USCG Sector San Francisco Inspections Department Michael DeVolld, LT Marine Inspector
USCG Auxiliary District 11 North Ferry Vessel Auxiliary Audit Program
Program has been in existence since 2001 here in San Francisco. A force multiplier by putting more USCG eyes and ears on the water. Keeps operators honest. Has been supervised by the Inspections Branch since 2005. What is the Ferry Vessel Audit Program?
Under the direction and guidelines of the US Coast Guard's Domestic Inspection Team, qualified Auxiliary Auditors provide regularly scheduled safety and security audits of our district's large passenger ferry vessels that serve the San Francisco Bay Region. The data collected during each audit, which includes audit worksheets, and/or image data, are compiled by the Coast Guard, for internal use. The Ferry Vessel Audit Program
You will understand who administers the Program You will become aware of proper procedures You will know what completed forms are expected You will be able to request an Assignment to Duty You will get to rehearse using the Worksheet About This Training
LT Michael DeVolld, USCG (District 11) ENS Catherine Walker, USCG (District 11) Sue Fry, Auxiliary DSO-MS (D11N) Abigail Wagg, Auxiliary Immediate Past ADSO-MS/FVA Ronald Smith, Auxiliary ADSO-MS/FVA (D11N) Program Administrators
LT Michael DeVolld, USCG (District 11) ENS Catherine Walker, USCG (District 11) Sue Fry, Auxiliary DSO-MS (D11N) Abigail Wagg, Auxiliary Immediate Past ADSO-MS/FVA Ronald Smith, Auxiliary ADSO-MS/FVA (D11N) Your Name Here, Auxiliary, Ferry Vessel Auxiliary Auditor Program Administrators
All attendees receive a Certificate of Accomplishment Audit partners of 2 are now encouraged Audit Worksheet Format Revised and Updated Workshop Training Presentation Revised/Appended Receiving an Assignments to Duty is mandatory 7029 & 7030 Submission Training Included and more Program Update
Email Request for an Assignment to Duty to do Audits Completed Ferry Vessel Auxiliary Audit Worksheets Generate an Audit Report from Deficiency Summary YOU must Update YOUR own 7029 (Submit to FSO-IS) Filing a 7030 Form Getting competed Worksheets turned in. The Five Submitted Forms
Choose YOUR best time for conducting audit activities Use ferry schedules to identify best departure options Send email to the ADSO-MS/FVA with your audit plan Assignment to Duty issued if no conflicts are found Stick to your commitment or cancel as early as possible Assignment to Duty
Read the Guidelines on the Worksheet Overview of each section of the Worksheet Discuss the Worksheet audit items Explain how to properly mark the findings during audits Demonstrate how to use the Deficiency Summary (Report) Proper Procedures & Practice
The Audit Worksheet (Title Block) Complete the information on the Name of Vessel and Date/Time of departure from the dock
The Audit Worksheet (Name/Phone) You MUST list the names of both auditors on a team assignment. Include contact numbers so the Inspectors can call you for details when questions arise about a report you submitted. Proper Tropical Blue or ODU uniform and cover are required to conduct audits
The Audit Worksheet (Back Revisited) 44. Auditors can conduct audits wearing any Auxiliary uniform shown in the AUXMAN. a. True a. True b. False. b. False.
The Audit Worksheet (Name/Phone) This portion of the form is for Sector use only. We’ll keep track of what we did and give feedback to the ADSO- MS/FVA.
The Audit Worksheet (Title Block) Ordinarily, your Audit Type will just be marked as a RANDOM Type. Sector may request a specific, TARGETED, ferry vessel be audited. Special circumstances will also be described within the details of your Assignment to Duty An example of an Operator would be Red & White Fleet and Bay Cruise the Route.
The Audit Worksheet (Header) “Remember, you are our eyes and ears so we need to know who you are.” ~ To Be Determined
The Audit Worksheet (Use) Explain references to 49 CFR Subchapter K and Subchapter T
CFRs refer to a volume of books called the Code of Federal Regulation (Administrative Law) Discrepancies discovered during audits must be reported to Domestic Inspections. “Auditor’s audit things not people.” Regulation citations on the Worksheet are provided for auditor informational use only. Discrepancy or Compliance
The Audit Guidelines The Worksheet GUIDELINES remind everyone what needs to be done. The audit Worksheet isn’t finished until all checkboxes are marked.
The Audit Worksheet (Confidential Rule) Develop sincere rapport with passengers and crew; become a good listener/observer. If people ask what you are doing state you are performing a Ferry Vessel Auxiliary Audit. Do not talk about your audit findings. Instead, talk about the local landmarks and ferry schedule.
The Audit Worksheet (More Guidelines) Read the audit Worksheet Guidelines often and before each audit to stay within the boundaries of being a qualified and competent Ferry Vessel Auxiliary Auditor.
The Audit Worksheet (Last Guideline) The phone number to Sector should be in your cellular phone before commencing with audits. Also add the direct phone numbers of local emergency services. Having a mobile phone is not a requirement to conduct audits. Checking-in with Sector is required.
The Audit Worksheet (Layout) Your Name, the VESSEL name. Writing Date/Time and Route are also helpful for submitting Worksheets by FAX or Email.
The Audit Worksheet (Citations) Worksheet CFR cites are offered here for your home study learning. They give the location of where the regulations are found.
The Audit Worksheet (Checkboxes) Worksheet checkboxes are the simply way of noting your observations. Check one box per line item during an audit.
The Audit Worksheet (Checkboxes) P – Simply make a mark in the open checkbox under the letter P column, if the observed item satisfactorily PASSED your audit
The Audit Worksheet (Checkboxes) U – UNABLE to locate or item not observed
The Audit Worksheet (Checkboxes) N – NOT auditable / NOT applicable
The Audit Worksheet (Checkboxes) F – Indicates a FAILED audit or make a mark in this box in order to indicate a Discrepancy was found; You must explain each issue in the Deficiency Summary section of the Worksheet, located on the last page.
Check that the lighting systems is working. Any lights burned out? Note any parts of the vessel not properly illuminated.
The Audit Worksheet (Vessel Condition) Take a quick look at the survival craft. Do not handle this equipment. You should be able to tell if it looks damaged, has an annual service sticker (only if inflatable) and it should be stowed to float free or have a hydrostatic release. Don’t worry if you aren’t familiar with this equipment.
The Audit Worksheet (Vessel Condition) These are housekeeping items. The vessel should be clean and well kept. You can have a seat. Boxes, chairs, strollers, bicycles, and baggage may obstruct aisles. Storage of cargo can also block emergency exits in the passenger areas.
The Audit Worksheet (Vessel Condition) Take a quick look at lifejacket storage bins. The bins should be clearly marked. Breakable security tags are used to allow immediate access if emergency. Don’t handle the lifesaving gear and don’t touch the security tags. Missing security tags are a Deficiency which must be recorded.
The Audit Worksheet (Vessel Condition) Life jackets or life vests are personal flotation devices (PFD). A “Donning Placard,” conspicuously posted, shows everyone how to put one on in an emergency.
The Audit Worksheet (Vessel Condition) Life ring are designed to float and be very visible in the water. Life Rings must be replaced if damaged or worn. They can be observed adjacent to the wheelhouse. These floats typically hung on a rack and are never fastened in place. Do not touch these as they may be fitted with other emergency gear.
The Audit Worksheet (Vessel Condition) Ground Tackle includes observing the condition of the mooring lines, dock and deck fittings. Also included is the anchor and the rigging. Do not touch these as they may be fitted with other emergency gear.
The Audit Worksheet (Vessel Condition) Check the firefighting items visually. Look for obvious missing parts, or disconnected hoses. Extinguishers have a tag that indicates the last service date. They are serviceable for up to one year from that date. Do not touch these as they may be fitted with other emergency gear.
The Audit Worksheet (Communications) Anything that doesn’t seem right should be documented in your notes. Generally these are not immediate safety threats. If you are interior of the vessel or on the stern you might not hear any sound signals even if the whistle is used.
The Audit Worksheet (Communications) You should listen for any whistle signals from the vessel. Auditors try to observe this to confirm the whistle is working. If you do not hear any sounds from the whistle during your audit, mark U unless you know for sure it isn’t operable; F
The Audit Worksheet (Communications) Anything that doesn’t seem right should be documented in your notes. Generally these are not immediate safety threats. If you are interior of the vessel or on the stern you might not hear this even if the whistle is used.
The Audit Worksheet (Communications) Passenger ferry vessels make a safety announcement prior to getting underway. It is important that you let us know if this wasn’t done, was inadequate, or difficult to hear.
The Audit Worksheet (Pollution) Please let us know immediately if you actively witness water pollution or a spill. If you smell anything that seems like excessive oil or sewage, put that in your notes. This may help us get a better idea of the vessel’s maintenance program.
Look for general “No pollution” signs or placards. Some specific oil pollution placards may be in the engine room where you won’t see them. Just check to see if the vessel has put up signs reminding people not to pollute. How Do I Use The New Form?
The Audit Worksheet (Security Section) You should be informed via a sign what level of security is in effect and that you may be subject to a search or screening. Did you see a sign anywhere on the vessel or at the pier about this?
The Audit Worksheet (Security Section) Some spaces and areas are designated as Crew Only or Restricted. These should be plainly marked. In general if a space is off limits, it should be marked as restricted. The wheelhouse should be restricted, as well as the engine room. Did you see these signs? Please note, you cannot ask the vessel for the lists of their restricted areas.
The Audit Worksheet (Security Section) These rules are complex and subject to many policy decisions. Check to see if spaces are secured with a device that will easily show if they’ve been accessed or if they are swept by the crew. Don’t tell the crew to remove security devices. If you think a security measure is unsafe, note the issue on in your email report.
The Audit Worksheet (Security Section) You may not see this because most Security Sweeps will be done without passengers onboard. If you do see a security sweep, please let us know so we can track that they’re being done. Describe what was done during the sweep in your notes.
The Audit Worksheet (Security Section) Please let us know what sort of “security screening” you saw done. Was it handled professionally? Did the person doing it seem to be well trained? Did any passengers react negatively to the screening? How was that handled by the crew? Do not inquire about the vessel’s security plan.
This whole category basically wants you to use common sense and report anything that looks like damage. Was there a section that looked newer than the rest? Any work being done?
The Audit Worksheet (Structural) The requirements for deck railing is rather specific. Don’t worry too much about the specific size or spacing. Let us know if recent repairs were done or if the rail looks like it has lost structural integrity (either due to corrosion or damage).
The Administrative Process -- Follow ALL Guidelines on the Worksheets Upon Arrival at the ferry terminal dock, call Sector San Francisco’s Command Center to announce you intend to being your pre-approved audit activities. Make comments in the Deficiency Section of the Worksheet. Starting A Ferry Vessel Auxiliary Audit
Completing An Audit New Administrative Process -- Call Sector Command Center when you are finished auditing and leaving the waterfront. For immediate safety concerns or serious problems, make a private call to the Sector Command Center at (415) 399-3547. Submit your completed audit worksheets to ENS Catherine Walker, Domestic Inspections. Feedback may be provided by Domestic Inspectors.
Auditors must always be prepared to pay for each transit unless the company insists on covering the costs. The USCG will no longer reimburse auditors for anything paid out of pocket in the pursuit of the Program. Courtesy and Policy
Attend this formal training as a trainee or as a refresher Sign up with ADSO-MS/FVA (paper & electronic versions available). Auditors exceeding their authority or failing to check in with the Sector Command Center will be removed from the program. Use your completed FVAA Worksheet’s Deficiency Summary to generate a report to submit as directed. Follow all the rules of the program. Participate in the Program?
Telephone & discuss with inspector: (510) 437-3141 Fax your report: 510-437-3114 E-Mail your report: CATHERINE.M.WALKER@USCG.MIL FVAAD11N@GMAIL.COM In Person: Schedule an appointment with an inspector In Person: Schedule an appointment with an inspector How Do I Follow Up An Audit?
Mail your report to: Domestic Vessel Inspection Branch Sector San Francisco Coast Guard Island, Bldg. 14 Alameda, CA 94501 Attn. Catherine Walker, ENS Sector Command Center #: (415) 399-3547 Essential Contact Info