Enclosure (1) to COMDTINST 16721.1
1.
DISCUSSION.
Effective oversight is an essential element of verifying that a Coast Guard approved party is
maintaining the standards that led to the original approval. While courses are the most
frequently approved item requiring oversight, other parties will be approved to evaluate
applications, assess professional knowledge (either through examinations or practical
demonstrations), and perform other functions related to the mariner training and the issuance
of mariner's credentials. Any party approved or accepted to perform these functions will be
subject to Coast Guard oversight.
2.
TYPES OF OVERSIGHT ACTION.
a.
ANNNOUNCED ADMINISTRATIVE AUDIT. This audit is a periodic, in-depth, review
of all aspects of the party being audited.
b.
UNANNOUNCED ADMINISTRATIVE AUDIT. This audit is conducted in response to
complaints received or information from any source indicating that an approved/accepted
entity is not performing in accordance with standards. This audit is similar to the
announced administrative audit.
c.
INFORMAL VISIT. This is a routine visit of shorter duration than an announced
administrative audit and may be announced or unannounced. It provides a continuing
Coast Guard presence at a facility.
d.
OVER-THE-COUNTER CUSTOMER SURVEY. This survey usually consists of
informal questions about a mariner's impression of, and satisfaction with, a course. This is
a mechanism to determine from mariners who have attended a course their opinions and
recommendations about the course. Usually, it will be conducted at an REC when a
person applies for a credential. When applications are received by mail, it may also be
done by telephone. If continual negative comments are received about the same specific
course or about a training organization in general, enhanced oversight may be warranted.
e.
SURVEY TESTS. This oversight mechanism consists of administering a special test
module(s) to an applicant during an over-the-counter transaction. Modules are prepared
by NMC and will be distributed to RECs on request. The purpose of the test is to
determine the course's performance. These results shall not be used to justify denial of a
mariner's credential. The test answer sheet should identify the date of the test, date(s) of
the course, name of course, training institution, and instructor. The RECs may provide
feedback to training institutions about the results of survey testing, especially downward
trends of success at meeting learning objectives; however, the name(s) of those that were
tested will not be revealed.
f.
OFF-SITE INSPECTION. These inspections verify that the location where a course will
be taught meets the standards for space and comfort of the students and is conducive to
learning. These inspections are conducted for courses taught in locations remote from the
home location of the training institution.
g.
COVERT AUDIT. This is an audit conducted in such a manner that the entity being
audited does not know of the audit. It is usually conducted to determine if discrepancies
exist in the performance of a private entity.
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