This operational audit, for the period July 2003 through February 2005, and selected actions taken through May 1, 2005, focused on Department procedures and practices for the regulation of elevators.  We found that the Department has implemented a Web-based licensing system and, pursuant to legislative direction, has made significant changes in its regulatory approach.  The Department’s efforts in implementing these changes in operating approach were noteworthy.  However, significant improvements were needed in various aspects of the Department’s elevator safety regulatory program:

Finding No. 1:     The Department has adopted policies and procedures, including a manual entitled Inspection Oversight and Contract Monitoring Procedures.  However, our audit tests disclosed that the procedures and their application were in need of improvement.

Finding No. 2:     The Department’s Certified Elevator Inspector licensure records did not always contain evidence that all licensure requirements had been met.

Finding No. 3:     Various audit tests and analyses conducted during this audit disclosed significant data reliability and processing issues.

Finding No. 4:      The Department did not timely monitor local governments with delegated regulatory authority, nor had it established a related on-site monitoring methodology, including analysis and follow-up processes.

Finding No. 5:        It did not appear that the Department collected all elevator accident reports, and the accident reports that were received were often late and incomplete.  Additionally, the Department did not analyze the accident reports that were received.

The Secretary's complete response to the audit findings and recommendations is included in its' entirety in the audit report and may be viewed on the Auditor General Web site.