Audit Report on the Department of Buildings’ Issuance of Licenses to Site Safety Professionals

Executive Summary

The objective of this audit was to determine whether the New York City Department of Buildings (DOB) has adequate controls in place to ensure the appropriate issuance of licenses to Site Safety Professionals.  DOB was created to, among other things, ensure the safe and lawful use of more than one million buildings and properties by enforcing the City’s Building Code and Zoning Resolution and the New York State Multiple Dwelling and Labor Laws.  DOB promotes worker and public safety through its review and approval of building plans, issuance of construction-related permits and licenses, and inspections.  DOB issues licenses to eligible individuals in the construction trades, including Site Safety Professionals, the focus of this audit.

Two types of Site Safety Professional licenses are issued by DOB: a Site Safety Manager (SSM) license for a three-year term and a Site Safety Coordinator (SSC) license for a one-year term.  Since October 1, 1987, DOB has been prohibited from approving any plans for the initial construction or demolition of buildings 15 stories or more in height without there being a licensed SSM appointed to work at the site.  As of July 1, 2008, DOB has also been prohibited from approving any plans for the initial construction or demolition of buildings 10-14 stories in height unless either a licensed SSC or SSM has been appointed to work at the site.  The SSM or SSC must be present at all times that work is being performed on a building to monitor the construction workers and perform site safety inspections.

To become an SSM, an individual must take an exam on the safety rules that govern City construction sites and complete the background investigation process.  An SSC applicant is not required to take an exam but must complete the background investigation process.  Applicants for both categories of Site Safety Professional licenses must provide to DOB’s Licensing and Exams unit (Licensing) a number of documents, including a Background Investigation Questionnaire, an Experience Verification Form, and a site safety course certificate from an approved DOB provider.  Applicants must also meet at least one of the experience and training qualification options outlined in DOB guidelines.

For renewals, a licensee must submit a renewal application package, which should include, among other things, a 7-hour Site Safety refresher course certificate from an approved DOB provider.  A Licensing Renewal Investigative Clerk conducts a criminal background check and determines whether an applicant has any outstanding Environmental Control Board penalties.

During Fiscal Year 2015, there were 125 initial SSM and SSC applications submitted to DOB—96 for an initial SSM license and 29 for an initial SSC license.  In addition, during this time period, DOB received 412 renewal applications.  As of August 2015, there were a total of 1,129 active SSM and SSC licenses—1,052 active SSM licenses and 77 active SSC licenses.

Audit Findings and Conclusions

DOB needs to improve its controls concerning the issuance of licenses to Site Safety Professionals.  We found that there was insufficient evidence that DOB had adequately reviewed some initial and renewal applications before granting licenses.  The insufficient reviews appear in part to have been the result of limited supervisory oversight of the review process.  We also found that DOB did not adequately track the processing of applications for initial licenses and that there were delays in the initial application review process.  These weaknesses, if not corrected, increase the risk that persons who are unqualified may nevertheless be granted site safety licenses, which would increase the risk to construction workers and the public.  In addition, delays in the application process can contribute to shortages in the availability of licensed Site Safety Professionals.

Audit Recommendations

To address these issues, this report makes a total of 22 recommendations, including the following:

• DOB should review the qualifications of initial and renewal Site Safety Professional applicants more closely to ensure that only qualified applicants are issued initial and renewed licenses.
• DOB should ensure that Licensing’s application files contain all the supporting documentation necessary before initial and renewed Site Safety Professional licenses are issued.
• DOB should ensure that a Licensing supervisor reviews key applicant data and documents before initial or renewed Site Safety Professional licenses are issued.
• DOB should enhance its efforts to complete the background investigation of each applicant within the agency’s informal goal of six months.
• DOB should develop and implement application review checklists to track the processing of initial and renewal applications for Site Safety Professional licenses.

Agency Response

In its response, DOB officials generally agreed with 18 of the audit’s 22 recommendations and disagreed with the remaining four.  The full text of DOB’s written response is included as an addendum to the report.