Mariner Licensing & Documentation Program

Mariner Licensing & Documentation Program
MERPAC Meeting September 18 – 19, 2003 Houston, TX CDR Dave Dolloff Chief, Marine Personnel Division, NMC Mr. Doug Perkins Potomac Management Group, Inc.

MERPAC Meeting Objectives
Reorganization proposal briefing Discussion (pros & cons) Evaluation / formal feedback Feedback on the feedback

MLD Mission Ensure mariners are competent and meet domestic and international standards Provide high quality service to the maritime industry in general and to merchant mariners in particular

Services Performed Evaluations of professional qualifications
Examinations Safety & security screening / evaluation Issue licenses / documents / STCW certificates / Certificates of Registry Course approval Training organization oversight Quality Standards System approval

Services Performed STCW implementation International representation
Mariner service & personnel record maintenance WWII Merchant Mariner Veterans

MLD Chain of Command Note that there is no direct chain of command from the RECs to the NMC

Typical MSO/REC Organization
RECs are each a department within a Marine Safety Office that works for the CO/OCMI

REC Locations The MLD program dates from 1851, when we began issuing licenses to merchant mariners. Our current system of REC’s dates from Only 17 of our MSO’s have REC’s associated with them. In addition to the RECs shown here, we have satellite stations in Guam, Hampton Roads, Ketchikan and San Juan. 17 RECs They vary in: Size Workload Staffing Civilian / military mix Organization

Yearly Over 56,000 issued credentials
Nearly $8 Million in user fees collected

Steady Workload Increase (Number of Licenses Issued Per Year)

Steady Workload Increase (Number of MMDs Issued Per Year)

Steady Workload Increase (Number of Approved Courses By Year)

Initiatives Since 1990 User fees / user fee reconciliation OPA 90
Drug testing Renewable MMDs National Driver Register check Tankerman MMLD / MID Towing vessel regulations Course in lieu of exam

STCW International Convention on Standards of Training, Certification and Watchkeeping for Seafarers
New credential New evaluation criteria Additional mariner training & assessments to review

Total STCW Certificates

Post-September 11th Additional MLD program requirements
Strict compliance with oath, identity & nationality regulatory requirements Enhanced mariner safety & security screening Transportation Workers Identification Card (TWIC)

The Result Customers complaining of – Slow service Inconsistency
Unresponsiveness REC staffs overworked

The Bottom Line Given the current organization and business processes, there are not enough people to meet current and future customer expectations

Past Efforts 1998 Licensing Re-engineering Team (LRT)
Major effort recommending: Closing the RECs Centralizing REC functions Using 3rd Parties Establishing Marine Personnel Specialists at MSOs Not implemented

Past Efforts 2000 Centers of Excellence Proposal
Shifting billets to existing RECs (New Orleans, Seattle, Baltimore) Shifting of evaluations Improving business processes Using 3rd parties Not implemented

Internal Actions Action Workout STCW / REC Surge Ops Visits to RECs
Review of local processes / procedures New forms Job aids (checklists) Information packages Local data base STCW / REC Surge Ops Close monitoring of: Backlogs Staffing Workload Area / District involvement New equipment Civilian overtime Interim policy changes Tiger teams

Action Workout / Surge Ops
Both were helpful Not enough to overcome chronic problems of inconsistency, inefficiency and insufficient resources Program needs now much better understood

MMD Security Initiatives
Centralized mariner safety & security screening and evaluation New staff and function at NMC Close monitoring of: Backlogs Staffing Workload Area / District involvement New equipment Civilian overtime Policy / regulatory changes Tiger teams at 14 RECs

Change is Necessary The Goal
Organize the MLD Program to be responsive to current and future needs Improve customer service and achieve consistency through technology and efficiency measures

Change is Necessary The Challenge
Design and implement an MLD Program that: Maintains face-to-face contact with mariners Meets customer expectations and needs Incorporates technology & measures of efficiency Prepares for anticipated new tasks Meets new security requirements

Planning for the Future
Enlist professional consulting services to assist with analysis and planning Consult with internal and external stakeholders Develop comprehensive reorganization plan by November 2003

Mariner Licensing & Documentation Business Process Reengineering Workshop
August , Quantico, VA Representatives from: Regional Examination Centers National Maritime Center Marine Industry Identified: REC Processes Strengths & Weakness Goals & Standards Alternatives Quantico BPR Workshop was first step in our effort to examine licensing and documentation program to identify ways to reorganize the work at RECs to meet the challenges that CDR Dolloff addressed a few moments ago. Participants included-- --14 REC personnel representing various ports and different REC positions including SIPs, evaluators, exam administrators, and clerks --NMC personnel—knowledgeable of policy requirements --Industry reps-- Capt. Andy McGovern (MERPAC) Capt. Ken Dawson (MERPAC) Capt. Chuck Pillsbury (SOCP) Identified processes performed at RECs - everything from internal admin thru printing credentials Assessed Strengths & Weaknesses of each process Established Goals & Standards for each process Explored alternatives for HOW REC processes could be performed to leverage technology, increase efficiency. and maximize customer service.

19 REC Processes 1. Perform REC management 2. Train REC personnel
3. Respond to public inquires 4. Conduct public education 5. Assist OCMI with determining vessel manning levels 6. Receive applications 7. Collect user fees 8. Evaluate mariner sea-service experience and training 9. Evaluate mariner medical fitness 10. Evaluate drug test results 11. Evaluate mariner character 12. Process mariner appeals / denials 13. Develop local license policies and local exams 14. Administer examinations 15. Produce mariner licenses / certificates of registry 16. Produce mariner documents 17. Produce STCW endorsements 18. Maintain mariner professional records 19. Conduct oversight of maritime training courses 19 REC processes listed on slide. Most are self explanatory. Most directly relate to mariners’ interactions with the RECs, with only two exceptions: 2. Train REC personnel 5. Assist OCMI w/ determining vessel manning levels Few that may need some explanation: 1. REC management (office hours, personnel management) Respond to public inquires (answer general inquiries on MLD process, licensing requirements, and also specifics about application status) Conduct public education (outreach to schools, industry groups, etc.) OCMI—REC personnel are requested to give input to OCMI on vessel manning issues due to knowledge of mariner qualifications as reflected in licensing regulations, STCW, etc.

SIP Conference September 9, 2002 NMC Agenda:
Validated REC process strengths & weaknesses Evaluated which processes most need to be addressed Identified options to improve processes As a follow up to the MLD BPR, we met with the Senior Inspectors of Personnel – the folks who run the RECs and asked them to: Review and validate the REC processes strengths and weaknesses Evaluated which processes most need to be addressed to improve overall REC functionality Identified options to improve processes

Involving Industry & Stakeholders
STCW Workgroup Sep 4 - 5, 2002 SOCP Conference Oct 16, 2002 PVA Conference Oct 21, 2002 Gulf Coast Users Meeting Dec 3, 2002 Agenda: Identified customer service expectations Discussed current performance Evaluated importance & performance Identified options to meet expectations STCW – MITAGS Small working group (people) 6-7 reps from maritime industry + 1 person from NMC and 1 CPO from REC LA/LB All day session SOCP – Castine, ME 35 people 2 hour session PVA – Shelter Island, NY 15 people Gulf Coast Users – New Orleans, LA __ people With each group — Identified customer service expectations Described current performance Evaluated importance of each customer service expectation and current level of performance (i.e., how well is the REC meeting that customer service expectation) Made suggestions as to what they wanted to see from the RECs in terms of meeting customer service expectations

Industry Expectations
Consistency of information Timely evaluation of applications and credential issuance Consistency of application evaluations Professional courteous service RECs function as part of a larger system Mariners can contact Coast Guard toll free Availability of Coast Guard personnel to answer telephone inquiries Same day feedback on application completeness REC personnel are knowledgeable Info packages contain sea-service requirements Top 10 Customer Service Expectations – in terms of importance to mariners (These are the ones that have been given negative scores for performance) From a running list of 32 CSEs Themes can be seen: (next slide)

Industry Feedback Consistency Timeliness Customer-focused service
Coordination Consistency / Reliability Of information REC personnel are knowledgeable Application evaluation Not shown— Interpretation of policy Standards Format of issued licenses / documents Examination / comment process Timeliness Evaluations Same day feedback on application completeness Customer-focused service Professionalism and courtesy Not shown-- Office hours accommodate mariners’ schedules Examination administration practices / policies Access to“live”REC personnel via telephone Coordination Function as part of a larger system (e.g., consistency in policy / practices, forward application from REC, one stop shopping to get questions answered)

Industry Feedback Believe all RECs should work for NMC
Strongly believe that MLD regulations need to be updated Recommend advancing timeline of MLD regulatory projects to solve other problems Bottom line: Support reorganization to improve customer service RECs do NOT work for the NMC currently. Update regulations – 46 CFR Parts 10 – 12 Advance timeline on regulatory update to solve other regulatory problems. Harmonize with international regulations

Reorganization Concept
So what’s the idea????

Reorganization Concept
Organizationally realign RECs under NMC Centralize certain REC processes Centralize security validation Centralize mariner records Adjust REC staffing Organizationally align RECs under NMC Centralize certain REC processes Mariner information User fee collection Evaluations Credential production Centralize safety & security screening Centralize mariner records Adjust REC staff Facilitate mariners in licensing process Receive applications Verify identity / take fingerprints Proctor examinations Provide local port with expertise / outreach Perform approved course liaison & oversight Resource neutral reorganization of workload.

Proposed MLD Chain of Command
Commandant (G-M) National Maritime Center Propose realignment of RECs under NMC. RECs

3. Respond to public inquires 4. Conduct public education 5. Assist OCMI with determining vessel manning levels 6. Receive applications 7. Collect user fees 8. Evaluate mariner sea-service experience and training 9. Evaluate mariner medical fitness 10. Evaluate drug test results 11. Evaluate mariner character 12. Process mariner appeals / denials 13. Develop local license policies and local exams 14. Administer examinations 15. Produce mariner licenses / certificates of registry 16. Produce mariner documents 17. Produce STCW endorsements 18. Maintain mariner professional records 19. Conduct oversight of maritime training courses 19 REC processes listed on slide. List developed by the MLD BPR workshop at Quantico in August Validated at the REC SIP Conference in Sept 2002. Next 19 slides: Examine each one of these processes and how they are proposed to be done after reorganization Proposals developed using-- Analysis of inputs received from the BPR Feedback from our sessions with the industry customers, CG field personnel, and benchmark agencies Primary goal is to improve customer service Secondary goal is to leverage technology & maximize efficiencies

REC Management RECs report directly to NMC NMC RECs
Supervisory, financial, clerical, technical support to the RECs RECs Manage local office operations Proposing to split this function between NMC and the RECs. One of the top concerns for mariners is the lack of consistency between the RECs pertaining to-- Information received / policy interpretation Office procedures, policies, hours of operation NMC Supervisory / oversight responsibility – to promote consistency in REC practices and policies. Financial, clerical, technical support – to relieve RECs of administrative burdens (office space, budget, IT resources, personnel administration) so they can focus on customer service) RECs Maintain responsibility for day-to-day office administration: supervise REC personnel, order basic office supplies, etc.

Train REC Personnel NMC RECs Formal (classroom) training for
Field (REC) staffs NMC staff (evaluators) RECs In-house training (OJT) Received resounding feedback at the BPR that more formal training needs to be conducted by the Program to address the consistency issue. REC Evaluator Job Task Analysis (Sept 02) also supported that conclusion. NMC Promote consistency in policy interpretation / application for all personnel who perform evaluations and/or provide information to mariners. RECs Focus on more basic training such as how to use MMLD and other databases – things that are more process-oriented or administrative in nature.

Respond to Public Inquiries
NMC Mariner Information Hotline 1-800 Provide standardized information packages RECs Facilitate mariners through the licensing process Distribute information packages 1-800 hotline will address several of the mariners’ customer service expectations: To be able to ‘contact the CG toll free’ to address questions Access to centralized pool of most knowledgeable MLD personnel to give them consistent and definitive answers to their questions. One-stop shopping to obtain licensing information (when fully automated, mariners will be able to get information on the status of their application). Availability of CG personnel to answer telephone inquires – currently REC personnel sometimes are too busy to answer in-depth licensing questions over the phone – mariners end up playing telephone tag or have to come into RECs when their time is very limited to due their work schedules. Strong support from the BPR participants for splitting this function between the NMC and the RECs depending on the nature of mariners questions / type of information they are seeking.

Conduct Public Education
NMC Maintain licensing website and info packages Update licensing materials (checklists) Outreach to national / international organizations RECs Local public outreach programs Represent the NMC at local functions Mariners want to be able to get information from a variety of sources: 1-800 number In person visit to RECs More and more mariners want to be able to go online to obtain licensing information. BPR showed strong support for public outreach function to be split between the NMC and the RECs. NMC Unify the web presence for the MLD program. Ensure that information on web and in licensing package / handouts is consistent, comprehensive, and up-to-date – which is a major concern for mariners. Mariners want more robust information on the web and in application packages including requirements for sea service, answers to FAQs Represent the MLD program in national and international forums. RECs Focus on representing the MLD program at the local/port level, local industry, schools, etc.

Advise OCMI on Manning NMC Advise OCMIs on manning issues
Evaluators are most appropriate personnel to address these issues. We are proposing that they will be located at the NMC.

Receive Applications NMC RECs Receive applications (mail / fax)
Receive electronic applications (future) RECs Receive walk-in applications Preliminary review for completeness Submit to NMC via mail or fax (current) Submit to NMC electronically (future) In an effort to make application process more user friendly, we propose to receive applications at both the NMC and the RECs. NMC The end-destination for all applications. RECs Provide the added benefit of conducting an on-the spot review of the application for completeness – in response to mariners desires to get same day feedback on the completeness of their application to facilitate the application evaluation process and expedite the issuance of the credential.

Collect User Fees NMC Collect user fees check money order credit card
web (future) [Explain how user fees will be handled at the RECs]

Evaluations NMC Sea-service experience & training Medical fitness
Drug test results Character & habits of life (safety & security) Limited local license One of the greatest mariner concerns is the lack of consistency in the interpretation / implementation of licensing policy, which translates into inconsistent evaluation of applications. We attribute much of this problem to the fact that each REC has a different chain of command and the disconnect from MLD policy makers at the NMC that this causes. Proposing that all evaluations be done at the NMC – Authenticate identity and nationality credentials—double check that the credentials presented at the REC are authentic. Professional qualifications (sea service and required training) Medical fitness—have medical professional on staff to evaluate medical fitness Drug tests Character and habits of life (now known as safety & security screening) Limited local license

Evaluations RECs Verify identity Administer oath Take fingerprints
Medical fitness Practical demonstrations of fitness Help mariners submit waiver requests Character & habits of life Face-to-face interviews Limited local license Advise NMC on special circumstances RECs will have an important role in supporting the evaluation function: Provide necessary face-to-face interactions with the mariner to facilitate the application process. Verify mariners identity – ensure that person presenting the identity credential is who they say they are. Fingerprints via LIVESCAN Medical fitness (practical demonstrations & assist with waiver requests) Character & habits of life (face to face interviews, as necessary) Limited local license (advise NMC on special circumstances)

Process Mariner Appeals / Denials
NMC Advise mariners on appeals process Credentialing Division Chief = OCMI role CO, NMC = District role G-MO = Final authority RECs Assist mariners with appeal / waiver processes

Develop Local License Policies & Local Exams
NMC Write exams for local licenses Establish criteria RECs Advise NMC on requirements Proctor examinations

Administer Exams RECs Schedule exams
Proctor exams ( just like the name says… ) Current state – paper-based Future state – electronic

Produce Credentials NMC Licenses Certificates of Registry
Merchant Mariner Documents STCW certificates / endorsements Transportation Worker Identification Cards ??

Maintain Mariner Professional Records
NMC Centralize & maintain ALL active mariner professional records Convert to electronic files Handle FOIA requests

Conduct Oversight of Maritime Training Courses
NMC Conduct Level 1 oversight Investigate / take action on discrepancies / complaints RECs Conduct Level 2 & 3 oversight Liaise with local courses Report discrepancies / complaints to NMC Level 1 Courses = Level 2 Courses = Level 3 Courses =

3. Respond to public inquires 4. Conduct public education 5. Assist OCMI with determining vessel manning levels 6. Receive applications 7. Collect user fees 8. Evaluate mariner sea-service experience and training 9. Evaluate mariner medical fitness 10. Evaluate drug test results 11. Evaluate mariner character 12. Process mariner appeals / denials 13. Develop local license policies and local exams 14. Administer examinations 15. Produce mariner licenses / certificates of registry 16. Produce mariner documents 17. Produce STCW endorsements 18. Maintain mariner professional records 19. Conduct oversight of maritime training courses

Future NMC Functions 1. Perform REC management 2. Train REC personnel
3. Respond to public inquires 4. Conduct public education Assist OCMI with determining vessel manning levels 6. Receive applications 7. Collect user fees 8. Evaluate mariner sea-service experience and training 9. Evaluate mariner medical fitness 10. Evaluate drug test results 11. Evaluate mariner character 12. Process mariner appeals / denials 13. Develop local license policies and local exams 15. Produce mariner licenses / certificates of registry 16. Produce mariner documents 17. Produce STCW endorsements 18. Maintain mariner professional records 19. Conduct oversight of maritime training courses Blue: NMC only Green: Shared responsibility with the RECs

Discussion Questions What aspect of the proposal to reorganize and centralize certain licensing and documentation functions do you like the best?

Discussion Questions – more timely service to the mariner?
What aspect of the proposal to reorganize and centralize certain licensing and documentation functions do you like the best? Do you think the reorganization and centralization proposal will result in: – more timely service to the mariner?

Discussion Questions – more timely service to the mariner?
What aspect of the proposal to reorganize and centralize certain licensing and documentation functions do you like the best? Do you think the reorganization and centralization proposal will result in: – more timely service to the mariner? – more consistent service to the mariner?

Discussion Questions Do you support having the RECs working directly for the NMC in the future, vice working for the OCMI as they do now?

Discussion Questions Do you support having the RECs working directly for the NMC in the future, vice working for the OCMI as they do now? Do you support the proposal for centralized: – user fee collection?

Discussion Questions Do you support having the RECs working directly for the NMC in the future, vice working for the OCMI as they do now? Do you support the proposal for centralized: – user fee collection? – credential application evaluation?

Discussion Questions Do you support having the RECs working directly for the NMC in the future, vice working for the OCMI as they do now? Do you support the proposal for centralized: – user fee collection? – credential application evaluation? – security / safety screening?

Discussion Questions Do you support having the RECs working directly for the NMC in the future, vice working for the OCMI as they do now? Do you support the proposal for centralized: – user fee collection? – credential application evaluation? – security / safety screening? – credential issuance?

Discussion Questions Do you support having the RECs working directly for the NMC in the future, vice working for the OCMI as they do now? Do you support the proposal for centralized: – user fee collection? – credential application evaluation? – security / safety screening? – credential issuance? – mariner records? Take a break after 1 hour or finishing the mariner records discussion, whichever comes first.

Discussion Questions Are there any functions that the RECs are NOT doing today that you think they should perform in the future?

Discussion Questions Are there any functions that the RECs are NOT doing today that you think they should perform in the future? What do you think will be the biggest objection to the proposed reorganization?

Discussion Questions Are there any functions that the RECs are NOT doing today that you think they should perform in the future? What do you think will be the biggest objection to the proposed reorganization? What is the best way to overcome that objection?

Discussion Questions Are there any functions that the RECs are NOT doing today that you think they should perform in the future? What do you think will be the biggest objection to the proposed reorganization? What is the best way to overcome that objection? How could the reorganization proposal best be improved?

MERPAC Meeting Objectives
Reorganization proposal briefing Discussion (pros & cons) Evaluation / formal feedback Feedback on the feedback

MERPAC Meeting September 18 – 19, 2003 Houston, TX CDR Dave Dolloff Chief, Marine Personnel Division, NMC Mr. Doug Perkins Potomac Management Group, Inc.

Question 1 Results What aspect of the proposal to reorganize and centralize certain of the Coast Guard’s licensing and documentation functions do you like the best? Centralize / standardize evaluations (2) Better consistency (2) More uniformity within MLD (2) Create evaluator experts One-stop shopping Alignment of REC under NMC

Question 2 Results Do you think the reorganization and centralization proposal will result in: More timely service to the mariner? Undecided (6) More consistent service to the mariner? Yes (8)

Question 3 Results Do you support the proposal for having the RECs working directly for the NMC in the future, vice working for the OCMI as they do now? YES (8)

Question 4 Results Do you support the proposal for centralized:
User fee collection? Yes (8) Credential application? Yes (7) Security / safety screening? Yes (7) Credential issuance? Yes (8) Mariner records? Yes (9)

Question 5 Results If you circled No to centralizing any of the functions in Question 4, why do you think they should remain at the RECs? Some local licensing may need REC input Local face-to-face screening for ID purposes Have a backup location in case of emergency

Question 6 Results Are there any functions that the RECs are NOT doing today that you think they should perform in the future? Issuing Transportation Worker Identification Cards Photographing / scanning of documents Evaluating foreign mariner records Being a clearinghouse for information Providing customer service

Question 7 Results If the reorganization proposal is implemented, what do you think the primary role of the RECs should be? Administering exams 26% Reviewing application packages 22% Answering mariner questions 18% Verifying mariner identity 17% Performing oversight 12% Other – % - Interface with public - Practical testing

Question 8 Results What do you think will be the biggest objection to the proposed reorganization? Fear / sense of the unknown (5) Loss of face-to-face communication / personal contact (3) Perception of USCG reduction USCG not dealing with real problem of money and billets Lack of concrete data for reorganization / untested

Question 9 Results What is the best way to overcome that objection?
Public information campaign (4) Sell to employees / customers (3) Educate legislators on problems Provide statistical evidence Make as user friendly as possible Ensure process will have face-to-face contact

Question 10 Results How could the reorganization proposal best be improved? Involve stakeholders (2) Communicate to public (2) Provide statistical data / test (2) Provide typical example of applicant process Identify clear mission Well planned / organized / adequately funded

Question 11 Results How important to your constituency are the following customer service expectations? 1. Answering telephone inquiries 2. Availability to answer phones 3. Knowledgeable personnel 4. Consistent evaluations 5. Timely evaluation / issuance 6. Clear medical standards 7. Consistent information 8. Clear application process / forms 9. USCG available on mariner’s schedule 10. Same day renewal service

Question 12 Results CONSENSUS that implementation of the proposal will IMPROVE customer service Ability to continue / forward business from REC to REC Ability to submit and track applications electronically Availability of Coast Guard personnel to answer telephone inquiries Clear and easy user fee payments Clear application process and forms Clear medical standards Coast Guard personnel are knowledgeable Consistency of application evaluations Consistency of information provided to the mariner Information packages contain all requirements Mariners can contact Coast Guard toll free One-stop shopping for answering telephone inquiries Published answers to frequently asked questions RECs function as part of a larger system Single POC for each mariner's application Timely evaluation of applications and document issuance Timely retrieval of records from the Federal Records Center Use of smart cards with biometric and licensing data

Question 12 Results CONSENSUS that implementation of the proposal will keep customer service the SAME Application packages should list sea service requirements Correct license examination questions Ensure security of credentials Exam protest / comment process consistency Instant feedback about wrong answers on tests

Question 12 Results NO CONSENSUS about affects of implementation of the proposal Coast Guard available on mariner schedule Ensure security of mariner professional records Maintaining ability to process batch applications from schools Professional courteous service Prompt follow-up on problems Same day feedback on application completeness Same day feedback on incorrect user fee payments Same day service for renewals Updating 46 CFR 10 – 16

MERPAC Meeting September 18 – 19, 2003 Houston, TX Thanks!

Mariner Licensing & Documentation Program

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