Enclosure (1) to COMDTINST 16721.1
Covert audits should be used by the cognizant OCMI as a last resort for positive
verification that a course is not conforming to acceptable standards.
COAST GUARD ORGANIZATION FOR OVERSIGHT.
The OCMI of each field unit with an REC should assign one staff member to serve as the
person in charge of oversight operations under the direction of the chief of the REC. If
this is a civilian member, these duties should be reflected in the position descriptions and
core competencies. These duties include maintenance of case files, scheduling oversight
operations, preparation of post-oversight reports, and preparation of the annual report.
Each REC shall maintain a case file on each approved course controlled from within the
geographic area covered by the REC's operations. The case file should contain a copy of
the course's syllabus and other details as approved by the NMC, a copy of the approval
letter, designated examiners, and assessors approved for the course.
Because an REC's customer base does not cover the same geographic area as the parent
marine safety unit, an REC may have interests in marine personnel actions being
conducted within the area of responsibility of another OCMI. Close liaison between the
REC and the other marine safety unit is essential. Jurisdictional questions that cannot be
resolved at the local level, should be forwarded to the District Commander for resolution.
If the jurisdiction overlaps a district's boundaries, the decision may be referred to the
National Maritime Center for resolution.
The RECs that maintain a case file on a course actually taught in another OCMI's zone,
shall coordinate oversight operations with the OCMI in whose zone the course lies. The
actual oversight should be performed by a member of the OCMI in whose zone the course
is given if qualified personnel are available. Otherwise, the oversight may be performed
by personnel from the REC acting for the OCMI in whose zone the course is given.
The REC shall develop a schedule for carrying out the oversight as directed herein.
CONDUCT OF OVERSIGHT VISITS.
(1) Before conducting an administrative audit, the case file for the course must be studied
to determine the requirements for the course. The auditor should be familiar with
requirements for necessary training aids and simulators, the name(s) of the
instructor(s), type(s) of test(s) administered, other required assessments of practical
demonstrations, and class schedules.