[Federal Register: October 15, 2004 (Volume 69, Number 199)]
[Proposed Rules]
[Page 61165-61172]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15oc04-11]
[[Page 61165]]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
15 CFR Part 995
[Docket No: 040608174-4174-01]
RIN 0648-AR87
Certification Requirements for Distributors of NOAA Electronic
Navigational Charts/NOAA Hydrographic Products
AGENCY: National Ocean Service (NOS), National Oceanic and Atmospheric
Administration (NOAA), Department of Commerce (DOC).
ACTION: Proposed rule; request for comments.
-----------------------------------------------------------------------
SUMMARY: The National Oceanic and Atmospheric Administration (NOAA)
proposes to promulgate certification requirements with standards for
applicants who want to distribute NOAA Electronic Navigational Charts
(NOAA ENCs[reg]) as official data. NOAA intends to offer two types of
certification. The first type, ``Certified NOAA ENC Distributor''
(CED), would be for NOAA ENCs downloading, exact copying, and
redistribution of those copies of NOAA ENCs data. The second type,
``Certified NOAA ENC Value Added Distributor'' (CEVAD), would permit
reformatting official NOAA ENCs into a System Electronic Navigational
Chart (SENC) using type-approved software, and distribution of that
SENC. Both types of certification would result in products that meet
federal chart carriage regulations. Both types of certification would
permit, but would not require, compression, encryption, and packaging
with other data.
NOAA intends by this action to assure that quality official NOAA
ENC data is offered to the public in support of safe navigation on U.S.
waters.
DATES: Comments must be received by November 15, 2004.
ADDRESSES: Comments in writing should be submitted to Director, Office
of Coast Survey, National Ocean Service, NOAA (N/CS), 1315 East West
Highway, Silver Spring, MD 20910. Written comments may be faxed to
(301) 713-4516. Comments by e-mail should be submitted to
ECDIS@noaa.gov.
Electronic Access
A digital copy of the proposed certification requirements for NOAA
ENC distribution, with application templates, is accessible via the
Internet at NOAA's Web site: http://nauticalcharts.noaa.gov/mcd/enc/index.htm
.
FOR FURTHER INFORMATION CONTACT: Captain Jim Gardner, Chief, Marine
Chart Division, Office of Coast Survey, NOS/NOAA, (301) 713-2724,
Jim.Gardner@noaa.gov.
SUPPLEMENTARY INFORMATION:
Background
NOAA produces electronic navigational charts (ENCs) that may be
used in a type-approved Electronic Chart Display and Information System
(ECDIS) to meet federal nautical chart carriage regulations. NOAA
distributes these official ENCs to the public for free over the
Internet. This proposed rule would establish the requirements by which
entities may be certified to download, redistribute, repackage, or in
some cases reformat, official ENCs while retaining their official
status for meeting chart carriage regulations. No other processes would
result in redistributed NOAA ENC[reg] products that meet chart carriage
regulations.
NOAA developed these proposed certification requirements to satisfy
directives contained in Section 104 of the Hydrographic Services
Improvement Act Amendments of 2002, 33 U.S.C. 892b(b)(1). The Act
states that the Administrator of NOAA shall develop and implement a
quality assurance program that is equally available to all applicants,
under which the Administrator may certify hydrographic products that
satisfy the standards promulgated by the Administrator under the
Hydrographic Services Improvement Act.
Hydrographic products include non-federal publicly or commercially
available nautical charts, nautical information databases, and other
products derived from hydrographic data. These certification
requirements would ensure the quality of the data and its timely and
accurate dissemination, for safe navigation, and would provide the
public with a wider variety of specialized products that are considered
official NOAA data for regulatory purposes.
To obtain a written copy of the proposed certification requirements
for NOAA ENC distribution, refer to ADDRESSES section or visit the
Internet at NOAA's Web site: http://nauticalcharts.noaa.gov/mcd/enc/index.htm
.
In addition to the rules set forth in the NOAA certification
process, if the Value Added Distributor converts NOAA ENC data to other
formats, it would need to comply with the International Hydrographic
Organization (IHO) Technical Resolution A3.11 published in M-3
Resolutions of the IHO, Chapter A, Section 3. This resolution is
available from the IHO Web site: http://www.iho.shom.fr. Also, for
reference, it is advised that Distributors be familiar with the
International Electrotechnical Commission (IEC) Publication 61174 and
the IHO Special Publication S57. IEC Publication 61174 is the basis for
type-approval specifications related to operational methods of testing
and required test results for an IMO-compliant ECDIS. The IEC
Publication 61174 can be ordered from the IEC Web site: http://www.iec.ch.
The IHO Special Publication S57 includes a description of
the data structure and format to be used for the exchange of ENC data,
product specification for the production of ENC data, and an updating
profile. The IHO Special Publication S57 is available at the IHO Web
site: http://www.iho.shom.fr.
Classification
A. Executive Order 12866
This proposed rule has been determined to be not significant for
the purposes of Executive Order 12866.
B. Regulatory Flexibility Act
The Chief Counsel for Regulation of the Department of Commerce
certifies to the Chief Counsel for Advocacy of the Small Business
Administration that this proposed rule would not have a significant
economic impact on a substantial number of small entities. The purpose
of this rule is to provide the procedures and requirements necessary
for an entity to be certified as ``Certified NOAA ENC Distributor'' or
``Certified NOAA ENC Value Added Distributor.'' Both types of
certification would result in products that meet federal chart carriage
regulations. Both types of certification would permit, but do not
require, compression, encryption, and packaging with other data.
This certification process would be voluntary. Only those
applicants who wish to distribute ENC data with the phrase ``Certified
NOAA ENC Distributor'' or ``Certified NOAA ENC Value Added
Distributor'' on products and marketing materials would need to apply.
NOAA proposes this certification process under the authority of 33
U.S.C. 892b(b)(1).
The Small Business Administration guideline to separate small from
large businesses is $4 million for Mapmaking firms and $5 million for
Navigational Services to Shipping and Other Support Activities for
Water Transportation.
[[Page 61166]]
NOAA is unable to determine the total number of small entities that
will be affected by this rule, as it does not specifically track this
type of information. However, based upon knowledge of the nature of the
industry, NOAA believes the majority of the entities affected will be
small businesses.
The total estimated economic impact to small entities associated
with startup costs, software and equipment upgrades, the application
process, reporting, record keeping, and compliance requirements is not
expected to amount to sums greater than $5,228 per entity annually.
However, NOAA does not believe this cost would have a negative impact
on small companies, as only those companies that believe they can
profit would seek certification. This estimate of costs incurred
associated with these requirements should be offset through the
benefits in increased sales. NOAA would require only bi-annual
reporting and record keeping, balancing the burden to the distributor
with the assurance of maintaining safe navigation through data quality
verification for public safety. Also, to lessen the economic impact,
the duration of certification would be five years from the date of
issuance.
It is anticipated the effects of this rule if adopted would be
largely positive to small entities, with potential economic benefits.
The proposed rule will allow certified businesses to sell a new product
that is considered official NOAA data, with the phrase ``Certified NOAA
ENC Distributor'' or ``Certified NOAA ENC Value Added Distributor'' on
products and marketing materials. Federal regulation and reporting
would be extremely limited. Startup costs would be minimal. There would
be no charge to small businesses for this official product, which they
could use, alter, and/or resell for profit. The rule would create a new
market for electronic chart products that are recognized by NOAA
through the proposed certification process.
C. Paperwork Reduction Act
This proposed rule contains collection-of-information requirements
subject to the Paperwork Reduction Act (PRA). The following
requirements have been submitted to OMB for approval; the total
estimate of burden hours annually for all distributors is 535 hours.
The total estimate of burden hours per distributor is approximately 60
hours a year.
These estimates include the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data
needed, completing and reviewing the collection of information, sending
the initial application to OCS to become a certified distributor, and
sending the bi-annual reports to OCS.
Public comment is sought regarding whether these proposed
collections of information are necessary for the proper performance of
the functions of the agency and whether the information shall have
practical utility; the accuracy of the burden estimate; ways to enhance
the quality, utility, and clarity of the information to be collected;
and ways to minimize the burden of the collection of information,
including the use of automated collection techniques or other forms of
information technology. Send comments on these or any other aspects of
the collection of information to NOS (see ADDRESSES) and to David
Rostker at the Office of Information and Regulatory Affairs, OMB, by e-
mail to David_Rostker@omb.eop.gov or by fax to (202) 395-7285.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.
There are no duplicative, overlapping, or conflicting Federal rules
associated with this proposed rule.
List of Subjects in 15 CFR Part 995
Navigation (water), Navigational charts, Certification
requirements, Incorporation by reference.
For the reasons stated in the preamble, NOS proposes to amend 15
CFR chapter IX by adding Subchapter F, Part 995 to read as follows:
SUBCHAPTER F--QUALITY ASSURANCE AND CERTIFICATION REQUIREMENTS FOR NOAA
HYDROGRAPHIC PRODUCTS AND SERVICES
PART 995--CERTIFICATION REQUIREMENTS FOR DISTRIBUTORS OF NOAA
HYDROGRAPHIC PRODUCTS
Subpart A--General
Sec.
995.1 Purpose and scope.
995.2 Incorporation by reference.
995.3 Availability of other publications.
995.4 Definitions.
995.5 Abbreviations.
995.6 Fees.
995.7 Liability.
995.8 Alterations.
Subpart B--Certification and Procedures
995.10 Correspondence and applications.
995.11 Government review and approval.
995.12 Certification designation.
995.13 Transfer of certification.
995.14 Auditing.
995.15 Termination of certification.
995.16 Term of certification.
Subpart C--Requirements for Certified Distributors and Value Added
Distributors of NOAA ENC Products
995.20 General.
995.21 Registry of data users.
995.22 Training of data users.
995.23 Acquisition of data.
995.24 Distribution of data.
995.25 Quality Management System.
995.26 Conversion of NOAA ENC files to other formats.
995.27 Format validation software testing.
995.28 Use of NOAA emblem.
995.29 Limitation on endorsements.
Appendix A to Subpart C of Part 995--Certification Application
Templates
Authority: 33 U.S.C. 892b(b)(1).
Subpart A--General
Sec. 995.1 Purpose and scope.
(a) The National Oceanic and Atmospheric Administration (NOAA)
produces electronic navigational charts (ENCs) that may be used in a
type-approved Electronic Chart Display and Information System (ECDIS)
to meet federal nautical chart carriage regulations. NOAA distributes
these official ENCs for free over the Internet. This part establishes
the requirements by which entities may be certified to download,
redistribute, repackage, or in some cases reformat, official NOAA
ENCs[reg] while retaining their official status for meeting chart
carriage regulations. No other processes result in redistributed NOAA
ENC products that meet chart carriage regulations.
(b) Two types of certification are offered. The first type,
``Certified NOAA ENC Distributor'' (CED), covers NOAA ENC downloading,
exact copying, and redistribution of those copies. The second type,
``Certified NOAA ENC Value Added Distributor'' (CEVAD), permits
reformatting official NOAA ENCs into a System Electronic Navigational
Chart (SENC) using type-approved software, and distribution of that
SENC. Both types of certification result in products that meet federal
chart carriage regulations. Both types of certification permit, but do
not require, compression, encryption, and packaging with other data.
(c) Entities without certification may continue to download
official ENCs and use, alter, and/or distribute that data, but the
result does not meet federal nautical chart carriage regulations.
Individuals may download official ENCs for their own use. If imported
unaltered into a type-approved ECDIS, the result
[[Page 61167]]
meets federal nautical chart carriage regulations.
(d) This part defines the minimum requirements regarding the
process for ensuring the quality of products produced by re-
distributing NOAA ENC data or incorporating it into value-added
navigational products. These requirements apply to entities wishing to
have products and services for the re-distribution of NOAA ENC data
authorized as ``Certified NOAA ENC Distributor'' and/or as ``Certified
NOAA ENC Value Added Distributors.''
Sec. 995.2 Incorporation by reference.
Certain material listed in this section is incorporated by
reference with the approval of the Director of the Federal Register
under 5 U.S.C. 552(a) and 1 CFR part 51. The materials listed in this
section are incorporated by reference in the corresponding sections
noted. The materials are available for purchase at the corresponding
addresses noted below, and all are available for inspection at the
Office of the Federal Register, 800 North Capitol Street, NW., Suite
700, Washington, DC, or at the U.S. Department of Commerce, 1401
Constitution Avenue, NW., Washington, DC 20230.
(a) The material listed below is available for purchase from the
International Hydrographic Bureau, 4 quai Antoine 1er, B.P. 445, MC
98011 MONACO CEDEX; telephone: (377) 93.10.81.00; fax: (377)
93.10.81.40; e-mail : info@ihb.mc. Orders may be submitted by letter,
fax, or e-mail.
(1) IHO Technical Resolution A3.11--ENC/SENC Distribution Option,
updated September 2002, Sec. 995.25.
(2) [Reserved]
(b) [Reserved]
Sec. 995.3 Availability of other publications.
(a) For further guidance you may obtain the following:
(1) IEC 61174--The International Electrotechnical Commission
identified and described the necessary performance tests and checks for
an International Maritime Organization compliant ECDIS. The IMO
Performance Standards permit National Maritime Safety Administrations
to consider ECDIS as the functional equivalent to charts required by
Regulation V, Chapter 20 of the 1974 SOLAS Convention. IEC Publication
61174, dated August 1998, can be purchased from the IEC website: http://www.iec.ch
.
(2) IHO Special Publication S57--The IHO Transfer Standard for
Hydrographic Data, edition 3, dated November 1996, describes the data
structure and format to be used for the exchange of ENC data, product
specification for the production of ENC data, and an updating profile.
IHO S-57 documentation is available on CD ROM from the International
Hydrographic Bureau, 4 quai Antoine 1er, B.P. 445, MC 98011 MONACO
CEDEX; telephone: (377) 93.10.81.00; e-mail: info@ihb.mc.
(b) [Reserved]
Sec. 995.4 Definitions.
Certified NOAA ENC Distributor (CED) means an entity that is
certified as a distributor of NOAA ENC files by NOAA. This
certification indicates that the distributor meets certain requirements
(in Subparts A, B, and D of this document) that ensure timely and
accurate dissemination of NOAA ENC data.
Certified NOAA ENC Value Added Distributor (CEVAD) means an entity
that creates a derived product that has been produced from NOAA ENC
files using a process certified by NOAA. This certification indicates
that the CEVAD meets certain requirements (in Subparts A, C, and D of
this document) that ensure timely and accurate dissemination of NOAA
ENC data in a non-ENC format.
Derived product means a navigational product produced by
transforming the NOAA ENC files to another format while preserving the
content and accuracy. It may contain information from other sources.
Distributor means a company that re-distributes a NOAA hydrographic
product to end users in its original format.
Electronic Chart Display and Information System (ECDIS) means the
internationally adopted computer-assisted navigation system which, when
complying with all of the required specifications, can be accepted as
the up-to-date chart required by V/20 of the 1974 SOLAS Convention.
Electronic Navigational Chart (ENC) means a database, standardized
as to content, structure, and format, issued for use with ECDIS on the
authority of government authorized hydrographic offices. The ENC
contains all the chart information necessary for safe navigation and
may contain supplementary information in addition to that contained in
the paper chart (e.g. sailing directions), which may be considered
necessary for safe navigation.
NOAA ENC[reg] means Electronic Navigational Charts produced by the
National Oceanic and Atmospheric Administration. NOAA ENC files comply
with the IHO S-57 standard, Edition 3.1 and the ENC Product
Specification. The phrase ``NOAA ENC'' is a registered trademark and
may not be used without permission.
System Electronic Navigational Chart (SENC) means a database
resulting from the transformation of the ENC by ECDIS for appropriate
use, updates to the ENC by appropriate means and other data added by
the mariner. It is this database that is actually accessed by ECDIS for
the display generation and other navigational functions, and is
equivalent to an up-to-date paper chart. The SENC may also contain
information from other sources.
Value Added Distributor means a company that may use the NOAA ENC
to create derived products used by end users.
Sec. 995.5 Abbreviations.
CED Certified NOAA ENC Distributor
CEVAD Certified NOAA ENC Value Added Distributor
CRC Cyclical Redundancy Checksum
ECDIS Electronic Chart Display and Information System
ENC Electronic Navigational Chart
IEC International Electrotechnical Commission
IHO International Hydrographic Organization
IMO International Maritime Organization
ISO International Standards Organization
NOAA National Oceanic and Atmospheric Administration
NOS National Ocean Service
OCS Office of Coast Survey
SENC System Electronic Navigational Chart
SOLAS Safety of Life at Sea
VAD Value Added Distributor
Sec. 995.6 Fees.
The Office of Coast Survey, NOAA, may charge a fee for costs
incurred to process the request for certification pursuant to 33 U.S.C.
892b(b)(1)(C) and 892b(b)(2). The amount of the fee, if one is charged,
will be determined by the Director, Office of Coast Survey, and charged
to all Applicants based on the time and effort involved. Any fee shall
not exceed the costs of conducting the quality assurance testing,
evaluation, or studies necessary to determine whether the hydrographic
product satisfies the standards.
If a fee is charged, it will be charged for each application for
certification submitted by an Applicant. The only exception is for
resubmissions of revised requests that were initially unacceptable and
are sent in within 90 days as described in Sec. 995.11(b)(2).
Sec. 995.7 Liability.
Distributors and value added distributors certified under this
section
[[Page 61168]]
shall indemnify and hold harmless the U.S. Government for any loss,
claim, damage, or liability of any kind, the extent caused by the
negligence of certified distributors or value added distributors or
their employees, arising out of the use by a distributor or value added
distributor, or any party acting on its behalf or under its
authorization, of NOAA data.
Sec. 995.8 Alterations.
NOAA reserves the right to change these requirements at any time.
Subpart B--Certification and Procedures
Sec. 995.10 Correspondence and applications.
(a) Distributors or value-added distributors desiring certification
from NOAA shall provide a written request and application for
certification to the Office of Coast Survey, Attention: Distribution
Certification, N/CS, 1315 East West Highway, Silver Spring, Maryland
20910. Such a distributor or value-added distributor is hereafter
referred to as Applicant. The Office of Coast Survey (OCS) is the
approving office for certification under these requirements.
(b) Applicant shall provide an application for certification that
describes how each element in the applicable sections of these
requirements has been met. The application will also contain an
acknowledgment, signed by a company principal, of all terms and
conditions described in these requirements.
(c) Applicant shall use the appropriate template provided in
Appendix A to these requirements to prepare their request for
certification.
(d) Applicant shall provide, with its application, a point of
contact with mailing address, phone number, and e-mail address.
Applicant shall immediately notify NOAA, through the Office of Coast
Survey, of any changes to point of contact information. Failure to do
so will be considered a violation of these requirements and may lead to
termination of certification.
Sec. 995.11 Government review and approval.
(a) An application will be reviewed by NOAA within 90 days of
receipt. If all requirements, as defined by these document, are
adequately addressed, certification will be granted. If for any reason
NOAA will be unable to process the application for certification within
the 90-day time frame, Applicant will be notified and a revised date
will be provided for a decision on the request.
(b)(1) NOAA will determine if the request for certification is
complete and that it demonstrates that Applicant has met all of the
applicable requirements described in this document.
(2) In the event that a request is incomplete or does not
demonstrate that Applicant has met all of the applicable requirements,
NOAA will consider the application unacceptable. NOAA will notify the
Applicant of the deficiencies in writing. Applicant may re-submit a
revised application within 90 days of receipt of NOAA's denial notice.
Resubmissions received after the 90-day resubmission period will
automatically be denied. NOAA will review applications received within
the 90-day resubmission period in the time frame described in Sec.
995.11(a). After the second review, if the application is still
unacceptable, Applicant will be again notified of the deficiencies in
writing. At that point, Applicant may not re-submit the application for
certification for a period of one year from the date of the second
notification of an unacceptable application.
Sec. 995.12 Certification designation.
(a) An Applicant that has been certified by NOAA as a CED may use
the phrase ``Certified NOAA ENC Distributor'' on products and marketing
materials. An Applicant that has been certified by NOAA as a CEVAD may
use the phrase ``Certified NOAA ENC Value Added Distributor'' on
products and marketing materials.
(b) [Reserved]
Sec. 995.13 Transfer of certification.
If, subsequent to certification, a distributor or value added
distributor of NOAA hydrographic products contracts or in any way
transfers the production or distribution of all or part of the
certified products to another entity, the existing certification is
terminated and the process must be re-certified.
Sec. 995.14 Auditing.
NOAA reserves the right to audit certified distributors and value
added distributors of NOAA hydrographic products to ensure that these
requirements are being met. Such an audit may consist of: visits to the
production facilities, product testing, confirmation of ISO 9001
certification, confirmation of type approval for conversion software,
and so forth.
Sec. 995.15 Termination of certification.
(a) NOAA reserves the right to audit certified distributors. In the
event that NOAA determines that a certified distributor or value added
distributor of NOAA hydrographic products is not meeting the
requirements described in these regulations, the Office of Coast
Survey, NOAA will provide written notification of any deficiencies to
the distributor. The distributor or value added distributor's
certification will be immediately suspended and the distributor or
value added distributor shall have thirty (30) working days to correct
the deficiencies. If the deficiencies are not corrected within this
time, the Director, Office of Coast Survey, may terminate the
certification.
(b) Notice of termination will be provided to the distributor or
value added distributor in writing and will also be released to the
public.
(c) Certification may also be terminated if the distributor or
value added distributor:
(1) Contracts or transfers the production or distribution of all or
part of the certified products to another entity without the approval
of NOAA, or
(2) Fails to, or is unable (in the opinion of NOAA) to carry out
its responsibilities as described in these requirements.
(d) After a distributor or value added distributor's certification
has been terminated, it may not resubmit a request for certification
for a period of one year from the date of termination.
Sec. 995.16 Term of certification.
The duration of certification is five years from the date of
issuance. At the end of the certification's duration, the process must
be re-certified by the distributor or value added distributor
submitting a request for certification as described in Sec. 995.10. It
may also be revoked prior to the duration under the conditions
described in Sec. 995.15.
Subpart C--Requirements for Certified Distributors and Value Added
Distributors of NOAA ENC Products
Sec. 995.20 General.
The requirements for certification as a ``Certified NOAA ENC
Distributor'' (CED) and ``Certified NOAA ENC Value Added Distributor''
(CEVAD) are described below.
Sec. 995.21 Registry of data users.
(a) CED or CEVAD shall maintain a registry of customers receiving
NOAA ENC data. CED or CEVAD shall provide said registry to NOAA on a
biannual basis for internal NOAA planning and product evaluation use.
NOAA agrees to treat such information as proprietary (if requested to
do so by the CED or CEVAD).
(b)(1) The registry shall include, but not be limited to:
(i) Which NOAA ENC[reg] cells were provided to each customer;
(ii) Edition number of each cell provided;
[[Page 61169]]
(iii) Updates provided for each cell;
(iv) Method of distribution for each customer.
(2) The registry may also include information about the type and
size of vessel that the NOAA ENC data has been provided for as well as
an anonymous unique identifier for the vessel.
Sec. 995.22 Training of data users.
CED or CEVAD shall, by providing appropriate training and/or
adequate documentation, ensure that the recipient has a sufficient
level of knowledge about the NOAA ENC and the service provided by CED
or CEVAD, including:
(a) Any time delays that may occur between official release of a
NOAA ENC or update, and CED or CEVAD providing same to end users;
(b) Any non-NOAA ENC data or information that is provided by CED or
CEVAD in addition to the NOAA ENC.
Sec. 995.23 Acquisition of data.
(a) CED or CEVAD shall obtain official NOAA ENC[reg] files only by
directly downloading them from an official NOAA ENC site on the
Internet.
(b)(1) After downloading NOAA ENC files, CED or CEVAD shall
uncompress the files and compute a CRC checksum value for each NOAA ENC
file and verify that it matches the CRC checksum value contained in the
CATALOG.031 file provided with the NOAA ENC files by NOAA. This is to
ensure that no NOAA ENC files have been corrupted during the download
process.
(2) In the event that said CRC checksum value does not match that
in the CATALOG.031 file, CED or CEVAD agrees to:
(i) Repeat the download process;
(ii) In the event that said CRC checksum value for the repeat
download does not match that in the CATALOG.031 file, immediately
notify the NOAA ENC Production Manager at enc.chartproduction@noaa.gov,
and;
(iii) Not distribute any NOAA ENC that does not have a valid CRC
checksum.
Sec. 995.24 Distribution of data.
(a) Distribution of data by CED--(1) Format of distributed data--
(i) General. Except as listed in Sec. 995.24(a)(1)(ii) and (iii), CED
agrees to distribute NOAA ENC data only in the original form provided
by NOAA after uncompressing and shall not change the file format (S-57
Edition 3.1 ENC or other formats specified by NOAA), or contents, or
alter the NOAA ENC data in any way.
(ii) Compression. The NOAA ENC files may be compressed using a
lossless compression technique provided that CED makes the
decompression software available to the end user as part of the
distribution service. Decompressed files must have the same CRC
checksum value as the original files. The CED agrees to make the
compression/decompression software and documentation available to NOAA
for testing.
(iii) Encryption. The NOAA ENC files may be encrypted by CED,
providing that the encryption/decryption process does not result in any
information loss and that CED makes the decryption software available
to the end user as part of the distribution service. Decrypted files
must have the same CRC checksum value as the original files. CED shall
make the encryption/decryption software and documentation available to
NOAA for testing.
(2) Frequency of distribution. CED shall make all current editions
of NOAA ENC files and all updates to or new editions of NOAA ENC files
available to its customers within five working days of the files or
updates being posted by NOAA.
(3) Distribution report. CED shall provide a quarterly report on
when NOAA ENC files were downloaded and when they were distributed to
end users.
(4) Additional data. (i) If CED provides other data to customers in
addition to NOAA ENC data (e.g., ENC data from other nations, raster
chart data, privately produced data, etc.), CED shall provide a clear
indication to the customer which files are official NOAA ENC data and
which files are not. This may be accomplished through means such as
package labeling, notifications in software, or other means.
(ii) Additionally, any data that is included with NOAA ENC data
must not result in embarrassment to the Department of Commerce or NOAA.
There must be no conflict with any trademark rights and the inclusion
of non-NOAA data will not constitute any endorsement of or favoritism
toward the non-NOAA data or CED.
(5) Identification of contents. CED shall ensure that NOAA ENC[reg]
files provided to an end user are clearly identified as to the contents
(cells, updates, and ancillary files) and authenticity of the exchange
set.
(b) Distribution of Data by CEVADs--(1) Frequency of distribution.
CEVAD shall make all current editions of NOAA ENC files and all updates
to or new editions of NOAA ENC files available to its customers within
five working days of the files or updates being posted by NOAA.
(2) Distribution report. CEVAD shall provide a quarterly report to
NOAA on when NOAA ENC files were downloaded and when they were
distributed or made available to end users.
(3) Additional data. (i) If CEVAD provides products to customers
that incorporate other data in addition to NOAA ENC data (e.g., ENC
data from other nations, raster chart data, privately produced data,
etc.), CEVAD shall provide a clear indication in the product which data
are from official NOAA ENC data and which data are not. This shall be
done in a way that allows the navigation system to give the end user an
automatic notification or warning that particular data elements within
the product are not from the official NOAA ENC. Any such data shall not
degrade the official NOAA ENC data or information.
(ii) Additionally, any data that is included with NOAA ENC data
must not result in embarrassment to the Department or NOAA. There must
be no conflict with any trademark rights and the inclusion of non-NOAA
data will not constitute any endorsement of or favoritism toward the
non-NOAA data or CEVAD.
(4) Identification of contents. CEVAD shall ensure that data
provided to an end user clearly identify which NOAA ENC[reg] files are
included in the product as to the contents (cells, updates, and
ancillary files) and authenticity of the NOAA ENC files used.
Sec. 995.25 Quality Management System.
(a) Quality Management System for CEVADs. (1) CEVAD shall operate a
quality management system, based on ISO 9001-2000 or equivalent, which
embraces all elements of the process used to process and distribute
NOAA ENC files. The minimum requirements for such a quality management
system are those defined in this document. The quality management
system must ensure that the production process complies with all
relevant requirements of this document.
(2) The quality management system must, at a minimum, include an
adequate account of:
(i) The quality objectives and the organizational structure,
responsibilities, and powers of management with regard to production
quality;
(ii) The techniques, processes, and systematic actions that will be
used for quality management throughout the production process,
including NOAA ENC conversion and the quality of the product being
distributed;
[[Page 61170]]
(iii) The examination and tests that will be carried out before,
during, and after processes essential for the quality of the product,
and the frequency with which they will be carried out;
(iv) The quality records, such as inspection records and test data,
qualification reports of personnel concerned resulting from the program
specified herein; and
(v) The means for monitoring the achievement of the required
quality of the product and the effective operation of the quality
management system.
(3) Design and development changes shall be reviewed, verified, and
validated as appropriate and approved by the ISO 9001 certification
authority (or equivalent if another quality management system is used)
before implementation.
(4) If the type approved conversion software is maintained by a
third party, CEVAD shall ensure that no changes made to the conversion
software render the type approval of the conversion software invalid,
and shall evaluate the effects of such changes on the end users of the
product.
(5) CEVAD shall analyze both internal information and that received
from external parties in order to continually monitor and improve the
production process and the product being distributed.
(6) CEVAD shall ensure that personnel performing work affecting the
production process are competent with regard to appropriate education,
training, skills, and expertise.
(7) CEVAD shall conduct internal audits at planned intervals to
determine whether the quality management system conforms to the
requirements of this document and is effectively implemented and
maintained. The audit program shall take into consideration the
individual processes' importance in relation to the product quality, as
well as results of previous audits. Selection of auditors and
conducting of audits shall, as far as practicable, insure objectivity
and impartiality in the audit process.
(8) CEVAD shall ensure that actions are taken without undue delay
to eliminate detected non-conformities and their causes. Follow-up
activities shall include the verification of the actions taken and the
reporting of verification results.
(9) Format validation software testing. Tests shall be performed
verifying, as far as reasonable and practicable, that CEVAD's data
testing software performs the checks, as specified by CEVAD, for
verifying that the converted data conforms to its own proprietary
product specification.
These tests may be combined with testing of the conversion
software.
(b) [Reserved]
Sec. 995.26 Conversion of NOAA ENC files to other formats.
(a) Conversion of NOAA ENC files to other formats--(1) Content.
CEVAD may provide NOAA ENC data in forms other than that provided by
NOAA. However, CEVAD shall not change the information content provided
by the NOAA ENC. This means that all features and their associated
attribution must be preserved in the CEVADs data files without
degradation to positional accuracy or informational content.
(2) Software certification. Conversion of NOAA ENC data to other
formats must be accomplished within the constraints of ``IHO Technical
Resolution A3.11 (Incorporation by Reference see Sec. 995.2)--ENC/SENC
Distribution Option,'' in particular, paragraph three:
Distributors who are to supply the SENC service must operate
under the regulations of the issuing authority. The onshore ENC to
SENC conversion must be performed using type-approved software.
(3) Error reporting. Any errors detected during the conversion
process shall be logged and investigated prior to releasing the data in
which the errors occurred. Any errors that apparently originate in the
NOAA ENC files shall be immediately reported to NOAA.
(4) Format check. CEVAD shall ensure that the converted data
conforms to the CEVAD's own format specifications and shall test load
the converted data to ensure that it will correctly load and display on
the intended equipment.
(b) [Reserved]
Sec. 995.27 Format validation software testing.
Tests shall be performed verifying, as far as reasonable and
practicable, that CEVAD's data testing software performs the checks, as
specified by CEVAD, for verifying that the converted data conforms to
its own proprietary product specification. These tests may be combined
with testing of the conversion software.
Sec. 995.28 Use of NOAA emblem.
(a) Permission for the use of the NOAA emblem must be obtained by
formally requesting such permission from NOAA and the Department of
Commerce through NOAA's Office of Coast Survey.
(b) Use of the NOAA emblem must satisfy an interest of the
Department; the use may not result in embarrassment to the Department;
there must be no conflict with any trademark rights, as stated in Sec.
995.24(a)(4)(ii) and (b)(3)(ii); and there can be no endorsement or
favoritism toward the distributor or value added distributor using the
emblem, or other appearance of impropriety.
(c) Certification under these regulations does not automatically
grant the distributor or value added distributor the right to use the
NOAA logo. Use of the NOAA logo without express permission from NOAA
and the Department of Commerce will be considered grounds for denial of
an application for certification or termination of certification.
(d) Emblem use by certified distributors or certified value added
distributors of NOAA electronic products. (1) A CED or CEVAD may use
the NOAA emblem in product labeling and advertising materials but only
in conjunction with the phrase ``Certified NOAA ENC Distributor'' or
``Certified NOAA ENC Value Added Distributor,'' as applicable, and only
after receiving separate, written permission from NOAA and the
Department of Commerce as described below.
(2) If the NOAA emblem is used with products that include other
data, clear indication must be provided to the customer indicating that
the emblem and the phrase ``Certified NOAA ENC Distributor'' or
``Certified NOAA ENC Value Added Distributor'' does not apply to the
entire product delivered. Information on the effects of such limitation
must be provided to the customer. (See Sec. 995.24(a)(4) and (5), and
(b)(3) and (4)).
Sec. 995.29 Limitation on endorsements.
By certifying compliance with these requirements, NOAA does not
automatically, directly, or indirectly endorse any product or service
provided, or to be provided, by distributor or value added distributor
or its successors, assignees, or licensees. The distributor or value
added distributor shall not in any way imply that this certification is
an endorsement of any such product or service without separate, written
permission from NOAA and the Department of Commerce.
Appendix A to Subpart C of Part 995--Certification Application
Templates
Notice to respondents:
This information is being collected by NOAA to ascertain
qualifications for certification as an authorized distributor of
official NOAA ENC[reg] data. NOAA developed this certification
process under the authority of 33 U.S.C. 892b(b)(1), which states
that the Administrator of NOAA is directed to develop and implement
a quality assurance program that is equally available to all
[[Page 61171]]
applicants, under which the Administrator may certify hydrographic
products that satisfy the standards promulgated by the Administrator
under section 892a(a)(3) of the Hydrographic Services Improvement
Act.
The information on these forms is not associated with
performance of agency functions.
Public reporting burden for this collection of information is
estimated to average 16 hours per response, including the time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding this burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to
Jim.Gardner@noaa.gov.
Responses to this collection are considered voluntary, though
they are required for certification.
The information requested on these forms will not be
disseminated to the public or used to support information that will
be disseminated to the public. Any disclosure of propriety
information will be held in confidentiality as regulated under the
Trade Secrets Act. NOAA will not violate that Act's prohibitions
against unauthorized agency disclosures of trade secrets or other
confidential business information.
Notwithstanding any other provision of the law, no person is
required to, nor shall any person be subject to a penalty for
failure to, comply with a collection of information subject to the
requirements of the Paperwork Reduction Act, unless that collection
of information displays a currently valid OMB Control Number.
OMB Control -------- Expires --------
Application for Certification as ``Certified NOAA ENC Distributor''
Company Name
Company Address
Company Phone Number
Company Fax Number
Company E-Mail Address
Point of Contact
Point of Contact Address
Point of Contact Phone Number
Point of Contact Fax Number
Point of Contact E-Mail Address
This is a request for the above named company (hereinafter
referred to as Distributor to be certified as a ``Certified NOAA ENC
Distributor'' (CED). This document describes how each of the
requirements for certification is being met. Descriptive titles
after each number in parenthesis correspond to section titles in the
rule.
(1) Registry of data users
Include a description of the data user registry, including:
(a) What data elements it contains, specifically showing how the
required elements are included;
(b) A hardcopy sample of the report that will be periodically
submitted to NOAA;
(c) A short description of how the registry is maintained.
(2) Training of data users
Include a description of any training and a copy of any
documentation provided to users that is intended to meet this
requirement.
(3) Acquisition of data
Distributor asserts that all procedures described in this
requirement for the acquisition of NOAA ENC[supreg] data for
distribution are being followed.
(4) Distribution of data/General
Distributor asserts that all NOAA ENC[supreg] data distributed
will be in the format described by this requirement.
(5) Distribution of data/Compression
Distributor shall indicate if data compression techniques are
used. If Distributor uses data compression techniques, Distributor
asserts that the process meets the requirements of this section.
(6) Distribution of data/Encryption
Distributor shall indicate if data encryption techniques are
used. If Distributor uses data encryption techniques, Distributor
asserts that the process meets the requirements of this section.
(7) Distribution of data/Frequency of distribution
Distributor asserts that any updates will be transmitted to
their users within the time constraints described by this
requirement.
(8) Distribution of data/Distribution report
Distributor shall provide an example of the distribution report
described by this requirement.
(9) Distribution of data/Additional data
Distributor shall indicate if additional data is to be
distributed with the NOAA ENC[supreg] data. If so, Distributor shall
provide examples of how the data users will be informed as to the
official and unofficial contents of the data as described in this
requirement.
(10) Distribution of data/Identification of contents
Distributor shall provide examples of how the contents of the
NOAA ENC[supreg] files will be identified to the users.
(11) Use of NOAA emblem
Distributor acknowledges that a separate request for the use of
the NOAA emblem must be submitted according to the procedure
described in Sec. 995.28.
(12) Limitation on Endorsements
Distributor acknowledges that NOAA does not automatically,
directly, or indirectly endorse any product or service provided, or
to be provided, by Distributor, its successors, assignees, or
licensees. Distributor shall not in any way imply that this
certification is an endorsement of any such product or service
without separate, written permission.
(13) Correspondence and Applications/Requests for Certification
Distributor acknowledges and agrees to all procedures and
requirements described pertaining to the certification process.
(14) Correspondence and Applications/Point of contact
Distributor agrees to immediately notify the Government of any
changes to point of contact information.
(15) Auditing
Distributor acknowledges that NOAA reserves the right to audit
Distributor to ensure that these requirements are being met.
(16) Termination of certification
Distributor acknowledges the conditions leading to and
procedures for the termination of certification as described in the
requirements.
(17) Term of certification
Distributor acknowledges that the duration of certification is
five years from the date of issuance.
(18) Liability
By signing this request for certification, Distributor pledges
to indemnify and hold harmless the U.S. Government for any loss,
claim, damage, or liability of any kind, the extent caused by the
negligence of Distributor or its employees, arising out of the use
by the Distributor, or any Party acting on its behalf or under its
authorization, of NOAA ENC[supreg] data.
Signature of this request constitutes an acknowledgement by
Distributor of ALL applicable terms and conditions described in the
certification requirements.
Signed:
Title:
Date:
OMB Control -------- Expires ----
Application for Certification as ``Certified NOAA ENC Value Added
Distributor''
Company Name
Company Address
Company Phone Number
Company Fax Number
Company E-Mail Address
Point of Contact
Point of Contact Address
Point of Contact Phone Number
Point of Contact Fax Number
Point of Contact E-Mail Address
This is a request for the above named company (hereinafter
referred to as Value Added Distributor) to be certified as a
``Certified NOAA ENC Value Added Distributor'' (CEVAD). This
document describes how each of the requirements for certification is
being met. Descriptive titles after each number in parenthesis
correspond to section titles in the rule.
(1) Registry of data users
Include a description of the data user registry, including:
(a) What data elements it contains, specifically showing how the
required elements are included;
(b) A hardcopy sample of the report that will be periodically
submitted to NOAA;
(c) A short description of how the registry is maintained.
(2) Training of data users
Include a description of any training and a copy of any
documentation provided to
[[Page 61172]]
users that is intended to meet this requirement.
(3) Acquisition of data
Value Added Distributor asserts that all procedures described in
this requirement for the acquisition of NOAA ENC[reg] data for
distribution are being followed.
(4) Quality Management System
Value Added Distributor shall provide a copy of the ISO 9001-
2000 certification or certification of compliance with an equivalent
program of quality management that covers the processes described in
this section of the requirements.
(5) Conversion of NOAA ENC[reg] files to other formats
Value Added Distributor asserts that all NOAA ENC[reg] content
and accuracy are preserved during the conversion process as
described in this section of the requirements.
(6) Conversion of NOAA ENC[reg] files to other formats/Software
certification
Value Added Distributor shall provide a copy of the type
approval certificate for the software used to convert the NOAA
ENC[reg] files to the Value Added Distributor's format.
(7) Conversion of NOAA ENC[reg] files to other formats/Error reporting
Value Added
Distributor asserts that they shall log and report any errors in
the NOAA ENC[reg] data detected during the conversion process. Value
Added Distributor shall provide an example of the report format that
they will use.
(8) Conversion of NOAA ENC[reg] files to other formats/Format check
Value Added Distributor asserts that all data shall be checked
for conformance with Value Added Distributor's own format
specifications and shall test load the converted data as described
in this section of the requirements.
(9) Distribution of data/Frequency of distribution
Value Added Distributor asserts that any updates will be
transmitted to their users within the time constraints described by
this requirement.
(10) Distribution of data/Distribution report
Value Added Distributor shall provide an example of the
distribution report described by this requirement.
(11) Distribution of data/Additional data
Value Added Distributor shall indicate if additional data is to
be distributed with the NOAA ENC[reg] data. If so, Value Added
Distributor shall provide examples of how the data users will be
informed as to the official and unofficial contents of the data as
described in this requirement.
(12) Distribution of data/Identification of contents
Value Added Distributor shall provide examples of how the
contents of the NOAA ENC[reg] files will be identified to the users.
(13) Format validation software testing
The validation software used by Value Added Distributor shall be
tested according to this requirement and the results stated in this
section of the request for certification.
(14) Use of NOAA emblem
Value Added Distributor acknowledges that a separate request for
the use of the NOAA emblem must be submitted according to the
procedure described in Sec. 995.28.
(15) Limitation on Endorsements
Value Added Distributor acknowledges that NOAA does not
automatically, directly, or indirectly endorse any product or
service provided, or to be provided, by Value Added Distributor, its
successors, assignees, or licensees. Value Added Distributor shall
not in any way imply that this certification is an endorsement of
any such product or service without separate, written permission.
(16) Correspondence and Applications/Requests for Certification
Value Added Distributor acknowledges and agrees to all
procedures and requirements described pertaining to the
certification process.
(17) Correspondence and Applications/Point of contact
Value Added Distributor agrees to immediately notify the
Government of any changes to point of contact information.
(18) Auditing
Value Added Distributor acknowledges that NOAA reserves the
right to audit Value Added Distributor to ensure that these
requirements are being met.
(19) Termination of certification
Value Added Distributor acknowledges the conditions leading to
and procedures for the termination of certification as described in
the requirements.
(20) Term of certification
Value Added Distributor acknowledges that the duration of
certification is five years from the date of issuance.
(21) Liability
By signing this request for certification, Value Added
Distributor pledges to indemnify and hold harmless the U.S.
Government for any loss, claim, damage, or liability of any kind,
the extent caused by the negligence of Value Added Distributor or
its employees, arising out of the use by the Value Added
Distributor, or any party acting on its behalf or under its
authorization, of NOAA ENC[reg] data.
Signature of this request constitutes an acknowledgement by
Value Added Distributor of ALL applicable terms and conditions
described in the certification requirements.
Dated: October 4, 2004.
Richard W. Spinrad,
Assistant Administrator for Ocean Services and Coastal Zone Management,
National Oceanic and Atmospheric Administration.
[FR Doc. 04-23167 Filed 10-14-04; 8:45 am]