USCG Auxiliary District 11 Northern Region. USCG K-9 Team Protects Ferry Boat.

USCG Auxiliary USCG Auxiliary District 11 Northern RegionDistrict 11 Northern Region

USCG K-9 Team Protects Ferry Boat

USCG Sector San Francisco USCG Sector San Francisco Inspections DepartmentInspections Department

Michael DeVolld, LTMichael DeVolld, LTMarine InspectorMarine Inspector

USCG Auxiliary USCG Auxiliary District 11 NorthDistrict 11 North

Ferry Vessel Ferry Vessel Auxiliary Audit Auxiliary Audit

ProgramProgram

Program has been in existence since 2001 here in Program has been in existence since 2001 here in San Francisco.San Francisco.

A force multiplier by putting more USCG eyes and A force multiplier by putting more USCG eyes and ears on the water.ears on the water.

Keeps operators honest.Keeps operators honest.

Has been supervised by the Inspections Branch since Has been supervised by the Inspections Branch since 2005.2005.

What is the Ferry Vessel Audit Program?

Under the direction and guidelines of the US Coast Under the direction and guidelines of the US Coast Guard's Domestic Inspection Team, qualified Auxiliary Guard's Domestic Inspection Team, qualified Auxiliary Auditors provide regularly scheduled safety and Auditors provide regularly scheduled safety and security audits of our district's large passenger ferry security audits of our district's large passenger ferry vessels that serve the San Francisco Bay Region. The vessels that serve the San Francisco Bay Region. The data collected during each audit, which includes audit data collected during each audit, which includes audit worksheets, and/or image data, are compiled by the worksheets, and/or image data, are compiled by the Coast Guard, for internal use.Coast Guard, for internal use.

The Ferry Vessel Audit Program

You will understand who administers the ProgramYou will understand who administers the Program

You will become aware of proper proceduresYou will become aware of proper procedures

You will know what completed forms are expectedYou will know what completed forms are expected

You will be able to request an Assignment to DutyYou will be able to request an Assignment to Duty

You will get to rehearse using the WorksheetYou will get to rehearse using the Worksheet

About This Training

LT Michael DeVolldLT Michael DeVolld, USCG (District 11), USCG (District 11)

ENS Catherine WalkerENS Catherine Walker, USCG (District 11), USCG (District 11)

Sue FrySue Fry, Auxiliary DSO-MS (D11N), Auxiliary DSO-MS (D11N)

Abigail WaggAbigail Wagg, Auxiliary Immediate Past ADSO-MS/FVA, Auxiliary Immediate Past ADSO-MS/FVA

Ronald SmithRonald Smith, Auxiliary ADSO-MS/FVA (D11N), Auxiliary ADSO-MS/FVA (D11N)

Program Administrators

LT Michael DeVolldLT Michael DeVolld, USCG (District 11), USCG (District 11)

ENS Catherine WalkerENS Catherine Walker, USCG (District 11), USCG (District 11)

Sue FrySue Fry, Auxiliary DSO-MS (D11N), Auxiliary DSO-MS (D11N)

Abigail WaggAbigail Wagg, Auxiliary Immediate Past ADSO-MS/FVA, Auxiliary Immediate Past ADSO-MS/FVA

Ronald SmithRonald Smith, Auxiliary ADSO-MS/FVA (D11N), Auxiliary ADSO-MS/FVA (D11N)

Your Name HereYour Name Here, Auxiliary, Ferry Vessel Auxiliary Auditor, Auxiliary, Ferry Vessel Auxiliary Auditor

Program Administrators

All attendees receive a Certificate of AccomplishmentAll attendees receive a Certificate of Accomplishment

Audit partners of 2 are now encouragedAudit partners of 2 are now encouraged

Audit Worksheet Format Revised and UpdatedAudit Worksheet Format Revised and Updated

Workshop Training Presentation Revised/AppendedWorkshop Training Presentation Revised/Appended

Receiving an Assignments to Duty is mandatoryReceiving an Assignments to Duty is mandatory

7029 & 7030 Submission Training Included and more7029 & 7030 Submission Training Included and more

Program Update

Email Request for an Assignment to Duty to do AuditsEmail Request for an Assignment to Duty to do Audits

Completed Ferry Vessel Auxiliary Audit WorksheetsCompleted Ferry Vessel Auxiliary Audit Worksheets

Generate an Audit Report from Deficiency SummaryGenerate an Audit Report from Deficiency Summary

YOU must Update YOUR own 7029 (Submit to FSO-IS)YOU must Update YOUR own 7029 (Submit to FSO-IS)

Filing a 7030 FormFiling a 7030 Form

Getting competed Worksheets turned in.Getting competed Worksheets turned in.

The Five Submitted Forms

Choose YOUR best time for conducting audit activitiesChoose YOUR best time for conducting audit activities

Use ferry schedules to identify best departure optionsUse ferry schedules to identify best departure options

Send email to the ADSO-MS/FVA with your audit planSend email to the ADSO-MS/FVA with your audit plan

Assignment to Duty issued if no conflicts are foundAssignment to Duty issued if no conflicts are found

Stick to your commitment or cancel as early as possibleStick to your commitment or cancel as early as possible

Assignment to Duty

Read the Guidelines on the WorksheetRead the Guidelines on the Worksheet

Overview of each section of the WorksheetOverview of each section of the Worksheet

Discuss the Worksheet audit itemsDiscuss the Worksheet audit items

Explain how to properly mark the findings during auditsExplain how to properly mark the findings during audits

Demonstrate how to use the Deficiency Summary (Report)Demonstrate how to use the Deficiency Summary (Report)

Proper Procedures & Practice

The Audit Worksheet (Front)

The Audit Worksheet (Back)

The Audit Worksheet (Imagery)

The Audit Worksheet (Title Block)

Complete the Complete the information on the information on the Name of Vessel and Name of Vessel and Date/Time of Date/Time of departure from the departure from the dockdock

The Audit Worksheet (Name/Phone)

You You MUSTMUST list the list the names of both names of both auditors on a team auditors on a team assignment. Include assignment. Include contact numbers so contact numbers so the Inspectors can the Inspectors can call you for details call you for details when questions arise when questions arise about a report you about a report you submitted.submitted.

Proper Proper Tropical Blue Tropical Blue or or ODUODU uniform uniform and cover are required to conduct auditsand cover are required to conduct audits

The Audit Worksheet (Back Revisited)

44. Auditors can conduct audits wearing any 44. Auditors can conduct audits wearing any Auxiliary uniform shown in the AUXMAN.Auxiliary uniform shown in the AUXMAN.

a. Truea. True

b. False.b. False.

The Audit Worksheet (Name/Phone)

This portion of the form This portion of the form is for Sector use only.is for Sector use only.

We’ll keep track of We’ll keep track of what we did and give what we did and give feedback to the ADSO-feedback to the ADSO-MS/FVA.MS/FVA.

The Audit Worksheet (Title Block)

Ordinarily, your Audit Ordinarily, your Audit Type will just be marked Type will just be marked as a as a RANDOMRANDOM Type. Type. Sector may request a Sector may request a specific, specific, TARGETEDTARGETED, , ferry vessel be audited. ferry vessel be audited. Special circumstances Special circumstances will also be described will also be described within the details of your within the details of your Assignment to Duty Assignment to Duty

An example of an An example of an OperatorOperator would be would be Red Red & White Fleet & White Fleet and and Bay Cruise Bay Cruise the the RouteRoute..

The Audit Worksheet (Header)

““Remember, you are our eyes and ears Remember, you are our eyes and ears so we need to know who you are.”so we need to know who you are.”

~ To Be Determined~ To Be Determined

The Audit Worksheet (Use)

Explain references to 49 CFR Explain references to 49 CFR Subchapter K and Subchapter TSubchapter K and Subchapter T

CFRs refer to a volume of books CFRs refer to a volume of books called the Code of Federal called the Code of Federal Regulation (Administrative Law)Regulation (Administrative Law)

Discrepancies discovered during Discrepancies discovered during audits must be reported to Domestic audits must be reported to Domestic Inspections.Inspections.

““Auditor’s audit things not people.”Auditor’s audit things not people.”

Regulation citations on the Regulation citations on the Worksheet are provided for auditor Worksheet are provided for auditor informational use only.informational use only.

Discrepancy or Compliance

The Audit Guidelines

The Worksheet The Worksheet GUIDELINES GUIDELINES remind everyone remind everyone what needs to be what needs to be done. The audit done. The audit Worksheet isn’t Worksheet isn’t finished until all finished until all checkboxes are checkboxes are marked.marked.

The Audit Worksheet (Confidential Rule)

Develop sincere rapport with passengers Develop sincere rapport with passengers and crew; become a good listener/observer.and crew; become a good listener/observer.

If people ask what If people ask what you are doing state you are doing state you are performing you are performing a Ferry Vessel a Ferry Vessel Auxiliary Audit. Auxiliary Audit. Do Do not talk about your not talk about your audit findings. audit findings. Instead, talk about Instead, talk about the local landmarks the local landmarks and ferry schedule.and ferry schedule.

The Audit Worksheet (More Guidelines)

Read the audit Read the audit Worksheet Worksheet Guidelines often Guidelines often and before each and before each audit to audit to stay within stay within the boundaries the boundaries of of being a qualified being a qualified and competent and competent Ferry Vessel Ferry Vessel Auxiliary AuditorAuxiliary Auditor..

The Audit Worksheet (Last Guideline)

The phone number The phone number to Sector should be to Sector should be in your cellular in your cellular phonephone before before commencing with commencing with audits. audits. Also add Also add the direct phone the direct phone numbers of local numbers of local emergency emergency servicesservices..

Having a mobile phone is not a Having a mobile phone is not a requirement to conduct audits.requirement to conduct audits.

Checking-in with Sector is Checking-in with Sector is required. required.

The Audit Worksheet (Layout)

Your Name, the VESSEL name. Writing Date/Time and Route Your Name, the VESSEL name. Writing Date/Time and Route are also helpful for submitting Worksheets by FAX or Email.are also helpful for submitting Worksheets by FAX or Email.

The Audit Worksheet (Citations)

Worksheet Worksheet CFR cites CFR cites are are offered here offered here for your home for your home study learning. study learning. They give the They give the location of location of where the where the regulations are regulations are found.found.

The Audit Worksheet (Checkboxes)

Worksheet Worksheet checkboxes checkboxes are the are the simply way of simply way of noting your noting your observations. observations. Check one Check one box per line box per line item during item during an audit.an audit.


PP – Simply make a mark in – Simply make a mark in the open checkbox under the open checkbox under the letter the letter PP column, if the column, if the observed item satisfactorily observed item satisfactorily PASSED your auditPASSED your audit


UU – UNABLE to locate or – UNABLE to locate or item not observeditem not observed


NN – NOT auditable / NOT – NOT auditable / NOT applicableapplicable


FF – Indicates a FAILED – Indicates a FAILED audit or make a mark in this audit or make a mark in this box in order to indicate a box in order to indicate a Discrepancy Discrepancy was found; was found; You must explain each You must explain each issue in the issue in the Deficiency Deficiency Summary Summary section of the section of the Worksheet, located on the Worksheet, located on the last page.last page.

The Audit Worksheet (General Section)

The Audit Worksheet (General Section)

Ferry Vessel Auxiliary Auditors Ferry Vessel Auxiliary Auditors ““EmbarkEmbark” on and ” on and DisembarkDisembark off off ferry vessels. Do not use ferry vessels. Do not use variations of the word “Boarding.”variations of the word “Boarding.”

The Audit Worksheet (Vessel Condition)


Check that the lighting systems is working. Check that the lighting systems is working. Any lights burned out? Note any parts of Any lights burned out? Note any parts of the vessel not properly illuminated. the vessel not properly illuminated.


Take a quick look at the Take a quick look at the survival craft. Do not survival craft. Do not handle this equipment. handle this equipment. You should be able to tell if You should be able to tell if it looks damaged, has an it looks damaged, has an annual service sticker (only annual service sticker (only if inflatable) and it should if inflatable) and it should be stowed to float free or be stowed to float free or have a hydrostatic release. have a hydrostatic release. Don’t worry if you aren’t Don’t worry if you aren’t familiar with this familiar with this equipment.equipment.


These are housekeeping These are housekeeping items. The vessel should items. The vessel should be clean and well kept. be clean and well kept. You can have a seat. You can have a seat. Boxes, chairs, strollers, Boxes, chairs, strollers, bicycles, and baggage bicycles, and baggage may obstruct aisles. may obstruct aisles. Storage of cargo can also Storage of cargo can also block emergency exits in block emergency exits in the passenger areas. the passenger areas.


Take a quick look at Take a quick look at lifejacket storage bins. lifejacket storage bins. The bins should be clearly The bins should be clearly marked. Breakable marked. Breakable security tags are used to security tags are used to allow immediate access if allow immediate access if emergency. Don’t handle emergency. Don’t handle the lifesaving gear and the lifesaving gear and don’t touch the security don’t touch the security tags. Missing security tags. Missing security tags are a Deficiency tags are a Deficiency which must be recorded.which must be recorded.

Example of Security Tags In Use


Life jackets or life vests are Life jackets or life vests are personal flotation devices personal flotation devices (PFD). A “Donning (PFD). A “Donning Placard,” conspicuously Placard,” conspicuously posted, shows everyone posted, shows everyone how to put one on in an how to put one on in an emergency.emergency.


Life ring are designed to Life ring are designed to float and be very visible in float and be very visible in the water. Life Rings must the water. Life Rings must be replaced if damaged or be replaced if damaged or worn. They can be worn. They can be observed adjacent to the observed adjacent to the wheelhouse. These floats wheelhouse. These floats typically hung on a rack typically hung on a rack and are never fastened in and are never fastened in place. place.

Do not touch these as they may be Do not touch these as they may be fitted with other emergency gear.fitted with other emergency gear.


Ground Tackle includes Ground Tackle includes observing the condition of observing the condition of the mooring lines, dock the mooring lines, dock and deck fittings. Also and deck fittings. Also included is the anchor and included is the anchor and the rigging. the rigging.



Check the firefighting Check the firefighting items visually. Look for items visually. Look for obvious missing parts, or obvious missing parts, or disconnected hoses. disconnected hoses. Extinguishers have a tag Extinguishers have a tag that indicates the last that indicates the last service date. They are service date. They are serviceable for up to one serviceable for up to one year from that date.year from that date.


The Audit Worksheet (Communications)

Anything that doesn’t seem Anything that doesn’t seem right should be documented in right should be documented in

your notes. Generally these are your notes. Generally these are not immediate safety threats.not immediate safety threats.

If you are interior of the If you are interior of the vessel or on the stern vessel or on the stern you might not hear any you might not hear any sound signals even if the sound signals even if the whistle is used.whistle is used.


You should listen for any You should listen for any whistle signals from the whistle signals from the vessel. Auditors try to vessel. Auditors try to observe this to confirm the observe this to confirm the whistle is working.whistle is working.

If you do not hear any If you do not hear any sounds from the whistle sounds from the whistle during your audit, mark during your audit, mark UU unless you know for sure unless you know for sure it isn’t operable; it isn’t operable; FF


Anything that doesn’t seem right Anything that doesn’t seem right should be documented in your should be documented in your notes. Generally these are not notes. Generally these are not

immediate safety threats.immediate safety threats.

If you are interior of the If you are interior of the vessel or on the stern you vessel or on the stern you might not hear this even if might not hear this even if the whistle is used.the whistle is used.


Passenger ferry vessels make a safety announcement prior Passenger ferry vessels make a safety announcement prior to getting underway. It is important that you let us know if to getting underway. It is important that you let us know if this wasn’t done, was inadequate, or difficult to hear.this wasn’t done, was inadequate, or difficult to hear.

The Audit Worksheet (Pollution)

Please let us know immediately if you actively witness water Please let us know immediately if you actively witness water pollution or a spill. If you smell anything that seems like pollution or a spill. If you smell anything that seems like excessive oil or sewage, put that in your notes. This may help excessive oil or sewage, put that in your notes. This may help us get a better idea of the vessel’s maintenance program.us get a better idea of the vessel’s maintenance program.

Look for general “No Look for general “No pollution” signs or pollution” signs or placards. Some placards. Some specific oil pollution specific oil pollution placards may be in the placards may be in the engine room where you engine room where you won’t see them. Just won’t see them. Just check to see if the check to see if the vessel has put up signs vessel has put up signs reminding people not to reminding people not to pollute.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 You should be informed via a sign what level of security is in effect and that you may be subject to a search or in effect and that you may be subject to a search or screening. Did you see a sign anywhere on the vessel or at screening. Did you see a sign anywhere on the vessel or at the pier about this?the pier about this?


Some spaces and areas are designated as Crew Only or Some spaces and areas are designated as Crew Only or Restricted. These should be plainly marked. In general if a Restricted. These should be plainly marked. In general if a

space is off limits, it should be marked as restricted. The space is off limits, it should be marked as restricted. The wheelhouse should be restricted, as well as the engine wheelhouse should be restricted, as well as the engine

room. Did you see these signs? Please note, you cannot room. Did you see these signs? Please note, you cannot ask the vessel for the lists of their restricted areas.ask the vessel for the lists of their restricted areas.

Restricted Spaces

Restricted Areas

Restricted Spaces

Restricted Access

Restricted Areas


These rules are complex and subject to many policy These rules are complex and subject to many policy decisions. Check to see if spaces are secured with a device decisions. Check to see if spaces are secured with a device that will easily show if they’ve been accessed or if they are 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 swept by the crew. Don’t tell the crew to remove security devices. If you think a security measure is unsafe, note the devices. If you think a security measure is unsafe, note the issue on in your email report.issue on in your email report.

Locks

Is this doorway properly Is this doorway properly secured? secured?


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.


Please let us know what sort of “security screening” you Please let us know what sort of “security screening” you saw done. Was it handled professionally? Did the person saw done. Was it handled professionally? Did the person doing it seem to be well trained? Did any passengers react doing it seem to be well trained? Did any passengers react negatively to the screening? How was that handled by the negatively to the screening? How was that handled by the crew? crew? Do not inquire about the vessel’s security planDo not inquire about the vessel’s security plan..

The Audit Worksheet (Structural)


This whole category basically wants you to use common This whole category basically wants you to use common sense and report anything that looks like damage. Was sense and report anything that looks like damage. Was there a section that looked newer than the rest? Any work there a section that looked newer than the rest? Any work being done?being done?


The requirements for deck railing is rather specific. Don’t The requirements for deck railing is rather specific. Don’t worry too much about the specific size or spacing. Let us 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 know if recent repairs were done or if the rail looks like it has lost structural integrity (either due to corrosion or damage). lost structural integrity (either due to corrosion or damage).

The Administrative Process --The Administrative Process --

Follow ALL Guidelines on the WorksheetsFollow ALL Guidelines on the Worksheets

Upon Arrival at the ferry terminal dock, call Sector San Upon Arrival at the ferry terminal dock, call Sector San Francisco’s Command Center to announce you intend Francisco’s Command Center to announce you intend to being your pre-approved audit activities.to being your pre-approved audit activities.

Make comments in the Deficiency Section of the Make comments in the Deficiency Section of the Worksheet.Worksheet.

Starting A Ferry Vessel Auxiliary Audit

Completing An Audit

New Administrative Process --New Administrative Process --

Call Sector Command Center when you are finished Call Sector Command Center when you are finished auditing and leaving the waterfront.auditing and leaving the waterfront.

For immediate safety concerns or serious problems, For immediate safety concerns or serious problems, make a private call to the Sector Command Center at make a private call to the Sector Command Center at (415) 399-3547.(415) 399-3547.

Submit your completed audit worksheets to ENS Submit your completed audit worksheets to ENS Catherine Walker, Domestic Inspections.Catherine Walker, Domestic Inspections.

Feedback may be provided by Domestic Inspectors.Feedback may be provided by Domestic Inspectors.

Auditors must always be prepared to pay for each transit Auditors must always be prepared to pay for each transit unless the company insists on covering the costs. The unless the company insists on covering the costs. The USCG will no longer reimburse auditors for anything paid USCG will no longer reimburse auditors for anything paid out of pocket in the pursuit of the Program.out of pocket in the pursuit of the Program.

Courtesy and Policy

Attend this formal training as a trainee or as a refresherAttend this formal training as a trainee or as a refresher

Sign up with ADSO-MS/FVA (paper & electronic versions Sign up with ADSO-MS/FVA (paper & electronic versions available).available).

Auditors exceeding their authority or failing to check in with Auditors exceeding their authority or failing to check in with the the Sector Command CenterSector Command Center will be removed from the will be removed from the program.program.

Use your completed FVAA Worksheet’s Deficiency Use your completed FVAA Worksheet’s Deficiency Summary to generate a report to submit as directed.Summary to generate a report to submit as directed.

Follow all the rules of the program.Follow all the rules of the program.

Participate in the Program?

Telephone & discuss with inspector: Telephone & discuss with inspector: (510) 437-3141(510) 437-3141

Fax your report:Fax your report:510-437-3114510-437-3114

E-Mail your report:E-Mail your report:[email protected]@[email protected]@GMAIL.COM

In Person:In Person:Schedule an appointment Schedule an appointment

with an with an inspector inspector

How Do I Follow Up An Audit?

Mail your report to:Mail your report to:

Domestic Vessel Inspection Branch Domestic Vessel Inspection Branch Sector San Francisco Sector San Francisco Coast Guard Island, Bldg. 14 Coast Guard Island, Bldg. 14 Alameda, CA 94501 Alameda, CA 94501 Attn. Catherine Walker, Attn. Catherine Walker, ENSENS

Sector Command Center Sector Command Center #: #: (415) 399-3547(415) 399-3547

Essential Contact Info

Any Questions?Any Questions?

USCG Auxiliary District 11 Northern Region. USCG K-9 Team Protects Ferry Boat.

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Transcript of USCG Auxiliary District 11 Northern Region. USCG K-9 Team Protects Ferry Boat.