AUDIT TYPE:

                                   WATER VESSEL SAFETY PROGRAM

AUDIT ITEM: 1

FOCUS:

Management Accountability

     Has the agency administrator implemented a water vessel safety program with a high

          risk policy and assigned the responsibility for monitoring the program?

RATING:

     Excellent                 Entire program is implemented, monitored, and in compliance.

     Good                         Program partially implemented/High risk operator policy needs to be

                                         more specific/A person has been assigned to monitor the program.

     Fair                          Program partially implemented/No high risk policy/No one monitors the

                                            program.

     Unsatisfactory      No program implemented.

COMMENTS:

AUDIT ITEM: 2

FOCUS:

Inspection & Repair

     Are state water vessels inspected against a written checklist to assure they are in safe

          operating condition?

     Are corrective actions taken to repair problems?

RATING:

     Excellent                Vessels have a checklist completed monthly with corrective action on

                                        repairs taken in a timely manner.

     Good                        Inspections are conducted on a checklist but corrective action is not taken

                                        in a timely manner.

     Fair                         Inspections are conducted but are not documented/Little or no corrective

                                        action is taken on repairs.

     Unsatisfactory     No inspections conducted/No written checklist in place/No corrective

                                        actions taken.

COMMENTS:

AUDIT ITEM: 3

FOCUS:

Operating Records  & Forms

     Are employees’ operating records monitored and checked annually using the WVO

          records?

     Is there a list of authorized operators?

     Has the DA 2066 been filled out, reviewed and signed by the employee and agency

          head?

     Are all accidents investigated using the DWF-A-BAIR003?

RATING:

     Excellent                All operator records are run through WL&F/List of authorized operators

                                        available/DA2066’s reviewed and signed/ /DWF-A-BAIR003’s used for

                                        accident investigations.  

     Good                        Operator records run through WL&F/No list of authorized operators

                                        DA 2066’s signed and are current/DWF-A-BAIR003’s not used for

                                        investigations.

      Fair                        Operator records are run but not signed/No list of authorized operators/

                                        DWF-A-BAIR003’s not used for investigations.

     Unsatisfactory     No operator records/No list of authorized operators/DA2066’s not

                                        signed/DWF-A-BAIR003’s not used for accident investigations.

COMMENTS:

AUDIT ITEM: 4

FOCUS:

Training

     Does management provide operator training for employees that operate vessels on

          state business?

RATING:

     Excellent               All authorized operators trained by Coast Guard or Wildlife and Fisheries

                                       before accepting employment. All documentation is available.

     Good                       All authorized operators trained by Coast Guard or Wildlife and Fisheries

                                       immediately upon hire. All documentation is available.

     Fair                      Some operators trained by Coast Guard or Wildlife and Fisheries on an

                                       unscheduled basis.  Little or no documentation is available.

     Unsatisfactory     No training is provided.

COMMENTS:

AUDIT ITEM: 5

     Does the agency come under the jurisdiction of another auditing entity?