[Federal Register Volume 70, Number 171 (Tuesday, September 6, 2005)]
[Rules and Regulations]
[Pages 52906-52916]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-16033]



[[Page 52906]]

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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.

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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[supreg]) 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 
[email protected].

FOR FURTHER INFORMATION CONTACT: Captain Jim Gardner, Chief, Marine 
Chart Division, Office of Coast Survey, NOS/NOAA, (301) 713-
2724,[email protected].

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

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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[supreg] 
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.

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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[supreg] 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

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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[supreg] 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[supreg] 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[supreg] 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[supreg] 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[supreg] 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: [email protected]. 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: [email protected].
    (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: [email protected].
    (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[supreg] 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[supreg] 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[supreg] 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 [email protected], 
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[supreg] 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[supreg] 
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[supreg] 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. Send comments regarding this burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to 
[email protected].
    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

[[Page 52915]]

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[supreg] data for redistribution are being followed.
    (10) Distribution of data/general (995.24(a)(1)(i)). Distributor 
asserts that all NOAA ENC[supreg] 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[supreg] data. If so, Distributor shall provide 
examples of how the data users will be informed as to the official 
and unofficial contents of the data as described 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[supreg] 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[supreg] 
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[supreg] 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

[[Page 52916]]

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[supreg] 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