Audit Report On Department Of Records And Information Services Procurement, Payroll, And Personnel Practices

Audit Report In Brief

This audit determined whether the Department of Records and Information Services (DORIS) complied with applicable Procurement Policy Board (PPB) Rules, Comptroller’s Directives, and City Leave and Personnel regulations governing procurement, payroll, and personnel practices.

DORIS was created by Local Law 49 of 1977, which consolidated under one agency the responsibility for the organization and retrieval of records, reports, and archival documents produced by past and present governments.  During Fiscal Year 2009, DORIS expended $5.9 million, consisting of $2.9 million for Other Than Personal Service (OTPS) expenditures covering the procurement of supplies, materials, and services necessary to support agency operations and $3.0 million for Personal Service (PS) costs.  For Fiscal Year 2010, DORIS’s adopted budget totaled $5 million, consisting of $2.9 million for OTPS costs and $2.1 million for PS costs.

Audit Finding and Conclusion

The audit determined that DORIS’s procurement, payroll, and personnel practices generally complied with key provisions of applicable City rules and regulations, including Comptroller’s Directives, PPB rules, and City leave regulations.  However, DORIS did not adequately monitor employees’ excessive annual leave balances to ensure that they were appropriately addressed.

Audit Recommendation

To address this weakness the audit recommended that DORIS should periodically review employee annual leave balances and ensure that employees submit plans to use excess leave time for approval or that waivers are granted allowing them to carry over excess annual leave time.  If waivers are not granted, DORIS should ensure that employee excess annual leave is converted to sick leave.