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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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DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency employees involved in procurement, including those serving on procurement evaluation committees, should complete certifications on an annual basis that set forth their agreements and understandings regarding: b. prohibitions on disclosing confidential information, including confidential internal engineering estimates and cost estimates, specifications and other information in the invitation for bids (IFB’s) before publication under 9 R.C.N.Y. § 3-02(e)(1)(ii)(A)
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency employees involved in procurement, including those serving on procurement evaluation committees, should complete certifications on an annual basis that set forth their agreements and understandings regarding: c. prohibitions on accepting gratuities and/or kickbacks
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency employees involved in procurement, including those serving on procurement evaluation committees, should complete certifications on an annual basis that set forth their agreements and understandings regarding: d. prohibitions on maintaining financial interests in any firm involved in an agency procurement, whether such interests are maintained by such City employees or their immediate family members
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency employees involved in procurement, including those serving on procurement evaluation committees, should complete certifications on an annual basis that set forth their agreements and understandings regarding: e. prohibitions on inquiring about job opportunities for family members with firms that do business with the City
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency employees involved in procurement, including those serving on procurement evaluation committees, should complete certifications on an annual basis that set forth their agreements and understandings regarding: f. prohibitions on the acceptance of gifts or other things of value from persons or entities doing business with the City
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency employees involved in procurement, including those serving on procurement evaluation committees, should complete certifications on an annual basis that set forth their agreements and understandings regarding: g. mandated reporting of procurement related misconduct to DOI consistent with all City employees’ obligations under Mayor’s Executive Order 16
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency employees involved in procurement, including those serving on procurement evaluation committees, should complete certifications on an annual basis that set forth their agreements and understandings regarding: h. the potential imposition of sanctions for the violation of same, including reprimands, suspension and termination of employment.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency should prohibit the invitation of contractors or consultants to agency events. In the alternative, your agency should make clear that any such invitations should be accepted and paid for only if the invitee attends the event.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency should prohibit the practice of allowing contractors to provide meals at meetings with the agency and, in turn, billing the City.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency contractors should complete certifications on an annual basis that set forth their agreements and understandings regarding: a. prohibitions on soliciting confidential information, including confidential internal engineering estimates and cost estimates, specifications and other information in the request for proposals (RFP’s) before publication under 9 R.C.N.Y. § 3-03(d)(1)(i)
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency contractors should complete certifications on an annual basis that set forth their agreements and understandings regarding: b. prohibitions on soliciting confidential information, including confidential internal engineering estimates and cost estimates, specifications and other information in the invitation for bids (IFB’s) before publication under 9 R.C.N.Y. § 3-02(e)(1)(ii)(A)
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency contractors should complete certifications on an annual basis that set forth their agreements and understandings regarding: c. prohibitions on offering gratuities and/or kickbacks
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency contractors should complete certifications on an annual basis that set forth their agreements and understandings regarding: d. prohibitions on soliciting business for an agency procurement with firms which have financial interests maintained by agency employees and/or their immediate family members
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency contractors should complete certifications on an annual basis that set forth their agreements and understandings regarding: e. mandated reporting of such procurement related misconduct to DOI consistent with the obligations under Mayor’s Executive Order 16 for firms who do business with the City
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency contractors should complete certifications on an annual basis that set forth their agreements and understandings regarding: f. the potential imposition of sanctions for the violation of same, including reprimands, the imposition of independent monitors, contract termination, or bans on doing business with the City
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency employees should disclose on an annual basis immediate family members who do business with the City.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency should limit its use of consultants to necessary technical services, ensure those needs cannot be met by agency employees, and provide adequate justification of the need for consultants.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency should ensure adequate training for procurement staff on confidentiality and conflicts of interest.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency should enact a zero-tolerance rule on the acceptance of gifts or other things of value from persons or entities doing business with the City.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency should prohibit employees from inquiring on behalf of family members about jobs with firms that do business with the City.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency should limit the physical access (i.e., swipe card) and virtual access (i.e., agency databases) of its consultants to those areas and needs germane to the scope of their duties as consultants.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency employee and contractor certifications should be filed with the agency and with DOI.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency should consider increased use of best value RFPs where the price proposals of bidders are a factor in the evaluation.
Acceptance Status
Pending
Implementation Status
Pending
DOC
Agency: DOC • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Pending
Agency
DOC
Date Issued
2018-03-27T00:00:00.000
Recommendation
Agency should adopt and enforce rules to protect the security of contract proposals, bid documents, evaluation committee rating sheets, and the identity of evaluation committee members.
Acceptance Status
Pending
Implementation Status
Pending
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
NYPD should immediately increase the staffing level in SVD’s adult sex crime units to meet the minimum investigative capacity required by an evidence-backed and nationally-accepted staffing analysis model. To appropriately handle a caseload as seen in 2017, that model would require an additional 21 detectives in Manhattan SVS, 11 detectives in Bronx SVS, 16 detectives in Queens SVS, 21 detectives in Brooklyn SVS, and four detectives to in Staten Island SVS.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2021-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Rejected
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
In order to prevent a recurrence of understaffing, NYPD should adopt an evidence-based investigative staffing model that relies on actual investigative hours available and projected caseload (not caseload alone) and continuously monitor SVD caseloads and
Acceptance Status
Rejected
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Rejected
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
Since staffing deficiencies are not unique to adult sex crime units alone, NYPD should use the staffing model adopted in Recommendation 2 to appropriately staff the other SVD sub-units.
Acceptance Status
Rejected
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Rejected
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
NYPD should immediately take steps to improve SVD’s ability to recruit and retain experienced detectives by making SVD a “graded” division. Once completed, NYPD should end the practice of transferring officers to SVD without extensive investigative experience.
Acceptance Status
Rejected
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
NYPD should increase in-house training opportunities for SVD staff in order to better prepare them for the rigors and unique nature of SVD work. The depth and rigor of this training should be equivalent to the training provided to other specialized units
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2025-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
To the extent that it is inevitable that patrol officers may be the first to respond to sexual assaults in exigent circumstances, NYPD should expand existing training, both in-service and at the academy, to include trauma-informed care and best practices
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2019-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
NYPD should formally end the “triaging” process for sex crimes—instead, all sex crimes should be investigated and enhanced by SVD detectives, including patrol arrests for “domestic rape” and “acquaintance rape.” The implementation of this recommendation will have staffing implications that are not accounted for in Recommendation 1 above, and NYPD should, therefore, include appropriate staffing increases in implementing this recommendation.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2019-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
NYPD should find new physical locations and/or completely renovate all five SVD adult sex crime unit locations. These new physical locations should be easily accessible from public transportation and built out in the model of the Children’s Advocacy Centers now operational in New York City.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-04-09T00:00:00.000
Agency Reported Status
Partially implemented
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
NYPD should invest in a new case management system for SVD that would replace ECMS. The new system should have the highest security protocols and limit access to the case detective and their immediate supervisors within SVD. In addition, any new system should have advanced caseload, staff management, and data analysis capabilities.
Acceptance Status
Accepted
Implementation Status
No
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
NYPD should take steps to safeguard the identifying information of sex crimes victims, including conducting a review of the various reports, forms, and memoranda generated during the course of a sex crimes investigation that unnecessarily require the victim’s name, address, or other contact information.
Acceptance Status
Accepted
Implementation Status
Yes
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Recommendation: NYPD should review the use of CompStat as the oversight mechanism for SVD.
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
NYPD should review the use of CompStat as the oversight mechanism for SVD.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2019-04-01T00:00:00.000
NYPD
Agency: NYPD • Date Issued: 2018-03-27T00:00:00.000 • Acceptance Status: Accepted
Agency
NYPD
Date Issued
2018-03-27T00:00:00.000
Recommendation
NYPD should increase and publicize existing efforts to encourage victims of sex crimes to come forward and report these crimes to law enforcement. At the same time, NYPD should take new steps to advise policy makers and the public that success in this area will result in an apparent rise in the “index crime numbers” for sexual assault cases, even if the “true” rate of sex crimes remains unchanged.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2019-04-01T00:00:00.000
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that, in addition to the general written policies that are currently in existence (ex: NYC Comptrollers Directives and Procurement Policy Board rules), an agency specific written policy on P-card and/or credit card usage should be established.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Agency Reported Status
Agency self-reported practice already in place
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that agency purchasing staff sign a form acknowledging having reviewed the agency specific P-card/credit card policy.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Agency Reported Status
Agency self-reported practice already in place
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that agency staff using P-cards and/or credit cards obtain written supervisor approval prior to any credit card purchases.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Agency Reported Status
Agency self-reported practice already in place
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that the agency designate separate personnel from P-card and/or credit card users to approve purchases as set forth in Comptroller’s directives and memoranda.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Agency Reported Status
Agency self-reported practice already in place
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that the agency institute regular monthly reviews of P-card and/or credit card usage and the respective backup documentation as set forth in Comptroller’s directives and memoranda.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Agency Reported Status
Agency self-reported practice already in place
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that the agency prohibit cash advances on P-cards and/or credit cards.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Agency Reported Status
Agency self-reported practice already in place
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Accepted
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that, in addition to the general written policies that are currently in existence (ex: FMS Accounting Policies and Procedures Manual, Comptrollers Directives and Memorandum), an agency specific written policy concerning compliance with FMS rules should be established.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-08-06T00:00:00.000
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Accepted
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that agency FMS users at the agency sign an acknowledgment of the agency-specific FMS policy.
Acceptance Status
Accepted
Implementation Status
No
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Accepted
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends separation of the duties of submitting and approving payments in FMS between different personnel.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-02-07T00:00:00.000
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Accepted
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends prohibiting FMS users from sharing personal FMS passwords with others and from taking FMS actions on behalf of others.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-08-06T00:00:00.000
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Accepted
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends regular reviews to determine that agency transactions have been allocated to appropriate budget object codes.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-08-06T00:00:00.000
IBO
Agency: IBO • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Accepted
Agency
IBO
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that the reviewers be separate personnel from those who assigned codes to particular transactions.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-08-06T00:00:00.000
DOF
Agency: DOF • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
DOF
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that, in addition to the general written policies that are currently in existence (ex: NYC Comptrollers Directives and Procurement Policy Board rules), an agency specific written policy on P-card and/or credit card usage should be established.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Agency Reported Status
Agency self-reported practice already in place
DOF
Agency: DOF • Date Issued: 2018-03-28T00:00:00.000 • Acceptance Status: Accepted
Agency
DOF
Date Issued
2018-03-28T00:00:00.000
Recommendation
Citywide PPR: DOI recommends that agency purchasing staff sign a form acknowledging having reviewed the agency specific P-card/credit card policy.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-05-11T00:00:00.000
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