Summary

This operational audit, for the period March 1, 2005, through February 28, 2007, focused on following up on the findings and recommendations included in audit report No. 2006-075, Elevator Safety Inspections.  We found that, generally, the Department has made progress in implementing the recommendations made in our prior audit report, except as noted below:

Finding No. 1:   In our prior audit, we recommended that the Department amend its written policies and procedures to facilitate more effective oversight of elevator safety inspections.  Our current audit disclosed that the Department had made progress toward resolving these issues; however, written policies and procedures had not been adopted as of May 2007. 

Finding No. 2:   In our prior audit, we recommended that the Department improve monitoring of the five local governments to which elevator safety responsibilities had been delegated.  Inquiries during our current audit indicated that the Department made monitoring visits to only two of the five local governments.  Also, the monitoring visits completed did not include a review of accident reports and investigations.  We also found that although Department staff indicated that they had reviewed the local governments’ monthly activity reports, the Department did not maintain documentation of such reviews.

Finding No. 3:   In our prior audit, we recommended that the Department take actions to encourage the timely submission of complete accident reports.  We also recommended that the Department analyze the accident report information received and implement strategies or regulatory actions to minimize the risk of accidents.  We found in our current audit that the Department did take some actions to encourage certificate of operation holders to submit timely and complete accident reports.  However, we found that the Department was not enforcing a statutorily required fine for failure to submit timely accident reports, and the Department was not utilizing information in accident reports to determine trends and related regulatory responses.

The Secretary's response is included at the end of this report as Appendix A.