January 26, 2023
WHEREAS, Section 8(a) of the City Charter confers responsibility upon the Mayor for the “effectiveness and integrity of city government operations” and provides for the Mayor to “establish and maintain such policies and procedures as are necessary and appropriate to accomplish this responsibility...”; and
WHEREAS, Section 8(f) of the Charter authorizes the Mayor, “by executive order, at any time, [to] create or abolish bureaus, divisions or positions within the executive office of the mayor as he or she may deem necessary to fulfill mayoral duties”; and
WHEREAS, this Administration is dedicated to improving efficiency and accountability in government operations and to maintaining an effective internal control environment, including policies, procedures, and actions to enable the assessment and management of the internal and external risks associated with achieving the Administration’s objectives; and
WHEREAS, ongoing activity monitoring in the course of normal operations, including independent monitoring conducted by internal and external audit and oversight bodies, is an integral component of an effective internal control environment; and
WHEREAS, an effective internal control environment includes policies, procedures, and specific actions to ensure that the findings and recommendations of audits and other internal and external reviews are promptly addressed and resolved;
NOW, THEREFORE, by the power vested in me as Mayor of the City of New York, it is hereby ordered:
Section 1. There shall be a Mayor’s Office of Risk Management and Compliance, which shall be headed by a Director, appointed by the Mayor. The Director of the Mayor’s Office of Risk Management and Compliance shall report to the Chief Counsel to the Mayor and City Hall. The Director shall be responsible for:
a. Developing and recommending strategies, policies, procedures, and techniques to assess and manage financial, operational, and reputational risks proactively in City agencies and offices;
b.Assessing risk and recommending measures to address risks identified in specific agency and City programs, activities, and issues, working with the relevant City officials and agencies to implement approved recommendations;
c. Assisting agencies in developing effective internal control environments, including by recommending policies, procedures, and actions to assess and manage risks that bear the potential for significant monetary loss or risk to achieving agency objectives;
d. Establishing standards for the conduct of internal audits by City agencies and the communication of findings to other agencies, including the Department of Investigation, as needed;
e. Serving as or designating a liaison between City agencies and external audit entities conducting performance audits of those agencies or one or more of their programs or activities, including but not limited to all such audits, special reports, and other engagements performed by the Office of the New York City Comptroller or the Office of the New York State Comptroller;
f. Tracking agency implementation of audit recommendations;
g. Providing guidance to and coordinating with the Mayor’s Office of Municipal Services assessment; and
h. Performing such other duties as may be directed by the Mayor.
§ 2. There shall be a Mayor’s Office of Municipal Services Assessment, which shall be headed by a Director, appointed by the Mayor. The Director of the Mayor’s Office of Municipal Services Assessment shall report to the Deputy Mayor for Public Safety or to a designee of the Deputy Mayor for Public Safety. In consultation with the Director of the Mayor’s Office of Risk Management and Compliance, the Director of the Mayor’s Office of Municipal Services Assessment shall be responsible for:
a. Assisting City agencies to monitor and assess the delivery of services to the public and other key stakeholders to ensure that services are delivered in a professional, equitable, efficient, and effective manner;
b. Identifying deficiencies in the delivery of services through observations, analysis, audits, and other means;
c. Working with City agencies to improve their responses to community complaints;
d. Recommending corrective actions to improve City agencies’ performance and the delivery of services;
e. Monitoring and reporting on implementation and effectiveness of corrective actions taken to improve agency performance and the delivery of services; and
f. Performing such other duties as may be directed by the Mayor.
§ 3. Each City agency shall work with and provide full cooperation and assistance to the Mayor’s Office of Risk Management and Compliance and the Mayor’s Office of Municipal Assessment, including providing necessary data and other information upon request.
§ 4. Each City agency shall designate a liaison who shall coordinate with the Director of the Mayor’s Office of Risk Management and Compliance and the Mayor’s Office of Municipal Assessment to carry out the provisions of this Order.
§ 5. Executive Order No. 48, dated February 22, 2000, subdivisions a, b, c, and g are hereby revoked. Subdivisions d, e, and f remain in full force and effect.
§ 6. This Order shall take effect immediately.