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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
Marshals
Agency: Marshals • Date Issued: 2018-06-26T00:00:00.000 • Acceptance Status: Accepted
Agency
Marshals
Date Issued
2018-06-26T00:00:00.000
Recommendation
All payments received by your office are to be counted immediately, by two individuals, in the presence of each other, prior to being placed and maintained in a secure safe or locked area until it is removed for deposit.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-07-19T00:00:00.000
Marshals
Agency: Marshals • Date Issued: 2018-06-26T00:00:00.000 • Acceptance Status: Accepted
Agency
Marshals
Date Issued
2018-06-26T00:00:00.000
Recommendation
No one employee will have full control of an entire case file containing invoices, receipts and cash payments at the same time.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-07-19T00:00:00.000
Marshals
Agency: Marshals • Date Issued: 2018-06-26T00:00:00.000 • Acceptance Status: Accepted
Agency
Marshals
Date Issued
2018-06-26T00:00:00.000
Recommendation
Daily reconciliations between daily receipts, trust receipt journals and bank deposit slips are to be made no later than 24 hours from the time payments have arrived at your office.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-07-19T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-06-27T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-06-27T00:00:00.000
Recommendation
Define “temporary,” “sporadic,” and “seasonal” employment income, in the NYCHA management manual and/or elsewhere, to clarify for NYCHA staff when such income should be considered in calculating a tenant’s rent. Once such definitions are created, appropriate staff should be alerted or trained accordingly.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2023-04-06T00:00:00.000
DCA
Agency: DCA • Date Issued: 2018-06-29T00:00:00.000 • Acceptance Status: Accepted
Agency
DCA
Date Issued
2018-06-29T00:00:00.000
Recommendation
DOI recommends that DCA require inspectors to record, within the pedicab inspection checklist, that they either personally placed the registration sticker on the pedicab or witnessed the operator do so.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-10-29T00:00:00.000
FDNY
Agency: FDNY • Date Issued: 2018-06-29T00:00:00.000 • Acceptance Status: Accepted
Agency
FDNY
Date Issued
2018-06-29T00:00:00.000
Recommendation
Audit the physicians assigned to the WTC Monitoring Clinics to ensure the accuracy of CityTime records.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2024-06-24T00:00:00.000
ACS
Agency: ACS • Date Issued: 2018-07-10T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2018-07-10T00:00:00.000
Recommendation
ACS should reissue and reinforce ACS policy regarding the obligation to promptly document all case activity in CNNX as required by ACS policy.
Acceptance Status
Accepted
Implementation Status
No
Agency Reported Status
Alternate measures implemented
ACS
Agency: ACS • Date Issued: 2018-07-10T00:00:00.000 • Recommendation: ACS should reissue and reinforce ACS policy and procedures to CASACs.
Agency
ACS
Date Issued
2018-07-10T00:00:00.000
Recommendation
ACS should reissue and reinforce ACS policy and procedures to CASACs.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2019-01-01T00:00:00.000
ACS
Agency: ACS • Date Issued: 2018-07-18T00:00:00.000 • Acceptance Status: Accepted
Agency
ACS
Date Issued
2018-07-18T00:00:00.000
Recommendation
ACS should reissue and reinforce ACS' policies and procedures concerning the proper handling of contraband to all staff assigned to juvenile detention facilities.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2019-08-22T00:00:00.000
ACS
Agency: ACS • Date Issued: 2018-07-18T00:00:00.000 • Recommendation: ACS should develop a chain of custody form in order to track contraband.
Agency
ACS
Date Issued
2018-07-18T00:00:00.000
Recommendation
ACS should develop a chain of custody form in order to track contraband.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2019-08-22T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-07-19T00:00:00.000 • Acceptance Status: Practice Already in Place
Agency
NYCHA
Date Issued
2018-07-19T00:00:00.000
Recommendation
NYCHA should designate qualified personnel to conduct quality assurance inspections of LAC work sites to ensure the contractors are in contract compliance.
Acceptance Status
Practice Already in Place
Implementation Status
Practice Already in Place
Agency Reported Status
Agency self-reported practice already in place
NYCHA
Agency: NYCHA • Date Issued: 2018-07-31T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-07-31T00:00:00.000
Recommendation
Employees who are part of a hiring pool should disclose any type of family relationship with the potential candidate to the Human Resources Department and recuse themselves from the hiring process.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-03-19T00:00:00.000
TLC
Agency: TLC • Date Issued: 2018-08-09T00:00:00.000 • Acceptance Status: Accepted
Agency
TLC
Date Issued
2018-08-09T00:00:00.000
Recommendation
Coordinate with technology vendors to eliminate the option for drivers to enter custom toll charges.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2019-08-20T00:00:00.000
TLC
Agency: TLC • Date Issued: 2018-08-09T00:00:00.000 • Acceptance Status: Accepted
Agency
TLC
Date Issued
2018-08-09T00:00:00.000
Recommendation
Coordinate with technology vendors to strengthen the passenger alert system for toll charges by notifying the passengers of the toll cost and the specific toll bridge or tunnel crossed.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2019-08-20T00:00:00.000
DOF
Agency: DOF • Date Issued: 2018-08-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DOF
Date Issued
2018-08-13T00:00:00.000
Recommendation
DOF should require respondents to pay the full amount listed on a violation. DOF should apply SBWOs only to any interest or penalty accrued on top of the violation amount. In the alternative, to the extent that any SBWO must exist, DOF should lower the amount further to reduce any incentive by brokers to exploit their clients through the SBWO.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2025-02-25T00:00:00.000
DOF
Agency: DOF • Date Issued: 2018-08-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DOF
Date Issued
2018-08-13T00:00:00.000
Recommendation
Prior to allowing a broker to represent any respondent at a CAU hearing, CAU personnel should confirm that the respondent vehicle has been enrolled in the Commercial Fleet Program and that a corresponding broker authorization form, identifying the respective client and broker, has been submitted to DOF.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2021-01-22T00:00:00.000
Agency Reported Status
Partially implemented
DOF
Agency: DOF • Date Issued: 2018-08-13T00:00:00.000 • Acceptance Status: Accepted
Agency
DOF
Date Issued
2018-08-13T00:00:00.000
Recommendation
DOF should assign a unique identification number to each CAU broker or representative. This ID number should be linked to each broker’s client. This ID number would better allow DOF IT to populate and track parking violations hearing data following the adjudication of a summons at CAU.
Acceptance Status
Accepted
Implementation Status
No
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Suspend the submission of any additional New York City Department of Housing Preservation & Development (“HPD”) exemption applications based on abatements until NYCHA has verified that lead abatement work is being conducted in compliance with federal, state, and local regulations.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-03-20T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Conduct X-Ray Fluorescence (“XRF”) testing and/or dust swipe analysis on all NYCHA apartments that received HPD exemptions based on lead abatement to ensure that abatement work successfully eliminated lead hazards.
Acceptance Status
Accepted
Implementation Status
Yes
Agency Reported Status
Alternate measures implemented
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Immediately conduct XRF testing on all NYCHA apartments in which NYCHA conducted abatement or remediation work as a result of a notification by the Department of Health and Mental Hygiene (“DOHMH”), either via a Commissioner’s Order to Abate, Commissioner’s Order to Remediate, or any other form of notification from the DOHMH regarding lead-based paint inspection or abatement.
Acceptance Status
Accepted
Implementation Status
Yes
Agency Reported Status
Alternate measures implemented
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Create a mechanism for tracking staff certification and licenses, to ensure that no employee conducts or supervises lead abatement work without proper certification.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-11-05T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Ensure that NYCHA complies with the U.S. Environmental Protection Agency (“EPA”) Lead Renovation, Repair and Painting Rule, found at 40 C.F.R. § 745. All renovators must be trained in the use of lead safe work practices, the renovators must be certified, the providers of renovation training must be accredited, and renovators must follow specific work practice standards.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-09-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Create a mechanism to ensure that each lead abatement job conducted at NYCHA is supervised by an EPA certified lead supervisor, as required by 40 C.F.R. § 745.227.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2023-04-06T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Increase the number of EPA certified lead supervisors to meet the needs of NYCHA’s lead abatement program and reduce reliance on the repeated use of interim certificates.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2023-04-06T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Consider the creation of an in-house title for EPA certified lead abatement supervisors acting in that capacity.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2020-03-23T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Submit all EPA Notification of Lead-Based Paint Abatement Activities forms[5] through the online Central Data Exchange (“CDX”) system, instead of relying on facsimile transmissions. Assign a NYCHA employee to register and submit the forms through this platform.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2023-04-06T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Accurately input the name of the certified lead supervisor who will be acting as the certified lead supervisor for the relevant job on all “EPA Notification of Lead-Based Paint Abatement Activity” forms. Re-submit revised forms if there are any changes to the original form.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2023-04-06T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-08-16T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-16T00:00:00.000
Recommendation
Ensure that GM-3758 as well as NYCHA’s Occupant Protection Plans and abatement reports comply with 40 C.F.R. § 745.227 regarding lead-based paint abatement protocols for lead abatement work conducted in occupied apartments.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2023-04-06T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-08-24T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-08-24T00:00:00.000
Recommendation
All skilled trades employees should undergo periodic retraining in the use of handheld devices and their software.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2024-03-14T00:00:00.000
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
Require Managing Agents, Boards of Directors, and Corporation Attorneys to immediately report potential fraud, corruption, and/or abuse to the Inspector General
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
Require Managing Agents, Boards of Directors, and Corporation Attorneys to immediately bring illegal occupancies to HPD for eviction proceedings
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
HPD should maintain electronic copies of the income affidavits after the five year retention period
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
HPD should establish a course of action when addressing Mitchell-Lama violations that may pose a conflict of interest on the Board of Directors
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Recommendation: Implement an Investigation Clause for all Boards of Directors
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
Implement an Investigation Clause for all Boards of Directors
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
Require documentation from shareholders who intend to be absent for more than 183 days, due to special circumstances
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
Require personal appearance before HPD of any applicant relinquishing rights to an apartment, along with the person(s) moving in. All parties must present government issued photo identification, and sign a notarized affidavit.
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
Require managing agents to include the contractor’s invoice when issuing equity refunds to shareholders (existing or outgoing
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Recommendation: Require the submission of certified vacancy reports
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
Require the submission of certified vacancy reports
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Recommendation: Require written explanations from Dayton for all returned application requests
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
Require written explanations from Dayton for all returned application requests
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
Require HPD to conduct inspections on apartments that have been vacant for one year or more
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
HPD
Agency: HPD • Date Issued: 2018-09-05T00:00:00.000 • Acceptance Status: DOI Withdrawn/Suspended
Agency
HPD
Date Issued
2018-09-05T00:00:00.000
Recommendation
Require managing agents to submit copies of breakdown letters for all equity payments
Acceptance Status
DOI Withdrawn/Suspended
Implementation Status
DOI Withdrawn/Suspended
NYCHA
Agency: NYCHA • Date Issued: 2018-09-11T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-09-11T00:00:00.000
Recommendation
Ensure that NYCHA employees are duly provided with adequate supplies necessary to conduct lead-safe RRP work practices, including HEPA vacuums and filters, respiratory protection and other Personal Protective Equipment, polyethylene sheeting and bags, string mops, buckets and wringers, detergent cleaner, spray bottles, duct tape, utility knives, paper towels, and rags.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-09-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-09-11T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-09-11T00:00:00.000
Recommendation
Create a mechanism to track inventory of RFP equipment and materials at each development.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-09-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-09-11T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-09-11T00:00:00.000
Recommendation
Before renovation, repair, or painting commences, distribute EPA’s “Renovate Right” pamphlet to tenants, and obtain confirmation of receipt from the tenant. Ensure that records are retained for three years.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-09-13T00:00:00.000
NYCHA
Agency: NYCHA • Date Issued: 2018-09-11T00:00:00.000 • Acceptance Status: Rejected
Agency
NYCHA
Date Issued
2018-09-11T00:00:00.000
Recommendation
Offer free blood lead level testing for 2,150 employees who have been identified by NYCHA to be working in job titles that may disturb lead-based paint.
Acceptance Status
Rejected
Implementation Status
No
NYCHA
Agency: NYCHA • Date Issued: 2018-09-11T00:00:00.000 • Acceptance Status: Accepted
Agency
NYCHA
Date Issued
2018-09-11T00:00:00.000
Recommendation
Require Property Managers, Superintendents, and Assistant Superintendents to acknowledge in writing that they have received NYCHA directives concerning RRP and that they are responsible for the implementation of these directives at their developments.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2023-04-13T00:00:00.000
HPD
Agency: HPD • Date Issued: 2018-09-19T00:00:00.000 • Acceptance Status: Accepted
Agency
HPD
Date Issued
2018-09-19T00:00:00.000
Recommendation
HPD should send a letter to the Tenants Associations who received the list that clarifies that HPD is not endorsing any particular company to be hired by the tenants associations
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-10-05T00:00:00.000
HPD
Agency: HPD • Date Issued: 2018-09-19T00:00:00.000 • Acceptance Status: Accepted
Agency
HPD
Date Issued
2018-09-19T00:00:00.000
Recommendation
HPD should discontinue the practice of sending lists of boiler companies to Tenants Associations
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-10-05T00:00:00.000
HPD
Agency: HPD • Date Issued: 2018-09-19T00:00:00.000 • Acceptance Status: Accepted
Agency
HPD
Date Issued
2018-09-19T00:00:00.000
Recommendation
HPD should review the boiler companies in HPD's TIL portfolio to verify that contractors have the appropriate licenses for the work they are performing.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-10-05T00:00:00.000
Agency Reported Status
Agency chose not to respond
DCAS
Agency: DCAS • Date Issued: 2018-09-20T00:00:00.000 • Acceptance Status: Accepted
Agency
DCAS
Date Issued
2018-09-20T00:00:00.000
Recommendation
As a matter of public safety, derogatory information rendered through motor vehicle background checks should be a priority consideration in the employee selection process. If a City agency or office decides to hire a candidate for a City position requiring a valid driver’s license, despite the candidate having a derogatory driving record, a hiring justification should be memorialized in the employee’s personnel file. The DCAS Investigations Unit currently conducts DMV background checks for all permanent appointments to civil service titles that require a driver’s license; the hiring agency should conduct this check for all other applicants fulfilling titles in a non-permanent role.
Acceptance Status
Accepted
Implementation Status
Yes
Date Implemented
2018-10-29T00:00:00.000
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