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Federal Register: September 6, 2005 (Volume 70, Number 171)]
[Rules and Regulations]
[Page 52906-52916]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06se05-8]
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
15 CFR Part 995
Docket No: 040608174-5098-03]
RIN 0648-0508
Certification Requirements for Distributors of NOAA Electronic
Navigational Charts/NOAA Hydrographic Products
AGENCY: National Ocean Service (NOS), National Oceanic and
AtmosphericAdministration (NOAA), Department of Commerce (DOC).
ACTION: Final rule.
SUMMARY: The National Oceanic and Atmospheric Administration (NOAA) is
promulgating certification requirements with standards for applicants
who want to redistribute NOAA Electronic Navigational Charts (NOAA
ENCs®) as official data. 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. NOAA intends by this action to assure that,
though redistributed, quality official NOAA ENC data is offered to the
public in support of safe navigation on U.S. waters.
DATES: Effective Date: October 6, 2005. The incorporation by reference
of certain publications in this rule is approved by the Director of the
Federal Register as of October 6, 2005.
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.
FOR FURTHER INFORMATION CONTACT: Captain John Lowell, Chief, Marine
Chart Division, Office of Coast Survey, NOS/NOAA, (301) 713-2724 or
please click Here for NOAA's Nautical Chart Product Inquiry page.
SUPPLEMENTARY INFORMATION:
Discussion of Comments Received and Changes Made
On October 15, 2004, a notice of proposed rulemaking entitled
``Certification Requirements for Distributors of NOAA Electronic
Navigational Charts/NOAA Hydrographic Products'' was published in the
Federal Register (69 FR 61165), and comments were solicited. Four sets
of comments were received. The substance of the comments and the
resulting changes made to the regulation are summarized below.
One set of comments stated that the Certification Requirements for
Distributors of NOAA Electronic Navigational Charts/NOAA Hydrographic
Products was an inappropriate activity for NOAA. In response, NOAA
cites the Hydrographic Services Improvement Act of 1998, as amended
(codified at 33 U.S.C. 892b), under which this program was established.
The comments further suggested that a substantial fee structure would
be appropriate for the program. Again, NOAA refers to the enabling
legislation that limits the fees NOAA may charge.
A second set of comments offered that Sec. 995.8, ``Alterations,''
appeared to permit NOAA to change program regulations without following
the Administrative Procedure Act that allows for public comment. NOAA's
intent is to follow those procedures in executing this section, but
stating so in the rule is redundant with NOAA's obligation under the
Administrative Procedure Act. The section was deleted from the
regulations to eliminate confusion. The comment also suggested that in
Sec. 995.15(a), the first sentence, ``NOAA reserves the right to audit
certified distributors'' be deleted as redundant with Sec. 995.14.
NOAA deleted the sentence.
A third set of comments received contained two recommendations. The
first was that NOAA should use the ISO 19379 standard to certify
privately made Electronic Chart Systems (ECS) databases and the second
was that NOAA should eliminate the limitation in the proposed rule that
prevents the use of ISO 19379 certified electronic charts for mandated
chart carriage. Related to the recommendations was a set of comments.
As to the comment/recommendation that NOAA might adopt an existing
standard such as ISO 19379 for certifying privately made ECS databases,
NOAA recognizes this opportunity, and acknowledges this possibility in
a separate rule, entitled: Quality Assurance and Certification Program
for NOAA Hydrographic Products, in the Federal Register dated January
5, 2005 (70 FR 693). With this rule for distribution of official NOAA
ENCs, NOAA does not intend to certify privately made ECS databases, but
only to allow for the redistribution of official NOAA ENCs, while
retaining their official status.
As to the comment that NOAA's policy of not certifying privately
made ECS databases would deny adequate electronic chart coverage to
support the mandatory carriage of electronic charts, which the Coast
Guard has been directed to implement, NOAA sees no concern, and this
was not the purpose of this rulemaking. NOAA already provides 100
percent coverage of its area of responsibility with official raster
navigational charts (one type of electronic chart), 45 percent coverage
with official electronic navigational charts (a second type of
electronic chart) with completion of the full suite scheduled during
2007, and the U.S. Army Corps of Engineers anticipates completing full
coverage of primary and secondary inland river routes with official
electronic charts during 2007, thus serving vessels that carry 90
percent of the inland river shipping tonnage. Also, while the Coast
Guard must promulgate electronic chart carriage regulations by January
1, 2007, the effective date of those regulations, exactly which vessels
are to be covered, and what waivers may be issued is left to their
discretion. NOAA, the Corps of Engineers, and the Coast Guard will
continue to coordinate closely to ensure that electronic chart carriage
is not mandated before official charts are available.
Another comment stated that since the proposed rule did not provide
a means to certify privately made ECS databases for meeting chart
carriage regulations, it closes the markets to private companies for
equipping non-SOLAS, regulated vessels and thus was contrary to the
Regulatory Flexibility Act. Such certification is beyond the intent of
this rule, which is merely to certify distributors of official NOAA
ENCs. Further, the final rule does not take away regulated vessels as a
market for privately made electronic charts. Privately made charts have
never been accepted as meeting chart carriage regulations, but may be
carried as an aid to navigation. This situation will continue under the
final rule. In any case, because NOAA provides official electronic
charts at no cost, the commercially-viable market for private charts
aboard regulated vessels would be small, thus causing little impact on
small businesses. Finally, the number of companies that NOAA estimates
might be affected is few (approximately 3 to 9), not all of which may
be small businesses. Thus, the rule does not appear to rise to the
level of causing a significant economic impact on a
[[Page 52907]]
substantial number of small businesses. If any impact is made on the
industry it would provide a benefit to all participating entities by
allowing certified businesses to sell a new product that is considered
as having official NOAA ENC data in it, with the phrase ``Certified
NOAA ENC Distributor'' or ``Certified NOAA ENC Value Added
Distributor'' on products and marketing materials. NOAA appreciates
that a nation-wide supply of electronic charts for ECS is important and
so, in addition to these requirements, NOAA has promulgated a rule for
Quality Assurance and Certification Program for NOAA Hydrographic
Products, (70 FR 693, Jan. 5, 2005). That program supports companies in
making and selling electronic charts into the non-regulated market,
which is two orders of magnitude larger than the regulated market and
provides additional commercial opportunities for private companies
while preserving the safety of navigation.
The last set of comments had twelve recommendations, as follows:
One comment recommended that the title be changed to: ``PART 995--
Certification Requirements for Distributors of NOAA Electronic
Navigational Charts.'' NOAA is leaving the title in its present wording
for the possibility of future products.
One comment recommended that we move and clarify the definition of
``Distributor'' versus ``Value Added Distributor.'' Each term has a
specific definition as it applies to the section where it appears in
the regulation. NOAA believes that it is necessary to maintain the
difference between the two types of distributors.
One comment recommended a clarification between the certification
of a distributor, the certification of a process, and the certification
of a product, so that the end user would be able to identify if the
product is suitable for navigation and meets Federal chart carriage
requirements. For clarification, NOAA is certifying two types of
distributors who may redistribute official NOAA ENC data and have it
remain as official Federal data, which can be used to meet Federal
carriage requirements. While NOAA is not certifying processes the
distributors use to produce their end product, the rule requires them
to follow accepted industry standards as noted in this rule if the
entity wishes to have a product with data in it that complies with
Federal carriage requirements. NOAA believes the revised rule clarifies
these concerns.
One comment recommended that NOAA revise language where the rule
mandates different outcomes for the same procedure simply because of
who performed it. NOAA revised a portion of Sec. 995.1(c) to read:
``Any entity may continue to download from an official NOAA ENC®
Web site and use NOAA ENCs for any purpose. As long as it is not
redistributed, that ENC will still be considered as official Federal
data. If the NOAA ENC is successfully imported unaltered into a type-
approved system, it will comply with Federal nautical chart carriage
requirements.'' NOAA additionally clarified Sec. 995.1 by providing
examples illustrating when NOAA ENCs will or will not meet Federal
chart carriage regulation.
One comment recommended that the rule should require any
commercially redistributed official ENC or derived product from an
uncertified entity to notify the user that the product does not meet
federal chart carriage requirements. Instead of adding language to the
rule, NOAA will add to the Agreement Statement on the NOAA ENC Web
site, which the entity must accept in order to download any official
NOAA ENCs. The statement will have words to the effect that: ``Any
entity that is not a certified NOAA ENC distributor, agrees that it
will not redistribute NOAA ENCs as official data for the purpose of
complying with Federal chart carriage requirements. The certification
requirements and application can be found at: (inset hyper link). The
final rule as published in Federal Register (insert number and page),
can be found at (inset hyper link).'' A second statement will read,
``By clicking on the link below to proceed to download the NOAA ENCs,
the user acknowledges having read and agreed to the above terms and
conditions.''
One comment recommended that NOAA charge fees for all costs
incurred in the certification process, including resubmissions of
revised requests that were initially unacceptable. NOAA added language
in the fee section of the rule to include resubmissions.
One comment recommended that NOAA strike a redundant sentence, in
Sec. 995.15 (a), which was done.
One comment recommended that NOAA should reserve the right, to the
extent practicable, to require the recall of all redistributed ENCs and
derived products that were produced during a period of non-compliance.
NOAA does not believe that it is appropriate to require product recall
while the distributor is under investigation. However, NOAA revised
Sec. 995.15, Termination of certification, to read: ``CED or CEVAD
shall notify all recipients of its products that its certification has
been revoked and that the product may no longer be valid for use. In
addition, the CED or CEVAD shall provide the dates of non-compliance.''
One comment stated that NOAA cannot regulate that CEDs or CEVADs
ensure that the user (of its products) has a sufficient level of
knowledge. NOAA agreed and revised Sec. 995.22 to read: ``CED or CEVAD
shall provide some form of product training and education materials to
the customer to ensure that the end user has a sufficient level of
information about the intended use of the derived product and what is
needed to properly use it (e.g., requires certain equipment).''
One comment recommended that NOAA strike all of Sec. 995.24 (a)(4)
Additional data. NOAA chose not to delete Sec. 995.24(a)(4) for
liability reasons.
One comment recommended that NOAA provide an up-to-date listing on
the Office of Coast Survey (OCS) Web site of certified ENC distributors
and their certified products. NOAA will provide this list.
One comment recommended that NOAA require that a certification
statement accompany the NOAA logo when used on hydrographic products.
NOAA added in Sec. 995. 24 language that the CED/CEVAD should provide
documentation to clarify to the user the suitability of use of product,
the type and content of the files, when non-NOAA data is included, and
any time delays for distribution of the data.
Due to NOAA's re-examination of Sec. 995.15, NOAA determined that
the section required changes to best serve and protect the CED/CEVAD
throughout the termination process. NOAA revised the termination
process to provide the CED/CEVAD with clearer guidelines for responding
to a notification of potential termination administrative tracking and
response time of its claim, add final action language, and provide an
opportunity for the CED or CEVAD to resubmit a request for
certification if terminated. One change to Sec. 995.15, added to the
information collection associated with the Paperwork Reduction Act.
NOAA added that CED's or CEVAD's comments to OCS in response to a
notification of potential termination shall contain at least:
identification and contact information of the CED or CEVAD; a statement
that CED or CEVAD is responding to an initial written notification of
potential termination by OCS; and a thorough but concise argument as to
why CED or CEVAD believes that its certification should not be
terminated.
[[Page 52908]]
Electronic Access
A digital copy of this published rule for certification
requirements for NOAA ENC redistribution, with application templates,
is accessible via the Internet at NOAA's Web site: http://nauticalcharts.noaa.gov/mcd/enc/index.htm
.
Background
NOAA produces electronic navigational charts (ENCs) as one of its
products under its Nautical Charting Program. Official NOAA ENCs, which
conform to International Hydrographic Organization (IHO) standards, may
be used in a typeyapproved display system, such as an Electronic Chart
Display and Information System (ECDIS), to comply with Federal nautical
chart carriage requirements administered by the Coast Guard. NOAA
distributes these official ENCs to the public for free over its Web
site on the Internet.
Part 995 in the Code of Federal Regulations establishes the
requirements by which entities may be certified to download,
redistribute, repackage, or in some cases reformat, official NOAA ENCs
and retain their official status. No other processes result in
redistributed NOAA ENC® products that comply with Federal chart
carriage requirements.
NOAA developed these certification requirements under the authority
of Section 104 of the Hydrographic Services Improvement Act Amendments
of 2002, 33 U.S.C. 892b(b)(1). NOAA also developed these requirements
to ensure the quality and content of official NOAA ENCs remains intact
throughout the redistribution process.
To obtain a written copy of the 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 will need to comply with the 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 and S58. IEC Publication 61174 is
the basis for type-approval specifications related to operational
methods of testing and required test results for an International
Maritime Organization (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 S58 includes recommended ENC validation
checks. The IHO Special Publication S57 and S58 are available at the
IHO Web site: http://www.iho.shom.fr.
Classification
A. Executive Order 12866
This 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
certified to the Chief Counsel for Advocacy of the Small Business
Administration that this rule will 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.''
This certification process is voluntary. Only those applicants who
wish to redistribute NOAA ENC data as official Federal data with the
phrase ``Certified NOAA ENC Distributor'' or ``Certified NOAA ENC Value
Added Distributor'' on products and marketing materials need to apply.
NOAA developed 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. 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.
Public comments were received that the proposed rule does not
certify privately produced electronic nautical charts for use by
certain classes of regulated vessels. In response, NOAA reaffirmed that
such an action would be beyond the scope of the rule being promulgated
here. NOAA's intent with this rule is only to certify entities that
wish to redistribute its NOAA ENCs as official Federal data and for
meeting a set of requirements rather than certifying them for a
particular use.
One comment stated that the proposed rule's limitation to use
electronic charts on ECDIS closes the markets for all non-SOLAS vessels
in the United States and thus was contrary to the Regulatory
Flexibility Act. Certified official NOAA ENCs are not limited in their
use by NOAA, nor does NOAA have the authority to make the determination
of suitability of use. The determination of suitability of Federal
carriage requirements for certain classes of vessels lies with the
Coast Guard. NOAA believes that this rule is in the public interest and
that it does not remove a market for privately made electronic charts
since they never have been certified for regulatory carriage and do not
have that market. Also, because NOAA and the Corps of Engineers give
away for free official electronic charts for meeting carriage
requirements, it appears that the portion of the market that this rule
does not make readily accessible to private charts would be small.
Finally, the number of companies that NOAA estimates might be affected
is few (approximately 3 to 9), not all of which may be small entities.
Thus the rule does not appear to rise to the level of causing a
significant, negative economic impact on a substantial number of small
businesses, and thus does not violate the Regulatory Flexibility Act.
On the contrary, it should provide a benefit to all participating
entities. NOAA appreciates that a nation-wide supply of electronic
charts for ECS is important and so in union with these requirements,
NOAA offers another proposed rule for Quality Assurance and
Certification Program for NOAA Hydrographic Products, (69 FR 61172,
Oct. 15, 2004). That program supports companies in making and selling
electronic charts into the non-regulated market, which is two orders of
magnitude larger than the regulated market and provides additional
commercial opportunities for private companies while preserving the
safety of navigation.
The total estimated economic impact to small entities associated
with startup costs, software and equipment upgrades, the application
process, reporting, recordkeeping, and compliance requirements is not
expected to amount to sums greater than $5,228 per entity annually.
However, NOAA does not believe this cost will have a negative impact on
small companies, as the
[[Page 52909]]
estimated costs incurred should be offset through the benefits in
increased sales of the product because of its ``certified'' status.
Also, NOAA requires only bi-annual reporting and recordkeeping,
balancing the burden to the distributor, with the assurance of
maintaining safe navigation through data quality verification for
public safety. And, to lessen the economic impact, the duration of
certification will be five years from the date of issuance.
It is anticipated the effects of this rule will be largely positive
to small entities, with potential economic benefits. This rule will
allow certified businesses to sell a new product that is considered as
having official NOAA ENC data in it, with the phrase ``Certified NOAA
ENC Distributor'' or ``Certified NOAA ENC Value Added Distributor'' on
products and marketing materials. Under this rule, Federal regulation
and reporting will be extremely limited, startup costs should be
minimal and there is no charge to small businesses for this official
product, which they could resell for profit.
C. Paperwork Reduction Act
This rule contains collection-of-information requirements subject
to the Paperwork Reduction Act (PRA). The following requirements have
been approved by OMB under control number 0648-0508:
1. A written request and application for certification.
2. Submission of a registry of customers receiving NOAA ENC data.
3. Notification when the CRC checksum value does not match the
value in the CATALOG.031 file.
4. Compression/decompression and encryption/decryption software and
documentation for testing.
5. A distribution report describing when NOAA ENC files were
downloaded and when they were distributed to end users.
6. A label on products to identify data that are NOAA ENCs.
7. Report of any errors detected during the conversion process that
apparently originate in the NOAA ENC files.
8. An application for reconsideration of termination.
The total estimate of burden hours annually for all distributors is
536 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.
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 rule.
List of Subjects in 15 CFR Part 995
Administrative practice and procedure, Incorporated by reference,
Navigation (water), Navigational charts.
0
For the reasons stated in the preamble, NOS amends 15 CFR chapter IX by
adding to 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
HYDROGRAPHICPRODUCTS
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.
Subpart B--Certification and Procedures
Sec.
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
Sec.
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) as one of its products
under its Nautical Charting Program. According to Federal regulations,
official NOAA ENCs® meet nautical chart carriage requirements
when used in a type-approved display system, such as an Electronic
Chart Display and Information System (ECDIS). NOAA distributes these
official ENCs to the public for free over its Web site on 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 and retain the NOAA ENC's official status.
When a NOAA ENC® retains its official status, it will comply
with Federal chart carriage requirements. These requirements for re-
distributing NOAA ENC data or incorporating it into value-added
navigational products are to ensure the quality and content of official
NOAA ENCs remains intact throughout the redistribution process. No
other processes result in redistributed NOAA ENC products that comply
with Federal chart carriage requirements.
(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 permit, but do not require,
compression, encryption, and packaging with other data. Because NOAA
ENC® data is the primary concern of this rule, and it is
mandatory for certification that the official NOAA ENCs remain
unaltered for positional accuracy and informational content, NOAA is,
in effect, certifying that a CED's or CEVAD's products contain official
NOAA ENC data, and therefore meets chart carriage requirements.
(c) Any entity may continue to download from an official NOAA
ENC® Web site and use NOAA ENCs for any purpose. As long as it
is not redistributed, that ENC will still be considered as official
Federal data. If the NOAA ENC is successfully imported unaltered into a
type-approved system, it will comply with Federal nautical chart
carriage requirements. While without certification anyone can
[[Page 52910]]
download an official NOAA ENC for any use, if a NOAA ENC® is
redistributed by an uncertified entity to another entity, the NOAA ENC
is no longer considered as official Federal data and thus does not
comply with Federal chart carriage requirements. An example follows.
(1) One example is if an uncertified individual downloads a NOAA
ENC and uses it according to Federal requirements, that individual will
be meeting Federal chart carriage requirements. If an uncertified tug
boat company has 9 boats in its fleet and an individual on one of the
boats downloads a NOAA ENC and uses it according to Federal
requirements that individual will be meeting Federal chart carriage
requirements. However, if that same uncertified tug boat company
downloads a NOAA ENC and redistributes it to its 9 boats, the NOAA ENC
will not be considered official Federal data and therefore the 9 boats
will not be meeting Federal carriage requirements. The company should
become a CED or CEVAD under this part in order to be able to
redistribute NOAA ENC's and retain the official status of those ENC's.
(2) To reiterate, NOAA ENCs must not be redistributed by an
uncertified entity if the end output needs to have official NOAA ENCs
in it that will comply with Federal carriage requirements. Any company,
entity or individual must be certified if the goal is to redistribute
NOAA ENCs and have those NOAA ENCs remain as official Federal data and
as such continue to meet Federal carriage requirements administered by
the Coast Guard.
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
National Archives and Records Administration (NARA) or at the U.S.
Department of Commerce, 1401 Constitution Avenue, NW., Washington, DC
20230. For information on the availability of this material at NARA,
call (202) 741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html
.
(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'', as published in the ``Resolutions of the International
Hydrographic Organization'' updated June 2005, incorporation by
reference approved for Sec. 995.26.
(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 (IMO) 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 Web site:
http://www.iec.ch.
(2) IHO Special Publication S57--The IHO Transfer Standard for
Hydrographic Data, edition 3.1, dated November 2000, 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 for free download at http://www.iho.shom.fr.
Send written requests to 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.
(3) IHO Special Publication S58--The IHO Validation Checks for
Hydrographic Data, edition 2.0, dated October 2003, describes the
validation checks to be used on ENC data. This document was formally
published as S-57 Appendix B.1, Annex C, but has been renamed to S-58
due to the S-57 publication having been frozen (i.e. will not change)
for a fixed time period. IHO S-58 documentation is available for free
download at http://www.iho.shom.fr. Send written requests to 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 part) 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 part) 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 person or company that redistributes a NOAA ENC
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.
Entity means one person, one person within a company, or one
company.
NOAA ENC® 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.
Redistributed means to distribute again, either as a direct copy or
in a different way. A redistributed NOAA ENC is one that has been
downloaded from an official NOAA ENC Web site by one entity and
provided to another entity.
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
[[Page 52911]]
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 person or company that
redistributes a NOAA ENC with additional data included or in a
different format to create newly 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 Organization for Standardization
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.
(a) The Office of Coast Survey, NOAA, may charge a fee for costs
incurred to process each 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.
(b) If a fee is charged, it will be charged for each application
for certification submitted by an Applicant. A fee may also be charged
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 part
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.
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 this part has
been met. The application will also contain an acknowledgment, signed
by a company principal, of all terms and conditions described in this
part.
(c) Applicant shall use the appropriate template provided in
Appendix A to subpart C of this part 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 this part 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 this part, 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 part.
(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.
NOAA will review applications received within the 90-day resubmission
period in the time frame described in paragraph (a) of this section.
After the second review, if the application is still unacceptable,
Applicant will be again notified of the deficiencies in writing and the
process continues as stated is this section.
Sec. 995.12 Certification designation.
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. Use of these phrases must include
labeling to identify the product's contents and suitable use. (See
Sec. 995.24(a)(4), (5) and (6) and (b)(3), (4) and (5)). Use of the
NOAA emblem is described in Sec. 995.28 and is not automatically
granted with certification.
Sec. 995.13 Transfer of certification.
A CED or CEVAD may not transfer its certification to another
entity. If it is transferred the existing certification will be
terminated.
(a) If prior to certification it is known that another entity will
be assisting the entity applying for certification in the production or
redistribution of the data, that other entity must be documented in the
application process. Listed entities will be considered as falling
under the umbrella of the parent company's certification. The name of
the entity and its duties should be included as part of the
application.
(b) If, subsequent to certification, a CED or CEVAD wishes to add
another entity to assist it, a request in writing with the name of the
entity and its duties shall be provided to the Office of Coast Survey,
NOAA for acceptance. The Office of Coast Survey, NOAA will provide
written notification of acceptance to the CED or CEVAD within 30 days
of receipt of the request.
Sec. 995.14 Auditing.
NOAA reserves the right to audit CED or CEVAD to ensure that the
certification requirements are being met. Such an audit may consist of:
visits to the production facilities, product testing, confirmation of
ISO 9001 certification, or confirmation of type approval for conversion
software, and so forth.
Sec. 995.15 Termination of certification.
(a) In the event that NOAA determines that a CED or CEVAD is not
meeting the requirements described in this part, the Office of Coast
Survey,
[[Page 52912]]
NOAA (OCS) will provide initial written notification of potential
termination to the CED or CEVAD. OCS/NOAA will state in its
notification to CED or CEVAD that termination of certification is under
consideration.
(b) The initial notification of potential termination will be
provided in writing by OCS to the CED or CEVAD, and shall state the
reason for the potential termination. Reasons for termination may
include, but are not limited to:
(1) CED or CEVAD contracts or in any way seeks to transfer the
production or redistribution of all or part of the NOAA official data
in the product to another entity.
(2) CED or CEVAD fails to, or is unable (in the opinion of NOAA) to
carry out its responsibilities as described in this part.
(c) CED or CEVAD may submit written comments to OCS within 30 days
of receipt of the OCS's initial written notification of potential
termination, explaining why CED or CEVAD's certification should not be
terminated.
(1) The written comments shall be submitted to: Director, Office of
Coast Survey, National Ocean Service, NOAA (N/CS), 1315 East West
Highway, Silver Spring, MD 20910.
(2) The written comments shall contain at least:
(i) Identification and contact information of the CED or CEVAD;
(ii) A statement that CED or CEVAD is responding to an initial
written notification of potential termination by OCS; and
(iii) A thorough but concise argument as to why CED or CEVAD
believes that its certification should not be terminated.
(d) The Director of OCS will take all timely written comments into
account before taking final action, and in no case will the Director
take final action until at least 45 days after CED or CEVAD's receipt
of the initial written notification. A decision to terminate by the
Director of OCS will state the reasons for termination and respond to
all timely written comments submitted. Any final action taken by OCS
constitutes final agency action on the matter.
(e) CED or CEVAD shall notify all recipients of its products that
its certification has been revoked, and that the product may no longer
be valid for use. In addition, the CED or CEVAD shall provide the dates
of non-compliance.
Sec. 995.16 Term of certification.
The term of certification is five years from the date of issuance.
At the end of the certification term, 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 end of the term 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 in this subpart.
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® cells were provided to each customer;
(ii) Edition number of each cell provided;
(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 provide some form of product training and
education materials to the customer to ensure that the end user has a
sufficient level of information about the intended use of the derived
product and what is needed to properly use it (e.g., requires certain
equipment).
Sec. 995.23 Acquisition of data.
(a) CED or CEVAD shall obtain official NOAA ENC® 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 redistribute any NOAA ENC that does not have a valid CRC
checksum.
Sec. 995.24 Distribution of data.
(a) Distribution of data by CEDs. (1) Format of redistributed data.
(i) General. Except as listed in paragraphs (a)(1)(ii) and (iii) of
this section, CED agrees to redistribute 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
redistribution 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 redistribution 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. Documentation shall be provided to the
customer concerning any time delays that may occur between official
release of a NOAA ENC or update, and CED providing same to end users.
(3) Distribution report. CED shall provide a bi-annual report on
when NOAA ENC files were downloaded and when they were redistributed to
end-users.
[[Page 52913]]
(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 type and contents. CED shall ensure that NOAA
ENC® files provided to an end user are clearly identified as to
the type (e.g., direct unaltered copies) and contents (cells, updates,
and ancillary files) and authenticity of the exchange set. This may be
accomplished through means such as package labeling, notifications in
software, or other means.
(6) Use of product. CED shall provide a clear indication to the
customer the purpose of its products; for example, indicating whether
or not the product, and the data contained within it, is suitable for
navigation and if it meets Federal chart carriage requirements. If only
some of the files meet Federal carriage requirements, CED shall provide
clear indication which files do and which files do not. This may be
accomplished through means such as package labeling, notifications in
software, or other means.
(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.
Documentation shall be provided to the customer concerning any time
delays that may occur between official release of a NOAA ENC or update,
and CED providing same to end users.
(2) Distribution report. CEVAD shall provide a bi-annual report to
NOAA on when NOAA ENC files were downloaded and when they were
redistributed 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 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 CEVAD.
(4) Identification of type and contents. CEVAD shall ensure that
data provided to an end user clearly identify which NOAA ENC®
files are included in the product as to the type (e.g., NOAA ENCs in
another form than that provided by NOAA without degradation to
positional accuracy or informational content) and the contents (cells,
updates, and ancillary files) and authenticity of the NOAA ENC files
used. This may be accomplished through means such as package labeling,
notifications in software, or other means.
(5) Use of product. CEVAD shall provide a clear indication to the
customer of the purpose of its products; for example, indicating
whether or not the product, and the data contained within it, is
suitable for navigation and if it meets Federal chart carriage
requirements. If only some of the files meet Federal carriage
requirements, CEVAD shall provide clear indication which files do and
which files do not. This may be accomplished through means such as
package labeling, notifications in software, or other means.
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 redistribute
NOAA ENC files. The minimum requirements for such a quality management
system are those defined in this part. The quality management system
must ensure that the production process complies with all relevant
requirements of this part.
(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
redistributed;
(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 redistributed.
(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 part 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
[[Page 52914]]
taken and the reporting of verification results.
(b) [Reserved]
Sec. 995.26 Conversion of NOAA ENC[reg] 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: ``ENC/SENC Distribution Option'' (incorporated by
reference, see Sec. 995.2)--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 this part 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) After receiving separate,
written permission from NOAA and the Department of Commerce as
described in paragraph (a) of this section, 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 in paragraph (d)(2) of this
section.
(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 this part, 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® data. NOAA developed these certification
requirements under the authority of Section 104 of the Hydrographic
Services Improvement Act Amendments of 2002, 33 U.S.C. 892b(b)(1).
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. To send comments regarding this burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, please click
Here for NOAA's Nautical Chart Product Inquiry page.
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 0648-0508 Expires 05/31/2008]
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 or individual
(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 on this
application correspond to section titles in 15 CFR, chapter IX,
Subchapter F, Part 995--Certification requirements for Distributors
of NOAA hydrographic products. The numbers after each descriptive
title refer to the section number within 15 CFR part 995. The
Distributor should use these section numbers to insure that the
requirements are being fully understood and met by the Distributor
prior to submitting the application.
(1) Correspondence and applications/requests for certification
(995.10 (a)). Distributor acknowledges and agrees to all procedures
and requirements pertaining to the certification process described in 15 CFR part 995.
(2) Correspondence and applications/point of contact (995.10
(d)). Distributor agrees to immediately notify the Government of any
changes to point of contact information.
(3) Transfer of certification (995.13). Document other entities
that will be assisting in the production or redistribution of the
derived product. Provide the names and duties of those entities to
meet this requirement.
(4) Auditing (995.14). Distributor acknowledges that NOAA
reserves the right to audit Distributor to ensure that all
requirements in 15 CFR part 995 are being met.
(5) Termination of certification (995.15). Distributor
acknowledges the conditions leading to and procedures for the
termination of certification as described in this requirement.
(6) Term of certification (995.16). Distributor acknowledges
that the duration of certification is five years from the date of
issuance.
(7) Registry of data users (995.21). 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.
(8) Training of data users (995.22). Include a copy of any
documentation provided to users that is intended to meet this
requirement.
(9) Acquisition of data (995.23). Distributor asserts that all
procedures described in this requirement for the acquisition of NOAA
ENC® data for redistribution are being followed.
(10) Distribution of data/general (995.24(a)(1)(i)). Distributor
asserts that all NOAA ENC® data redistributed will be in the
format described by this requirement.
(11) Distribution of data/compression (995.24(a)(1)(ii)).
Distributor shall indicate if data compression techniques are used.
If Distributor uses data compression techniques, Distributor asserts
that the process meets the necessary regulations described by this
requirement.
(12) Distribution of data/encryption (995.24(a)(1)(iii)).
Distributor shall indicate if data encryption techniques are used.
If Distributor uses data encryption techniques, Distributor asserts
that the process meets the necessary regulations described by this
requirement.
(13) Distribution of data/frequency of distribution
(995.24(a)(2)). Distributor asserts that any updates will be
transmitted to their users within the time constraints described by
this requirement.
(14) Distribution of data/distribution report (995.24(a)(3)).
Distributor shall provide an example of the distribution report
described by this requirement.
(15) Distribution of data/additional data (995.24(a)(4)).
Distributor shall indicate if additional data is to be distributed
with the NOAA ENC® 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 by this
requirement.
(16) Distribution of data/identification of contents
(995.24(a)(5)). Distributor shall provide examples of how the
contents of the NOAA ENC® files will be identified to the
users.
(17) Distribution of data/use of product (995.24(a)(6)).
Distributor shall provide examples of how the data users will be
informed as to the purpose of its products as described in this
requirement.
(18) Use of NOAA emblem (995.28). Distributor acknowledges that
a separate request for the use of the NOAA emblem must be submitted
according to the procedure described in this requirement.
(19) Limitation on endorsements (995.29). 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.
(20) Liability (995.7). 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®
data.
Signature of this request constitutes an acknowledgement by
Distributor of ALL applicable terms and conditions described in the
certification requirements in 15 CFR part 995.
Signed:---------------------------------------------------------------
Title:----------------------------------------------------------------
Date:-----------------------------------------------------------------
[OMB Control 0648-0508 Expires 05/31/2008]
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 on
this application correspond to section titles in 15 CFR, chapter IX,
Subchapter F, Part 995--Certification requirements for Distributors
of NOAA hydrographic products. The numbers after each descriptive
title refer to the section number within 15 CFR, part 995. The
Distributor should use these section numbers to insure that the
requirements are being fully understood and met by the Distributor
prior to submitting the application.
(1) Correspondence and applications/requests for certification
(995.10 (a)). Distributor acknowledges and agrees to all procedures
and requirements pertaining to the certification process described
in 15 CFR part 995.
(2) Correspondence and applications/point of contact (995.10
(d)). Distributor agrees to immediately notify the Government of any
changes to point of contact information.
(3) Transfer of certification (995.13). Document other entities
that will be assisting in the production or redistribution of the
derived product. Provide the names and duties of those entities to
meet this requirement.
(4) Auditing (995.14). Distributor acknowledges that NOAA
reserves the right to audit Distributor to ensure that all
requirements in 15 CFR part 995 are being met.
(5) Termination of certification (995.15). Distributor
acknowledges the conditions leading to and procedures for the
termination of certification as described in this requirement.
(6) Term of certification (995.16). Distributor acknowledges
that the duration of certification is five years from the date of
issuance.
(7) Registry of data users (995.21). 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.
(8) Training of data users (995.22). Include a copy of any
documentation provided to users that is intended to meet this
requirement.
(9) Acquisition of data (995.23). Distributor asserts that all
procedures described in this requirement for the acquisition of NOAA
ENC® data for redistribution are being followed.
(10) Distribution of data/frequency of distribution
(995.24(b)(1)). Value Added Distributor asserts that any updates
will be transmitted to their users within the time constraints
described by this requirement.
(11) Distribution of data/distribution report
(995.24(b)(2)).Value Added Distributor shall provide an example of
the distribution report described by this requirement.
(12) Distribution of data/additional data (995.24(b)(3)). Value
Added Distributor shall indicate if additional data is to be
distributed with the NOAA ENC 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.
(13) Distribution of data/identification of contents
(995.24(b)(4)). Value Added Distributor shall provide examples of
how the contents of the NOAA ENC files will be identified to the
users.
(14) Distribution of data/use of product (995.24(b)(5)).
Distributor shall provide examples of how the data users will be
informed as to the purpose of its products as described in this
requirement.
(15) Quality management system (995.25). 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.
(16) Conversion of NOAA ENC files to other formats
(995.26(a)(1)). Value Added Distributor asserts that all NOAA
ENC® content and accuracy are preserved during the conversion
process as described in this section of the requirements.
(17) Conversion of NOAA ENC files to other formats/software
certification (995.26(a)(2)). Value Added Distributor shall provide
a copy of the type approval certificate for the software used to
convert the NOAA ENC files to the Value Added Distributor's format.
(18) Conversion of NOAA ENC files to other formats/error
reporting (995.26(a)(3)). Value Added Distributor asserts that they
shall log and report any errors in the NOAA ENC data detected during
the conversion process. Value Added Distributor shall provide an
example of the report format that they will use.
(19) Conversion of NOAA ENC files to other formats/format check
(995.26(a)(4)). 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.
(20) Format validation software testing (995.27). 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.
(21) Use of NOAA emblem (995.28). Value Added Distributor
acknowledges that a separate request for the use of the NOAA emblem
must be submitted according to the procedure described in this
requirement.
(22) Limitation on endorsements (995.29). 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.
(23) Liability (995.7). 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 data.
Signature of this request constitutes an acknowledgement by
Value Added Distributor of ALL applicable terms and conditions
described in the certification requirements.
Signed:---------------------------------------------------------------
Title:----------------------------------------------------------------
Date:----------------------------------------------------------------- Dated: August 9, 2005.
Richard W. Spinrad,
Assistant Administrator for Ocean Services and Coastal Zone Management,
National Oceanic and Atmospheric Administration.
[FR Doc. 05-16033 Filed 9-2-05; 8:45 am]
BILLING CODE 3510-JE-P
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