Follow-up Audit Report on the New York City Department of Buildings’ Controls Over Field Inspectors

Audit Finding and Conclusion:

The objective of this audit was to determine the extent to which the 13 recommendations made in the Audit Report on the New York City Department of Buildings’ (DOB) Controls over Field Inspectors (Audit # MD18-078A), issued on December 21, 2018, have been implemented.

The initial audit was conducted to determine whether DOB had sufficient controls over field inspectors to be reasonably assured that inspections were being performed in an appropriate manner and the results were properly reported and recorded. That audit found DOB was not in compliance with its Inspections Oversight Procedure, its Quality Assurance (QA) Inspection Reporting Systems were incomplete and inaccurate, and its online inspections management tool, DOB NOW, had inadequate processing controls.

DOB regulates the use of buildings and construction sites under its jurisdiction, and the agency’s inspectors issue violations when a property or construction does not comply with the Construction Codes, New York City Zoning Resolution, or other applicable laws and rules.

This follow-up audit found that DOB has improved its controls over inspectors to be reasonably assured that inspections are being performed in an appropriate manner and that the results are properly reported and recorded. Of the 13 recommendations made in the initial audit, this follow-up audit found that five have been implemented, one has been partially implemented, two are in the process of being implemented, and five are no longer applicable.

Audit Recommendations

This follow-up audit recommends that DOB create a mechanism for tracking follow-up inspections of inspectors who receive less than satisfactory ratings; properly identify all follow-up inspections within its online inspection database; ensure that all required entries are made in that database; and establish a written policy for recording inspections completed by the Construction Safety Enforcement Unit.

Agency Response

In its response, DOB agreed with the audit’s recommendations and stated that DOB “appreciates the time and effort that you and your staff dedicated to performing this audit. We appreciate the opportunity to address your audit findings and concerns, and will use it as a guide to further improve our policies and procedures.”