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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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DCAS
Agency: DCAS • Date Issued: 2016-08-03T00:00:00.000 • Acceptance Status: Accepted
Agency
DCAS
Date Issued
2016-08-03T00:00:00.000
Recommendation
Send an email communication to the 164 exam applicants notifying them that their personal information may be have been comprised.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-07-20T00:00:00.000
PAO Kings
Agency: PAO Kings • Date Issued: 2016-08-04T00:00:00.000 • Recommendation: Create and disseminate a written time and leave policy.
Agency
PAO Kings
Date Issued
2016-08-04T00:00:00.000
Recommendation
Create and disseminate a written time and leave policy.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-08-12T00:00:00.000
PAO Kings
Agency: PAO Kings • Date Issued: 2016-08-04T00:00:00.000 • Acceptance Status: Accepted
Agency
PAO Kings
Date Issued
2016-08-04T00:00:00.000
Recommendation
Require in the policy that KCPA employees sign in and sign out by utilizing the CityTime WebClock and Time Punch features.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-09-06T00:00:00.000
PAO Kings
Agency: PAO Kings • Date Issued: 2016-08-04T00:00:00.000 • Acceptance Status: Accepted
Agency
PAO Kings
Date Issued
2016-08-04T00:00:00.000
Recommendation
Require in the policy that KCPA employees provide prior written notice directly to both the Deputy Public Administrator and the Public Administrator when they will be out of the office for any reason that will involve the later submission of a leave request.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-08-12T00:00:00.000
PAO Kings
Agency: PAO Kings • Date Issued: 2016-08-04T00:00:00.000 • Recommendation: Designate at least one supervisor to review and approve time and leave requests.
Agency
PAO Kings
Date Issued
2016-08-04T00:00:00.000
Recommendation
Designate at least one supervisor to review and approve time and leave requests.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-11-16T00:00:00.000
PAO Kings
Agency: PAO Kings • Date Issued: 2016-08-04T00:00:00.000 • Recommendation: Ensure that all leave requests are completed Approved Final in a timely fashion.
Agency
PAO Kings
Date Issued
2016-08-04T00:00:00.000
Recommendation
Ensure that all leave requests are completed Approved Final in a timely fashion.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-09-06T00:00:00.000
PAO Kings
Agency: PAO Kings • Date Issued: 2016-08-04T00:00:00.000 • Recommendation: Perform an audit of all KCPA employee timesheets and report the findings to DOI.
Agency
PAO Kings
Date Issued
2016-08-04T00:00:00.000
Recommendation
Perform an audit of all KCPA employee timesheets and report the findings to DOI.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-09-06T00:00:00.000
PAO Kings
Agency: PAO Kings • Date Issued: 2016-08-04T00:00:00.000 • Acceptance Status: Accepted
Agency
PAO Kings
Date Issued
2016-08-04T00:00:00.000
Recommendation
Communicate with relevant City agencies including FISA and DCAS to ensure that KCPA’s current and former employees’ leave balances are accurate.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-11-16T00:00:00.000
OCME
Agency: OCME • Date Issued: 2016-08-04T00:00:00.000 • Acceptance Status: Accepted
Agency
OCME
Date Issued
2016-08-04T00:00:00.000
Recommendation
OCME should implement mandatory equipment inventories at each of the City morgues on a regular basis.  The results of the inventories should be reported to the Director of Mortuary Services, similar to the daily Administrator on Duty and reconciliation reports, to ensure that equipment is being maintained properly and assist in quickly identifying when equipment goes missing or is misplaced.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-12-22T00:00:00.000
EDC
Agency: EDC • Date Issued: 2016-08-05T00:00:00.000 • Recommendation: Restrict security access to the mail room.
Agency
EDC
Date Issued
2016-08-05T00:00:00.000
Recommendation
Restrict security access to the mail room.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-09-28T00:00:00.000
EDC
Agency: EDC • Date Issued: 2016-08-05T00:00:00.000 • Recommendation: Install cameras in the mail room.
Agency
EDC
Date Issued
2016-08-05T00:00:00.000
Recommendation
Install cameras in the mail room.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-09-28T00:00:00.000
EDC
Agency: EDC • Date Issued: 2016-08-05T00:00:00.000 • Recommendation: Create log-ins to the postage meter.
Agency
EDC
Date Issued
2016-08-05T00:00:00.000
Recommendation
Create log-ins to the postage meter.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-09-28T00:00:00.000
EDC
Agency: EDC • Date Issued: 2016-08-05T00:00:00.000 • Acceptance Status: Accepted
Agency
EDC
Date Issued
2016-08-05T00:00:00.000
Recommendation
Create a formal policy that EDC staff may not use the postage meter to send personal mail or packages.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-09-28T00:00:00.000
DOC
Agency: DOC • Date Issued: 2016-08-10T00:00:00.000 • Acceptance Status: Accepted
Agency
DOC
Date Issued
2016-08-10T00:00:00.000
Recommendation
ENSURE THAT ITEMS ARE NOT STACKED ON TOP OF OTHER ITEMS WHEN BEING SCANNED AND THAT OTHER ITEMS AND DEBRIS ARE REMOVED FROM MAIL BINS BEFORE THE SCANNING PROCESS BEGINS.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2024-12-06T00:00:00.000
DOC
Agency: DOC • Date Issued: 2016-08-10T00:00:00.000 • Acceptance Status: Accepted
Agency
DOC
Date Issued
2016-08-10T00:00:00.000
Recommendation
OFFICERS ASSIGNED TO THE FRONT GATE RECEIVE ADDITIONAL TRAINING ABOUT SCREENING PROCEDURES, INCLUDING APPROPRIATE UTILIZATION OF THE LINE SCAN MACHINES.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-08-17T00:00:00.000
DOC
Agency: DOC • Date Issued: 2016-08-10T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
DOC
Date Issued
2016-08-10T00:00:00.000
Recommendation
DOC SHOULD EITHER REPAIR, OTHERWISE PROVIDE A LINE SCAN MACHINE IN THE MAIL ROOM SO THAT MAIL ROOM STAFF CAN PROPERLY SCREEN PARCELS COMING INTO THE JAIL.
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HRA
Agency: HRA • Date Issued: 2016-08-12T00:00:00.000 • Acceptance Status: Rejected
Agency
HRA
Date Issued
2016-08-12T00:00:00.000
Recommendation
Within the next three months HRA should audit a statistically significant sample of the fair hearing compliance matters handled by the Jamaica Job Center to ensure its fair hearing compliance calculations are accurate and HRA’s fair hearing compliance policies and procedures are being met. HRA should report its findings to DOI and implement any appropriate corrective actions. Depending on the outcome of this review, the Fair Hearing Administration should consider reviewing the fair hearing practices at all job centers.
Acceptance Status
Rejected
Implementation Status
No
HRA
Agency: HRA • Date Issued: 2016-08-12T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
HRA
Date Issued
2016-08-12T00:00:00.000
Recommendation
The fair hearing group at the Jamaica Job Center should undergo re-training in handling fair hearing compliance matters.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Date Implemented
2016-09-23T00:00:00.000
Agency Reported Status
Agency self-reported practice already in place
HRA
Agency: HRA • Date Issued: 2016-08-12T00:00:00.000 • Recommendation: HRA should outline a protocol for handling misrouted OAH fair hearing decisions.
Agency
HRA
Date Issued
2016-08-12T00:00:00.000
Recommendation
HRA should outline a protocol for handling misrouted OAH fair hearing decisions.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Date Implemented
2016-09-23T00:00:00.000
Agency Reported Status
Agency self-reported practice already in place
HRA
Agency: HRA • Date Issued: 2016-08-12T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
HRA
Date Issued
2016-08-12T00:00:00.000
Recommendation
HRA should ensure its fair hearing compliance policies are clearly conveyed to all groups handling fair hearing compliance matters.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Date Implemented
2016-09-23T00:00:00.000
Agency Reported Status
Agency self-reported practice already in place
HRA
Agency: HRA • Date Issued: 2016-08-12T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
HRA
Date Issued
2016-08-12T00:00:00.000
Recommendation
HRA should consider increasing the frequency of ongoing training for all employees responsible for conducting fair hearing compliance reviews.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Date Implemented
2016-09-23T00:00:00.000
Agency Reported Status
Agency self-reported practice already in place
NYCHA
Agency: NYCHA • Date Issued: 2016-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-08-16T00:00:00.000
Recommendation
NYCHA's Leased Housing Department should review its procedures to ensure that when NYCHA inspectors have reason to believe that a Section 8 tenant has moved out, and/or when Section 8 tenants fail to file AOI's, Leased Housing Department will promptly investigate.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-02-13T00:00:00.000
FDNY
Agency: FDNY • Date Issued: 2016-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
FDNY
Date Issued
2016-08-16T00:00:00.000
Recommendation
FDNY EMS should improve the functionality of the SCC forms that track skills learned during the course of internships.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-07-05T00:00:00.000
FDNY
Agency: FDNY • Date Issued: 2016-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
FDNY
Date Issued
2016-08-16T00:00:00.000
Recommendation
The FDNY should revise their procedure for submission and review of paramedic intern skills data and update EMSC OGP 104-10 with a viable procedure for analysis ofthe intern's skills performed and progress throughout their internship. This procedure should require an intern's mentor to submit SCC Forms up the chain of command instead of returning SCC Forms to interns after mentor review. The internship coordinator should verify that they have received each intern's skills sheet on a weekly basis, and follow up with mentors when their intern 's sheets have not been submitted . In the longer term, the FDNY should computerize their EMS Mentorship Program skills tracking system, eliminating the need for paper SCC Forms and allowing mentors to securely submit forms with a unique electronic signature.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-07-05T00:00:00.000
FDNY
Agency: FDNY • Date Issued: 2016-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
FDNY
Date Issued
2016-08-16T00:00:00.000
Recommendation
The FDNY should update the CAD system to restrict which users can change internship status and make internship status changes traceable. Carla Murphy of the FDNY has advised DOl that this is a simple system update.
Acceptance Status
Accepted
Implementation Status
No
Agency Reported Status
Pending budget approval
FDNY
Agency: FDNY • Date Issued: 2016-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
FDNY
Date Issued
2016-08-16T00:00:00.000
Recommendation
The FDNY should work with the New York City Department of Records and Information Services to develop a compliant document retention policy.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-07T00:00:00.000
FDNY
Agency: FDNY • Date Issued: 2016-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
FDNY
Date Issued
2016-08-16T00:00:00.000
Recommendation
The FDNY should standardize their procedures for review of the progress of paramedic internships and promotion of intern to senior medic positions. The EMS Mentorship Program should mandate a formal review of internship progress after a set period of time (we recommend 6 months), at which time promotion can be discussed and concerns can be raised if necessary. If the intern is not ready for promotion at the 6-month mark, due to insufficient skills performance or for any other reason, another review should be scheduled to take place in thirty or sixty days.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-07-05T00:00:00.000
FDNY
Agency: FDNY • Date Issued: 2016-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
FDNY
Date Issued
2016-08-16T00:00:00.000
Recommendation
The FDNY should assign an employee to spend at least 75% of their work time overseeing the EMS Mentorship program and implementation of these policy and procedure recommendations.
Acceptance Status
Accepted
Implementation Status
No
Agency Reported Status
Implementation in progress
FDNY
Agency: FDNY • Date Issued: 2016-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
FDNY
Date Issued
2016-08-16T00:00:00.000
Recommendation
The FDNY should instruct all paramedic intern mentors in the roles and responsibilities of interns and mentors. This instruction should be in the form of either a formal training or manual, and should cover the proper way to document an intern's completion of required skills. If the instruction is in the form of a manual, the mentor should sign an affidavit confirming that the mentor read and understood the manual, and the manual should advise mentors to contact the internship coordinator with related questions or 1ssues.
Acceptance Status
Accepted
Implementation Status
No
Agency Reported Status
Implementation in progress
ACS
Agency: ACS • Date Issued: 2016-08-18T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2016-08-18T00:00:00.000
Recommendation
Retrain relevant ACS staff members in the duties of their respectve positions emphasizing the importance of resident safety and the importance of preparing and submitting accurate incident reports. Also, document this retraining in each of their individual personnel file.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-12-24T00:00:00.000
ACS
Agency: ACS • Date Issued: 2016-08-18T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
ACS
Date Issued
2016-08-18T00:00:00.000
Recommendation
Implement a logbook for the classrooms and resource rooms that all ACS, DOE or other city personnel must indicate their appearance, activity and signature.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Date Implemented
2016-12-25T00:00:00.000
Agency Reported Status
Agency self-reported practice already in place
ACS
Agency: ACS • Date Issued: 2016-08-18T00:00:00.000 • Recommendation: Mandate that security glass windows remain unobstructed from view.
Agency
ACS
Date Issued
2016-08-18T00:00:00.000
Recommendation
Mandate that security glass windows remain unobstructed from view.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-12-26T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
For investigations of political activity, NYPD should use a formal mechanism for tracking investigative deadlines and should ensure that, where needed, extensions are approved prior to required deadlines.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
NYPD should use a formal case tracking mechanism that identifies when investigations advance to the next investigative level.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
For the use of confidential informants and undercover officers in investigations of political activity, NYPD should use a formal mechanism for tracking expiration deadlines and ensure that extensions are approved prior to the expiration of an authorization.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Rejected
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
For requests to extend a Preliminary Inquiry, NYPD should ensure that Investigative Statements capture fact-specific reasons why further investigative steps are warranted.
Acceptance Status
Rejected
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
For authorizations and renewals of investigations, NYPD should create controls to ensure that authorizations to renew or extend investigations properly capture the date, signature, and approval of the authorizing officials.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Rejected
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
NYPD’s Human Source Authorization Form should require members of NYPD’s Intelligence Bureau to specify the role of the undercover officer or confidential informant.
Acceptance Status
Rejected
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Rejected
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
NYPD should specify, when extending use of an undercover or confidential informant, the reason for the extension.
Acceptance Status
Rejected
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
NYPD should create controls to ensure that authorizations to use or extend the use of human sources properly capture the date, signature, and approval of the appropriate supervisor.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
NYPD’s Human Source Authorization Form should include the number of the extension request and the date of the last extension.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Rejected
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
NYPD should consolidate its policies and procedures for investigations involving political activity into a unified handbook.
Acceptance Status
Rejected
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2016-08-23T00:00:00.000 • Acceptance Status: Rejected
Agency
NYPD
Date Issued
2016-08-23T00:00:00.000
Recommendation
NYPD should develop written guidelines concerning informational standards for Preliminary Inquiries, Full Investigations, and Terrorism Enterprise Investigations.
Acceptance Status
Rejected
Implementation Status
No
NYCHA
Agency: NYCHA • Date Issued: 2016-08-25T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-08-25T00:00:00.000
Recommendation
NYCHA increase the Disaster Recovery Department's staff in order to facilitate in-depth review of payment requisitions for accuracy and compliance with contract terms.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-09-12T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-08-25T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-08-25T00:00:00.000
Recommendation
The increased staffing should include individuals who are knowledgeable and experienced in reviewing payment requisitions.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-09-12T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2016-08-25T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2016-08-25T00:00:00.000
Recommendation
NYCHA's Audit Department conduct review of CB&I contract as it relates to payment requisitions, which includes staffing and reimbursable expenses, as well as amendments to the contract amount, in order to ascertain prior discrepancies.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-09-12T00:00:00.000
DCAS
Agency: DCAS • Date Issued: 2016-09-08T00:00:00.000 • Acceptance Status: Accepted
Agency
DCAS
Date Issued
2016-09-08T00:00:00.000
Recommendation
DCAS notify DOI (RAC 18) whenever it determines that a City employee submitted fraudulent documents during the pre-employment application process (Reason Code 4G) via DOI's complaint fax number at (212) 825-2504.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-12-08T00:00:00.000
DPR
Agency: DPR • Date Issued: 2016-09-08T00:00:00.000 • Acceptance Status: Accepted
Agency
DPR
Date Issued
2016-09-08T00:00:00.000
Recommendation
Properly secure employees' p-card information and prohibit disclosure to anyone besides the cardholder.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-10-04T00:00:00.000
DPR
Agency: DPR • Date Issued: 2016-09-08T00:00:00.000 • Acceptance Status: Accepted
Agency
DPR
Date Issued
2016-09-08T00:00:00.000
Recommendation
Establish active enforcement of disciplinary action if a p-card is used improperly.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2016-10-04T00:00:00.000
HRO
Agency: HRO • Date Issued: 2016-09-15T00:00:00.000 • Acceptance Status: Accepted
Agency
HRO
Date Issued
2016-09-15T00:00:00.000
Recommendation
Subcontractors should only perform work activities pertaining to their trade. If work outside of their scope is required, they should immediately communicate that to the General Contractor who will coordinate next steps.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-01-24T00:00:00.000
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