[Federal Register Volume 66, Number 138 (Wednesday, July 18, 2001)]
[Notices]
[Pages 37468-37470]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-17875]


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FEDERAL MARITIME COMMISSION

[Docket No. 01-08]


The Impact of the Government Paperwork Elimination Act and the 
Electronic Signatures in Global and National Commerce Act

AGENCY: Federal Maritime Commission.

ACTION: Notice of inquiry.

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SUMMARY: The Federal Maritime Commission (``FMC'' or ``Commission'') is 
issuing this Inquiry to solicit information and comments concerning the 
impact of the Government Paperwork Elimination Act and the Electronic 
Signatures in Global and National Commerce Act on all sectors of the 
U.S. ocean shipping industry. These comments will assist the Commission 
as it analyzes the use and acceptance of documents in electronic form, 
as well as other means of engaging in electronic transactions. The 
Commission plans to provide individuals or entities with the option to 
submit information or transact business with the Commission 
electronically, where practicable, and to maintain records 
electronically when practicable.

DATES: Submit an original and 15 copies of comments (paper), or e-mail 
comments as an attachment in WordPerfect 8, Microsoft Word 97, or 
earlier versions of these applications, August 17, 2001.

ADDRESS COMMENTS TO: Bryant L. VanBrakle, Secretary, Federal Maritime 
Commission, 800 North Capitol St., NW., Room 1046, Washington, DC 
20573-0001, (202) 523-5725, E-mail: [email protected].

FOR FURTHER INFORMATION CONTACT: Florence A. Carr, Deputy Executive 
Director, Office of the Executive Director, Federal Maritime 
Commission, 800 North Capitol Street, NW., Washington, DC 20573-0001, 
(202) 523-5800, E-mail: [email protected].

SUPPLEMENTARY INFORMATION: The Commission is seeking information and 
comments from interested parties regarding the impact of the Government 
Paperwork Elimination Act (``GPEA''), Public Law 105-277, and the 
Electronic Signatures in Global and National Commerce Act (``E-SIGN''), 
Public Law. 106-229, on all sectors of the U.S. ocean shipping 
industry.
    GPEA provides that electronic records and their related electronic 
signatures are not to be denied legal effect, validity, or 
enforceability merely because they are in electronic form. GPEA 
requires agencies, by October 21, 2003, to provide for (1) the option 
of electronic maintenance, submission, or disclosure of information, 
when practicable as a substitute for paper; and (2) the use and 
acceptance of electronic signatures, when practicable. GPEA defines 
``electronic signature'' as a method of signing an electronic message 
that (a) identifies and authenticates a particular person as the source 
of the electronic message; and (b) indicates such person's approval of 
the information contained in the electronic message. GPEA encourages 
Federal Government use of a range of electronic signature alternatives.
    E-SIGN eliminates legal barriers to the use of electronic 
technology to form and sign contracts, collect and store documents, and 
send and receive notices and disclosures. E-SIGN provides that a 
contract, signature, or record may not be denied legal effect, validity 
or enforceability solely because it is in electronic form, and that a 
contract relating to such a transaction may not be denied legal effect, 
validity or enforceability solely because an electronic signature or 
electronic record was used in its formation, provided that, among other 
things, the parties agree to use or accept electronic records and or 
electronic signatures. Provisions in Federal and state statutes and 
agency regulations requiring the use of paper records and ink 
signatures in commercial, consumer, and business transactions have been 
superseded by E-SIGN as of October 1, 2000.
    E-SIGN also preserves consumer protections for electronic commerce 
such as exist for paper-based transactions. The Act applies broadly to

[[Page 37469]]

federal and state statutes and regulations governing private sector 
(including business-to-business and business-to-consumer) activities. 
The Act generally covers legal requirements that information be 
disclosed in private transactions. It also requires that agencies 
generally allow private parties to retain records electronically. The 
Government may establish appropriate performance standards for 
accuracy, integrity, and accessibility of records retained 
electronically, to ensure that compliance with laws can be determined, 
taxpayers can be protected, and the agency mission's can be 
accomplished.
    In order for the FMC to develop and implement procedures for the 
use and acceptance of documents in electronic form where practicable, 
as well as other means of engaging in electronic transactions, the 
agency must assess such factors as costs, benefits, risks, available 
technologies, confidentiality and security measures.
    Therefore, the Commission is seeking public comment to assist in 
its assessment. The Attachment contains several questions which we ask 
respondents to answer. If you or your organization are required to 
complete and submit any of the following forms/information collections 
to the FMC pursuant to 46 CFR Part 500 et seq., the Commission would be 
especially interested in your responses to the questions in the 
Attachment.
     Form FMC-1 Organization Information
     Form FMC-18 Application for a License as an Ocean 
Transportation Intermediary
     Form FMC-48 Ocean Transportation Intermediary Bond
     Form FMC-67 Ocean Transportation Intermediary Insurance 
Form
     Form FMC-68 Ocean Transportation Intermediary Guaranty 
Form
     Form FMC-69 Ocean Transportation Intermediary Group Bond 
Form
     Form FMC-83 Service Contracts User Registration Form
     Form FMC-131 Application for Certificate of Financial 
Responsibility
     Form FMC-132A Passenger Vessel Surety Bond
     Form FMC-132B Passenger Vessel Surety Bond
     Form FMC-133 FMC Guaranty in Respect of Liability for 
Nonperformance Section 3 of the Act Pub. L. 89-777
     Form FMC-133B FMC Guaranty in Respect of Liability for 
Death or Injury Section 2 of the Act Pub. L. 89-777
     Form FMC-150 Information for Class A/B Agreements and 
Instructions
     Form FMC-152A Monitoring Reports for Class A Agreements
     Form FMC-152B Monitoring Reports for Class B Agreements
     Form FMC-152C Monitoring Reports for Class C Agreements
     Form FMC-151 Information for Class C Agreements and 
Instructions
    The Commission encourages prospective commenters to address all 
relevant questions; however, there is no requirement that all questions 
be answered. Commenters are free to answer only those questions which 
they so choose.
    In addition to availability in hard copy or by e-mail copy from the 
Commission's Secretary, the Notice of Inquiry (``NOI'') questions will 
be made available on the Commission's website at http://www.fmc.gov in 
a downloadable text file. Comments may be submitted in hard copy or as 
an attachment to an e-mail. These e-mail attachments must be submitted 
in WordPerfect 8, Microsoft Word 97, or earlier versions of these 
applications. For further information contact the Secretary at 
[email protected] or (202) 523-5725.
    Now therefore, it is Ordered that Notice of this Inquiry be 
published in the Federal Register.

    By the Commission.
Bryant L. VanBrakle,
Secretary.

Attachment--NOI Questions

    Commenters should provide their organization's name and address, 
their category of organization (e.g., Vessel Operating Common 
Carrier, Shipper, Shippers' Association, Ocean Transportation 
Intermediaries), and a telephone number for the commenting official.
    1. Please identify (by FMC form number) the forms/information 
collections which you or your organization are required to submit to 
the FMC. For each form identified please rate the sensitivity of the 
data and the transaction as either high, medium or low, using the 
following definitions for each.
    High sensitivity--the data/transaction is of critical concern, 
may contain proprietary information, or consists of data files that 
require safeguarding.
    Medium sensitivity--the data/transaction is an important concern 
but not necessarily paramount in the organization's priorities. This 
includes data whose release or distribution outside of the 
organization or the Commission must be controlled and protected 
against acts as malicious destruction, unauthorized alteration or 
disclosure.
    Low sensitivity--some minimum level of security is required, but 
not the same level as the previous two categories, e.g., data files 
which have value to an originator only in their raw form, or data 
requiring safeguarding by the Privacy Act but which contain 
information that is nearly all in the public domain.
    2. Are you or is your organization now using or planning to use 
any form of electronic signature technology as part of your business 
activities? If yes, briefly describe the context in which it is used 
or planned to be used and indicate how frequently it may be used.
    3. Are you or is anyone in your organization familiar with 
Public Key Infrastructure (``PKI'') and Automated Certificates of 
Electronic Signature? If yes, indicate whether you are using or 
planning to use PKI electronic signature certificates.
    4. What benefits, if any, do you or your organization anticipate 
if the Commission establishes an electronic option for the forms/
information collections you identified in question 1?
    5. What additional risks to the data or the transaction, if any, 
do you or your organization anticipate should the Commission 
establish an electronic reporting option for the forms/ information 
collections you identified in question 1?
    6. With respect to the forms/information collections you 
identified in response to question 1, what obstacles or barriers do 
you or your organization expect may impede the Commission's 
successful establishment of electronic options?
    7. With respect to the forms/information collections you or your 
organization are required to provide to the FMC, which of the issues 
listed below pose the most concern for you should that same form/
information collection be provided on an electronic platform 
(meaning you can access the form, complete it, sign it, and transmit 
the completed/signed document back to the FMC electronically)? 
Briefly explain.
    a. Confidentiality--Ensuring that information can be read only 
by authorized entities, including possible encryption of information 
for privacy/confidentiality or security purposes.
    b. Integrity--Ensuring that data is unchanged from its source 
and has not been accidentally or maliciously altered. This includes 
but is not limited to:
    1. Authentication--Ensuring that transmissions and messages, and 
their originators, are authentic, and that a recipient is eligible 
to receive specific categories of information. This includes 
possibly having a third party verify that the content of a message 
has not been changed in transit, and that it is what it purports to 
be.
    2. Nonrepudiation--Ensuring strong and substantial evidence is 
available to the sender of data that the data has been delivered 
(with the cooperation of the recipient), and to the recipient 
evidence of the senders's identity, sufficient to prevent either 
from successfully denying having sent or received the data. This 
includes the ability of a third party to verify the integrity and 
origin of the data. Technical nonrepudiation binds a user to a 
transaction in a fashion that provides important forensic evidence 
in the event of a later problem.
    c. Availability--Ensuring that the information technology 
resources (system or data) are available on a timely basis to meet

[[Page 37470]]

mission/business requirements or to avoid substantial losses. 
Availability also includes ensuring that resources are used only for 
intended purposes.
    8. Any other comments?

[FR Doc. 01-17875 Filed 7-17-01; 8:45 am]
BILLING CODE 6730-01-P