Audit report on the Reliability and Accuracy of the Notices of Violation Data in the Environmental Control Board Computer Systems

AUDIT REPORT IN BRIEF

We performed an audit of the reliability and accuracy of the Notice of Violation data in the Environmental Control Board (ECB) computer systems. ECB enforces the provisions of the New York City Charter (Chapter 57, Section 1404) and the City’s Administrative Code relating to street cleanliness, waste disposal, water supply purity, and the prevention of air, water and noise pollution. ECB functions as an administrative tribunal that provides hearings on notices of violation (NOVs) issued by a number of City agencies. A NOV is a written legal notice that charges the recipient with violating one or more of the City’s quality-of-life rules or laws.

Once a notice of violation is issued, the matter may be resolved only through the adjudication process at ECB. Cases are heard by ECB hearing officers who act as impartial decision-makers. ECB issues only monetary penalties or orders to correct violations when it finds individuals or entities in violation of the City’s quality-of-life laws.

In the early 1980s, ECB shifted from an entirely manual system to a mostly computerized operation consisting of two applications, a system called Automated Violation Processing System (AVPS) and a more sophisticated system called Bureau of Air Resources Automated Management Information System (BARAMIS). AVPS and BARAMIS were combined into one system in 1999, and the combined system was renamed the Automated Information Management System (AIMS). ECB currently uses AIMS to track more than 700,000 cases annually.

Audit Findings and Conclusions

ECB NOV data exists in a secure environment with restricted access. Data in approximately 98.5 percent of the NOV records complies with specifications for information recorded in mandatory data fields that is used for adjudication as well as for enforcement or collection. However, data in the remaining1.5 percent of the NOV records, representing a total of $1.4 million in penalties for the period July 1, 2006, through June 30, 2007, does not contain sufficient information, which could impede adjudication and ultimately prevent enforcement and collection.

Audit Recommendations

To address the NOV data accuracy issue, we recommend that ECB should work with the Mayor’s Office of Operations and issuing agencies:

To alleviate the issuance of defective violations by developing additional improvement strategies for NOV data quality, such as coordinating with issuing agencies in their establishment of training programs for NOV-issuing officers to ensure that all required information is included on the violation, and

Establish a performance measurement tool to measure NOV data quality over time to assist ECB assessing the effectiveness of any implemented improvement initiatives for data quality.