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C7DD-Accept Recomm Identify-Implement Procedures And Monitoring Guidelines -WeCOMMISSION ITEM SUMMARY Summary/Recommendation The and Citywide Projects Committee at its special of May 13, 2013, recommended that two working groups to implement the recommendations of Horwath Performance Operational Audit first is an internal working whose purpose is to identify implement procedures and monitoring guidelines to address the recommendations of the Crowe Horwath Performance and Operational Audit. This will be comprised the Department Directors who have knowledge of the to be improved and will facilitated by Patricia Walker, Chief Financial officer and Rafael Granado, Clerk. The working group will include identify and implement procedures to Noise Violations and will facilitated by Joe of the community as well as City staff the improvement of procedures surrounding ..... .:., ... .:...,. Assistant City Manager. May 13, 2013 islative Trackin T:\AGENDA\2013\July 17\AMENDMENT 1 -Reso 2012-27928 Summary.docx MIAMI 568 AGENDA ITEM DATE C!DD 7-{7-1.3 of Miami 1700 Convention Center Drive, Miami Beach, Florida 33139, www.miamibeachA.gov COMMISSION MEMORANDUM TO: Mayor Matti Herrera Bower and Me FROM: Jimmy L. Morales, City Manager DATE: July17,2013 SUBJECT: Adopt the Resolution. ANAlYSIS The Finance and Citywide Projects at its special meeting of May 13, 2013, recommended two working groups established to implement the recommendations of the Crowe Horwath Performance and Operational Audit. The is an internal working group whose purpose is to identify and implement procedures and monitoring guidelines to address the ofthe Horwath Performance and Operational Audit. This group will comprised ofthe Department Directors and staff who have knowledge the process(s) to improved and will be facilitated by Patricia Walker, Chief Financial officer and Rafael Granado, City Clerk. The second group will include members of the community as as City staff to identify implement procedures to the improvement of procedures surrounding Noise Violations and will facilitated by Joe Jimenez, Assistant City Manager. proposed members of group are listed in Attachment A. The Committee is BACKGROUND On May 13, 2013, Chief Financial Officer Patricia Walker the Crowe Horwath Performance an Operational Audit the Finance and Citywide Committee discussion. A summary of the actions discussed at the follows. 569 Commission Memorandum -Crowe Horwath Performance and Operational Audit July 17, 2013 Page 2of8 Chairperson Deede Weithom began the discussion by stating they would go through Management's in the report and discuss any comments or questions the staff or public might have regarding these items. There was a memo provided by Dr. Sunshine stating they did not know the issue with Code was noise related. Chairperson Weithorn that was not the basis and it will be at the point in the Miami resident Henry Stolar for clarification on when public comment would be allowed. Chairperson Weithom also stated was a that takes into consideration any or areas risk in internal controls that can occur in a Financial Officer Patricia Walker suggested facilitating a team employees from different departments to construct a plan of action for recommendation in the Chairperson Weithorn started with CC-01 Complaint Intake which states, "Complaints should received through regulated centralized channels in order to better complaint." City should a policy that requires employees, who receive phone call email complaints, to the complainant to the centralized hotline or to WebQA. Division Commander Heman Cardeno stated management that receiving Code complaints via regulated centralized channels is a better system to control, manage, and properly assign the inbound calls for service. However, management does not believe that the best practice would be to require who receive phone call and mail (e-mail) complaints to direct the complainant to the centralized hotline or WebQA as this would negatively impact customer service levels. The City itself in customer accessibility to government services and makes available different methods by which to register a complaint. Rather than require complainants to call yet another number may not even attended, a viable alternative may be to have the City employee receive the complaint from the constituent and in turn have that City employee enter the complaint in a centralized system that elicits information. Acting Planning Richard Lorber once implemented, Accela Automation will have the ability to serve as a central repository for complaints, and the public will continue to have the ability to make complaints via WebQA or system compatible with Accela. Chairperson Weithom stated we to have accountability to go along with these implementations. Building Deputy Director Stephen Scott suggest that we sure we keep the citizens and customers in mind in having accessibility. Fire Marshall Machen volunteered to a part the group. Commissioner Michael Gongora on to CC-02 Tracking Complaints where the City should implementing a system that would allow complaints be automatically uploaded from WebQA. Additionally, the City should implement a reconciliation process to reconcile the complaints entered into Plus/Accela back to the physical forms, hotline logs and Management concurs that best practices dictate that complaints should by an independent individual, adequately documented tracked in a system, assigned follow-up appropriately resolved. That description, in is that of a dispatcher with a system database similar to computer (CAD) that every call for service, however, there are significant cost considerations to such a plan. A reconciliation process to reconcile the complaints entered into back to physical forms, hotline logs and e-mails has already been implemented electronic files which include photos, and other documents relating to the case are being uploaded and attached to the main case. This in Accela. Commissioner Jorge added that needs to be established where permits are opened and closed in a timely manner. Building Deputy Director Scott responded that they are aware there were complications in the they have determined they do have employees in place to respond to putting the new framework together. also they discovered some complications out notices that were not going out in time the customer to respond. City Clerk now sends them out a minimum of 30 days in advance. Division Commander discussed Cl-01 Job responsibilities that state the city should 570 Commission Memorandum -Crowe Horwath Performance and Operational Audit July 17, 2013 Page 3of8 implement a policy that requires Code Compliance Supervisors to perform periodic, but at a minimum monthly, productivity reviews. The supervisors should review the Officer Daily logs to verify the officers spent the required time patrolling for sanitation, the time spent in each location of each zone, the complaints that are recorded for each zone and the violations written in each zone by their officers. These reviews should be documented and filed so that they are readily available for review by auditors or other interested parties. Management agrees that Code Compliance Supervisors do not have a standard process in place for periodic reviews of subordinate productivity. While some of these processes are found in written directives and emphasized at weekly supervisor staff meetings, the Division will continue to standardize procedures and directives in Standard Operating Procedures format so that the foundation of the duties of a supervisor are found in one general policy. Supervisors are also required to verify their officers' time spent in each location of each zone, sanitation enforcement, and review of the caseload assigned to their squad members. Random AVL (GPS) reviews of subordinates' daily travels in their City vehicles are compared to assigned cases and monitored for time spent on calls and patrol locations. Documentation is on file and evidenced by Code officers that have received discipline based on their supervisor's reviews/random audits. Finally, productivity reviews for each squad are conducted at supervisor staff meetings. While not all supervisor review practices are mandated by policy, management believes that allowing for some discretion within a broader sense of parameters for supervisors to determine when and how they oversee subordinates contributes to the overall development of management styles and individual growth; however, a Standard Operating Procedure should serve to provide some guidelines for subordinate workload assessments. Documentation is on file and available for review. Chairperson Weithorn asked if Sanitation was singled out and Crowe Horwarth Engagement Manager Mark Maraccini stated it was more the documentation and policy that supported the monitoring of this item. Chairperson Weithorn moved on to item CD-01 Non-Compliance Identification that states the city should provide a tool such as a checklist for officers to utilize to review for potential code non- compliance while conducting an inspection. The city can provide a form for officers to complete at every inspection that identifies the compliance areas to observe, e.g. noise, sanitation, zoning violations, graffiti, and handbills on cars, peddling, and property maintenance. This form should also require the officer to initial that such issue has been reviewed and resident or business is in compliance. Management agrees that a tool such as a checklist for officers to utilize to review for code violations while they're on site conducting inspections would be beneficial. Those lists (for the more common violations) are in the process of being created and will be made available for integration in Accela by July 2013. Chairperson Weithorn stated the code officers need the technical approach at their finger tips when visiting properties instead of their personal devices or using paper. Commissioner Exposito added there needs to be an IT component added to the tools the officers are equipped with. Item CD-02 Supporting Documentation recommends that the City implement a procedure or control within the new case management system that they are seeking to utilize that allows pictures to be attached to a case onsite. The new system should have the capability to upload files remotely which ties into item CD-01. Management agrees that the City should implement a procedure or control within the new case management system {Accela) that allows pictures to be attached to a case onsite and have files uploaded remotely. This capability has been configured in Accela Automation. Chairperson Weithorn moved on to item CD-03 Courtesy Notices and Violations the City should develop a policy for noncompliance that strictly defines when a courtesy notice can be given. The City should require the officers to document the reason and rationale when they issue courtesy notices and the supervisors to review them daily. Management agrees with the recommendation that general guidelines for when warnings may be given are appropriate and that supervisory review of the rationales would be ideal. Some of our City ordinances already have controlling language with respect to when a courtesy notice or oral warning can be issued by a Code Compliance Officer 571 Commission Memorandum-Crowe Horwath Performance and Operational Audit July 17, 2013 Page4 ofB versus a of Violation. Management will the level of training and monitoring relating to the proper of discretion. That training will include providing strong of when written warnings may be appropriate. Any exercise of this discretion must reported to supervisors on same day utilized for the purpose of determining whether a warning was appropriate. Ultimately, some discretion and judgment must to Code Compliance Officer. Division Commander Cardeno then discussed item CD-04 that recommends that the City implement a procedure or control within the new case management that they are seeking to utilize that allows the case files to from complaint files. The new system should have the to automatically link the two. The City should also implement a procedure to review and document a of the XC and the corresponding to confirm the information been inputted accurately. Management with the recommendation that City should a procedure or automated control within the new case management (Accela) that the case files to from the complaint have the to automatically two. This capability been configured in Additionally, the ability to "audit" the to determine accurate reporting and uploading of information will included and monitored via Chief Financial Officer Patricia Walker stated they plan to go live with Accela two after Memorial Weekend when workflow challenge. Building added the entire City currently is with Commissioner then item CD-05 that states the City should develop a procedure that requires code officers to collect and review comply-by weekly and a policy that mandates a secondary review by Management with the recommendation that the City should develop a procedure that requires Code to collect and review comply-by dates weekly and a policy that mandates a secondary review by supervisors. new case management system, Accela, automate the process for re-inspections compliance for officer daily by zone. are triggered by the time for compliance entry ofthe original case file- much an automated electronic tickler. Chairperson Weithorn the next CV-01 Noise Violations needs a group with inclusion of the public due to the legal aspect it pertains to. Many of the noise complaints involve construction and not just music issues. City Attorney Smith added also a county on the noise ordinance that prevents taking certain actions. CV-01 Noise Violations states that the should consider revising the ordinance to more objectively determine when a noise violation has . Specifically, the should consider their noise violation policy to include a decibel threshold that when would trigger a violation. These measurements should be completed through the use of a mobile testing device. Management is open to looking at other more objective to when a noise violation has occurred. Noise ordinance, as adopted, has been upheld as constitutional in 11 1h Judicial Circuit sitting in an appellate Other methods (such as noise/decibel have proven to be difficult or impossible to sustain in other jurisdictions. Code Compliance Officers are required to their judgment in evaluating validity of a violation. Miami Beach Resident Morris Sunshine a look at the noise ordinance that for subjective character and proposes the consideration of turning the "'"'""'"'"' into a 24/7 clause instead of becoming applicable at 11 pm. Crowe Horwarth Engagement Manager Mark Maraccini discussed the next item FP-01 Construction Permits where the City should implement procedures to help ensure permits are obtained for construction projects within the City. Specifically, the City should consider implementing a City-wide policy and procedure that informs City personnel the proper protocol to report potential violations (e.g. construction projects that do not have a clearly visible permit). In addition, the City should utilizing current inspectors that are already to perform duties throughout the City to look for potential violations. In other words, officers already in the be doing this as part 572 Commission Memorandum -Crowe Horwath Performance and Operational Audit July 17, 2013 Page 5of8 of normal procedures. Management this is a plausible recommendation. We currently have Web Q&A and a mobile app "Report where City employees others can report suspected unpermitted activities. Currently, the Fire Prevention Division as well as Building Department- Violations Division Code Enforcement Division already business owners and residents for work taking place without a permit. process is complaint driven generated by residents, business competitors, guests, tourists, employees. In addition, when the fire inspectors conduct their annual inspections, they cite violators when they notice work place without a permit. Currently, there is an informal procedure where each inspection discipline the other if there is unpermitted work noticed during a inspection, for example, when fire inspector does the he/she notices that something be a code violation, it is reported to the proper discipline. This may or may not be a code violation after the inspector checks it out. Management will review the current informal process and work toward implementing a formal procedure for reporting unpermitted activities. Chairperson Weithorn noted that multiple infractions and that it would be efficient if cross communication between Code and in each other's violations to more efficient. Commissioner Gongora moved on to FP-02 Workflow Requirements recommending that the City a policy that that all workflows require approval by the Building Department to ensure that plans are routed to the appropriate departments/divisions review. We recommend that the City require that all plans reviewed by someone other than the person who performs the original review. Management this is a plausible recommendation. Currently, the Permits Plus has workflows automated to include reviews by appropriate departments/ divisions on the of permit application submitted. appropriate departments/ divisions must review the plans before the workflow is completed. The workflow in Automation will the same type of workflow that we currently have now in PerrmitPius. In order to implement this recommendation as stated, we would have to hire three additional fire plans examiners to provide sufficient personnel to allow a secondary review by someone other than the initial reviewer. This process may create a in turnaround time. Building Deputy Director Scott suggested spot quality Fire Marshall Machen discussed Fl-01 recommending that City consider revising its current to increase its population inspectors (i.e. the pool of inspectors that qualify for inspections). In addition, changes to inspection assignments should be documented and approved by someone other than the person initiating the change. Management with the recommendation to increase population of inspectors. Currently, the firefighters who are certified as sign up for the inspector slot. Any firefighter can sign for the second slot even if not certified as an inspector. The Administration is proposing a different method performing the inspections that increase the number of firefighters participating in the program. The Captain of Prevention Division and the Chiefs are the only people authorized in the Telestaff software to assignments for night inspections and can modify the assignments after a cancellation. Although the Captain may cancel an assignment cannot delete or remove an assignment and all changes will be recorded in Telestaff in an audit trail. Other staff in Prevention cannot make any to the as indicated above. Commissioner Gongora if these can just assigned to junior level employees in which Fire Marshall Machen responded they are discussing ways to improve this issue. Inspection Documentation that recommends that the City enforce that perform inspections in teams. This should be documented by requiring that each inspector sign off on the inspection form next to each inspected. We further recommend that the Fire Marshal document review completed inspection forms inspection summary results. Management with the recommendation inspectors perform inspections in teams and that the Fire Marshal document review of completed inspection forms and 573 Commission Memorandum -Crowe Horwath Performance and Operational Audit July 17, 2013 Page 6of8 inspection summary results. The inspection form has been changed by adding a signature section at the end that includes the firefighter's signature and the fire marshal's review signature. The firefighters will sign at the end of the form instead of each line for efficiency and certification statement. The Fire Marshal will also sign off the summary report review. The current policy is that both firefighters must be together when performing night inspections. If one of the firefighters ventures out on his/her own, then the individual will receive disciplinary action. A reminder email will be sent to all lead inspectors to follow this directive. Fire Marshall Machen clarified that the inspectors do go in teams. Chairperson Weithorn took Fl-03 Inspection Venues and Fl-04 Inspection Schedule together. Fl-03 recommends that the City implement controls to ensure that all venues are included in the population from which venues are selected for inspection and that venue information is verified for completeness and accuracy. Management agrees with the recommendation that all venues should be included in the population from which the venues are selected for inspection and that venue information is verified for completeness and accuracy. Fl-04 recommends that the City establish a systematic and logical approach to inspecting venues. The revised approach should take into account the timing of inspections and how they relate to when violations are most likely to occur. Inspection shifts should be adjusted accordingly. Management agrees with the recommendation that the City should establish a systematic and logical approach to inspecting venues. The list of locations selected for inspection is generated by a random number selection and the Night Inspection Coordinator sorts the group in alphabetic order of Street. The policy is that the restaurants are inspected between 1 Opm to 11 pm since the nightclubs are not opened yet The Fire Marshal has added the word "restaurant" to the names of the establishment to make it easier on the inspector to identify those locations to visit earlier in the night The night inspectors can select the restaurants from the group to inspect between 1 Opm-11 pm and then concentrate on the nightclubs after 11 pm or midnight. During special events weekends, the shift is adjusted as necessary; starting earlier at 9pm or ending later at Sam, or both. Fire Marshall Machen stated that both of these recommendations have already been implemented. Commissioner Gongora discussed PT-01 Complaints Dispatching that recommends City should implement a procedure to mandate the first available officer in the closest proximity is dispatched to complaint sites. Management agrees with the recommendation. We have created procedures where the Parking officer shall be dispatched to complaint issues based on their availability and proximity to the complaint site, the dispatcher shall send the first available officer in the closest proximity to the complaint side in question and an officer shall be at the complaint site within 30 minutes of the receipt of the complaint. The attached written directive (see SOP No. 2013-013) which includes these procedures has been issued and acknowledged by those employees responsible for its implementation and compliance. Commissioner Gongora discussed PT-02 Identifying Parking Permits recommend the City should implement a policy that requires officers to team up when addressing complaints that require officers to canvas large areas. Management agrees with the recommendation. We have created procedures where larger areas shall be canvassed by multiple officers made up of teams. These teams shall be assigned contingent upon availability and proximity to the complaint site. Commissioner Gongora discussed PT-03 Citation Supporting Documentation that the City should implement a policy that requires supporting documentation taken for all instances of noncompliance. Management agrees with the recommendation. We have created procedures where officers are to accurately document all information pertaining to the citation or enforcement action, supporting documentation and violation information should be recorded for all areas of noncompliance and officers are to take photographs with their Autocite and city issued camera for all areas of noncompliance. 574 Commission Memorandum -Crowe Horwath Performance and Operational Audit July 17, 2013 Page 7of8 The Administration recommends that the Mayor and City approve the recommendation of Finance Citywide Projects Committee to establish working groups to identify and implement and monitoring guidelines to the recommendations of the Crowe Horwath performance and operational audit JLM\PDW T:\AGENDA\2013\July 17\Crowe Horwath Performance And Operational Audit-Memo. Doc 575 Commission Memorandum -Crowe Horwath Performance and Operational Audit July 17, 2013 Page 8of8 Attachment A The Members of the Working Groups are as follows: Commission representative -Commissioner Weithom City Manager's Office -Marcia Monserrat City Clerk's Office/Special Master-Ralph Granado Otero /Sonia Machen Information Technology-Gladys Gonzalez Internal Audit -James Sutter Code Compliance -Heman Gardena Planning -Richard Lorber Public Works -Eric Carpenter Parking -Frances Working Group on Noise Commission -Commissioner Jorge Exposito Dr. Morris Sunshine - Jo Manning -resident Deborah Lebowitz-resident Deborah Ruggiero -resident Roman Jones, Opium Marla Courtney, Jeff Klein, Fontainebleau Roberto Santos-Aiboma, Code Compliance Alek Boksner-City Attorney's Office Hernan Compliance Richard Lorber-Planning 576 RESOLUTION TO BE SUBMITTED 577