[Federal Register Volume 69, Number 199 (Friday, October 15, 2004)]
[Proposed Rules]
[Pages 61165-61172]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-23167]



[[Page 61165]]

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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.

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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 
<a href="/cdn-cgi/l/email-protection#e8adabaca1bba886878989c68f879e"><span class="__cf_email__" data-cfemail="7c393f38352f3c12131d1d521b130a">[email protected]</span></a>.

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, 
<a href="/cdn-cgi/l/email-protection#0c466561224b6d7e6862697e4c62636d6d226b637a"><span class="__cf_email__" data-cfemail="0c466561224b6d7e6862697e4c62636d6d226b637a">[email protected]</span></a>.

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 <a href="/cdn-cgi/l/email-protection#95d1f4e3fcf1cac7fae6e1fef0e7d5faf8f7bbf0fae5bbf2fae3"><span class="__cf_email__" data-cfemail="2e6a4f58474a717c415d5a454b5c6e41434c004b415e00494158">[email protected]</span></a> 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 : <a href="/cdn-cgi/l/email-protection#a7cec9c1c8e7cecfc589cac4"><span class="__cf_email__" data-cfemail="ddb4b3bbb29db4b5bff3b0be">[email protected]</span></a>. 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: <a href="/cdn-cgi/l/email-protection#11787f777e517879733f7c72"><span class="__cf_email__" data-cfemail="a4cdcac2cbe4cdccc68ac9c7">[email protected]</span></a>.
    (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 <a href="/cdn-cgi/l/email-protection#5f3a313c713c373e2d2b2f2d303b2a3c2b3630311f31303e3e71383029"><span class="__cf_email__" data-cfemail="8aefe4e9a4e9e2ebf8fefaf8e5eeffe9fee3e5e4cae4e5ebeba4ede5fc">[email protected]</span></a>, 
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 
<a href="/cdn-cgi/l/email-protection#7e34171350391f0c1a101b0c3e10111f1f50191108"><span class="__cf_email__" data-cfemail="dc96b5b1f29bbdaeb8b2b9ae9cb2b3bdbdf2bbb3aa">[email protected]</span></a>.
    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 <greek-i> -------- 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 <greek-i>-------- 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]
BILLING CODE 3510-JE-P


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