Document ID: USCG-2009-0701-0001
Agency: uscg
Document Type: Notice
Title: Interim Policy for the Sharing of Information Collected by the Coast Guard Nationwide Automatic Identification System (Federal Register Publication)
Posted Date: 2010-01-15T05:00Z

[Federal Register: January 15, 2010 (Volume 75, Number 10)]
[Notices]               
[Page 2557-2558]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15ja10-81]                         

[[Page 2557]]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2009-0701]

 
Interim Policy for the Sharing of Information Collected by the 
Coast Guard Nationwide Automatic Identification System

AGENCY: Coast Guard, DHS.

ACTION: Notice of policy and request for comments.

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SUMMARY: The Coast Guard has developed an interim policy for the access 
and sharing of information collected by the Coast Guard Nationwide 
Automatic Identification System (NAIS). The Coast Guard is also seeking 
comments on the applicability and levels of sharing of information 
collected by the NAIS, the definition of historical NAIS information, 
and any commercial or security sensitivities with respect to sharing 
NAIS information in order to assist us in the development of the final 
policy on NAIS information sharing. This policy would serve as guidance 
for Coast Guard program managers and field units regarding the sharing 
of information collected by the NAIS with foreign governments, Federal, 
State, local, and Indian tribal governments, and non-government 
entities.

DATES: Comments and related material must either be submitted to our 
online docket via http://www.regulations.gov on or before February 16, 
2010, or reach the Docket Management Facility by that date.

ADDRESSES: This notice and the interim policy are available in the 
docket and can be viewed by going to http://www.regulations.gov, 
inserting USCG-2009-0701 in the ``Keyword'' box, and then clicking 
``Search.'' You may submit comments identified by docket number USCG-
2009-0701 using any one of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov.
    (2) Fax: 202-493-2251.
    (3) Mail: Docket Management Facility (M-30), U.S. Department of 
Transportation, West Building Ground Floor, Room W12-140, 1200 New 
Jersey Avenue, SE., Washington, DC 20590-0001.
    (4) Hand delivery: Same as mail address above, between 9 a.m. and 5 
p.m., Monday through Friday, except Federal holidays. The telephone 
number is 202-366-9329.
    To avoid duplication, please use only one of these four methods. 
See the ``Public Participation and Request for Comments'' portion of 
the SUPPLEMENTARY INFORMATION section below for instructions on 
submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice, 
call or e-mail Irene Hoffman Moffatt, Maritime Domain Awareness and 
Information Sharing Staff (CG-51M), U.S. Coast Guard; telephone 202-
372-2642, e-mail irene.a.hoffman-moffatt@uscg.mil. If you have 
questions on viewing or submitting material to the docket, call Renee 
V. Wright, Program Manager, Docket Operations, telephone 202-366-9826.

SUPPLEMENTARY INFORMATION:

Public Participation and Request for Comments

    We encourage you to submit comments and related material on the 
sharing of information collected by the NAIS. All comments received 
will be posted, without change, to http://www.regulations.gov and will 
include any personal information you have provided.
    Submitting comments: If you submit a comment, please include the 
docket number for this notice (USCG-2009-0701) and provide a reason for 
each suggestion or recommendation. You may submit your comments and 
material online, or by fax, mail or hand delivery, but please use only 
one of these means. We recommend that you include your name and a 
mailing address, an e-mail address, or a phone number in the body of 
your document so that we can contact you if we have questions regarding 
your submission.
    To submit your comment online, go to http://www.regulations.gov, 
click on the ``submit a comment'' box, which will then become 
highlighted in blue. In the ``Document Type'' drop-down menu, select 
``Notices'' and insert ``USCG-2009-0701'' in the ``Keyword'' box. Click 
``Search,'' then click on the balloon shape in the ``Actions'' column. 
If you submit your comments by mail or hand delivery, submit them in an 
unbound format, no larger than 8\1/2\ by 11 inches, suitable for 
copying and electronic filing. If you submit them by mail and would 
like to know that they reached the Facility, please enclose a stamped, 
self-addressed postcard or envelope. We will consider all comments and 
material received during the comment period.
    Viewing the comments: To view the comments, go to http://
www.regulations.gov, click on the ``read comments'' box, which will 
then become highlighted in blue. In the ``Keyword'' box insert ``USCG-
2009-0701'' and click ``Search.'' Click the ``Open Docket Folder'' in 
the ``Actions'' column. If you do not have access to the internet, you 
may view the docket online by visiting the Docket Management Facility 
in Room W12-140 on the ground floor of the Department of Transportation 
West Building, 1200 New Jersey Avenue, SE., Washington, DC 20590, 
between 9 a.m. and 5 p.m., Monday through Friday, except Federal 
holidays. We have an agreement with the Department of Transportation to 
use the Docket Management Facility.
    Privacy Act: Anyone can search the electronic form of comments 
received into any of our dockets by the name of the individual 
submitting the comment (or signing the comment, if submitted on behalf 
of an association, business, labor union, etc.). You may review a 
Privacy Act, system of records notice regarding our public dockets in 
the January 17, 2008, issue of the Federal Register (73 FR 3316).

Background and Purpose

    The Coast Guard has developed a policy that will serve as guidance 
for Coast Guard program managers and field units regarding the sharing 
of information collected by the NAIS with foreign governments, Federal, 
State, local, and Indian tribal governments, and non-government 
entities. Sharing information collected by the NAIS would improve 
navigation safety, enhance the ability to identify and track vessels, 
heighten our over-all Maritime Domain Awareness (the effective 
understanding of anything associated with the global maritime 
environment that could affect the security, safety, economy, or 
environment of the U.S.), address threats to maritime transportation 
safety and security, facilitate commerce, and enhance environmental 
protection efforts.
    The Automatic Identification System (AIS) was developed to enhance 
navigation safety through collision avoidance, waterways management, 
and surveillance. It is a maritime digital broadcast technology that 
continually transmits and receives voiceless exchange of vessel data. 
The AIS technology and communication protocol have been adopted by the 
International Maritime Organization as a global standard for ship-to-
ship, ship-to-shore, and shore-to-ship communication of navigation 
information. In accordance with section 80.393 of the Rules and 
Regulations of the Federal Communications Commission (47 CFR 80.393), 
``Automatic Identification Systems (AIS) are a maritime broadcast 
service.'' As a broadcast system (where communications are intended to 
be

[[Page 2558]]

received by the public), there is no expectation of privacy of any 
transmitted position, binary, or safety related messages, or any 
information transmitted on AIS. In response to the Maritime 
Transportation Security Act of 2002, the Coast Guard has developed a 
two-way maritime data communication system based on AIS technology, 
which is referred to as the NAIS.

Levels of Information Sharing

    The following three levels pertain to information collected by the 
Coast Guard NAIS.
    The First level (Level A) is unfiltered (real-time) information 
collected by the NAIS that is less than 12 hours from transmission. 
Level A information may be shared with U.S. or foreign governments for 
legitimate internal government use (i.e., law enforcement, maritime 
safety, defense, and security purposes). The final policy would clarify 
that this information should be handled in accordance with Department 
of Homeland Security policies concerning sensitive but unclassified 
information, including by marking this information ``For Official Use 
Only'' (FOUO), or any successor controlled unclassified information 
marking and handling requirements subsequently implemented by the 
Department. Level A information would be handled as FOUO, or otherwise 
in accordance with another controlled unclassified information 
designation approved by the Department, due to the potential commercial 
sensitivities of the information collected by the NAIS and the 
unfiltered, embedded addressed and encrypted information, the release 
of which may pose a security risk.
    The Second level (Level B) is filtered (real-time) information 
collected by the NAIS that is less than 12 hours from transmission. 
Level B information may be shared with foreign governments or U.S. 
Federal, State, local, and Indian tribal governments, and with non-
government entities that are contractually supporting a Federal 
government agency's operations or research and development efforts, 
Coast Guard validated port partners, or non-governmental organizations 
with which the U.S. has an established or formalized relationship 
(e.g., port authorities, pilot associations, local law enforcement 
agencies, etc.). Level B may filter out encrypted and addressed 
information as appropriate and will be filtered as the NAIS system 
filtering capabilities become available. As with Level A information, 
the final policy would clarify that this information should also be 
handled as FOUO or other appropriate designation due to the potential 
(but unverified) commercial sensitivities of the information collected 
by the NAIS and, if applicable, the embedded addressed and encrypted 
information, the release of which may pose a security risk.
    The Third level (Level C) is information collected by the NAIS that 
is more than 12 hours from transmission. This information should be 
considered historical and no longer needing to be handled as FOUO. 
Requests for filtered or unfiltered historical information would be 
processed in accordance with the Freedom of Information Act, 5 U.S.C. 
552.
    In an effort to continue to enhance navigation safety and security, 
and to protect commercial and proprietary interests, this information 
may not be used for purposes other than those intended for the 
disclosure as approved. Foreign governments, Federal, State, local and 
Indian tribal governments, and non-government entities shall not 
retransmit or redistribute the information stream in any form other 
than those intended for the disclosure as approved, shall not charge a 
fee for its usage, and will be required to execute documentation 
imposing restrictions on the use of information collected by the NAIS. 
Any provision of information collected by the NAIS to foreign 
governments will be coordinated with and through the Department of 
State, as needed.
    Implementation of the final policy would be subject to NAIS system 
capability, especially with respect to evolving capabilities to filter 
NAIS information.

Request for Comments

    We request your general comments on the applicability and levels of 
the sharing of information collected by the NAIS, the definition of 
historical NAIS information, and any commercial or security 
sensitivities with respect to sharing of information collected by the 
NAIS.
    We also seek comments on any or all of following specific questions 
on the development of the NAIS final policy:
    1. How might providing real-time, near real-time, or historical 
NAIS information to the public impact maritime commerce?
    2. What would be the impact of providing this information, if any, 
on the following?
    a. Safety of ships and passengers or crew,
    b. Security of ships and their cargo,
    c. Economic advantage or disadvantage to commercial stakeholders,
    d. Environmental impact on extractable resources or coastal 
activities.
    3. Is information collected by the NAIS considered sensitive?
    a. Is real-time or near real-time information collected by the NAIS 
viewed differently than historical NAIS information, and if so, how?
    b. Does the sharing of information collected by the NAIS generate 
concern about unfair commercial advantage? If so, for which segments of 
the industry is this a concern?
    c. Is there a timeframe within which real-time or historical 
information collected by the NAIS is considered sensitive or is no 
longer considered sensitive?
    d. Given that ships last for decades and that their capabilities 
and capacities are relatively stable, is there a concern that 
historical NAIS information might be analyzed to derive a competitive 
advantage?
    4. What controls on sharing real-time, near real-time, or 
historical information collected by the NAIS with the public are 
suitable?
    a. Who should receive each type of NAIS information?
    b. What are appropriate uses of information collected by the NAIS?
    c. Do message types matter?
    d. Should addressed messages be handled differently from broadcast 
messages? Do addressed messages contain information significant to 
understanding maritime activity? Should addressed messages be shared 
with the public?

Written comments and responses to the above questions will be added to 
the docket number for this notice (USCG-2009-0701). The Coast Guard 
intends to review and analyze all comments received in order to develop 
the final policy for the sharing of information collected by the NAIS.
    This notice is issued under authority of 5 U.S.C. 552 and 46 U.S.C. 
70114.

    Dated: January 8, 2010.
Dana A. Goward,
Director, Assessment, Integration and Risk Management, U.S. Coast 
Guard.
[FR Doc. 2010-632 Filed 1-14-10; 8:45 am]
BILLING CODE 9110-04-P