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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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Showing 50 real records
DOT
Agency: DOT • Date Issued: 2017-06-09T00:00:00.000 • Recommendation: DOT will enact a policy limiting the scope of DOT imitated referrals.
Agency
DOT
Date Issued
2017-06-09T00:00:00.000
Recommendation
DOT will enact a policy limiting the scope of DOT imitated referrals.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-22T00:00:00.000
DOT
Agency: DOT • Date Issued: 2017-06-09T00:00:00.000 • Acceptance Status: Accepted
Agency
DOT
Date Issued
2017-06-09T00:00:00.000
Recommendation
DOT will enact a policy reminding its employees with knowledge of DOI as the source of such referrals to maintain confidentiality of same.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-22T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-12T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-12T00:00:00.000
Recommendation
ACS should draft and circulate a memorandum reminding all staff of the requirement to adhere to the case practices and procedures as laid out the Division of Child Protection Casework Practice Requirements Manual.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-09-05T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-12T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
ACS
Date Issued
2017-06-12T00:00:00.000
Recommendation
ACS should ensure that all staff who are tasked with transferring a child out of state, conduct the final home assessment.
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
ACS
Agency: ACS • Date Issued: 2017-06-12T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
ACS
Date Issued
2017-06-12T00:00:00.000
Recommendation
ACS should implement changes in policy or procedure that will prevent workers from falsifying CNNX notes regarding their casework.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Agency Reported Status
Agency self-reported practice already in place
ACS
Agency: ACS • Date Issued: 2017-06-12T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-12T00:00:00.000
Recommendation
ACS should conduct an audit of relevant staff's cases to see if there is more falsification and if more falsification is found, ACS is to ensure the safety of the children affected and refer back to DOI for possible additional charges.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-09-05T00:00:00.000
H+H
Agency: H+H • Date Issued: 2017-06-12T00:00:00.000 • Acceptance Status: Accepted
Agency
H+H
Date Issued
2017-06-12T00:00:00.000
Recommendation
Renewed training for morgue technicians regarding the prohibition on accepting tips from funeral homes (or anyone else), which is against both H+H policies and City Charter Ch. 68, Sec. 2604(b)(13).
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-07-12T00:00:00.000
H+H
Agency: H+H • Date Issued: 2017-06-12T00:00:00.000 • Acceptance Status: Accepted
Agency
H+H
Date Issued
2017-06-12T00:00:00.000
Recommendation
Training for the entire staff on the necessity of pathologists being present in the room for the entirety of all autopsies, as per Harlem Hospital Morgue operating procedures.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-07-12T00:00:00.000
H+H
Agency: H+H • Date Issued: 2017-06-12T00:00:00.000 • Acceptance Status: Accepted
Agency
H+H
Date Issued
2017-06-12T00:00:00.000
Recommendation
The ME's Office must always be contacted in the case of suspicious deaths or when the decedent had a prior gunshot or other wound that could lead to reclassification of the case as a Homicide. While this is the responsibility of the attending physician, if there are no notes in the patient chart indicating the ME was called, the pathologist on duty should make that call. The ME number and the name of the person contacted at the ME's Office should be added into the pathology report.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-07-12T00:00:00.000
H+H
Agency: H+H • Date Issued: 2017-06-12T00:00:00.000 • Recommendation: Coordinate with the ME's Office regarding Autopsy 17-08.
Agency
H+H
Date Issued
2017-06-12T00:00:00.000
Recommendation
Coordinate with the ME's Office regarding Autopsy 17-08.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-07-12T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should draft a specific written policy that sets forth limitations on the use of agency credit cards.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should require any agency credit card user to review the rules and to sign an acknowledgment of those rules annually.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should require any agency credit card user to notify a supervisor prior to any purchase of goods or services with an agency credit card.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should designate personnel independent of credit card users to review and approve credit card purchases.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should institute regular monthly reviews of credit card use including review of card statements and supporting documentation as set forth in the Comptroller’s directives and memoranda.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Recommendation: RCDA should prohibit the use of credit cards for cash advances.
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should prohibit the use of credit cards for cash advances.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should ensure the creation, maintenance, and retention of appropriate supporting documentation and logs of transactions.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should limit credit card usage to agency staff approved by the Chief Administrative Officer and maintain a log of approved users
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should establish purchase thresholds and corresponding approval standards for purchases over $250, for purchases in excess of $1,000, and for purchases in excess of $2,500.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should draft a specific written policy concerning compliance with FMS rules and policies.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should require that two distinct approvers authorize payments to vendors through the FMS system.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should prohibit FMS users from sharing personal FMS passwords with others or from taking FMS actions on behalf of others.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should require that FMS users sign an acknowledgment of FMS rules and policies annually.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should ensure segregation of duties by prohibiting employees who place orders for goods and services from preparing vouchers for the requested item, submitting or approving requests for payments for the requested item, or receiving the requested item.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should conduct monthly reviews to determine that agency transactions have been allocated to appropriate budget object codes; the reviewers should be separate from any personnel who allocated the codes.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should conduct monthly and annual reviews of total credit card expenses and compare with the amount of total monthly and annual expenditures from prior years; the reviewers should be separate from any personnel who made credit card purchases.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should review agency spending by budget code and compare with prior years in connection with the annual budget submission process in order to determine, among other things, any significant increases or decreases in spending under particular codes; the reviewers should be separate from any personnel who made purchases.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should provide all finance and procurement personnel with regular training in the relevant rules and procedures of the Comptroller and other City agencies such as the Financial Information Services Agency.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
In addition to any audits that may be conducted by the Comptroller, RCDA should conduct annual internal audits of agency finances, including transactions posted to Special Expenditures (Object Code 460).
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
DA Richmond
Agency: DA Richmond • Date Issued: 2017-06-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DA Richmond
Date Issued
2017-06-13T00:00:00.000
Recommendation
RCDA should also ensure that an independent entity conducts an audit of agency finances within the next 12 months.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-06-06T00:00:00.000
H+H
Agency: H+H • Date Issued: 2017-06-15T00:00:00.000 • Acceptance Status: Accepted
Agency
H+H
Date Issued
2017-06-15T00:00:00.000
Recommendation
Negotiate extensions for all expired parking concession agreements or initiate a new competitive bid process.
Acceptance Status
Accepted
Implementation Status
No
OCME
Agency: OCME • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
OCME
Date Issued
2017-06-19T00:00:00.000
Recommendation
Establish and utilize a labeling and inventory system for all OCME property, including, but not limited to, equipment, tools, and supplies, regardless of item value.
Acceptance Status
Accepted
Implementation Status
No
Agency Reported Status
Implementation in progress
OCME
Agency: OCME • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
OCME
Date Issued
2017-06-19T00:00:00.000
Recommendation
Perform a complete inventory of OCME tools and supplies annually, with results of each inventory provided to whomever is tasked with tracking OCME inventory.
Acceptance Status
Accepted
Implementation Status
No
Agency Reported Status
Implementation in progress
OCME
Agency: OCME • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
OCME
Date Issued
2017-06-19T00:00:00.000
Recommendation
Install working, properly maintained, CCTV cameras at the 18th Street location that are properly trained on all angles of containers where tools are stored, particularly the front of the containers where tools may be removed.
Acceptance Status
Accepted
Implementation Status
No
Agency Reported Status
Implementation in progress
OCME
Agency: OCME • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
OCME
Date Issued
2017-06-19T00:00:00.000
Recommendation
Regularly review footage from the CCTV cameras at the 18th Street location monthly.
Acceptance Status
Accepted
Implementation Status
No
OCME
Agency: OCME • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
OCME
Date Issued
2017-06-19T00:00:00.000
Recommendation
Maintain consistent style locks for all storage containers and change the combination lock/codes for each at all OCME locations once annually.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-09-08T00:00:00.000
OCME
Agency: OCME • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
OCME
Date Issued
2017-06-19T00:00:00.000
Recommendation
Ensure that all OCME employees are checking in and out via a system of traceable access for the 18th Street location.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-09-08T00:00:00.000
OCME
Agency: OCME • Date Issued: 2017-06-19T00:00:00.000 • Recommendation: Invite DOI to conduct Anti-Corruption Lectures for all OCME staff.
Agency
OCME
Date Issued
2017-06-19T00:00:00.000
Recommendation
Invite DOI to conduct Anti-Corruption Lectures for all OCME staff.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-09-08T00:00:00.000
OCME
Agency: OCME • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
OCME
Date Issued
2017-06-19T00:00:00.000
Recommendation
Adopt the Fast Fleet System of vehicle reservation and usage, currently in effect at the Department of Citywide Administrative Services (DCAS). Fast Fleet requires that employees have unique IDs and access cards, in order to use the online reservation, to gain access to any DCAS vehicle. Use of Fast Fleet, or a similar system, will ensure that OCME can determine with certainty who has reserved and used a specific vehicle on a specific date and time, as well as secure the vehicle’s GPS information for each use.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-09-08T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2017-06-19T00:00:00.000
Recommendation
The ESD should consider a system of inventorying its vehicles, perhaps on a daily basis, to ensure that every vehicle is accounted for and is on the premises at times when it is not being deployed for NYCHA business.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-11-14T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-19T00:00:00.000
Recommendation
Overarching Recommendation: Based on the totality of DOI's investigation of the instant case as well as prior DOI investigations, DOI recommends that ACS re-evaluate its foster care case-by-case oversight processes and develop new oversight mechanisms as needed to meet its mandate to ensure the safety, permanency, and well-being of each child in its care and custody.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-22T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-19T00:00:00.000
Recommendation
ACS should immediately and thereafter routinely ensure that all relevant provider agency staff have completed mandated reporter training within the last 2 years and, for those who have not, require and ensure that they complete this training within 60 days.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-12-28T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-19T00:00:00.000
Recommendation
ACS' Division of Policy, Planning and Measurement (DPPM) should prepare an audit tool and audit a sample of foster care cases at each provider agency to assess compliance with the mandated reporter law, ACS policy, and contractual obligations to report to ACS injuries to children in foster care, and should implement corrective actions and recommend disciplinary actions as necessary. These targeted audits would be conducted in addition to the Scorecard process and the results incorporated.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-22T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-19T00:00:00.000
Recommendation
ACS should review, revise, and reissue its Delegation and Centralization of Case Management Case Work Requirements policy specifically regarding the requirement for provider agencies to report death, accidents, incidents and injuries to ACS regardless of whether abuse or neglect is suspected, in order to clarify that this policy applies to children on trial discharge status.
Acceptance Status
Accepted
Implementation Status
Pending
ACS
Agency: ACS • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-19T00:00:00.000
Recommendation
ACS should audit a sample of cases assigned to December to assess her compliance with ACS policies and case practice requirements and implement corrective actions as necessary.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2019-01-14T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-19T00:00:00.000
Recommendation
If ACS does not currently require foster care provider agencies to ensure that children receive a medical evaluation and review any findings prior to final discharging children from foster care, ACS should develop and implement such a policy.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-12-28T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-19T00:00:00.000
Recommendation
ACS should revisit, revise if needed, and require refresher training on screening, assessing, and addressing Domestic Violence for all ACS and provider agency caseworkers and case planners.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-12-28T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-19T00:00:00.000
Recommendation
ACS should audit agency's compliance with ACS' Domestic Violence policy and implement corrective actions as needed; ACS should conduct such an audit annually thereafter.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-03-22T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2017-06-19T00:00:00.000
Recommendation
ACS should revise and reissue its existing Domestic Violence Policy to include a mandatory screening prior to trial discharge from foster care and it should ensure that the new policy is circulated and discussed with all relevant staff.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2017-12-28T00:00:00.000
ACS
Agency: ACS • Date Issued: 2017-06-19T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
ACS
Date Issued
2017-06-19T00:00:00.000
Recommendation
ACS should review agency's foster care supervisory practices through a random sample case review and interviews with supervisors as well as foster care administrators to determine impediments and challenges to effective supervision, and develop, implement, and monitor corrective actions as needed.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Date Implemented
2017-12-28T00:00:00.000
Agency Reported Status
Agency self-reported practice already in place
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