[Federal Register Volume 63, Number 92 (Wednesday, May 13, 1998)]
[Proposed Rules]
[Pages 26566-26569]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-12659]
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DEPARTMENT OF TRANSPORTATION
Coast Guard
46 CFR Parts 1 and 10
[USCG-1998-3824]
RIN 2115-AF58
Maritime Course Approval Procedures
AGENCY: Coast Guard, DOT.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Coast Guard proposes to revise the regulations which
govern Maritime Course Approval Procedures, by streamlining the process
by which courses are submitted to and reviewed by the Coast Guard. We
also propose to add a mechanism to allow us to suspend or revoke
approvals for courses. Although the regulations govern training schools
with approved courses, only a methodology for course approval is
provided. Revising the regulations to include a mechanism for
withdrawal of approval will motivate schools to maintain a uniformly
high standard, improve compliance with course approval regulations, and
ultimately promote public safety.
DATES: Comments must reach the Docket Management Facility on or before
July 13, 1998.
ADDRESSES: You may mail comments to the Docket Management Facility,
(USCG-1998-3824), U.S. Department of Transportation, room PL-401, 400
Seventh Street SW., Washington, DC 20590-0001, or deliver them to room
PL-401, located on the Plaza Level of the Nassif Building at the same
address between 10 a.m. and 5 p.m., Monday through Friday, except
Federal holidays. The telephone number is 202-366-9329.
The Docket Management Facility maintains the public docket for this
rulemaking. Comments will become part of this docket and will be
available for inspection or copying at room PL-401, located on the
Plaza Level of the Nassif Building at the same address between 10 a.m.
and 5 p.m., Monday through Friday, except Federal holidays. You may
also access this docket on the Internet at http://dms.dot.gov.
FOR FURTHER INFORMATION CONTACT:
For questions about the docket, contact Ms. Paulette Twine, Chief,
Documentary Services Division, Department of
[[Page 26567]]
Transportation, telephone 202-366-9329. For questions about this
notice, contact Gerald Miante, Project Manager, National Maritime
Center (NMC), 703-235-0018.
SUPPLEMENTARY INFORMATION:
Request for Comments
The Coast Guard encourages you to submit written data, views, or
arguments. If you submit comments, you should include your name and
address, identify this notice (USCG-1998-3824) and the specific section
or question in this document to which your comments apply, and give the
reason for each comment. Please submit one copy of all comments and
attachments in an unbound format, no larger than 8\1/2\ by 11 inches,
suitable for copying and electronic filing to the DOT Docket Management
Facility at the address under ADDRESSES. If you want us to acknowledge
receiving your comments, please enclose a stamped, self-addressed
postcard or envelope.
The Coast Guard will consider all comments received during the
comment period.
The Coast Guard plans no public meeting. You may request a public
meeting by submitting a request to the address under ADDRESSES. The
request should include the reasons why a meeting would be beneficial.
If the Coast Guard determines that a public meeting should be held, it
will hold the meeting at a time and place announced by a later notice
in the Federal Register.
Background and Purpose
Regulations for merchant mariner course approvals have been in
place for several years and are found in 46 CFR part 10. Courses were
first approved for education mandated by regulation such as radar
observer, fire-fighting, and first aid. Courses were then approved for
formal training instead of required sea service for both renewal and
raise in grade of license or an endorsement, and to substitute for a
Coast Guard examination.
With the publication of a Focus Group Study, Licensing 2000 and
Beyond in 1993, the Coast Guard began approving courses to substitute
for certain modules of examination, especially for lower level
licenses. Now, with the implementation of the 1995 Amendments to the
International Convention on Standards of Training, Certification and
Watchkeeping for Seafarers, 1978 (STCW) of the International Maritime
Organization (IMO), requirements for basic entry-level education,
structured shipboard training programs, and specific assessment
protocols, the course approval burden has increased considerably.
Presently, the Coast Guard has approved in excess of 500 courses
presented by over 200 schools and the number is growing weekly. As part
of a Quality Standard System (QSS), Coast Guard Regional Examination
Centers (RECs) are charged with oversight of these widespread training
institutions.
The majority of schools consistently operate according to the
regulations governing course approvals. There are times, however, when
audits of a particular school show evidence of infractions ranging from
incomplete recordkeeping to major deficiencies dealing with examination
tampering, operating outside the conditions of the course approval, and
outright misrepresentation of course material. Some primary reasons for
suspending or revoking a course approval would include (but are not
limited to):
Failure to comply with the provisions of the course
approval.
Failure to comply with the provisions of parts 10, 12, 13
or 15 of Title 46, Code of Federal Regulations (46 CFR) especially Part
10, Subpart C.
Scheduling and teaching an approved course at a location
other than the site required in the application for approval and
authorized in the approval letter unless prior site approval is
requested of and granted by the Officer in Charge, Marine Inspection
(OCMI) of the Regional Exam Center in whose area of responsibility the
``remote site'' is located.
Not adhering to the approved length of the course; cutting
short instructional time on a daily or weekly basis. Substituting
``homework'' or ``preparation time,'' either on computer-based
questions or artificially drawn-out plotting exercises for quality
classroom instructional contact hours.
Using unqualified instructors, substandard facilities or
otherwise presenting the course in a manner that is not sufficient for
or conducive to achieving the learning objectives of the course.
Not giving a final (end-of-course) exam equal in scope and
difficulty to the Coast Guard exam for that particular license or
endorsement. Also, for not giving a final exam or a ``re-take'' exam
which is totally different than any homework, classroom ``practice
exercise'' or exam previously viewed by the student.
Issuing certificates of course completion to students who
have not demonstrated competency or who have not otherwise met the
course requirements.
Advertising, holding a course, or issuing certificates of
course completion to students as having passed a course of instruction
for which the school does not hold a valid Coast Guard approval.
Assisting a student in passing the final (end-of-course)
exam by either directly or indirectly providing any assistance
including, but not limited to, supplying answers, hinting at the
correct answer, grading and returning the exam for completion and
indicating that certain answers or choices are incorrect prior to
grading.
Giving a student a final (end-of-course) exam orally. The
authority to give an oral examination rests with the OCMI per 46 CFR
10.205.
Allowing a student to enroll or join the course after the
beginning of course instruction.
In order to prevent these infractions, and ensure the integrity of
Coast Guard approved courses, it is necessary to establish suspension,
revocation, and appeal provisions in our regulations.
Discussion of Proposed Rule
1. The Coast Guard proposes to amend section 10.302(a) to require
training organizations seeking course approval to submit course
packages to the Commanding Officer, National Maritime Center, (NMC)
directly rather than via the OCMI.
Amended paragraph (a) would also reflect that the title of the
Director, National Maritime Center has been changed to the Commanding
Officer, National Maritime Center.
At present, course packages are submitted to the OCMI who then
conducts a preliminary review of the course, including an inspection of
the proposed teaching facility and a review of instructor
qualifications. Upon completion of this preliminary review, the course
package is then forwarded to the NMC with the OCMI's recommendation for
approval or disapproval. The NMC then conducts its review of the course
and either issues or denies approval. Under the proposed rule, courses
will be submitted directly to the NMC, who will then direct the OCMI to
conduct an inspection of the teaching facility and evaluation of the
proposed instructors. This will allow the OCMI and NMC to conduct their
reviews concurrently thereby reducing the time between initial
submission of the course by the training organization and approval of
the course by the NMC.
Paragraph (a) would be amended to indicate that the Coast Guard now
approves training that satisfies regulatory requirements or that
substitutes for a Coast Guard
[[Page 26568]]
examination or a portion of a sea service requirement.
2. The Coast Guard proposes to amend section 10.302, paragraphs (c)
and (d), to add, in each paragraph, that approvals expire when a school
closes or when a school no longer offers the course.
3. The Coast Guard also proposes to add three paragraphs to section
10.302. New paragraph (e) would enumerate the conditions that allow the
NMC or OCMI to suspend a course approval. Approval may be suspended if
the Coast Guard determines that a specific course does not comply with
46 CFR Parts 10, 12, 13 or 15 or the requirements specified in the
course approval, if the course substantially deviates from the course
framework that was initially submitted for approval, or if the course
is presented in a manner that is not sufficient for, or conducive to,
achieving learning objectives. If such a determination is made, the
cognizant OCMI may suspend the approval, may direct the surrender of
the certificate of approval and/or direct the holder to cease claiming
the course is Coast Guard approved. In the event of suspension, the
cognizant OCMI will notify the approval holder in writing of the
impending suspension, and give them an opportunity to correct the
reasons for suspension. If the approval holder fails to correct the
reasons for suspension, the course will be suspended and the matter
referred to the Commanding Officer, NMC. Upon such suspension, the
Commanding Officer, National Maritime Center will notify the approval
holder that the course fails to meet applicable requirements and will
explain how those deficiencies can be corrected. The NMC may grant the
approval holder up to 60 days in which to correct the deficiencies.
New paragraph (f) would identify conditions that allow the
Commanding Officer, National Maritime Center to revoke an approval.
Approval(s) may be revoked for failure to correct deficiencies
identified by the Commanding Officer, National Maritime Center. The
Coast Guard may also revoke any or all course approvals held by an
approval holder if there has been a determination that the approval
holder has a demonstrated history of failure to comply with applicable
requirements of their course approvals. In such instances, the approval
holder has shown a clear disregard for the terms of their approval such
that it is reasonable to infer that they are not adhering to their
approval in any of their courses. This revocation would ensure the
integrity of Coast Guard approved training by revoking all approvals if
that approval holder's conduct is such that there is reasonable cause
to suspect that all training offered by that approval holder is not
being conducted in compliance with the Code of Federal Regulations or
the requirements of their course approvals. Course approvals can also
be revoked if there is a demonstrated history of substantial deviations
from course curricula or, presenting courses in a manner that is not
sufficient for, or conducive to, achieving learning objectives.
New paragraph (g) would outline the appeal procedure for any of the
above actions. Persons directly affected by a suspension or revocation
of an approval may appeal to the Commandant via the Commanding Officer,
National Maritime Center as provided for by 46 CFR Part 1.03-15.
Regarding appeals, 46 CFR 1.03-15(h)(3) and 1.03-45 would be
amended to reflect that the title of the Director, National Maritime
Center has been changed to Commanding Officer, National Maritime
Center, and would add language about appeals regarding suspension or
revocation of course approvals.
4. In addition, the Coast Guard proposes to amend section 10.303(e)
to require training organizations to submit change requests to approved
courses to the Commanding Officer, National Maritime Center (NMC-4B)
directly rather than via the OCMI.
Regulatory Evaluation
This proposed rule is not a significant regulatory action under
section 3(f) of Executive Order 12866 and does not require an
assessment of potential costs and benefits under section 6(a)(3) of
that Order. It has not been reviewed by the Office of Management and
Budget under that Order. It is not significant under the regulatory
policies and procedures of the Department of Transportation (DOT) (44
FR 11040; February 26, 1979). The Coast Guard expects the economic
impact of this proposed rule to be so minimal that a full Regulatory
Evaluation under paragraph 10e of the regulatory policies and
procedures of DOT is unnecessary.
Course approval suspensions, revocations, or expirations do not
impose specific requirements on any course holder that would cause an
economic effect. Rather, this rule establishes a standard enforcement
method for the rare number of course approval holders who do not comply
with applicable statutes, regulations, and the terms of course
approval.
Small Entities
Under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), the
Coast Guard considers whether this proposed rule, if adopted, would
have a significant economic impact on a substantial number of small
entities. ``Small entities'' include small businesses, not-for-profit
organizations that are independently owned and operated and are not
dominant in their fields, and governmental jurisdictions with
populations of less than 50,000.
The small entities affected by this rule are privately owned and
operated schools with one to several employees, community colleges, and
maritime labor union owned and operated schools. Suspension or
revocation of an approval for a course or courses depends on the nature
and severity of the infraction with the resultant loss of revenue for
the specific period.
However, we realize that most schools operate within the confines
of course approval regulations, guidelines and letters. This notice of
proposed rulemaking would provide a standard mechanism, in regulation,
for the rare instances when a school might deviate from those course
approval regulations, guidelines and letters. Also, this rule would
provide an opportunity for the approval holder to correct any
deficiencies prior to revocation.
Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that
this proposed rule, if adopted, will not have a significant economic
impact on a substantial number of small entities. If, however, you
think that your business or organization qualifies as a small entity
and that this proposed rule will have a significant economic impact on
your business or organization, please submit a comment (see Addresses)
explaining why you think it qualifies and in what way and to what
degree this proposed rule will economically affect it.
Assistance for Small Entities
In accordance with section 213(a) of the Small Business Regulatory
Enforcement Fairness Act of 1996 (Pub. L. 104-121), the Coast Guard
wants to assist small entities in understanding this proposed rule so
that they can better evaluate its effects on them and participate in
the rulemaking process. We will mail copies of the notice of proposed
rulemaking to all schools teaching approved courses to facilitate small
businesses' ability to respond with comments. If your small business or
organization is affected by this rule and you have questions concerning
its provisions or options for compliance
[[Page 26569]]
please contact Gerald Miante, 703-235-0018.
Collection of Information
This proposed rule contains no new collection-of-information
requirements under the Paperwork Reduction Act (44 U.S.C. 3501 et
seq.). Collection of information control number OMB 2115-0111 is
assigned to this section.
Federalism
The Coast Guard has analyzed this proposed rule under the
principles and criteria contained in Executive Order 12612 and has
determined that this proposed rule does not have sufficient federalism
implications to warrant the preparation of a Federalism Assessment.
Environment
The Coast Guard considered the environmental impact of this
proposed rule and concluded that under paragraph 2.B.2.e.(34)(a) of
Commandant Instruction M16475.1B, this proposed rule is categorically
excluded from further environmental documentation. A ``Categorical
Exclusion Determination'' is available in the docket for inspection or
copying where indicated under ADDRESSES.
List of Subjects
46 CFR Part 1
Administrative practice and procedure, Organization and functions
(Government agencies), Reporting and recordkeeping requirements.
46 CFR Part 10
Reporting and recordkeeping requirements, Schools, Seamen.
For the reasons discussed in the preamble, the Coast Guard proposes
to amend 46 CFR parts 1 and 10 as follows:
PART 1--ORGANIZATION, GENERAL COURSE AND METHODS GOVERNING MARINE
SAFETY FUNCTIONS
1. The authority citation for part 1 continues to read as follows:
Authority: 5 U.S.C. 552; 14 U.S.C. 633; 46 U.S.C. 7701; 49 CFR
1.45, 1.46; Sec. 1.01-35 also issued under the authority of 44
U.S.C. 3507.
2. In Sec. 1.03-15, revise paragraph (h)(3) to read as follows:
Sec. 1.03-15 General.
* * * * *
(h) * * *
(3) Commanding Officer, National Maritime Center, for appeals
involving vessel documentation issues and suspension or revocation of
course approvals.
* * * * *
3. Revise Sec. 1.03-45 to read as follows:
Sec. 1.03-45 Appeals from decisions or actions involving documentation
of vessels and suspension or revocation of course approvals.
Any person directly affected by a decision or action of an officer
or employee of the Coast Guard acting on or in regard to the
documentation of a vessel under part 67 or suspension or revocation of
course approvals under part 10 of this chapter, may make a formal
appeal of that decision or action to the Commandant (G-MO) via the
Commanding Officer, National Maritime Center, in accordance with
procedures contained in Secs. 1.03-15 through 1.03-25 of this subpart.
PART 10--LICENSING OF MARITIME PERSONNEL
4. The authority citation for part 10 continues to read as follows:
Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110; 46 U.S.C.
Chapter 71; 46 U.S.C. 7502, 7505, 7701; 49 CFR 1.45, 1.46; Sec.
10.107 also issued under the authority of 44 U.S.C. 3507.
5. In Sec. 10.302, in paragraphs (c) and (d), immediately preceding
the words ``or on the date of'', add the words ``when the school
closes, when the school no longer offers the course,''; revise
paragraph (a) introductory text; and add paragraphs (e), (f), and (g)
to read as follows:
Sec. 10.302 Course approval.
(a) The Coast Guard approves courses satisfying regulatory
requirements and those that substitute for a Coast Guard examination or
a portion of a sea service requirement. The owner or operator of a
training school desiring to have a course approved by the Coast Guard
shall submit a written request to the Commanding Officer, National
Maritime Center, NMC-4B, 4200 Wilson Boulevard, Suite 510, Arlington,
VA 22203-1804, that contains:
* * * * *
(e) Suspension of approval. If the Coast Guard determines that a
specific course does not comply with the provisions of 46 CFR parts 10,
12, 13 or 15, or the requirements specified in the course approval; or
substantially deviates from the course curriculum package as submitted
for approval; or if the course is being presented in a manner that is
insufficient to achieve learning objectives; the cognizant OCMI may
suspend the approval, may require the holder to surrender the
certificate of approval, if any, and may direct the holder to cease
claiming the course is Coast Guard approved. The cognizant OCMI will
notify the approval holder in writing of its intention to suspend the
approval and the reasons for suspension. If the approval holder fails
to correct the reasons for suspension, the course will be suspended and
the matter referred to the Commanding Officer, National Maritime
Center. The Commanding Officer, National Maritime Center, will notify
the approval holder that the specific course fails to meet applicable
requirements, and explain how those deficiencies can be corrected. The
Commanding Officer, National Maritime Center may grant the approval
holder up to 60 days in which to correct the deficiencies.
(f) Revocation of approval. (1) The Commanding Officer, National
Maritime Center may revoke approval for any course when the approval
holder fails to correct the deficiency(ies) of a suspended course
approval within a time period allowed under paragraph (e) of this
section.
(2) The Commanding Officer, National Maritime Center may revoke
approval of any or all courses by an approval holder upon a
determination that the approval holder has demonstrated a pattern or
history of:
(i) Failing to comply with the applicable regulations or the
requirements of course approvals;
(ii) Substantial deviations from their approved course curricula;
or
(iii) Presenting courses in a manner that is insufficient to
achieve learning objectives.
(g) Appeals of suspension and revocation of approval. Anyone
directly affected by a decision to suspend or revoke an approval may
appeal the decision to the Commandant via the Commanding Officer,
National Maritime Center, as provided in Sec. 1.03-45 of this chapter.
6. In Sec. 10.303, revise paragraph (e) to read as follows:
Sec. 10.303 General standards.
* * * * *
(e) Not change its approved curriculum unless approved, in writing,
after the request for change has been submitted in writing to the
Commanding Officer, National Maritime Center (NMC-4B).
* * * * *
Dated: April 13, 1998.
Joseph J. Angelo,
Acting Assistant Commandant for Marine Safety and Environmental
Protection.
[FR Doc. 98-12659 Filed 5-12-98; 8:45 am]
BILLING CODE 4910-15-M