Policy and Procedure Recommendations (PPR) Portal

NYCHA

2015-11-06T00:00:00.000

All CPD staff members who deal with contracts/contractors have a fiduciary duty to NYCHA to work on behalf of NYCHA's best interest in regard to interpreting contract documents. NYCHA staff members should be honest and fair in their dealings with contractors, but in no circumstances should a NYCHA staff member interpret contract documents in order to benefit contractors.

Accepted

Yes

2017-02-13T00:00:00.000

NYCHA

2015-11-10T00:00:00.000

CPD must include a provision that "asbuilt drawings" are submitted with every final payment of a contract. Asbuilt drawings identify exactly where the work was undertaken by the contractor and will allow CPD, and other third parties, to check that work was completed properly.

Practice Already in Place

Practice Already in Place

Agency self-reported practice already in place

DOHMH

2015-11-13T00:00:00.000

DOI recommends that employees of DOHMH's complaint unit be instructed to follow existing DOHMH policies that include determining the modality of care for any complaint alleging an unpermitted child care, identifying dates and times of observed operation and determining a specific address, including an apartment number or similar space designation when applicable, for all complaints. This will allow DOHMH to ensure that the complaints are assigned to the appropriate staff members and that the staff members can be focused in evaluating their assigned complaints.

Accepted

Yes

2015-11-14T00:00:00.000

DOHMH

2015-11-13T00:00:00.000

DOI also recommends that DOHMH develop a policy for the complaint unit to conduct internet research for all complaints, in addition to the regulatory database research the employees are already instructed to perform, and to instruct all complaint unity staff on this policy. This will allow DOHMH to be aware of possibly-relevant information, such as specific operating locations or hours that had not been previously shared with DOHMH.

Accepted

Yes

2015-11-14T00:00:00.000

DOHMH

2015-11-13T00:00:00.000

DOI recommends that DOHMH create a unit of specially-trained DOHMH inspectors or investigators whose primary responsibility is to respond to complaints. Assigning complaints to such employees will allow those employees to dedicate more time to adjudicating each complaint and providing these employees with targeted training in child care investigations will allow for each complaint to be more completely investigated before its ultimate disposition.

Accepted

Yes

2015-11-14T00:00:00.000

DOHMH

2015-11-13T00:00:00.000

DOI recommends that DOHMH establish written policies that: any complaint of an unpermitted child care cannot be closed as unsubstantiated until all reasonable attempts have been made to access the location; any employee who is assigned a complaint of an unpermitted child care be provided with standard recommended investigative steps that the employee should take to evaluate the complaint, as a starting point to evaluate the complaint. Some examples of appropriate recommended investigative steps are: to canvas the outside of a facility that is the subject of an unpermitted child care complaint to identify if there are outward signs of child care activities prior to attempting to enter the subject premises; to canvas the nearby area for playgrounds or park areas where child care activities may be occurring outside of the subject premises; to conduct surveillance of the premises during a weekday to observe whether parents or caretakers are dropping off and picking up children; and, if the location is residential, making all reasonable attempts to gain access to the building to inspect it floor by floor.

Accepted

Yes

2015-11-14T00:00:00.000

DOHMH

2015-11-13T00:00:00.000

DOI recommends that any employees who suspect that their inspection is being obstructed be instructed to seek the assistance of a police officer from the local police precinct. An example of obstruction that could benefit from police assistance is if an inspector suspects that there is an operating unpermitted child care facility, but the inspector is not being granted access to the premises.

Accepted

Yes

2015-11-14T00:00:00.000

DOHMH

2015-11-13T00:00:00.000

DOI recommends that DOHMH alter or clarify its child care regulations to require that permitted child care centers—Group Day Cares under the New York City Health Code—be required to post a copy of their current DOHMH child care permit in a publicly visible location, such as a storefront window and on their websites.

Accepted

Yes

2015-11-14T00:00:00.000

DOHMH

2015-11-13T00:00:00.000

DOI also recommends that DOHMH work with the New York State Office of Children and Family Services (“OCFS”) to alter or clarify its child care regulations to require that permitted child care centers—Family and Group Family Day Cares—be required to post their permits in a publicly visible location, such as an apartment vestibule, as well as on their websites.. These recommendations will allow parents of children attending child care to easily identify that the child care facility has a permit, and will allow passers-by to identify potentially unpermitted child care facilities.

Accepted

Yes

2015-11-14T00:00:00.000

DOHMH

2015-11-13T00:00:00.000

DOI recommends that DOHMH explore the possibility of a widespread public awareness campaign, such as an advertising campaign, to inform the public about child care regulations and the dangers of unpermitted child care. This campaign could include examples of legitimate child care permits, to facilitate their recognition at a child care facility.

Accepted

Yes

2015-11-14T00:00:00.000

DOHMH

2015-11-13T00:00:00.000

DOI recommends that DOHMH work with OCFS to expand the reach of NYC Child Care Connect. Currently, the NYC Child Care Connect Service provides e-mail and/or text updates on topics about Group Day Cares, Summer Camps, and School Based Child Cares—all of which are licensed by the Bureau of Child Care. Providing updates to parents of children in Family and Group Family Day Cares, which are licensed by OCFS, could significantly expand the service’s reach throughout the City.

Accepted

Yes

2020-02-18T00:00:00.000

DOHMH

2015-11-13T00:00:00.000

This investigation has revealed that current OCFS regulations permit the mixing of children from different age groups and the serving of meals cooked in a residential kitchen at permitted residential facilities. Therefore, DOI recommends that DOHMH work with OCFS to better inform parents of the range of childcare options available in New York City, including residential programs that allow age-mixing, and to work with current unpermitted child care providers to assist them in becoming permitted while continuing to provide the services that made them appealing to parents.

Accepted

Yes

2015-11-14T00:00:00.000

BOE

2015-11-17T00:00:00.000

BOE should adopt a written policy that sets forth the types of BOE meetings and activities that are eligible for Commissioners to receive per diem compensation.

Accepted

Yes

2016-06-08T00:00:00.000

BOE

2015-11-17T00:00:00.000

BOE’s General Counsel’s Office or BOE’s designated legal representative should support the written policy with a formal legal opinion regarding the meetings and activities eligible for per diem compensation.

Accepted

Yes

2015-12-08T00:00:00.000

BOE

2015-11-17T00:00:00.000

In addition to addressing eligibility for compensation, the BOE should address in its opinion whether the attendance of meetings by Commissioners in the prior December may apply toward the annual $30,000 compensation cap in the following calendar year.

Accepted

Yes

2015-12-08T00:00:00.000

BOE

2015-11-17T00:00:00.000

BOE should require any current and future Commissioners to sign a form acknowledging their receipt and understanding of the rules regarding compensation to be set forth in the recommended written policy.

Accepted

Yes

2016-06-08T00:00:00.000

BOE

2015-11-17T00:00:00.000

BOE should ensure that each Commissioner signs the Commissioner’s Weekly Meeting sheets before the agency approves per diem compensation. As noted above, DOI found a number of unsigned Commissioner’s Weekly Meeting sheets during its review.

Accepted

Yes

2016-05-10T00:00:00.000

BOE

2015-11-17T00:00:00.000

BOE should indicate on the Commissioner’s Weekly Meeting sheets that Commissioners are submitting the document for purposes of receiving per diem compensation.

Accepted

Yes

2016-06-08T00:00:00.000

BOE

2015-11-17T00:00:00.000

Similar to affirmations made by City employees when submitting their timesheets, the BOE should include an affirmation above the space on the Commissioner’s Weekly Meeting sheets where Commissions are required to sign their names. The affirmation should provide the following: “I hereby certify that the date(s) or time(s) shown correctly represents my attendance and activities for the week indicated.”

Rejected

No

BOE

2015-11-17T00:00:00.000

BOE should designated personnel to review the Commissioner’s Weekly Meeting sheets to ensure that they include the requisite information.

Accepted

Yes

2016-05-10T00:00:00.000

BOE

2015-11-17T00:00:00.000

BOE should alter the format of Commissioner’s Weekly Meeting sheets to require that Commissioners include additional information regarding their attendance at meetings, including the attendees at those meetings.

Accepted

Yes

2016-05-10T00:00:00.000

DOB

2015-11-17T00:00:00.000

Re-inspect buildings where facade violations were issued every three months until the situation has been remedied;

Accepted

Yes

2023-11-30T00:00:00.000

DOB

2015-11-17T00:00:00.000

Inspect all building facades within 180 days of the filing of reports citing unsafe conditions. If necessary, erect sidewalk shedding immediately;

Accepted

Yes

2023-11-30T00:00:00.000

DOB

2015-11-17T00:00:00.000

Conduct inspections of all buildings that do not file facade inspection reports within 180 days of the date they are due. Take steps to install a sidewalk shed if necessary;

Accepted

Yes

2023-11-30T00:00:00.000

DOB

2015-11-17T00:00:00.000

Conduct an additional random audit of 25% of all facade report filings. This would include, but not be limited to, buildings that file initial reports of safe conditions or safe with a repair and maintenance program;

Accepted

Yes

2023-11-30T00:00:00.000

DOB

2015-11-17T00:00:00.000

Create a written protocol within the Facades Unit for accepting facade complaints, focusing on tracking all incoming complaints, immediately inspecting such conditions, and logging the disposition;

Practice Already in Place

Practice Already in Place

Agency self-reported practice already in place

DOB

2015-11-17T00:00:00.000

Require building owners to file additional certifications along with Local Law 11 filings. The owners should attest to hiring the QEWI and certify that an inspection was conducted, the owner has reviewed that report, and the owner is aware of his or her obligation to maintain the facade in a safe condition pursuant to N.Y. City Admin. Code § 28-301.1; and

Practice Already in Place

Practice Already in Place

Agency self-reported practice already in place

DOB

2015-11-17T00:00:00.000

Require that, if a QEWI reports an unsafe condition, he or she should be mandated to detail in their report what conditions are unsafe, why they believe them to be unsafe, how imminent the danger is and what, if any, protection is immediately needed for the public.

Practice Already in Place

Practice Already in Place

Agency self-reported practice already in place

DOB

2015-11-17T00:00:00.000

Create a database that tracks the history of each building required to file a facade inspection report under Local Law 11 so reports can be pulled and data analysis conducted;

Practice Already in Place

Practice Already in Place

Agency self-reported practice already in place

DOB

2015-11-17T00:00:00.000

Allow BIS to have the capability to upload facade inspection reports and/or allow QEWIs to upload all of the information contained in the report to BIS so that the information is easily accessible to the public;

Practice Already in Place

Practice Already in Place

Agency self-reported practice already in place

DOB

2015-11-17T00:00:00.000

Implement a system that alerts DOB’s Facades Unit when time periods, as set forth in Local Law 11, have passed and not been complied with by individual buildings;

Practice Already in Place

Practice Already in Place

Agency self-reported practice already in place

HRA

2015-11-17T00:00:00.000

HRA should distribute HRA Procedure 2015-08-OPA – Renting Living Space to Cash Assistance Participants to all its employees: Within certain limitations, an employee of HRA may rent to cash assistance participants receiving rental assistance as tenants. HRA employees renting real property that they own or manage to rental assistance recipients must comply with the guidelines set out in Opinion No. 666 issued by the former Board of Ethics, as modified by Advisory Opinions No. 95-29 and 98-13 by the Conflict of Interest Board (COIB). HRA employees may only rent property that they own or manage to rental assistance recipients under the following conditions: 1. The residential unit or units under the ownership or control of the HRA employees renting any part thereof to a rental assistance recipient shall consist of no more than one building of modest size. Buildings of no more than eight (8) units are deemed to be of modest size. If the employee’s building contains more than eight (8) units, an individual ruling will need to be obtained from COIB. 2. The rental unit must have the requisite certification(s), e.g., a certificate of occupancy, that ensure compliance with the applicable building codes and rules. 3. The employee does not work in a location servicing the participant or the employee is completely insulated from that participant’s case.

Accepted

Yes

2015-07-28T00:00:00.000

OCME

2015-11-19T00:00:00.000

DOI recommends that OCME should take steps to ensure that mortuary technicians release bodies only to licensed funeral directors whose information is in Unified Victim Identification Systems (UVIS).

Accepted

Yes

2016-05-19T00:00:00.000

OCME

2015-11-19T00:00:00.000

DOI also recommends that OCME should modify UVIS to prevent anyone other than a licensed funeral director from being entered into the system in order to sign out a body.

Accepted

Yes

2016-05-19T00:00:00.000

SCA

2015-11-23T00:00:00.000

Various recommendations to improve tracking of the checking account as well as invest the money maintained in the account.

Accepted

Yes

2015-12-15T00:00:00.000

DPR

2015-11-23T00:00:00.000

Tailor the effort that goes into the design process with the utility and type of structure that is going to be constructed. Consideration should be given to pursuing the elimination of the Public Design Commission’s role in approving design plans for the construction of comfort stations and other cookie cutter types of projects.

N/A

N/A

Not applicable

DPR

2015-11-23T00:00:00.000

Consider implementing a standard design plan for all comfort stations in City parks. Design standardization will streamline the construction process and make it easier to obtain parts and perform repairs.

Accepted

Yes

2016-02-23T00:00:00.000

DPR

2015-11-23T00:00:00.000

Conduct competency checks to ensure general contractors have the requisite experience and capability to complete construction projects according to schedule.  Consideration should be given to having the Chief of Architecture and Engineering and the respective Borough Construction Team Leader involved in the process.

Accepted

Yes

2016-02-23T00:00:00.000

DPR

2015-11-23T00:00:00.000

Establish a protocol for responding to RFIs to eliminate guesswork and ?bench time? on the part of contractors who are attempting to complete projects on time and within budget. RFIs should be reviewed and assigned a priority to resolve design discrepancies that have the potential to cause inordinate delays.

Accepted

Yes

2016-02-23T00:00:00.000

DPR

2015-11-23T00:00:00.000

Streamline the change order process.  A predictable and reasonable time frame is needed to ensure that project progress is not hampered by unnecessary delays after change orders are submitted for review and approval.   Consideration should be given to establishing different levels of review based on dollar amount.

Accepted

Yes

2019-09-30T00:00:00.000

DPR

2015-11-23T00:00:00.000

Conduct pre-construction surveys of project sites to detect the presence of contaminated soil.  Project staff should be diligent in identifying adverse conditions that have the potential for impacting the construction schedule.

Accepted

Yes

2016-02-23T00:00:00.000

DPR

2015-11-23T00:00:00.000

Set target dates for the completion of specific construction tasks and establish a monetary reward system for general contractors who finish significant tasks ahead of schedule.

Accepted

Yes

2016-02-23T00:00:00.000

DPR

2015-11-23T00:00:00.000

Vary the days and times that a resident engineer visits a job site to reduce the predictability of when onsite verifications will occur.  Unannounced field visits will ensure that a foreman is onsite supervising the required number of skilled workers and

Accepted

Yes

2016-02-23T00:00:00.000

DPR

2015-11-23T00:00:00.000

Reserve Commissioner Determinations for resolving bona fide disagreements between contractors and Capital Projects Division staff.   The process should not be used to replace the issuance of a change order especially when design flaws go unrecognized and

Accepted

Yes

2016-02-23T00:00:00.000

HRA

2015-12-01T00:00:00.000

HRA should continue to produce a monthly report to DOI of benefit issuances which do not originate from the POS or PAM systems.

Practice Already in Place

Practice Already in Place

2016-01-01T00:00:00.000

Agency self-reported practice already in place

HRA

2015-12-01T00:00:00.000

Within the next three months, HRA should create a staffing plan to expand HRA’s Office of Program Accountability (OPA) staff to partner with DOI using data analytics to identify potential fraud for further investigation.

Accepted

Yes

2016-01-01T00:00:00.000

HRA

2015-12-01T00:00:00.000

HRA should provide DOI with a monthly report of HRA-initiated issuances defined as Supplement of Previous Month greater than $800.

Practice Already in Place

Practice Already in Place

2016-01-01T00:00:00.000

Agency self-reported practice already in place

HRA

2015-12-01T00:00:00.000

HRA should produce a monthly report to DOI of repeated issuances of Immediate Needs grants in on-going cases.

Practice Already in Place

Practice Already in Place

2016-01-01T00:00:00.000

Agency self-reported practice already in place

HRA

2015-12-01T00:00:00.000

HRA should produce a monthly report to DOI of ongoing SNAP cases which exhibit multiple Expedited SNAP benefit issuances.

Practice Already in Place

Practice Already in Place

2016-01-01T00:00:00.000

Agency self-reported practice already in place

HRA

2015-12-01T00:00:00.000

HRA should produce a monthly report to DOI of issuances occurring on public assistance cases that have closed.

Practice Already in Place

Practice Already in Place

2016-01-01T00:00:00.000

Agency self-reported practice already in place