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Policy and Procedure Recommendations (PPR) Portal

The New York City Department of Investigation’s Policy and Procedure Recommendations (PPR) Portal provides the public with a greater understanding of the recommendations DOI issues to City agencies and entities. PPRs are formal written recommendations to City agencies that correct policy, procedural and operational vulnerabilities identified through DOI investigations. These PPRs are part of DOI’s distinct approach to attacking corruption: through prevention, education, arrests, public reports, and reforms that tighten internal controls and prevent fraud and corruption from re-occurring. PPRs help improve the efficiency and effectiveness of City government, defend the City from fraudulent activity, and protect City workers and the public from conditions that could affect health and safety. This dataset pulls the most recent information from DOIs PPR portal, available on their website.

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DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
When an organization’s monthly invoice shows unusually high expenses or other aberrations, DFTA auditors should investigate further.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-01-01T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
When DFTA auditors identify suspicious or unusual transfers of City funds to accounts with which they are not familiar, they should obtain records sufficient to confirm that the transaction was related to a legitimate and appropriate business purpose.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-09-01T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA should provide its audit staff with appropriate training with respect to: (1) identifying indicia of fraud, and (2) DFTA’s own policies for escalating matters to supervisors or to DOI.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-05-30T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
Audit supervisors should not only review audit reports, but also backup documents collected during the audit to identify potentially significant conclusions.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
Audit supervisors should flag serious or recurring fiscal problems at an organization and ensure that DFTA conducts further evaluation of such issues.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
Audit supervisors should report serious or recurring fiscal problems at an organization to DOI, including, but not limited to, unexplained transfers of City funds to unidentified bank accounts.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
When DFTA has identified significant fiscal deficiencies at an organization, DFTA’s fiscal staff should review those findings with the organization’s Board of Directors.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA should immediately reevaluate its system for reviewing contractors’ monthly invoices.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA should collect at least some quantity of third-party vendor invoices and other appropriate backup to substantiate a contractor’s claims for reimbursement on at least a random basis.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-02-07T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA should conduct an appropriate number of tests to identify situations where vendor invoices do not support the DFTA contractor’s claim for reimbursement.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-06-01T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
Each month, DFTA should obtain specific information about consultants the organization has paid during that time period, including the names, qualifications, nature of the work performed, hours worked, and amounts paid.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-02-07T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA should design a more effective “escalation” process to address problems repeatedly identified by its auditors.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-02-07T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA should ensure that, when appropriate, a not-for-profit contractor completes a Corrective Action Plan, including specific steps to achieve specific goals by specific dates.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA should develop a system for enforcing the terms of their Corrective Action Plans and imposing appropriate consequences upon organizations that do not comply with DFTA fiscal practices.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-11-01T00:00:00.000
Agency Reported Status
Implementation in progress
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
The failure to comply with DFTA’s Corrective Action Plan should be documented in the organization’s VENDEX evaluation.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-11-01T00:00:00.000
Agency Reported Status
Implementation in progress
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA should designate a staff member to follow up on measures listed in any organizations’ Corrective Action Plans and monitor until they have been successfully implemented.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA should immediately reevaluate its system for auditing contractors to which it provides City funds.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-04-04T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
At a minimum, DFTA auditors should obtain a general ledger for the account to which the City funds were transferred.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
Failure to provide relevant records to a DFTA auditor should be reported immediately to a supervisor, who should escalate the issue internally as needed. If necessary, the non-cooperation should be reported to DOI and documented in the organization’s VENDEX evaluation.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA’s auditors should obtain documents sufficient to substantiate expenditures reported in monthly invoices. At a minimum, auditors should perform tests on the last month of the fiscal year – when the incentives to inflate costs may be at their highest – and one other random month.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
DFTA
Agency: DFTA • Date Issued: 2016-02-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DFTA
Date Issued
2016-02-03T00:00:00.000
Recommendation
DFTA auditors should be instructed to spend additional time at a site when they identify significant concerns during the course of their work.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-28T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Document fuel deliveries in both an onsite logbook and in a centralized agency database.
Acceptance Status
Accepted
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Maintain a centralized database that identifies all operational fuel tanks and all pertinent information (size, location, grade, type of gauge).
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-02-07T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Proactively monitor the daily fuel usage at each location to identify any irregularities.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-02-07T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Require that all deliveries be scheduled and supervised by a Building Representative.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-02-07T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Schedule fuel deliveries centrally by agency, not through the specific location, and automatically when quantity of fuel is below a pre-determined percentage capacity.
Acceptance Status
Accepted
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Train designated personnel regarding their responsibilities during the fuel delivery processes, including receipt and review of the vendor's fuel delivery ticket.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-02-07T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Install fuel level gauge devices at every location receiving deliveries of heating oil, which should be regularly tested and recalibrated.  Fuel Delivery Alarm should be regularly checked and maintained.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-02-07T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Record and track daily measurements of fuel levels using both the gauge and stick.
Acceptance Status
Accepted
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Distribute a fuel delivery checklist, including "red flags:" (i) confirming the fuel delivery vendor has a valid DCA inspection certificate; (ii) checking the seal on the meter to ensure it has not been tampered with; (iii) looking at the start-stop times on the delivery ticket; (iv) checking the width of the largest hose that DCA inspected, and/or only accepting deliveries from the largest hose that was inspected by DCA; and (v) confirming that the rate of flow from the fuel tank during the inspection matches the rate of flow at the delivery location (for example, if DCA measured 60 gallons/minute and the rate at the location is 120 gallons/minute, it can indicate that there is water mixed in with the product).
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-02-07T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Measure fuel amounts immediately before and after delivery, while the vendor is present, using gauge and stick.  Re-measure 30 minutes after delivery.  Record data and compare with vendor delivery ticket.
Acceptance Status
Accepted
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Reconcile the delivery amounts with the amounts ordered and invoiced.  Audit all payments, and check for any duplicate invoices.
Acceptance Status
Accepted
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Recommendation: Citywide PPR: Take random, but regular, fuel samples during deliveries.
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Take random, but regular, fuel samples during deliveries.
Acceptance Status
Accepted
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-02-08T00:00:00.000
Recommendation
Citywide PPR: Link the centralized fuel ordering and delivery database to the agency's Accounts Payable unit.  Fuel Shortage Reports should be submitted to a central monitoring unit, and "stop payments" should be automatically issued if a fuel shortage occurs.
Acceptance Status
Accepted
Implementation Status
No
BP Manhattan
Agency: BP Manhattan • Date Issued: 2016-02-08T00:00:00.000 • Acceptance Status: Accepted
Agency
BP Manhattan
Date Issued
2016-02-08T00:00:00.000
Recommendation
Communicate with the New York City Law Department regarding possession of the unclaimed cash.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-02-08T00:00:00.000
BP Manhattan
Agency: BP Manhattan • Date Issued: 2016-02-08T00:00:00.000 • Recommendation: Maintain a separate log book for visitors to the Map Room.
Agency
BP Manhattan
Date Issued
2016-02-08T00:00:00.000
Recommendation
Maintain a separate log book for visitors to the Map Room.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-02-08T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-02-09T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-02-09T00:00:00.000
Recommendation
NYCHA should ensure that Procurement staff is trained once a year on bid-rigging prevention.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-02-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-02-09T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-02-09T00:00:00.000
Recommendation
NYCHA should implement a method of tracking who downloads bid packages to ensure that all parties who download a bid package are notified of addenda to the bid posting.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-02-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-02-09T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-02-09T00:00:00.000
Recommendation
Staff who will be participating in reviewing proposals should be given a refresher as to RFP procedures and selection guidelines once a year.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-02-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-02-09T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-02-09T00:00:00.000
Recommendation
NYCHA should include a corruption prevention component to their RFP PowerPoint Presentation.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-02-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-02-09T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-02-09T00:00:00.000
Recommendation
In order to enable tracking and transparency, CPD should ensure that CPD’s Data Warehouse is updated monthly.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-02-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-02-09T00:00:00.000 • Acceptance Status: Rejected
Agency
NYCHA
Date Issued
2016-02-09T00:00:00.000
Recommendation
NYCHA should amend SP 060:88:2, page 7, Section IV(G)(2), to ensure that all vendors on an approved emergency vendor list have had previous contracts with NYCHA, and received positive evaluations.
Acceptance Status
Rejected
Implementation Status
No
NYCHA
Agency: NYCHA • Date Issued: 2016-02-11T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-02-11T00:00:00.000
Recommendation
NYCHA’s Community Programs and Development, in conjunction with NYCHA’s Procurement Department, revise the TPA guidebook so that the procurement of materials or supplies is consistent with NYCHA’s procurement procedures.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-02-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-02-11T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-02-11T00:00:00.000
Recommendation
Staff within RED be trained in NYCHA’s procurement rules so that they will be familiar with the procurement requirements when reviewing and approving TPA proposals to ensure compliance.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-02-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-02-11T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-02-11T00:00:00.000
Recommendation
NYCHA’s Procurement Department adheres to its own procurement policies when making purchases on behalf of RAs using TPA funds.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-02-17T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-02-11T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-02-11T00:00:00.000
Recommendation
NYCHA assist Vladeck RA with the distribution of the emergency go bags, taking into account the five-year shelf-life of some items in the go bags.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-02-17T00:00:00.000
DCAS
Agency: DCAS • Date Issued: 2016-02-22T00:00:00.000 • Acceptance Status: Accepted
Agency
DCAS
Date Issued
2016-02-22T00:00:00.000
Recommendation
Establishing a formal standard operating procedure (SOP) that would provide DCAS staff with a framework and best practices on gathering, editing, and organizing statistical data for the purpose of creating KPIs and other reports.  The SOP will also serve as training and reference material that will help to mitigate the risk of loss of knowledge that naturally occurs with turnover within agencies.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-01-19T00:00:00.000
DCAS
Agency: DCAS • Date Issued: 2016-02-22T00:00:00.000 • Acceptance Status: Accepted
Agency
DCAS
Date Issued
2016-02-22T00:00:00.000
Recommendation
DCAS should formalize its loan room application process.  DCAS should capture the name and number of attendees utilizing its loan rooms and have agencies provide a reason for requesting DCAS loan rooms.  DCAS can use check boxes to list typical reasons agencies may use its facilities (i.e. training, meeting, other ____).
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-01-19T00:00:00.000
DCAS
Agency: DCAS • Date Issued: 2016-02-22T00:00:00.000 • Acceptance Status: Accepted
Agency
DCAS
Date Issued
2016-02-22T00:00:00.000
Recommendation
DCAS should train staff within L&D that are not members of the operations group to assist with KPI reporting.  The trained staff would ensure that L&D has a sufficient staff with an understanding of the process in place and it would have a ready pool of staff outside of operations that can be used for independent randomized audits to ensure the data integrity of its reportable events.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-06-01T00:00:00.000
HPD
Agency: HPD • Date Issued: 2016-02-24T00:00:00.000 • Acceptance Status: Accepted
Agency
HPD
Date Issued
2016-02-24T00:00:00.000
Recommendation
Unless otherwise officially authorized, HPD employees cannot use HPD's name or likeness to obtain a privilege otherwise unavailable to that employee.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-05-18T00:00:00.000
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