Audit Report on the Department of Health and Mental Hygiene’s Oversight of Mobile Food Vending Units

Executive Summary

This audit was conducted to determine whether the Department of Health and Mental Hygiene (DOHMH) is effectively monitoring mobile food vendors’ compliance with applicable sanitary laws and regulations. DOHMH’s mission is to preserve and promote the health of New York City (City) residents. The agency is responsible for, among other things, enforcing laws and regulations designed to protect and promote public health and safety, including those related to the permitting and inspection of mobile food vending units.

The auditors conducted research into the applicable health and safety rules, regulations, and DOHMH guidance and policy, to identify the criteria for assessing oversight and compliance.  The auditors also conducted interviews with DOHMH officials, reviewed data and records, and conducted observations in the field to determine whether inspections were conducted as required under Title 24, Chapter 6, of the Rules of the City of New York (Rules). The audit considered the frequency and timeliness of inspections, the substance of inspections, and the controls surrounding the issuance and tracking of permits.

Audit Findings and Conclusions

The audit found that DOHMH did not consistently conduct inspections as required or within the timeframes established in the Rules and by DOHMH guidelines.  For one type of inspection where the Rules did not set timeframes – re-inspections required due to violations found in earlier inspections – DOHMH did not establish any. Agency protocols concerning follow-up inspections were not always followed, and the auditors also found that controls over the issuance and tracking of permits, permit decals and grade cards could be improved.

Audit Recommendations

The audit makes 11 recommendations that will improve DOHMH’s monitoring of mobile food vending units. These include recommendations that, among other things, DOHMH should:

• Establish a target timeframe within which required re-inspections must be conducted.
• Ensure that all required initial full-sanitary inspections and full-sanitary re-inspections are performed in a timely manner.
• Schedule full-sanitary inspections with permit holders when inspectors are unable to locate units in the field.
• Prepare written policies and procedures establishing follow-up inspection protocols and disseminate them to staff so that all parties are aware of what is required, including the target percentage of inspections to be monitored.
• Ensure that only authorized individuals are able to update permit decal and grade card inventory records, that an appropriate segregation of duties is maintained, and that associated supervisory controls are established.
• Prepare inspection checklists for the field inspectors to ensure that pre-permit and operational inspections are conducted and recorded consistently.

Agency Response

In its written response, DOHMH agreed with four of the 11 recommendations, disagreed with five, and agreed to implement some changes in response to two recommendations.