[Federal Register Volume 73, Number 21 (Thursday, January 31, 2008)]
[Notices]
[Pages 5813-5817]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-1662]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

RIN 0648-XF16


Vessel Monitoring Systems; Specification of Requirements for 
Mobile Transmitting Unit Type Approval

AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and 
Atmospheric Administration (NOAA), Commerce.

ACTION: Revision of type approval requirements for mobile transmitting 
units.

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SUMMARY: This document provides notice of type approval requirements 
for Mobile Transmitting Units (MTU) to be authorized for use on any 
vessel participating in the NOAA Vessel Monitoring System (VMS) 
program. Vessels participating in VMS program must acquire an NMFS-
approved MTU to comply with VMS standards set forth in NMFS rules 
requiring the use of VMS.

ADDRESSES: To obtain copies of the list of NMFS-approved VMS MTU and 
VMS communications service providers, or to obtain information 
regarding the status of VMS systems being evaluated by NOAA, write to 
NOAA Fisheries, Office for Law Enforcement (OLE), 8484 Georgia Avenue, 
Suite 415, Silver Spring, MD 20910.

FOR FURTHER INFORMATION CONTACT: For current listing information 
contact the VMS Support Center by phone: 888-210-9228, or by fax: 301-
427-0049 or for questions regarding VMS installation and status of 
evaluations contact Jonathan Pinkerton, National VMS Program Manager by 
phone: 301 427 2300 or by fax: 301-427-0049.

SUPPLEMENTARY INFORMATION: This notice supersedes all previous notices 
on MTU type approval requirements. Previously installed MTU approved 
under prior notices will continue to be approved for the remainder of 
their service life. New installations of a previously approved MTU 
occurring 120 days or more after the publication date of this notice 
must comply with all of the requirements herein. All new requests for 
type approval must comply with all of the requirements herein.

Background

    The Department of Commerce, National Oceanic and Atmospheric 
Administration, National Marine Fisheries Service, Office for Law 
Enforcement (OLE) maintains MTU specification requirements as an OLE 
National Directive. This notice sets prerequisite standards for the 
purpose of type approval that must be met by an MTU and any associated 
software before it is authorized for use in the NOAA VMS program. 
Vessels participating in VMS program must acquire an NMFS-approved MTU 
to comply with the specific VMS standards set forth in NMFS rules 
requiring the use of VMS. The MTU is a transceiver or communications 
device, including antennae, dedicated message terminal and display, and 
an input device such as a keyboard installed on fishing vessels 
participating in the VMS requirement. The MTU allows OLE to determine 
the geographic position of the vessel during specified intervals or 
events. In addition, it enables mobile communications services between 
OLE and the vessel when using an NMFS-accepted Mobile Communication 
Service Provider (MCSP). (Note: Standards for the MCSP are written in 
the complementary directive titled Mobile Communication Service 
Provider Specification of Requirements.)

Goal

    OLE seeks to deploy an ``open system,'' whereby the fishing 
industry participants may select from a variety of suppliers that 
qualify and have been approved to participate in VMS program. Fishermen 
must comply with applicable Federal fishery regulations regarding VMS 
and therefore may be cited for a violation and held accountable for 
monitoring anomalies not attributable to faults in the MCSP or MTU. 
Therefore, type approval is essential to establish and maintain 
uniformly high system integrity. By this directive, OLE seeks to 
approve reliable, robust, and secure MTU products and thereby create 
and maintain a VMS meeting the requirement of high integrity. Specific 
VMS programs are created to support particular NMFS rules requiring the 
use of VMS, which typically are designed to manage or protect fish and 
other marine species within designated areas.

Process

    Based on a request for type approval from an MTU supplier and 
certification of certain minimal standards, OLE will conduct a thorough 
evaluation and then issue a statement accepting or denying the type 
approval of the particular MTU. An MTU must meet the minimal national 
VMS standards, as required by this directive, and the requirements of 
the specific fisheries for which approval is sought. MTU supplier 
requesters are encouraged to review the national VMS

[[Page 5814]]

standards and NMFS rules requiring the use of VMS prior to submitting a 
request for approval. Upon successful demonstration of compliance with 
the requirements set forth in this directive, NMFS will issue an MTU 
type approval within a particular communications Class applicable to 
one or more VMS operations targeting particular NMFS rules requiring 
the use of VMS. OLE will maintain a current list of type approved 
MTU(s), and will forward lists of type approved MTU(s) to the 
respective regional Fisheries Management Council(s), post the 
information on the OLE website and provide it by fax upon request.
    NMFS approval will not necessarily result in agency procurement of 
the MTU. Instead, OLE will request that the MTU supplier provide a fact 
sheet to the fishing industry. The fact sheet will allow fishermen to 
make purchase decisions that are compatible with the VMS standards and 
their individual needs. Purchasing strategies are determined on a per 
implementation basis.

Initiation

    OLE will initiate the MTU type approval process upon written 
request from the supplier, subject to the demonstration of compliance 
with this directive and the availability of test units. The requestor 
for type approval may include the manufacturer, or an OEM/labeler, 
distributor, and/or reseller acting as a representative of the 
manufacturer. The evaluation may include consideration if that MTU has 
already passed a comparable type approval process to qualify for use in 
a foreign fisheries management effort. If applicable, the supplier 
should provide the MTU's identifying characteristics, the details of 
the foreign VMS requirement specifications, the MTU's level of 
compliance with them, and appropriate contact details of the approving 
authorities. NMFS also will consider approving an MTU OEM (original 
equipment manufacturer) model built from an equivalent MTU that already 
has received agency type approval under this directive.

Interoperability

    A supplier of an MTU seeking type approval within a particular 
communications class for VMS shall demonstrate that it meets the 
standards when using at least one qualified MCSP within that same 
class. The standards in this directive are intended to ensure that type 
approval for a particular MTU will permit its interoperability with all 
qualified MCSPs within its same class. A class refers to the medium, 
protocol, and frequency of the mobile communications technology. Some 
examples of existing classes include Inmarsat-C and Qualcomm/OmniTracs. 
To best promote interoperability within a class, MTU and MCSP 
acceptance standards are outlined in separate directives. However, 
concurrent with the approval process for an MTU, the approval for a 
same-class MCSP must be either in place or pending. Data received by 
OLE from the MTU via an approved MCSP must be in a format compatible 
with OLE tracking software.

Submission

    A supplier of an MTU requesting type approval shall begin by 
certifying that the MTU meets the minimum national VMS standards as 
required by this directive. Suppliers must describe in detail the 
extent to which its MTU complies with each of the requirements for the 
VMS implementation of interest as stated within this directive. The 
supplier, or requestor for type approval, must provide OLE with two 
MTUs for each fishery for which application is made for a minimum of 
90-days for testing and evaluation. The supplier must also provide 
thorough MTU documentation, including fact sheets, installation guides, 
operator manuals, user handbooks, the applicable interfacing software, 
and technical support. OLE shall review the submissions against the 
criteria of this directive. Next, OLE shall perform field test and sea 
trials. For this, OLE will either coordinate test conditions with 
volunteer and/or contract fishing vessels, or contract a third-party to 
accomplish this task. The tests may involve demonstrating every aspect 
of MTU operation, including installation of a registered MTU, location 
tracking, messaging, and maintenance procedures.
    Submit requests for type approval, along with hard and soft copies 
of support material to: U.S. Department of Commerce; National Oceanic 
and Atmospheric Administration; National Marine Fisheries Service; 
Office for Law Enforcement; Attention: Vessel Monitoring System 
Program; 8484 Georgia Ave. Suite 415; Silver Spring, MD 20910 USA; 
voice 301-427-2300; fax 301-427-0049.

Litigation Support

    Due to the use of VMS for law enforcement, all technical aspects of 
a supplier's submission are subject to being admitted as evidence in a 
court of law, if needed. The reliability of all technologies utilized 
in the MTU may be analyzed in court for, inter alia, testing 
procedures, error rates, peer review, and general industry acceptance. 
Further, the supplier may be required to provide technical and expert 
support for a litigation to support the MTU capabilities to establish 
OLE's case against violators. If the technologies have previously been 
subject to such scrutiny in a court of law, the supplier should 
describe the evidence and any court finding on the reliability of the 
technology. Additionally, to maintain the integrity of VMS for 
fisheries management, the supplier will be required to sign a non-
disclosure agreement limiting the release of certain information that 
might compromise the effectiveness of the VMS operations, such as, but 
not limited to, details of anti-tampering safeguards. The supplier 
shall include a statement confirming its agreement with these 
conditions.

Change Control

    Once an MTU is approved, it is the supplier's responsibility to 
notify OLE of any substantive change in the original submission, such 
as changes to firmware versions, and customer support contacts. OLE 
reserves the right to reconsider and revoke the MTU approval if as a 
result of a change to the MTU or VMS requirement the unit no longer 
satisfies the requirement.
    Any modification to the functionality of an approved MTU including 
but not limited to firmware, software, services, or passwords unless 
expressly authorized by NMFS OLE will invalidate the type approval of 
the unit and render it out of compliance with NMFS rules requiring the 
use of VMS. Any addition, deletion or change of the firmware, software, 
services, or passwords of an MTU unless expressly authorized by NMFS 
OLE will also invalidate the type approval of the unit and render it 
out of compliance with NMFS rules requiring the use of VMS. Fishermen 
that are determined to be out of compliance with Federal Fisheries VMS 
regulations may be cited for violations and held accountable for 
monitoring anomalies not attributable to faults in the MCSP or MTU.

Requester

    Requesters must respond to each of the items listed in sections 1 
through 6 of this document. The response should indicate how the 
requestor complies with the requirement referred to in the item. Items 
that the requestor does not currently comply with must be responded to 
by explaining how the requestor will comply with the requirement prior 
to approval.

[[Page 5815]]

Section 1. Identifiers

    1. 1. Specify the identifying characteristics of the MTU:
    1.1.1. Communications Class.
    1.1.2. Manufacturer.
    1.1.3. Brand Name.
    1.1.4. Model Name.
    1.1.5. Model Number.
    1.1.6. Software Version Number and Date.
    1.1.7. Firmware Version Number and Date.
    1.1.8. Hardware Version Number and Date.
    1.1.9. Antenna Type.
    1.1.10. Antenna Model Number and Date.
    1.1.11. Monitor or terminal Model Number and Date.
    1.1.12. MCSP Providing Communications Services.
    1.2. For the following responsibilities, name the business entities 
who act on behalf of the manufacturer and supplier applying for type 
approval. Include the address, phone, contacts, email, and designated 
geographic territory where applicable.
    1.2.1. Manufacturer.
    1.2.2. Label or use MTU for an OEM. This includes re-labeling OEM 
MTUs or reselling. Reselling includes value-added reselling. The MTU 
that is type approved is the final, value-added product and not the 
original manufacturer's MTU, if enhancements or modifications have been 
made. For example, if a transceiver is contained within an enclosure, 
it is the new enclosure including the transceiver that is being type 
approved.
    1.2.3. Distribute.
    1.2.4. Sell.
    1.2.5. Bench configures the MTU at the warehouse or point of 
supply.
    1.2.6. Install MTU onboard the vessel.
    1.2.7. Offer limited warranty.
    1.2.8. Offer maintenance and service agreement.
    1.2.9. Repair.
    1.2.10. Train.
    1.2.11. Advertise.

Section 2. Messaging

    The MTU must provide the following messaging functionality:
    2.1. Transmit mandatory, automatically generated position reports.
    2.2. Onboard visible or audible alarms for malfunctioning of the 
MTU.
    2.3. Ability to disable non-essential alarms in non-Global Maritime 
Distress and Safety System (GMDSS) installations.
    2.4. Ability to provide comprehensive and transparent 
communications, which function uniformly within the entire geographic 
coverage area for that communications class.
    2.5. Two-way communications between MCSP and MTU.
    2.6. The ability to send and receive free-form Internet email text 
messages and electronic forms.
    2.7. All messages should be relayed so that OLE automatically 
receives no less than 97 percent of all messages within 15 minutes or 
less of the MTU timestamp and be transparent to the geographic region.

Section 3. Position Data Formats and Transmission

    3.1. The MTU must provide position information as required by the 
applicable VMS rule in addition to:
    3.1.1. Position fixes latitude and longitude, including the 
hemisphere of each.
    3.1.2. The position fix precision must be to the decimal minute 
hundredths.
    3.1.3. Accuracy of the reported position must be within 100 meters, 
unless otherwise indicated by an existing regulation or VMS 
requirement.
    3.1.4. Communications between MTU and MCSP must be secure from 
tampering or interception, including the reading of passwords and data. 
Therefore, the MTU must have mechanisms to prevent to the extent 
possible:
    3.1.4.1. Interception and ``sniffing'' during transmission from the 
MTU to MCSP via either wireless or terrestrial facilities.
    3.1.4.2. Spoofing, whereby one MTU is fraudulently identifying 
itself as another MTU.
    3.1.4.3. Modification of MTU identification.
    3.1.4.4. Interference with GMDSS or other safety/distress 
functions.
    3.1.4.5. Introduction of viruses that may corrupt, disturb, or 
disrupt messages, transmission, or the VMS system.
    3.1.4.6. Introduction of software modifications through the use of 
input/output devices. Item such as CDDVD readers or writers should be 
removed, physically disabled, or rendered inaccessible, ports and 
connections not directly used for connecting to the VMS device or 
authorized peripherals should be removed or permanently sealed.
    3.2. MTU shall provide the ability to meet minimum reporting 
requirements and intervals as required for specific NMFS rules 
requiring the use of VMS.
    3.2.1. Provide automatically generated position reporting, for 
vessels managed individually or grouped by fleet, such that OLE 
automatically receives no less than 97 percent of the position reports 
sent at defined intervals within 15 minutes or less of the MTU 
timestamp and be transparent to the geographic region.
    3.2.2. Have the ability to store 100 position fixes in local, non-
volatile memory.
    3.2.3. Allow for defining variable reporting intervals between 5 
minutes and 24 hours.
    3.2.4. MTU must be able to change reporting intervals remotely, and 
only by authorized users.
    3.3. An MTU must be able to transmit automatically generated 
position reports, which contain the following:
    3.3.1. Unique identification of an MTU within the communications 
class.
    3.3.2. Date (year/month/day with century in the year) and time 
(GMT) stamp of the position fix.
    3.4. In addition to automatically generated position reports, 
specially identified position reports shall be generated upon:
    3.4.1. Antenna disconnection
    3.4.2. Loss of the positioning reference signals.
    3.4.3. Loss of the mobile communications signals.
    3.4.4. Security events, power-up, power-down, and other status 
data.
    3.4.5. The vessel crossing a pre-defined geographic boundary.
    3.4.6. MTU status information such as configuration of programming 
and reporting intervals.
    3.4.7. When an MTU is powered up, it must automatically re-
establish its position reporting function without manual intervention.

Section 4. Text Messaging

    4.1.1. Text messaging from vessel to shore with a minimum supported 
message length of 1kb.
    4.1.2. User interface must support an 'address book' capability and 
a function permitting a ``reply'' to a received message without re-
entry of the senders e-mail address.
    4.1.3. A confirmation of delivery function is required such that a 
user can ascertain whether a specific message was successfully 
transmitted via the satellite system to the MCSP e-mail server(s).
    4.1.4. Onward delivery to NMFS must be reliable and make use of 
features such as SMTP retries and delivery confirmation to ensure a 
reliable transport path exists for text messages sent from the vessel 
to NMFS.
    4.1.5. The user interface must provide the ability to review by 
date order, or by recipient, messages that were previously sent. The 
terminal must support a minimum message history of 20 messages - 
commonly referred to as an ``Outbox'' or ``Sent'' messages display.

[[Page 5816]]

    4.1.6. Text messaging from shore to vessel with a minimum supported 
message length of 1kb.
    4.1.7. The user interface must provide the ability to review by 
date order, or by sender, all messages received. The terminal must 
support a minimum message history of 20 messages-commonly referred to 
as an ``Inbox''.
    4.1.8. Negative delivery notifications must be sent to the 
originator where delivery to the terminal could not be completed for 
any reason. Such Non Delivery Notification must include sufficient 
information to uniquely identify the message that failed and the cause 
of failure (i.e., mobile number invalid, mobile switched off etc.).
    4.2. Electronic Forms
    Pre-formatted messages are required for the collection of validated 
data for specific fisheries programs (i.e., declaration systems, catch 
effort reporting). This capability is referred to as Electronic Forms. 
The E-MTU must support a minimum of 20 Forms, selectable by the user 
from a menu. Forms must be able to be updated over the air. Copies of 
forms currently used by NMFS are available upon request. From time to 
time NMFS will provide all E-MTU approved vendors with updates defining 
new forms or modifying existing forms. Such notice will be at least 60 
(sixty) days prior to the implementation date for the new or changed 
form. Vendors will be responsible for translating the requirements into 
MTU specific forms definitions and transmitting the same to all VMS 
terminals supplied to fishing vessels. All forms software provided with 
the E-MTU must be capable of supporting the requirements described in 
this specification. Additional capabilities beyond those stated here 
are acceptable, provided that the minimum requirements are satisfied.
    4.2.1. A form is defined as: (a) 1-40 characters describing the 
form, (b) Delivery address (i.e., e-mail or other network identifier), 
(c) Form number as defined by NMFS to uniquely identify the form, (d) 
Form version number (numeric with one decimal place; i.e., 1.2), and 
(e) a collection of 1-30 fields and associated logic rules.
    4.2.2. Each field (within a form) is defined by the following 
elements. Except where noted, all elements of the field definition are 
mandatory: (a) Label (0 to 40 characters, alpha numeric), (b) Context 
Help Text (0 to 200 characters, alpha numeric), (c)Type (Either; 
enumeration, numeric, alpha, alphanumeric or Boolean), (d) Default 
Value, (e) Optional/Mandatory/Hidden/ Logic indicator, (f) Min/Max 
values (for numeric fields only) in range 0.000 to 999,999, (g) Decimal 
places (for numeric fields only) 0-3, and (h) Min/Max characters (for 
alpha/alphanumeric fields only).
    4.2.3. Up to 100 code/value/help text pairs (enumerations only) 
must be provided, where codes are defined as 1-20 alphanumeric 
characters, values are 1-80 alphanumeric characters and help text is 0-
200 characters. Such fields are typically used to permit a user to 
select from a range of options (i.e., geographic areas, gear types, 
fish species). Codes are used to compress the form data for efficient 
transmission. Help text would typically be displayed only when the user 
selects a specific value from the enumeration.
    4.2.4. Form Validation: Each field must be defined as; Optional, 
Mandatory or Logic Driven. Mandatory fields must be entered by the user 
before the form is complete, optional fields that do not require data 
entry, and logic driven fields have their attributes determined by 
earlier form selections. Specifically; it must be possible for 
selection of an enumeration to change the optional/mandatory setting, 
min/ max values, or the permitted enumeration values on a later field 
within the same form.
    4.2.5. State Information: The capability to populate a form based 
on the last values used must be available. This provides the user with 
an easy mechanism to ``modify'' or ``update'' a prior submission - 
without unnecessary re-entry of data. The user must be able to review a 
minimum of 20 past form submissions and ascertain for each form when 
the form was transmitted and whether delivery was successfully 
completed to the vendor's processing center. In the case of a 
transmission failure, the user must be provided with details of the 
cause and have the opportunity to retry the form submission.
    4.2.6. Inclusion of VMS Position Report: In addition to the 
manually entered fields, the forms package must permit the inclusion of 
VMS position report fields such as latitude, longitude, date and time. 
Such fields must be obtained from the GPS function of the MTU and 
transmitted along with the manually entered form data within the same 
transaction.
    4.2.7. Delivery Format for Form Data: It is preferred that form 
data be transferred from the terminal to NMFS using the same transport 
as for either text messages or VMS position reports (the selected 
option to be at the election of the E-MTU vendor). Currently supported 
protocols for transfer are; FTP, SMTP, XML and HTTP Post. The SMTP 
protocol is not permitted for the transmission of data sent to the OLE. 
The field coding within the data must follow either CSV or XML 
formatting rules. For CSV format the form must contain an identifier 
and the version number, and then the fields in the order defined on the 
form. In the CSV format strings that may contain '','' (comma) 
characters must be quoted. XML representations must use the field label 
to define the XML element that contains each field value.

Section 5. Customer Service

    The MTU supplier or its designated entities shall provide customer 
service that is professional, courteous, and responsive. It should 
provide MTU diagnostic and troubleshooting support to OLE and the 
fishermen. No services shall be billed to any NOAA or any OLE office 
without being specifically contracted for in writing by an authorized 
entity. Services shall include:
    5.1. Service level, warranty, and maintenance agreements. Clarify 
constraints, if any, on the geographic territory, personnel 
availability, and escalation procedures for problem resolution covered 
by such services.
    5.2. Facilities and procedures in place to assist the fisherman in 
maintaining and repairing their MTU on a 24 hour basis, including 
timely responses to requests, and general system service turnaround 
time.
    5.3. Help in the determination and isolation of the cause of 
communications anomalies.
    5.4. Assist in the resolution of communications anomalies that are 
traced to the MTU.
    5.5. All services will be considered to be free of charge unless 
specifically listed in service or purchase agreements.

Section 6. Other Information

    6.1. The MTU must have the durability and reliability necessary to 
provide acceptable service in a marine environment where the unit may 
be subjected to saltwater (spray) in smaller vessels, and in larger 
vessels where the unit may be maintained in a wheelhouse. The unit, 
cabling and antenna must be resistant to moisture and shock associate 
with the marine environments.
    6.2. The MTU must comply with any additional requirements specified 
in the regulations for the VMS implementation for which application is 
made. The requestor must review the applicable NMFS rules requiring the 
use of VMS and respond here to any specific requirements listed 
therein.
    6.3. All personally identifying information provided by vessels 
owners

[[Page 5817]]

or other authorized personnel for the purchase or activation of MTU or 
E-MTU, or for the participation in any NMFS VMS-approved fishery must 
be protected from unauthorized disclosure. Personally identifying 
information includes, but is not limited to, names, addresses, 
telephone numbers, social security account numbers, credit card 
numbers, vessel names, federal, state, and local documentation numbers, 
e-mail addresses, and crew lists. Any information sent electronically 
to the OLE must be transmitted by a secure means that prevents 
interception, spoofing, or viewing by unauthorized individuals. Any 
release of such information must be requested and approved in writing 
by the vessel owner, authorized personnel, or the OLE. Inadvertent or 
intentional unauthorized release of personally identifying information 
will be grounds for reconsideration and possible revocation of the type 
approval for any MTU supplied by the offending provider.

    Dated: January 25, 2008.
Samuel D. Rauch III
Deputy Assistant Administrator for Regulatory Programs, National Marine 
Fisheries Service.
[FR Doc. E8-1662 Filed 1-30-08; 8:45 am]
BILLING CODE 3510-22-S