Objective

Our audit objective was to determine whether the Office for People With Developmental Disabilities (OPWDD) has established adequate controls to effectively monitor and ensure accountability over transportation expenses and services. The audit covers OPWDD transportation expenses (outside New York City) for the period April 1, 2016 through March 31, 2019 and subsequent documentation and information obtained through March 13, 2020.

About the Program

OPWDD is responsible for coordinating services for nearly 140,000 New Yorkers with developmental disabilities. OPWDD also regulates, certifies, sponsors, and oversees approximately 650 community-based service providers. Transportation costs and services can represent significant agency expenses, and also affect the safety of persons in the care of the State. Outside New York City, nine Developmental Disabilities Services Offices (DDSOs) are responsible for administrating the transportation of clients from OPWDD-run residences to service providers or for other purposes. Between April 1, 2016 and March 31, 2019, OPWDD’s transportation expenditures, outside New York City, totaled approximately $104.2 million.

Key Findings

• We found several areas where OPWDD could improve accountability over transportation expenses and services. For example, OPWDD could take additional steps to monitor employee driving records and require training or counseling for employees with poor driving records to ensure the safety of individuals it transports. When notified that an employee’s license has been revoked or suspended, OPWDD has processes in place that, if properly followed, reasonably ensure the employee is no longer allowed to drive OPWDD vehicles. However, OPWDD does not have controls in place to educate or improve driving skills for employees with frequent driver license interruptions or serious violations (e.g., speeding, disobeying traffic devices, driving while intoxicated). OPWDD could also improve controls to ensure vehicle recalls are repaired timely. We found that 219 vehicles had 235 unresolved (open) recall notices. Most (201) had been open for over 9 months. Some of the recalls were of a serious nature, and increase the risk of an accident and/or injury (e.g., faulty anti-lock brakes and faulty seatbelts).
• OPWDD has issued limited guidance to DDSOs for monitoring repair and maintenance costs for its fleet and does not monitor these costs centrally. Some DDSOs have individually established their own practices to procure and monitor repairs and maintenance of their vehicles while others do not actively monitor these costs at all. Due to the varying processes, certain DDSOs have better assurance they are getting the best pricing for services than others do.

Key Recommendations

• Develop and implement procedures to improve employee driving practices, such as offering training or counseling, to ensure safety of clients, passengers, and the public.
• Develop processes to track recalls and vehicle inspections and provide guidance to DDSOs on their responsibilities to maintain vehicles, including ensuring recalls are repaired timely and vehicle inspections are valid.
• Develop procedures to monitor repair and maintenance costs agency-wide.