All lobs must be registered with the Job Referral Department prior to lob start. DISTRICT COUNCIL USE ONLY Date Entered: D.C. Operator / DISTRICT COUNCIL USE ONLY Job Number: DC
United Brotherhood of Carpenters and Joiners of America Referral/Dispatch Notice - printed 26-Nov-2013 New York City & Vicinity District Council Issuing Affiliate - 4112 Local Nbr Referred From List Bus. Agent : : : : UBC00157 November 26, 2013 01:49:38 PM 157 CARPENTERS EASTSIDE-MANHATTAN Data is not available
MEMBER INFORMATION Member ID Name Address

******
Phone er - Regular Class Skill CERTIFIED UBC STEWARD FURNITURE JOB INFORMATION Employer ID: 4357 : Modernfold/Styles Inc Employer (201) 871-0150 Phone Job ID Job Name Job Site Sup/Foreman: Steward Site Phone Site Fax Site Email Start Date Who Called Other Info 4 NY PLAZA 4 Ny Plaza 4 Ny PLAZA New York, NY
5015013UNION
1111111111111111111111
November 27, 2013 Time: 07:00 AM 011111111010111111101111111110110 DC13-40016387 BASEMENT HEAVY LIFTING REQUIRED*
United Brotherhood of Carpenters and Joiners of America Referral/Dispatch Notice - printed 07-Oct-2013 New York City & Vicinity District Council Issuing Affiliate - 4112 Local Nbr Referred From List Bus. Agent : : : : UBC00157 October 7, 2013 12:25:33 PM 157 CARPENTERS EASTSIDE-MANHATTAN Data is not available
MEMBER INFORMATION :Member ID Name Address
*** ****** **********
.Phone Regular : Member Class Skill 10 HOUR OSHA CERTIFIED 4 HOUR SCAFFOLD USER CERT SUSPENDED CEILING JOB INFORMATION
Expires: 10/31/2013
. Employer ID: 15915 Donaldson Traditional Interior (516) 549-1338 Phone 'Job ID . ' Job Name '''Job Site AE COM Ae Com 125 Broad Street New York, NY
0 Sup/Foreman: 111111111111111111111111.111111111. Steward Site Phone : Site Fax Site Email :

Start Date : October 8, 2013 Time: 07:00 AM Who Called : Other Info : DC13-40008658 14TH-16TH FLOORS r_ WALL & CEILING CBA
EXHIBIT 4
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EXHIBIT 5
To: From:
Review Officer Dennis Walsh Investigator Timothy Thatcher
09/13/13
/12/13 9 Subject: Transcript of Delegate Meeting 0 The following is a transcript of Danny Dore and Steve McInnis at the 09/12/13 Delegate meeting. 2:04:35-Dore- I'm putting a motion on the floor to hire outside council to keep an eye on the Stipulation & Order and the RO,and keep in the best interest ofthe District Council at heart. I'm making a motion that we hire outside council to keep an eye on the Stipulation & Order and the RO for this upcoming battle he is going to try with us with Judge Berman. 2:05:07- McInnis- right ok,(unknown we need a second). McInnis- Danny I just want to be clear on the motion, to be clear on the motion is that Danny Dore correct me if I am wrong is that the District Council hire outside council to deal with the RO and the Stipulation & Order and all other issues involved in that. Is that the motion? 2:05:25- Dore- Right. 2:05:27- McInnis- Do I have a second on Danny Dore's motion. 2:05:32- Eric Tyznar- I'll second that.
EXHIBIT 6
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The New York City District Council of Carpenters is a labor organization that employs some 100 persons In office and field post-. lions and represents.over 20,000 members of eight affiliated local unions in multiple jurisdictions of the construction trade In the five boroughs of New York and beyond. The District Council is , currently party to a federal Con sent Decree with the United States District Court 'for the Southern District of New York and subject to a Stipulation and Order with the court appointed Review Officer. The, District Council's Delegate Body recently voted to hire outside counsel to deal with the Review Officer,the Stipulation and Order; and all 'other issues Involved in that. Attorneys orfirms should send the District Council a proposal covering specific expertise that details the experienCe and credentials of those who would provide the specific services and rates, and also states the
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THE ANNUAL, RETURN OF THE FISHER LANDAU CENTER FOR ART for the calendar year ended December 31, 2012 is available at its principal office located at c/o Fisher Brothers,299Park Avenue, New York,NY 10017 for inspection during regular business hours by any citizen who requests it within 180 days hereof. Principal Manager of the Foundation is EMILYLANDAU. 519 2154463
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Operations, New York City District Council of Carpenters, 395 Hudson Street, .9th Floor, New York, NY 10014. SUbmisslons by e-mail are encouraged and preferred. Please e-mail to MWalker@nyedistrictcouncILorg wIth a copy to: YCarvajal nycdistrictcouncitorg. No telephone inquiries
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THE ANNUAL RETURN A OF THE MILTON SCHIFF FOUNDATION. For the FISCAL YEAR year ended MAY 31,2013 is available at, its principal office located at 450 CLIN#33, STREET TON BICLYN, NY 11231 for inspection during regniar business hours by any citizen who requests it within 180 days hereof. Principal Manager of the Foundstion.is PATRICIA SCHLre ESTESS. s19 2154053 THE ANNUAL RETURN OF' The Birny Mason Jr. FOUNDATION. For the calendar year ended Dec. 31, 2012 is available at its principal office located at 2Tudor City Plaza,Apt.5C, New York., New York 10017 for inspection during regular business hours by any citizen who requests it within 180 days hereof. Principal Manager of the Foundation is Jerome A. Mason. $19 2154065 THE ANNUAL RETURN . ar N . , ; riff ) .6,T F
PUBLIC NOTICES
THE ANNUAL RETURN OF THE U.M.R.FOUNDATION for the fiscal year ended June 30, 2013 is available at its principal office located at P.O Box 2477,Sarasota,FL34230 for Inspection during regular business hours by any citizen who requests it within 180 days hereof. Principal Manager of the Foundatie n is U23RUSKIN, s19 2154289 THE ANNUAL RETURN OF The Martin Revstin FOUNDATION. For the calendar year ended 2013 is available at its principal office located at 1061 Rute 83, Pine Plains, NY for inspection during regular business hours by any citizen who requests it within 180 days hereof Principal Manager of the Foundation is Martin Revson. s19 2154526
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leerOTICE OF QUALIFICATJON of THC-AT. CO, LLC. Authority filed with Secy of State of NY (SSNY)on 7/25/13. Office lo- raest cation: NY County. LLC SSN' formed in DE on 10/14/09. catlo SSN' SSNY designated as an agen agent upon whom process egad, may be served and shall mail copy of process sere' against LLC to: United Cor- proc porate Services, Inc., 874 Tam Walker Rd,,Suite C,Dover, 2501 DE 19904. Principal busi- NY: ness address: c/o Atco es. Properties, Cert of LLC 2154 filed with Secy of State of DE located: Division of Corporations,P.O.Box 898, (MA Dover, DE 19903. Purpose: for . anylawful act. s19-TH 024 tary 2148094 on I. tion Notice of Formation of LLC -16C LLC. 1600 Broadway PI (DE Arts of Org. filed with New desi York Secy of State(SSNY) Up0 n: locatio Office 6/28/13. on aga: New York County. SSNY is SSD designated as agent ofLLC to: c process whom upon 600 served. be may it against dre SSNY shall mall process NY to: 1600 Broadway Apt 21A, mai New York, NY 10019. Pur- Gre pose:anylawful activity. -7'h o24 ver s19 2164765 file 401. . Notice of Formation of ver of Rose Designs LLC. Arts taw Org. filed with New York 215 Secy of State(SSNY)on 8/ 'Office location: New York County. SSNY is des N 21/13. A.13 ignated as. agent of LLC NA process whom upon TE served. be may it against tic] SSNY shall mail process to: 131 W. 35th St., 7th Fl., flit New York, NY 10001: Pur- Sts on pose:anylawful activity. s19-Th o24 am 2154763 RE Notice of Formation of LL cal Yorwah LLC, Arts of Org. SS filed with NY Secy ofState as /13. Office lo9 (SSNY)on 7/ cation: New York County. wlr SSNY is designated as ME agent of LLC upon whom ME process against it may be t served. SSNY shall mail Ne process to: 260 Park Ave S., 104 Jai 10010. NY .2J, New York, Purpose.,anYdavvfuLaCtivie .;2)-f
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From: Yariela Carvajal OCarvaiaipnvcdistrictcouncil.org> Date: Fri, Sep 27, 2013 at 5:26 PM Subject: Recommendation from Executive Committee To: Yariela Carvajal <YCarvaial@nvcdistrictcouncil.org>
Dear Delegates, If you have not yet replied with your vote or have not called in to cast your vote please do so as soon as possible. The District Council's Executive Committee voted today to recommend to the Delegate Body the retention of Judge Barbara S. Jones (retired) and her firm, Zuckerman Spaeder LLP, in order, as per the earlier motion passed by the Delegate Body, to "hire outside counsel to deal with the Review Officer, the Stipulation and Order, and all other issues involved in that." The District Council received numerous responses from attorneys and their law firms to the request for proposal (RFP) published last week and this past Monday in the New York Law Journal. After reviewing the responses, five law firms were asked to appear and did appear yesterday to meet with a committee consisting of Vice President Mike Cavanaugh, General Counsel Jim Murphy, and Chief Compliance Officer Josh Leicht. After meeting for at least an hour with an
attorney or attorneys for each firm, the committee recommended to the Executive Committee the retention of Judge Jones and her firm. Judge Jones served as a Judge on the United States District Court for the Southern District of New York for 16 years, retiring this past December. Prior to her nomination and confirmation as a federal district judge, she served as the First Deputy District Attorney to New York County District Attorney Robert Morgenthau. Before that position, she served as an Assistant United States Attorney for the Southern District of New York, where she tried a number of criminal RICO cases and rose to be the chief of the Organized Crime Strike Force in Manhattan. She was recently appointed by the Secretary of Defense to serve on the Pentagon's Defense's Response Systems to Adult Sexual Assault Crimes Panel. A copy of Judge Jones' biography is attached. Judge Jones and her firm are prepared to appear on behalf of the District Council at a conference and hearing scheduled for Monday before Judge Berman on the Review Officer's motion for an order regarding the District Council's IT modernization plan. Judge Jones' regular hourly fee is $925, which is typical of a senior attorney of her experience and expertise. Judge Jones
has represented to the District Council that she will work with the Union to relax the hourly fees for herself and any other attorneys in her firm required to do work on this representation.
Please reply to this e-mail and indicate whether you approve the Executive Committee's recommendation (Yes) or don't approve this recommendation (No). Please make sure that you reply TODAY. If you can't reply by e-mail, please call Yariela Carvajal at(212)366-7565 or text/call 646-770-6310 to give your response.
A PDF copy of Judge Jones' bio can be accessed and downloaded at:
http://www.zuckerman,com/00/bio-154.pdf
Yariela Carvajal Assistant to the Director of Operations NYC District Council of Carpenters 395 Hudson Street 9th Floor New York, NY 10014 Phone:(21.2)366-7565 Cell:(646)770-6310
EXHIBIT 8
It is my intention to pay the invoice amount of$299.00 in full check to be mailed 9/14/13. I will request a receipt and forward to you. Although this would qualify for a partial reimbursement as an out of network medical procedure in order to put this matter to rest you have my word that I will not seek a reimbursement. As I stated in my interview with the Chief Compliance Officer any potential impropriety was unintentional and was in the spirit ofsupport for a brother member doing good work coping with a tragic loss. It is a cause I have personally contributed to in the past. I hope this answer it satisfactory. Sent from my iPhone On Sep 13, 2013, at 3:11 PM,"Dennis Walsh" <dmwfw@verizon.net<mailto:dmwfw@verizon.net>> wrote: This is to advise you that I am close to concluding an investigation of conduct in which you were involved and wish to hear from you as to the scope and necessity of subsequent action. The matter and conduct in question involves your receipt as a labor official and fiduciary of free cardiac screening services(which have a fair market value of at least $299.00)from a vendor seeking your endorsement of its services in order to do business with the New York District Council and District Council Welfare Fund. In my view, the conduct under review may constitute a violation of the Stipulation and Order entered on June 3, 2010, in the matter of United States v. District Council,90 Civ. 5722 (SDNY)(RMB),as well as New York State Penal Law Section 180.25. Further, I do not believe that it would be proper under the circumstances to attempt to seek reimbursement of the cost ofthe procedure from the District Council Welfare Fund. Please advise me of your views on this matter, in writing, by five p.m. on Wednesday, September 18, 2013. Dennis M. Walsh Review Officer
Dennis, After reviewing the memo (June 12, 2013)to the executive committee from the Chief Compliance Officer and District Council General Counsel and reviewing invoices received from the Chief Compliance Officer I have proceeded to make payment of services received to Cardiac Scan Imaging. Further more, at this time I do not intend to seek any reimbursement from the District Council Welfare Fund. Michael Cavanaugh Vice President / Asst. EST New York City District Council of Carpenters Sent from my iPad On Sep 13, 2013, at 3:10 PM,"Dennis Walsh" <dmwfw@verizon.net<mailto:dmwfw@verizon.net wrote: This is to advise you that I am close to concluding an investigation of conduct in which you were involved and wish to hear from you as to the scope and necessity of subsequent action. The matter and conduct in question involves your receipt as a labor official and fiduciary of free cardiac screening services(which have a fair market value of at least $299.00)from a vendor seeking your endorsement of its services in order to do business with the New York District Council and District Council Welfare Fund. In my view,the conduct under review may constitute a violation of the Stipulation and Order entered on June 3, 2010, in the matter of United States v. District Council, 90 Civ. 5722(SDNY)(RMB), as well as New York State Penal Law Section 180.25. Further, l do not believe that it would be proper under the circumstances to attempt to seek reimbursement of the cost of the procedure from the District Council Welfare Fund. Please advise me of your views on this matter, in writing, by five p.m. on Wednesday, September 18, 2013. Dennis M. Walsh Review Officer
Dennis, l have sent out the full amount of $299.00 for the cardiac screening at the end of last week. l have requested a receipt of payment, and will forward it as soon as it is received. Also l did not plan on nor would l seek a partial or any reimbursement from the Welfare Fund. All of my actions were to support a brother member after the presentation of the foundation he started in memory of his 13 year old son and his tragic loss. Thank you, Dan Walcott
Dennis, When this first became an issue and I became aware of the possible conflict of interest, I immediately asked for a bill at the Executive Meeting. As I have stated before I went to the screening due to my family history with cardiac problems. I am fully willing to pay for the expenses out of pocket, and have not done so yet only because I only received the bill last Monday. Just this evening I have cut the check in the full amount of $299.00. Please let me know if you need a copy of said check. Please also note that at an Executive Board Meeting, Josh Leicht handed myself and other members who participated in the screening an envelope. The envelope contained a bill stating that the cardiac scan was fully paid for. I was the first person to bring it to his attention that it was untrue. Please feel free to contact me with any additional questions (I will be out of town starting Wednesday evening and returning the following Thursday). Sincerely, John Daly
From: dmwfw@verizon.net Date: Fri, 13 Sep 2013 15:08:49 -0400
Subject: Request for a response to a Review Officer investigation To: daly608@hotmail.com
This is to advise you that I am close to concluding an investigation of conduct in which you were involved and wish to hear from you as to the scope and necessity of subsequent action. The matter and conduct in question involves your receipt as a labor official and fiduciary of free cardiac screening services(which have a fair market value of at least $299.00)from a vendor seeking your endorsement of its services in order to do business with the New York District Council and District Council Welfare Fund. In my view, the conduct under review may constitute a violation ofthe Stipulation and Order entered on June 3, 2010, in the matter of United States v. District Council, 90 Civ. 5722(SDNY)(RMB), as well as New York State Penal Law Section 180.25. Further, I do not believe that it would be proper under the circumstances to attempt to seek reimbursement ofthe cost of the procedure from the District Council Welfare Fund. Please advise me of your views on this matter, in writing, by five p.m. on Wednesday, September 18, 2013.
Dennis M. Walsh Review Officer
Ray Harvey Response to RO Inquiry Dennis I'm responding to your request of my views on this matter . I have paid the invoice in full by check and asked for a receipt and included in the PDF is a copy . As I stated in my meeting with the compliance officer and general council James Murphy there was never any intent to deceive or conceal anything. It was all discussed openly at meetings and was done in good faith to help a very good cause . I have also accepted the recommendations of compliance officer and general council James Murphy in there memo dated June 12 2013 . Furthermore at no time did anyone ask for an endorsement . At this time I do not intend to seek reimbursement
Noted, in the future I'll make sure I confirm with your office. From: Dennis Walsh [mailto:dmwfw@verizon.net] Sent: Monday, September 16, 2013 10:23 AM To: Robert Villalta Cc: Josh Leicht; James Murphy (jmurphy@spivaklipton.com) Subject: Re: Request for a response to a Review Officer Investigation Robert: The Compliance Officer does not speak for the Review Officer. DMW Law Office of Dennis M. Walsh 415 Madison Avenue, 11th Floor New York, NY 10017 646.553.1357 dwalsh@dennismwalsh.com<mailto:dwalsh@dennismwalsh.com> www.dennismwalsh.com<http://wwvv.dennismwalsh.com> This email is confidential and may contain legally privileged communications. It may be viewed and used solely by the intended recipient(s). If you have received it in error, please destroy it and notify the sender. On Sep 16, 2013, at 10:14 AM,Robert Villalta wrote: Good morning Dennis, I mailed out the check for $299.00. today, 9/16/2013 (Joshua Leicht). (please see attachment) per instruction from Chief Compliance officer Officer. In Review the to He advised us this would put me in compliance & satisfactory order to respect your opinion on it being improper under the circumstances, I will not seek reimbursement from my medical insurance. Regards, Robert Villalta From: Dennis Walsh [mailto:dmwfw@verizon,net] Sent: Friday, September 13, 2013 3:09 PM To: Robert Villalta Subject: Request for a response to a Review Officer Investigation This is to advise you that I am close to concluding an investigation of conduct in which you were involved and wish to hear from you as to the scope and necessity of subsequent action. The matter and conduct in question involves your receipt as a labor official and fiduciary offree cardiac screening services(which have a fair market value of at least $299.00)
from a vendor seeking your endorsement of its services in order to do business with the New York District Council and District Council Welfare Fund. In my view, the conduct under review may constitute a violation ofthe Stipulation and Order entered on June 3, 2010,in the matter of United States v. District Council, 90 Civ. 5722(SDNY)(RMB),as well as New York State Penal Law Section 180.25. Further, I do not believe that it would be proper under the circumstances to attempt to seek reimbursement of the cost ofthe procedure from the District Council Welfare Fund. Please advise me of your views on this matter, in writing, by five p.m. on Wednesday, September 18, 2013. Dennis M. Walsh Review Officer Law Office of Dennis M. Walsh 415 Madison Avenue, 11th Floor New York, NY 10017 646.553.1357 dwalsh@dennismwalsh.com<mailto:dwalsh@dennismwalsh.com> www.dennismwalsh.com<http://vvww.dennismwalsh.com> This email is confidential and may contain legally privileged communications. It may be viewed and used solely by the intended recipient(s). If you have received it in error, please destroy it and notify the sender. heart scan check.pdf>
District Council of New York and Vicinity
United Brotherhood of Carpenters and Joiners Of America

Office ofthe Chief Compliance Officer
MEMORANDUM
July 19, 2013 To: Fr: Re: The District Council Delegate Body Josh Leicht, Chief Compliance Officer Quarterly Report of the Chief Compliance Officer for the Period Ending June 30 2013
The District Council By-Laws require the Chief Compliance Officer("CCO"), with assistance from the Deputy Chief Compliance Officer("DCCO")(Scott Danielson), to ensure that the District Council develops and maintains a Compliance Program that meets the requirements of Section 8 ofthe Federal Sentencing Guidelines. This quarterly report is organized along the requirements of the Federal Sentencing Guidelines and the By-Laws with respect to the elements of an effective compliance program. 1) Standards and Procedures to Prevent and Detect Non-Compliant Conduct: In late December 2012, a review was completed by the CCO and the Inspector Genera] to determine whether the District Council is complying with the requirements of the District Council By-Laws. The audit revealed a number of areas where the requirements of the District Council By-Laws are not being met and/or where efforts undertaken to meet the requirements could be improved. A copy of the review was provided to the Delegate Body in April 2013. Many of the deficiencies noted in the review report have been corrected. Several ByLaw requirements involving review and approval of Local Union dues and placing title to District Council property in the name of the trustees are being reviewed by General Counsel to determine whether District Council has the legal authority to comply and/or whether compliance is realistic or practical. Several areas are in the process of being addressed: Review ofjob referral records and procedures by Executive Committee and subcommittee of the Delegate Body under Sections 12(K) and 5(B) 16. Draft procedures to comply with this section ofthe By Laws have been prepared and are being reviewed by the Executive Committee. Annual Organizing Plan. By-Law Section 5 B 5 requires the Delegate Body to annually review and approve or reject an organizing plan. An organizing plan

that meets the By Law requirements and the legal needs of the District Council is being prepared for the Delegate Body. A compliance audit of District Council Accounting Policy Manual will be developed and conducted this fall. 2) The District Council's governing authority must be knowledgeable about the content and operation of the compliance and ethics program and exercise reasonable oversight with respect to its implementation and effectiveness. a. Through my quarterly reports, I will continue to provide the Council Delegate Body with information and updates regarding the compliance program. b. I will also provide information to the Executive Committee regarding the program as required or requested at monthly meetings. c. Weekly compliance meetings are being held with the EST, the Vice President, the Director of Operations, the Inspector General, General Counsel and the Chief Compliance Officer. These meetings are providing a good opportunity to review any compliance related issues or needs. d. Council Delegates are encouraged to contact me or Scott Danielson if they have any questions or concerns about the progress and/or effectiveness of the District Council's Compliance Program. 3) High-Level personnel of the District Council shall ensure that the District Council has an effective compliance and ethics program. a. A Compliance Committee comprised ofdepartment leaders meets on a quarterly basis to, among other things, discuss and review: Reporting and Complaints Processes Compliance Standards and Policies Communication and Training Leadership and "Tone at the Top
The Compliance Committee last met on July 17, 2013. Among the actions that have been taken as a result of a recommendation from the Compliance Committee was the creation of a link on the District Council website devoted to compliance and ethics issues.
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United Brotherhood of Carpenters and joiners Of America

The continuing goal of the quarterly meetings will be to ensure that Officers and Senior Managers of the District Council remain actively engaged in and aware of the operation and function of the District Council Compliance Program,that any compliance issues are identified and promptly addressed and to help ensure that the District Council has a compliance program that is effective and sustainable. 4) Specific Individual(s) within the District Council shall be delegated day-to-day operational responsibility for implementing the compliance and ethics program a. The CCO is a part time position. I am, however, available 24 hours a day/seven days a week to respond to questions or concerns. My District Council email address is JLeichtO,NYCDistrictCouncil.org. My telephone number at the District Council is(212)366-7362. b. In addition to being the District Council Inspector General, Scott Danielson is the DCCO. He is onsite at the District Council on a daily basis. The Office of the Inspector General performs a central role in the day-to-day operation and oversight of the District Council Compliance Program. Delegates and members are encouraged to contact IG's office if they have questions or concerns. 5) The District Council shall use reasonable efforts to ensure that no individual who has engaged in illegal activity or other conduct inconsistent with the compliance and ethics program is engaged as an employee or representative. a. The District Council continues to satisfy this requirement by requiring certifications and by conducting background checks of prospective employees and certain individuals charged with representing the District Council (e.g., shop stewards). 6) The District Council shall take reasonable steps to communicate its standards and procedures and other aspects of the compliance and ethics program. a, Beginning on May 20, 2013, the EST has been publishing weekly compliance messages on the District Council website. To date, these messages have focused on reinforcing the policies set forth in the District Council's Code of Ethics. As a result of a recommendation from the Compliance Committee, the weekly messages will also be directly distributed to District Council employees as part of email communications from the Communications Director. b. Mandatory compliance training was given to all District Council officers and employees in November and December 2012. Mandatory refresher courses will
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be given on an annual basis. New employees will receive compliance training as part of their orientation. c. The CCO and Inspector General have provided compliance and ethics training to members who wish to become certified shop stewards as part of the Shop Steward training program. The compliance and ethics training covers, among other areas, the Shop Steward Code of Ethics, the District Council compliance program and its relationship to shop stewards and every shop steward's duty to report misconduct and to seek guidance whenever they have concerns regarding whether conduct is appropriate. The training includes a discussion about the history of corruption within the District Council and focuses on the importance of shop stewards as being part of the "first line of defense" responsible for ensuring compliance with the wage and work rules and for identifying and reporting unethical or corrupt behavior. This training will continue to be given as part of the training received by shop stewards. d. The effectiveness of training regarding the Code of Ethics and the need for compliance related training in other areas is one ofthe topics regularly discussed at Compliance Committee meetings. As a result of a recommendation from the Compliance Committee, department leaders are currently preparing a list of training needs compliance related and otherwise that would be helpful to their team members. 7) The District Council shall take reasonable steps to(a)ensure the compliance program is followed by conducting periodic monitoring and auditing,(b) periodically evaluate the effectiveness of the program and (c) publicize a system that allows reporting of compliance concerns, anonymously if chosen, without fear of retaliation. a. & b. As noted earlier, a By Law Compliance audit was performed late last year. By Law Audits will be conducted on at least an annual basis. As also noted above, an audit plan will be developed and implemented for the Accounting Policy Manual this fall. The Compliance Committee will assist with evaluating and monitoring the effectiveness of the overall compliance program and determining what areas should be subjected to periodic auditing. c. The OIG operates an (855) UBC-TIPS hotline through which District Council members and personnel can report actual or suspected incidents offraud waste or abuse, anonymously if they choose. The hotline operates on a 24hour/7day per week basis. The District Council employee handbook clearly states that the
Page 4 of5

District Council will not tolerate retaliatory action against those who report concerns in good faith. 8) The District Council's compliance and ethics program shall be promoted and enforced consistently through (a)appropriate incentives to perform in accordance with the program and (b)through taking appropriate disciplinary measures for failure to do so. a. Compliance with the District Council's rules, policies and procedures is a basic condition of continued employment. b. The District Council Personnel Manual establishes guidelines for taking disciplinary measures as a result of intentional or negligence misconduct. 9) Annual Risk Assessments. The Compliance Committee's responsibilities include identifying new and existing compliance risks and determining whether adequate steps have been taken to mitigate the likelihood of their occurrence or to detect violations when they occur. 10) Miscellaneous. On April 24, 2013, the Chief Compliance Officer and the General Counsel began a review to determine whether free cardiac screening received by some members of the Executive Committee presented a potential conflict of interest. A report of our findings and recommendations was presented to the Executive Committee on or about June 12, 2013. A copy of that report is being provided to the Delegate Body as part of this quarterly report.
Respectfully submitted, Josh Leicht Chief Compliance Officer
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Office of the Chief Compliance Officer
MEMORANDUM
October 28, 2013 To: Fr: Re: The District Council Delegate Body Josh Leicht, Chief Compliance Officer Quarterly Report of the Chief Compliance Officer for the Period Ending September 30, 2013
The District Council By-Laws require the Chief Compliance Officer("CCO"), with assistance from the Deputy Chief Compliance Officer("DCCO")(Scott Danielson), to ensure that the District Council develops and maintains a Compliance Program that meets the requirements of Section 8 of the Federal Sentencing Guidelines. This quarterly report is organized along the requirements of the Federal Sentencing Guidelines and the By-Laws with respect to the elements of an effective compliance program. 1) Standards and Procedures to Prevent and Detect Non-Compliant Conduct: In late December 2012, a review was completed by the CCO and the Inspector General to determine whether the District Council was in compliance with the District Council ByLaws. The audit revealed a number ofareas where the requirements were not being met and/or where efforts undertaken to meet the requirements could be improved. A copy of the review was provided to the Delegate Body in April 2013. Most, but not all, ofthe deficiencies noted in the review have been corrected. As of the date of this quarterly report several deficiencies identified still remained unresolved. A list ofthose deficiencies (in bold) and their status (in italics) follows: By Law Sections 12(K) and 5(B)16 requiring periodic review ofjob referral process by the Executive Committee and a subcommittee of the Delegate Body: The Delegate Body approved policies and procedures to address these requirements in September. The Delegate Body needs to elect three representatives who willform a subcommittee responsiblefor reviewing thejob referral process as setforth in the policy and procedures. It is my expectation meeting that the Delegate Body subcommittee will be elected at the October and that the work ofthe subcommittee and Executive Committee can begin shortly thereafter.
30th

Annual Organizing Plan. By-Law Section 5 B 5 requires the Delegate Body to review and approve or reject an organizing plan. .1 have been advised that the Director ofOrganizing is developing an Organizing Plan that will be presented to the Executive Committeefor review at their meeting scheduledfor October 29, 2013. Pending their review, the plan will be submitted to the Delegate Bodyfor its review and approval. By Law Section 13 requires that Title to all Council property be held in name of the Trustees. The District Council's General Counsel is reviewing whether compliance with this provision would require the District Council to act in a manner that is inconsistent with the best interests ofthe organization and the membership. Depending upon his advice, the Executive Committee and Delegate Body will need to consider appropriate action. By Law Section 15 requires the Audit Committee to annually review the amount of dues levied by each local to ensure adequacy and reasonableness and to report to the Delegate Body re the same. The District Council's General Counsel is reviewing whether the District Counsel has authority to act in this area. Depending upon his advice, the Executive Committee and Delegate Body will need to consider appropriate action. must By Law Section 15 requires that monthly dues payable to Local Unions be approved by the Delegate Body. The District Council's General Counsel is reviewing whether the District Counsel has authority to act in this area. Depending upon his advice, the Executive Committee and Delegate Body will need to consider appropriate action. s An audit tool has been developed to assess compliance with the District Council' Accounting Policy Manual. In the course of developing the audit tool, it became because apparent that there may be requirements in the policy that are not being followed conducts Council they do not apply to the manner and method in which the District tool with business. Before beginning the audit, the CCO and DCCO will review the audit that are the Chief Accountant and Director of Operations to identify policy requirements conducts Council District the how for suitable not being followed because they are not business. Once those areas are identified and agreed upon, steps will be taken to amend the Accounting Policy as needed. The audit tool will then be amended to reflect changes and an audit will be conducted. An audit tool will be developed to assess compliance with the District Council's Personnel Manual. An audit of By Law compliance will be undertaken in the first quarter of2014. The audit tool developed for that purpose will be reviewed beforehand to ensure it covers all material requirements.
Page 2 of7
2) The District Council's governing authority must be knowledgeable about the content and operation of the compliance and ethics program and exercise reasonable oversight with respect to its implementation and effectiveness. a. Through my quarterly reports, I continue to provide the Council Delegate Body with information and updates regarding the compliance program. b. I also provide information to the Executive Committee regarding the program as required or requested at its bi- monthly meetings. c. Weekly compliance meetings are being held with the EST Pro Tem,the Vice President, the Director of Operations,the Inspector General, General Counsel and the Chief Compliance Officer. These meetings are providing a good opportunity to review any compliance related issues or needs. d. Council Delegates are encouraged to contact me or Scott Danielson if they have any questions or concerns about the progress and/or effectiveness of the District Council's Compliance Program. 3) High-Level personnel of the District Council shall ensure that the District Council has an effective compliance and ethics program. a. A Compliance Committee comprised of depai ent leaders meets on a quarterly basis to, among other things, discuss and review: Reporting and Complaints Processes Compliance Standards and Policies Communication and Training Leadership and "Tone at the Top
As a result of a recommendation from the Committee at its July 17, 2013 meeting, a "Compliance" page accessible to all members has been added to the District Council web site. The "Compliance page contains links to key UBC and District Council policies and procedures and other information. All members are encouraged to visit the Compliance page whenever they seek information regarding UBC or District Council policies.
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United Brotherhood of Carpenters and joiners Of America

The continuing goal of the Compliance Committee will be to ensure that Officers and Senior Managers of the District Council remain actively engaged in and aware of the operation and function of the District Council Compliance Program, that any compliance issues are identified and promptly addressed and to help ensure that the District Council has a compliance program that is effective and sustainable. The Compliance Committee's next meeting is scheduled for October 29, 2013. 4) Specific Individual(s) within the District Council shall be delegated day-to-day operational responsibility for implementing the compliance and ethics program a. The CCO is a part time position. I am, however, available 24 hours a day/seven days a week to respond to questions or concerns. My District Council email address is JLeicht@NYCDistrictCouncil.org. My telephone number at the District Council is (212)366-7362, My cell phone number is (646) 248-2369. b. In addition to being the District Council Inspector General, Scott Danielson is the DCCO. He is onsite at the District Council on a daily basis. The Office of the Inspector General performs a central role in the day-to-day operation and oversight of the District Council Compliance Program. Delegates and members are encouraged to contact IG's office if they have questions or concerns. 5) The District Council shall use reasonable efforts to ensure that no individual who has engaged in illegal activity or other conduct inconsistent with the compliance and ethics program is engaged as an employee or representative. a. The District Council continues to satisfy this requirement by requiring certifications and by conducting background checks of prospective employees and certain individuals charged with representing the District Council (e.g., shop stewards). 6) The District Council shall take reasonable steps to communicate its standards and procedures and other aspects of the compliance and ethics program. a. Beginning on May 20, 2013, the EST Pro Tem has been publishing weekly compliance messages on the District Council website. As a result of a recommendation from the Compliance Committee, the weekly messages are also directly distributed to District Council employees as part of weekly email communications from the Communications Director.
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b. The District Council recently amended its Personnel Policy to add a Telephone and Email Response policy and procedure. Among other things, the policy reinforces the duty of every District Council employee to respond to member requests for information promptly and accurately. Training on the new policy, together with training to reinforce the District Council's expense and sexual harassment policies is being given to all District Council employees. During the training sessions, key aspects of the District Council's Code of Ethics are also being emphasized and reinforced. c. New employees receive compliance training from the Director of Human Resources as part of their orientation. d. The CCO and Inspector General have provided compliance and ethics training to members who wish to become certified shop stewards as part of the Shop Steward training program. The compliance and ethics training covers, among other areas, the Shop Steward Code of Ethics, the District Council compliance program and its relationship to shop stewards and every shop steward's duty to report misconduct and to seek guidance whenever they have concerns regarding whether conduct is appropriate. The training includes a discussion about the history of corruption within the District Council and focuses on the importance ofshop stewards as being part of the "first line of defense" responsible for ensuring compliance with the wage and work rules and for identifying and reporting unethical or corrupt behavior. This training will continue to be given as part of the training received by shop stewards. e. The effectiveness oftraining regarding the Code of Ethics and the need for compliance related training in other areas is one of the topics regularly discussed at Compliance Committee meetings. 7) The District Council shall take reasonable steps to(a)ensure the compliance program is followed by conducting periodic monitoring and auditing,(b) periodically evaluate the effectiveness of the program and (c) publicize a system that allows reporting of compliance concerns, anonymously if chosen, without fear of retaliation. a. & b. As noted earlier, a second By Law Compliance audit will be performed during the first quarter of2014. As also noted above, an audit tool has been developed to help access compliance with the District Council's Accounting Policy Manual and a similar tool will be developed to access compliance with the District Council's Personnel Policy. The Compliance Committee will assist with evaluating and monitoring the effectiveness ofthe overall compliance program and with determining what additional areas should be subjected to periodic auditing. Page 5 of7

c. The CMG operates an (855) UBC-TIPS hotline through which District Council members and personnel can report actual or suspected incidents offraud waste or abuse, anonymously ifthey choose. The hotline operates on a 24hour/7day per week basis. The District Council employee handbook clearly states that the District Council will not tolerate retaliatory action against those who report concerns in good faith. The availability of multiple avenues to report concerns or to seek guidance is being reinforced during compliance training given to District Council employees as is the District Council's strict policy prohibiting retaliatory action against anyone who reports concerns, or seeks guidance, in good faith.
8) The District Council's compliance and ethics program shall be promoted and enforced consistently through (a) appropriate incentives to perform in accordance with the program and (b)through taking appropriate disciplinary measures for failure to do so. a. Compliance with the District Council's rules, policies and procedures is a basic condition of continued employment. b. The District Council Personnel Manual establishes guidelines for taking disciplinary measures as a result of intentional or negligence misconduct. c. The Compliance Committee will address whether there are, or need to be, additional "positive incentives to reward or encourage compliance behavior. 9) Annual Risk Assessments. The Compliance Committee's responsibilities include identifying new and existing compliance risks and determining whether adequate steps have been taken to mitigate the likelihood of their occurrence or to detect violations when they occur. The Compliance Committee will discuss identifying and prioritizing areas to be focused on for purposes of conducting risk assessments at its meeting scheduled for October 29, 2013. 10) Miscellaneous. Cardiac Screening Report; On June 12,2013, the Chief Compliance Officer and General Counsel issued a report concerning the receipt offree cardiac screening by certain members of the Executive Committee. A copy ofthat report was provided to the Delegate Body as part of my last quarterly report. The report recommended that members ofthe Executive Committee who received free screening services pay the service provider the fair market value ofthe services
Page 6 of 7

received. As of the date ofthis report, John Daly, Dan Walcott, Ray Harvey and Robert Villata have provided documentation that they fully reimbursed the service provider for the value of the services received and have fully satisfied the recommendations made in the June 12, 2013 report. Steve McInnis and Michael Cavanaugh have represented that they each have fully reimbursed the service provider and have committed to providing documentation to that effect. When that occurs, they too will have fully satisfied the recommendations made in the report. All current Executive Committee members who received free screening have agreed not to seek reimbursement from the District Council health plan for the cardiac screening. They made this additional commitment even though they may have been entitled to some reimbursement for the screening under the normal terms of the plan. Council Employee Perceptions: During informal conversations with a number of District Council employees, I have learned that employees may perceive that the District Council's rules, policies and procedures exist more for the purpose of catching them doing something wrong than for providing them with guidance on the District Council's behavioral expectations and how to meet those requirements. This subject will be discussed at the Compliance Committee meeting on October 29, 2013. It will be important to determine the extent of and reasons for any negative perception of existing rules, policies and procedures and, if necessary, to undertake remedial measures.
Respectfully submitted, Josh Leicht Chief Compliance Officer
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NEW YORK CITY AND VICINITY DISTRICT COUNCIL OF CARPENTERS

OFFICE OF THE INSPECTOR GENERAL SECOND QUARTER REPORT 2013 FOR THE DISTRICT COUNCIL DELEGATE BODY
SCOTT C. DANIELSON INSPECTOR GENERAL
DATE: TO: FROM: RE:
MEMORANDUM July 3, 2013
Stephen McInnis, E.S.T., Pro Tem Executive Committee New York City District Council Delegate Body Scott C. Danielson,Inspector General Office of the Inspector General Second Quarter Report for 2013
Please see the following Address and status report of all pending complaints and investigations from the Second Quarter of 2013 for your review,
Welcome all Delegates and Executive Board Members. This is the Second Quarter Report and Address from the Office ofthe Inspector General for 2013.
The Office ofthe Inspector General continues to follow-up on legitimate leads and suspicions of wrongdoing. I would like to thank all ofthe members that utilize the UBCTIPS Hotline. The most effective weapon to fight corruption is our own membership; together we can try to root out corruption, wrongdoing, and violations of all our rules and regulations. We must work together to police ourselves.
We all must never forget that: o We need to put more hours in to our Benefit Funds o We must support our Area Standards Department o We must take control ofour Market Share o We must all assist in collecting the I% working dues o All members and contractors should be treated equally and fairly and no member or contractor should receive special treatment o This is vital to our success
It is imperative that all Departments ofthis District Council work together towards the common goals ofsecuring employment for our membership, having safe work sites, proper pay and benefits, and upholding and following our Collective Bargaining Agreements, By-laws, and the U.B.C. Constitution which protect the rights ofour membership. We must always keep in mind the threats to our District Council such as:
Rival Unions Non-Union Contractors Contractors that do not pay prevailing rates on prevailing wagejobs Union contractors that are willingly defrauding and cheating our Union Union members that are willingly defrauding and cheating their own Union Members of Organized Crime that want to take control ofthis Union We must all be fully aware that corruption is corrosive. Through corruption, institutions lose legitimacy. When it takes hold, the fundamental notion of playing by-the-rules gets pushed to the side, and members, contractors, and Officers ofthe Union instead begin to operate under a fundamentally unfair-and destabilizing-set of norms. This undermines confidence in our Union and destroys the sense offairness that is critical for the rules and regulations we strive to enforce to prevail. Despite these challenges, the Office ofthe Inspector General will continue to address these and other complex issues confronting our Union. We will work to reduce this District Council's vulnerability and to minimize the impact of unforeseen events that may occur.
I would like to take this opportunity to thank the Delegates ofthe District Council. Thank you for your interest and support of this Office. We look forward to working closely with you and the Leadership Team of our District Council in order to promote the economic efficiency and effectiveness in the prograrns and operations ofthe Inspector General's Office.
The following in the status of all cases from the Second Quarter of2013. Thank you.
DISTRICT COUNCIL FOR NEW YORK CITY AND VICINITY OF TKE UNITED BECYDLERROOD OF CARPENTERS AND JOINERS OF AMERICA
OFFICE OF THE INSPECTOR GENERAL

395 Hudson Street - New York, New York 10014 Phone:(212)366-3354 Toll Free:(855) UBC-TIPS Fax:(212)366-7363 ig@nycdcigoffice.org ************ Scott C. Danielson
hupector General
************
INSPECTOR GENERAL CASE ACTIVITY REPORT JULY 3, 2013 SECOND QUARTER REPORT(APRIL 1, 2013- JUNE 30,2013) 916 TOTAL NEW CASES 668 COMPLAINTS 248 COMPLIANCE CHECKS 74 INTERVIEWS 291 FIELD INTERVIEWS 215 (INITIAL) VISITS JOB SITE 23 JOBSITE REVISITS 247 GRIEVANCES FILED 6 CHARGES FILED 0 DISPATCHES(SHOP STEWARD) 3 LAW ENFORCEMENT TO REFERRED CASES 8 STANDARDS AREA TO REFERRED CASES 6 CASES REFERRED TO THE BUSINESS REP CENTER 3 ISSUED LETTERS SHOP STEWARD WARNING 7 MEMBER WARNING LETTERS ISSUED TOTAL CASES(APRIL 1,2013- JUNE 30,2013): TOTAL OPEN CASES: PENDING GRIEVANCES: PENDING CHARGES: PENDING AUDIT REQUEST: OPEN INVESTIGATION: TOTAL CLOSED CASES:
916 564 228
315 352
Cases may remain open due to a variety of reasons outside of the realm of being an active investigation. A case will remain open when Charges or Grievances filed by the Office of the Inspector General have not been resolved. This Is also the case when an Audit has been requested and the report has not been received. A Case can also remain open for more than one of these reasons and be reported In different fields, therefore the addition ofthe sub categories for open cases inflates the actual number of cases. The totals are not static numbers;cases can be closed on a daily basis.
NEW YORK CITY DISTRICT COUNCIL OF CARPENTERS

Reports can be made anonymously or confidentially f
To report these violations, call the NYC District Council of Carpenters Inspector General Hotline
NEW YORK CITY DISTRICT COUNCIL OF CARPENTERS OFFICE OF THE INSPECTOR GENERAL Phone: 212.366.3354 Fax: 212.366.7363 email: iganycdcigoffice.org
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ia rlit
en calling the(855) UBC-TIPS hotline, please have the following information available, Possible, in order to assist the Investigators in this matter:
LOcation:z: FlOor, Hours whenwork is performed z Type of Work NuMber of Carpenters .Tho-:ri4r9e *Ofthe-company.. PeneralOontriciOr name - Name of any UBC members Name Of any UBC employees . .
. What is the nature of the complain . Who committed the wrongdoing (person,company or onganlzation)? What exactly did the individual or entitiY do? When did it happen? Who else has knowledge of the potential wrongdoing?
7Z , 17
.1+
4 Members working for less than the Collective Bargaining Agreement(CBA) Cheating on the OWL 0 Violating U BC Constitution and NYC by-laws IF1' Contractors that are violating the CBA Members & contractors who participate in these activities will
be subject to charges in the District Council Trial Committee and may be subject to criminal prosecution. To confidentially report these violations, call the NYC District Council of Carpenters Inspector General Hotline
The District Council may decide to reduce or decline to file charges against members who provide material cooperation to the Inspector General.
MEMBERS & CONTRACTORS WILL BE HELD ACCOUNTABLE The IG office will file UBC charges against members, grievances and possible lawsuits against contractors and make criminal referrals to law enforcement when warranted.
ALL SUSPICIOUS ACTIVITY WILL BE AGGRESSIVELY PURSUED The IG office will aggressively pursue all indicators of fraud and fraudulent or suspicious activity against the union.
New York City District Council of Carpenters Office of the Inspector General Phone: 21.2-366-3354 Fax: 212-366-7363 Email: ig@nycdcigoffice,org
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rut' wArreit o Members protecting DAILY

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their hours
It
MEMBERS PROTECTING BENEFITS WITH TECHNOLOGY

Each member has the ability to act like a watchdog. You can check the amount of hours and total number of carpenters posted daily by the shop steward on the jobsite. INSTRUCTIONS FOR VIEWING YOUR WORK HOURS: Visit www.nycdistrictcouncil.com On the black navigation bar, hover your cursor over the "I.G.'s Office text. From the dropdown list, click on the "Operation Watchdog" link. Once you are on the "Operation Watchdog" page,click on the letter to view information and instructions on how to view your jobsite's hours and . carpenters. You can access the page to view your work hours by either scrolling to the bottom of the home page for the New York City District Council of Carpenters and clicking on the Operation Watchdog logo or, you can click on the"Watchdog Check Hours" link from the "1.G.'s Office dropdown list and clicking on the Operation Watchdog logo on the page you are directed to. You can also access the viewing page directly by going to: https://memberhours.sdcconnect.comindimmhrs_rpt.txt/input
PLEASE DO YOUR PART TO HELP ERADICATE CORRUPTION

To confidentially report any violation, please call...
1155111110-TIPS
NEW YORK CITY DISTRICT COUNCIL OF CARPENTERS OFFICE OF THE INSPECTOR GENERAL PHONE:212-366-3354 FM:212-366-7363 EMAIL:Ig@nycdclgofftce.org
NEW YORK CITY AND VICINITY DISTRICT COUNCIL OF CARPENTERS

OFFICE OF THE INSPECTOR GENERAL THIRD QUARTER REPORT 2013 FOR THE DISTRICT COUNCIL DELEGATE BODY
SCOTT C. DANIELSON INSPECTOR GENERAL
DATE: TO:
October 4,2013 Stephen McInnis, E.S.T., Pro Tem Executive Committee New York City District Council Delegate Body Scott C. Danielson, Inspector General Office of the Inspector General 'Third Quarter Report for 2013
FROM: RE:
Please see the following Address and status report of all pending complaints and investigations from the Third Quarter of 2013 for your review.
Welcome all Delegates and Executive Board Members. This is the Third Quarter Report from the Office ofthe Inspector General for 2013.
The Office ofthe Inspector General continues to follow-up on legitimate leads and suspicions of wrongdoing. I would like to thank all ofthe members that utilize the UBCTIPS Hotline. The most effective weapon to fight corruption is our own membership; together we can try to root out corruption, wrongdoing,and violations of all our rules and regulations. We must work together to police ourselves.
We all must never forget that: o We need to put more hours in to our Benefit Funds o We must support our Area Standards Department o We must take control ofour Market Share o We must all assist in collecting the 1% working dues o All members and contractors should be treated equally and fairly and no member or contractor should receive special treatment o This is vital to our success
It is imperative that all Departments of this District Council work together towards the common goals of securing employment for our membership, having safe work sites, proper pay and benefits, and upholding and following our Collective Bargaining Agreements, By-laws, and the U.B.C. Constitution which protect the rights of our membership. We must always keep in mind the threats to our District Council such as:
Rival Unions Non-Union Contractors Contractors that do not pay prevailing rates on prevailing wage jobs Union contractors that are willingly defrauding and cheating our Union Union members that are willingly defrauding and cheating their own Union Members of Organized Crime that want to take control ofthis Union We must all be fully aware that corruption is corrosive. Through corruption, institutions lose legitimacy. When it takes hold, the fundamental notion of playing by-the-rules gets pushed to the side, and members, contractors,and Officers of the Union instead begin to operate under a fundamentally unfair-and destabilizing-set ofnorms. This undermines confidence in our Union and destroys the sense of fairness that is critical for the rules and regulations we strive to enforce to prevail. We must strengthen our partnerships with all government agencies that regulate safety, wages, and benefits. We must also work on building new programs that assist in the prevention of wrong-doing. We would like to remind everyone ofour Independent Secure Hotline(855-UBC-TIPS). We encourage members to make confidential, anonymous calls to this line ifthey have any questions or problems pertaining to any jobsites. Despite these challenges, the Office ofthe Inspector General will continue to address these and other complex issues confronting our Union. We will work to reduce this District Council's vulnerability and to minimize the impact of unforeseen events that may occur.
l would like to take this opportunity to thank the Delegates ofthe District Council. Thank you for your interest and support of this Office. We look forward to working closely with you and the Leadership Team of our District Council in order to promote the economic efficiency and effectiveness in the programs and operations of the Inspector General's Office.
The following in the status of all cases from the Third Quarter of2013. Thank you,
DISTRICT COUNCIL FOR NEW YORK CITY AND VICINITY OF THE UNITED BROTHERHOOD OP CARPENTERS AND JOINERS OF AMERICA
OFFICE OF THE INSPECTOR GENERAL

395 Hudson Street - New York, New York 10014 Phones(212)366-3354 Toll Free:(855) UBC-TIPS Fax:(212) 366-7363 E-mail: ig@nycdcigoffice.org Scott C. Danielson********** Inspector General Deputy Inspector General
Patrick Kennedy
INSPECTOR GENERAL CASE ACTIVITY REPORT October 4, 2013 THIRD QUARTER REPORT(JULY 1,2013- SEPTEMBER 30,2013) 1205 TOTAL NEW CASES 813 COMPLAINTS 392 COMPLIANCE CHECKS 70 INTERVIEWS 346 FIELD INTERVIEWS 279 JOB SITE VISITS(INITIAL) 18 JOBSITE REVISITS 311 GRIEVANCES FILED 19 CHARGES FILED 1 STEWARD) (SHOP DISPATCHES 1 CASES REFERRED TO LAW ENFORCEMENT 11 CASES REFERRED TO AREA STANDARDS 14 CASES REFERRED TO THE BUSINESS REP CENTER 6 SHOP STEWARD WARNING LETTERS ISSUED 34 MEMBER WARNING LETTERS ISSUED TOTAL CASES(JULY 1,2013- SEPTEMBER 30, 2013): TOTAL OPEN CASES: PENDING GRIEVANCES: PENDING CHARGES: PENDING AUDIT REQUEST: OPEN INVESTIGATION: TOTAL CLOSED CASES: 783 295 18 0 455 422 1205
Cases may remain open due to a variety of reasons outside of the realm of being an active investigation. A case will remain open when Charges or Grievances filed by the Office of the Inspector General have not been resolved. This is also the case when an Audit has been requested and the report has not been received. A Case can also remain open for more than one of these reasons and be reported In different fields, therefore the addition of the sub categories for open cases inflates the actual number of cases. The totals are not static numbers;cases can be closed on a daily basis.
DO YOU HAVE INFORMATION ABOUT

~~~Members working for less than the Collective Bargaining Agreement(CBA) ~~~~ Cheating on the OWL I+ Violating UBC Constitution and NYC by-laws Contractors that are violating the CBA Members & contractors who participate in these activities will be subject to charges in the District Council Trial Committee and may be subject to criminal prosecution. To confidentially report these violations, call the NYC District Council of Carpenters Inspector General Hotline
(855) UBC-TIPS
The District Council may decide to reduce or decline to file charges against members who provide material cooperation to the Inspector General.
MEMBERS & CONTRACTORS WILL BE HELD ACCOUNTABLE The IG office will file UBC charges against members, grievances and possible lawsuits against contractors and make criminal referrals to law enforcement when warranted.
ALL SUSPICIOUS ACTIVITY WILL BE AGGRESSIVELY PURSUED The IG office will aggressively pursue all indicators of fraud and fraudulent or suspicious activity against the union.
New York City District Council of Carpenters Office of the Inspector General Phone: 212-366-3354 Fax: 21.2-366-7363 Email: Ig@nycdcigoffice.org
NEW YORK CITY DISTRICT COUNCIL OF CARPENTERS OFFICE OF THE INSPECTOR GENERAL
Reports can be made anonymously or confidentially
To report these violations, call the NYC District Council of Carpenters Inspector General Hotline
(855) UIBC-TIPS
NEW YORK CITY DISTRICT COUNCIL OF CARPENTERS OFFICE OF THE INSPECTOR GENERAL Phone: 212.366.3354 Fax: 212.366.7363 email: ig@nycdclgoffice.org
DETER/DEFEND/PROTECT
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MEMBERS PROTECTING BENEFITS WITH TECHNOLOGY

Each member has the ability to act like a watchdog.You can check the amount of hours and total number of carpenters posted daily by the shop steward on the jobsite. INSTRUCTIONS FOR VIEWING YOUR WORK HOURS: Visit www.nycdistrictcouncil.com On the black navigation bar, hover your cursor over the "I.G's Office" text. From the dropdown list, click on the"Operation Watchdog"link. Once you are on the"Operation Watchdog" page,click on the letter to view information and instructions on how to view your jobsite's hours and carpenters. You can access the page to view your work hours by either scrolling to the bottom of the home page for the New York Clty District Council of Carpenters and clicking on the Operation Watchdog logo or,you can click on the"Watchdog Check Hours" link from the "I.G.'s Office" dropdown list and clicking on the Operation Watchdog logo on the page you are directed to. You can also access the viewing page directly by going to: https://memberhours.sdcconnect.comind/mmhrs_rpt.txt/input PLEASE DO YOUR PART TO HELP ERADICATE CORRUPTION To confidentially report any violation, please call...
(855) UBC-T1PS
NEW YORK CITY DISTRICT COUNCIL OF CARPENTERS OFFICE OF THE INSPECTOR GENERAL PHONE:212-3664354 FAX 21.2-3664363 EMAIL igebnycddgoffice.org

Seventh Interim Report Exhs. 1-10

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EXHIBIT 1

Current Job Start Processing Worisflow

Pilot Program Job Start Processing Workflow

Visit Date: 11:1New Bldg DRenovation Night Shift

Rep#1: Prevailing Wage IDOCS IP Plan

['Board Check OUrilori Ig Non-Union Mixed

Active IOComplete Upcoming / / /

OPLA-Building Trades OPLA-NYC Public

IDPLA-NYC 10Day Letter:

Visibility High (g Medium (Low Banner 10Yes IDNo.

Close Out Job

Dollar Amt: Floor: County: # of Floors:

ipenant Improv .School Heavy Highway Ejindustrial

GC Name* Specialty: Mint Agreernent NYC DoBit: Phone: Steward: Fax:

VVebsite: DIGrievance Date: DUnlon NYC DOB#: Phone* ~~~~-Onion

Contact. VVebsite: # of Carps

Grievance Date: Specialty* Date: NYC DOB# Phone* Website:

Specialty Date: Contact; NYC DOME.

DGrievance Date' Otinion NYC DOB# Phone Non-Union

Specialty: Date: Contact Website:

Grievance Date: pion . NYC DOB# Phone: Website:

'Specialty: Date' CoMilicf . :..,..:.

TOTAL NUMBER OF CARPENTER,CRAFT EMPLOYEES ON JOBSITE:

COMPANY LETTER HEAD

FAX REQUEST TO:(212)229-0316

DAILY REPORTING HOTLINE:(212)366-3331

Name (1P): UBC/S.S.# Contact #

Name (2P): UBC/S.S. # Contact #

FI: Phone: Start Time:

MEMBER INFORMATION Member ID Name Address

MEMBER INFORMATION :Member ID Name Address

*** ****** **********

0 Sup/Foreman: 111111111111111111111111.111111111. Steward Site Phone : Site Fax Site Email :

Office of Dennis Walsh The Review Officer 90 Civil 5'722(SDNY)

Directions: Make an entry describin your work day.

g the tasks you performed in each thirty-minute seg

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Office of Dennis Walsh The Review Officer 90 Civil 5722(SDNY)

Name: gate: //-/3-/3

cribing the tasks you performed in eac

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