THE CITY OF NEW YORK OFFICE OF THE COMPTROLLER BUREAU OF MANAGEMENT AUDIT

AUDIT REPORT ON DEPARTMENT OF TRANSPORTATION EFFORTS TO ADDRESS SIDEWALK DEFECT COMPLAINTS
MJ08-054A
February 24, 2009

AUDIT REPORT IN BRIEF

Download the Complete Audit Report (pdf 331 kb)

This audit assessed the adequacy of Department of Transportation’s (DOT) efforts to address non-emergency sidewalk defect complaints.

The DOT Sidewalk and Inspection Management Division is responsible for promoting pedestrian safety through its various organizational units, including the Sidewalk Management Unit (SMU). The SMU is responsible for responding to complaints about sidewalk defects, inspecting properties, and issuing and serving violations to property owners when sidewalk defects are observed.  It is also responsible for identifying and selecting areas to which City contractors may be assigned to make repairs to defective sidewalks abutting properties deemed eligible for repair. 

For Fiscal Years 2002 through 2006, an average of 3,120 personal injury claims related to defective sidewalks and other hazardous conditions (i.e., snow and ice) were filed with the City each year.  For the same period, the City paid out an average of $63.5 million annually in personal injury settlements and judgments for claims related to sidewalk defects.

Audit Findings and Conclusions

DOT’s efforts to address non-emergency, sidewalk defect complaints could be improved.  DOT’s management, nonetheless, believes that SMU efforts to address non-emergency, sidewalk defect complaints are adequate, given staffing and budgetary constraints, limited enforcement authority, and changing priorities and policies.  Our audit, however, identified weaknesses that, if appropriately addressed, could improve the SMU’s operational effectiveness and efficiency in assuring that defective sidewalk conditions are identified and appropriately addressed.

The SMU did not inspect 20 percent of sampled complaints for which an inspection was required, based on DOT criteria.  Of the remaining 80 percent, the SMU responded with an inspection in a timely manner only 63 percent of the time.  Further, our evaluation of complaint data showed that the SMU did not have procedures in place to ensure that the 311 Service Center is promptly and accurately updated with complaint status and resolutions.

In addition, violations were not consistently processed in a timely manner.  While the SMU aims to issue violations (when warranted) no later than 14 days after an inspection is performed, for 50 sampled violations issued in September 2007, the SMU issued violations in a timely manner only half the time.  Weaknesses were also found in the SMU’s follow-up of long outstanding violations.  Further, the SMU lacks coordination with the Department of Design and Construction (DDC) about the closing out of violations for repairs performed by City contractors.

Other weaknesses we identified include the SMU’s lack of clearly defined performance and productivity measures to gauge the effectiveness and efficiency of its operations, and a comprehensive procedures manual to address all aspects of its operations.  Further, the MOSAICS and SDW databases, which are used by the SMU to process and track the status of violations, lack adequate entry controls to ensure the completeness and accuracy of manually entered data.  Even though these weaknesses did not significantly or adversely affect the reliability of either MOSAICS or SDW for audit testing, if left uncorrected they could in time pose problems.

Audit Recommendations

                To address these issues, we make 19 recommendations, among them that the SMU:

• Inspect those properties not inspected.
  
  
• Reassess its procedures and staffing levels to identify and implement needed improvements to ensure that inspections, when required, are carried out and performed in a timely manner.
  
  
• Ensure that violations are processed and issued promptly.
  
  
• Require that violations be reviewed and compared to corresponding inspections reports by an independent reviewer or supervisor to ensure the accuracy of defective conditions appearing on the violations.
  
  
• Develop a program to follow up with and encourage property owner compliance with City regulations and make the necessary sidewalk repairs.
  
  
• Develop a comprehensive policies and procedures manual that addresses all internal processes and functions carried out by the SMU and distribute the manual to appropriate personnel.  The manual should be updated periodically to address newly implemented or revised procedures.

DOT Response

                Of the 19 recommendations made in this audit, DOT officials generally agreed with 14, partially agreed with one, and disagreed with the remaining four.