[Federal Register Volume 74, Number 128 (Tuesday, July 7, 2009)]
[Notices]
[Pages 32109-32112]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-15958]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

RIN 0648-XL07


Fisheries in the Western Pacific; Certification Requirements for 
Electronic Logbook Applications

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

ACTION: Notice; certification requirements for electronic logbook 
applications.

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SUMMARY: This notice describes the certification process and 
requirements for vendors wishing to supply western

[[Page 32110]]

Pacific fishing vessel owners and operators with electronic logbook 
applications (e-log applications).

ADDRESSES: You may request copies of the NOAA Fishery Information 
System (FIS) Electronic Logbook Certification Guidelines (Certification 
Guidelines), and submit requests for certification of e-log 
applications to: Electronic Reporting System Manager, Pacific Islands 
Fisheries Science Center (PIFSC), NMFS, 2570 Dole Street, Honolulu, HI 
96822-2396, tel 808-983-5326; fax 808-983-2902.

FOR FURTHER INFORMATION CONTACT: Kurt Kawamoto, PIFSC, tel. 808-983-
5326.

SUPPLEMENTARY INFORMATION: This notice is also accessible at 
www.gpoaccess.gov/fr.

Background

    NMFS encourages the use of e-log applications as an alternative to 
paper logbooks and data reports. This recognizes that many fishermen 
use electronic navigation and communications equipment aboard their 
vessels, as well as computers for recording and maintaining catch and 
effort information, business records, and other information in a 
coordinated system that facilitates more efficient fishing operations. 
Accordingly, many fishermen wish to file Federal catch and effort 
reports in electronic format. This approach makes data submission 
easier for fishermen and reduces data entry and processing time for 
NMFS staff.
    Further, NMFS notes that if reports were to be submitted in 
connection with other at-sea communication means, electronic reports 
could be near real-time, which could facilitate monitoring and 
compliance efforts in circumstances that demand at-sea reporting. NMFS 
also must ensure that electronic data reports are in a standardized 
format that is compatible with the data management system for 
historical fishery records and for hard-copy processing. Otherwise, the 
benefits of electronic submissions are reduced.
    Based on recommendations from the Western Pacific Fishery 
Management Council, NMFS published a final rule that modified the 
reporting and recordkeeping requirements for western Pacific fisheries, 
offering fishermen the option of submitting either paper or electronic 
logbook records (72 FR 19123, April 17, 2007). The objectives of 
allowing electronic reporting include reducing the amount of time spent 
by fishermen to complete and file paper reports, improving the accuracy 
of reports, and reducing the time spent by NMFS personnel to process 
the logbook data. That final rule did not establish the technical 
requirements for electronic logbook programs.
    To implement electronic reporting, PIFSC will specify an ``open'' 
program whereby fishery participants may select from a variety of e-log 
applications that have been certified as eligible to participate in the 
electronic logbook program. An e-log application includes the following 
functions: gathering and storing logbook data (data entry), generating 
(exporting) electronic logbooks, and viewing logbook data on the 
application database and the electronic logbook. The aim of the 
certification process is to encourage the use of electronic logbooks 
for the reporting of catch and effort data by promoting standard data 
exchange procedures, formats, and application validation tests. The 
certification process provides vendors with technical guidelines for 
minimally-prescribed performance elements and criteria to meet data 
management requirements. The goal of certification is to ensure that 
PIFSC-certified e-log applications will ensure, to the extent 
practicable, that submitted electronic logbooks are complete and 
accurate and that the electronic submission will be successfully 
integrated into the NMFS data system in a secure manner.
    Fishermen must comply with Federal fishery reporting requirements, 
and are held accountable for data accuracy. Certification is necessary 
to provide a benchmark of performance standards and criteria for 
vendors to develop e-log applicatins that meet NMFS requirements. 
Certification enables vendor competition and potentially more product 
choices for fishermen. This is preferable to specifying a single 
supplier or e-log application. Certification does not guarantee that a 
product is free of defects; it means only that a product has passed 
validation tests aimed at complete, accurate, and successful reporting 
of logbook data. Certification does not protect the vendor from any 
product liability claims made by customers. The use of a certified e-
log application does not exempt fisherman from any western Pacific 
recordkeeping requirements.

General Certification Process

    Based on a request for a vendor certification, PIFSC will evaluate 
the submitted e-log application and issue a statement to accept or deny 
the vendor's request. The vendor must demonstrate that the submitted e-
log application meets the standards set forth in this notice and in the 
Certification Guidelines for timely, accurate, and complete data 
submission in the proper format and structure for the fisheries reports 
required by Federal regulations. Upon successful demonstration of 
compliance with the standards and the Certification Guidelines, PIFSC 
will issue a vendor certification for the e-log application. PIFSC will 
initially certify e-log applications only for Hawaii-based pelagic 
longline fisheries; other certifications may follow.
    NMFS certification will not result in government endorsement or 
procurement of any related electronic hardware or software for use in 
NMFS data systems. PIFSC will request a fact sheet from the vendor to 
provide information to the fishing industry about the e-log application 
that was certified, the costs of the application, and possibly other 
value-added services that the vendor or application may provide. This 
will allow fishermen to make purchase decisions that are compatible 
with the data reporting and logbook requirements of Federal regulations 
and their personal needs.

Initiation

    PIFSC will initiate the vendor certification process upon written 
request from the vendor (or distributor or reseller acting within the 
constraints of its agreement with the vendor), subject to the 
demonstration of compliance with this notice and the availability of 
test hardware and software. Consideration will be given to a vendor 
that has already successfully completed a comparable certification 
process in another U.S. fishery recordkeeping program. PIFSC will also 
consider certifying a vendor that resells, packages, or integrates e-
log applications from a company that has been certified in a similar 
program for another U.S. fishery.
    A vendor requesting certification shall describe in detail the 
manner in which the proposed e-log application would meet the 
specifications outlined in this notice and in the Certification 
Guidelines. The vendor must supply PIFSC, at no cost, with at least one 
set of the hardware and software components for which certification is 
desired so that the proposed application can be tested and evaluated. 
PIFSC intends to complete the testing and certification process within 
90 days. The vendor must provide documentation, including such fact 
sheets, operator manuals, user handbooks, or other materials that would 
be provided to fishermen purchasing the application. PIFSC will review 
the submission against the standards and Certification Guidelines, will 
perform trials using test fishery data, and may conduct field trials 
aboard fishing vessels. These tests may

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involve demonstrating every aspect of the e-log application, including 
troubleshooting procedures. In addition to the vendor providing 
everything the hardware and software needed to test and certify an e-
log application, PIFSC must also receive any updates to the product(s) 
at no cost.

Certification Criteria

    The ultimate goal of certification is to provide complete, 
accurate, and successful reporting of electronic logbook data. All data 
elements required for an electronic logbook must be supported. And, 
data values must be correctly transferred from the e-log application to 
electronic logbook in the correct file format and structure. Complete 
and accurate reporting means that all logbook information recorded by 
fishermen is reported in the electronic logbook, and that the 
information is stored and reported exactly as entered. Successful 
reporting means that each element of an electronic logbook submitted to 
PIFSC can be loaded into the NMFS data system automatically.
    The criteria for certification are as follows:
    1. Creation of electronic logbook document or files. The e-log 
application must be capable of creating electronic logbook documents on 
demand in the agreed file format using standard file naming 
conventions. The document file contents may vary by fishery, but 
initially must contain the contents of the NMFS Western Pacific Daily 
Longline Fishing Log, as follows:
     Fishery: Hawaii Pelagic Longline
     Electronic Logbook Document Contents: One trip including 
all sets, catch and effort records, protected species interaction 
records, and e-log application information
    2. Inspection tool for use by authorized personnel. The vendor must 
provide a companion e-log application ``viewer program'' and 
documentation for use by PIFSC and other authorized personnel to 
inspect e-log application data. The viewer program must run on Windows 
XP, and must provide read-only access to all elements of the electronic 
logbook database and electronic logbook files. The viewer program must 
not have the capability to alter the logbook data. The documentation 
must include installation instructions and user instructions for PIFSC 
and other authorized personnel.
    3. Electronic Logbook Test Support Requirements. For test purposes, 
the e-log application must allow data entry of all electronic logbook 
data elements. (See Appendix 3 of the Certification Guidelines for 
specific data elements that must be enterable.)
    4. Common Information Requirements. The information requirements 
common to all e-log applications for all fisheries are contained in 
Appendix 2 of the Certification Guidelines: Common Information 
Requirements. It covers the following requirements:
     PIR Standard Codes: Reference codes for common information 
requirements. Example--Port code HNL for Honolulu, HI.
     Date/Time: Date and time formatting requirements.
     Calendar Date: Calendar date formatting requirements.
     Geographic Location: Geographic (latitude/longitude) 
formatting requirements.
     Source Keys: Requirements for reporting keys or 
identifiers used in the e-log application itself. Some source keys are 
required or recommended to allow cross-referencing between NMFS logbook 
records and the fisherman's e-log application.
     Unknown values: Requirements for recording unknown (null) 
values.
     Electronic Logbook file names and extensions: File-naming 
conventions for electronic logbook files.
    5. Fishery Specific Electronic Logbook Requirements. The e-log 
application must support the creation of the electronic logbook in a 
file format agreed upon by PIFSC and the vendor. The preferred file 
format for electronic logbook submission is XML. If PIFSC approves one 
or more electronic signature methods for use with electronic logbooks, 
the e-log application must also support at least one approved 
electronic signature method. Fishery specific information and file 
layout specifications are available in the Appendices to the 
Certification Guidelines, including the following:
     Fishery: Hawaii Pelagic Longline
     Reference: 50 CFR part 665, Subpart C, Western Pacific 
Pelagics
     Specifications: PIR-LB-1.1-1, Appendix 3

Requests for Certification

    Requestors must submit a request for certification to PIFSC. 
Requestors should contact PIFSC for current application requirements 
which may include the items listed in sections 1 through 5 below:
    1. Identifiers
    a. Trade name of the service;
    b. Company name;
    c. Company headquarters address and phone number;
    d. Principal company employee point of contact for this submission;
    e. Principal business of the company;
    f. Parent and subsidiary companies, if applicable;
    g. Name(s) and location(s) of principal facilities; and
    h. Name and address of Hawaii point of contact, if applicable.
    2. E-log application components and supporting documents
    a. Hardware requirements;
    b. Software requirements;
    c. Application description and documentation;
    d. Handbooks, user manuals, and other supporting documents;
    e. Sample electronic logbook document(s) produced by the e-log 
application, and instructions to guide testing staff to substantially 
reproduce the document(s);
    f. Troubleshooting procedures; and
    g. e-log application and viewer (Windows XP).
    h. Requested certification(s)
    3. Technical specifications of the e-log application
    a. E-log application version numbers;
    b. Data entry format (compatibility with paper logbook format);
    c. Data formatting requirements; and
    d. Electronic logbook data storage and submission media.
    4. Customer service
    a. Local point of contact information (name, phone number, email 
address, etc.);
    b. Data security procedures and assurances;
    c. Fishermen's privacy and confidentiality procedures and 
assurances;
    d. Technical assistance procedures and contacts; and
    e. Updates of PIR Standard Codes into the e-log application by 
fishermen.
    5. Litigation support and vendor agreements
    a. Vendor contact for litigation support;
    b. Vendor technical expert on e-log application ;
    c. Past experience in court documentation/appearances on e-log 
applications;
    d. Non-disclosure agreement; and
    e. Agreement to the certification guideline terms including an 
agreement to provide litigation support.

Litigation Support

    Logbook information and other data reports may be used for law 
enforcement purposes, and all technical aspects of a vendor's 
submission are subject to being admitted as evidence in court, as 
needed. The reliability of all technologies utilized in the e-log 
application may be analyzed in court for, among other things, testing

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procedures, error rates, peer review, and general industry acceptance. 
Further, the vendor may be required to provide technical and expert 
support for litigation to support the application's capabilities and to 
establish cases against violators. If the vendor's application has 
previously been subject to such scrutiny in a court of law, the vendor 
should describe the evidence and any court finding on the reliability 
of the application.
    Additionally, to maintain the integrity of the e-log application 
for fisheries management, the vendor will be required to sign a non-
disclosure agreement limiting the release of certain information that 
might compromise either the confidentiality of fishermen's personally 
identifying information or proprietary fishing data. The vendor shall 
include a statement confirming its agreement with these conditions. The 
scope of litigation support may include, but is not limited to, 
technical capabilities of the e-log application, e-log application 
support and training content, alterations to the e-log application, and 
data content and history.
    A vendor may voluntarily retire a certification to terminate its 
obligation to provide litigation support for the product; such action 
must be in writing to PIFSC. The vendor's obligation to provide 
litigation support will end 180 calendar days after such notification 
is received. If a certification is retired, the e-log application is no 
longer available for use in the fishery.

Change Control

    Once an e-log application is certified, it is the responsibility of 
the vendor to notify PIFSC of any change in its submission, such as a 
change affecting hardware or software components, performance 
characteristics, or customer support services or contacts. PIFSC 
reserves the right to reconsider and revoke the certification if, as a 
result of the change, the vendor's application is deemed to no longer 
satisfy PIFSC reporting and recordkeeping requirements. The vendor must 
report to the PIFSC e-log technical panel (as described in the 
Certification Guidelines) any changes to the certified product, along 
with updated copies of the new configuration prior to deploying the 
changes to customers. If the change affects the e-log application 
components used to meet the requirements, PIFSC may require re-
evaluation and possible recertification. The technical panel will 
notify the vendor within 30 days with a recertification statement which 
will say whether a recertification is required and if so, why and when 
the recertification would be completed. The vendor may report planned 
changes to the certified e-log application to PIFSC and request an 
advisory recertification statement within 30 days. The vendor is 
permitted to provide quick code upgrades for customers to handle 
critical defects; however, the vendor must report the code change to 
PIFSC prior to deploying the change to a customer.

Advertising Prohibition

    Once a product is certified, the vendor may state that the product 
is ``certified for electronic logbook submission for the Hawaii pelagic 
longline fishery.'' However, the vendor must not use in the vendor's 
name or the product name, or claim endorsement of the e-log application 
by, any of the following: NOAA, NMFS, PIFSC, or PIRO.

Expiration of Certification

    The certification expiration date for a product is determined by 
changes to PIFSC reporting requirements and reporting activity by 
product users. Additionally, PIFSC may set an expiration date for a 
certification based on other requirements. PIFSC will notify the vendor 
at least 120 days prior to expiration. PIFSC will set an expiration 
date for a certification if the product has not been used to submit an 
electronic logbook for three years.

Revocation of Certification

    PISFC may revoke certification of a product if any of the following 
occurs:
    1. PIFSC repeatedly receives inaccurate or incorrectly formatted 
electronic logbooks and the error is traced to a defect in the e-log 
application;
    2. The vendor modifies a certified e-log application without 
reporting the modification to PIFSC; or
    3. The vendor violates advertising prohibitions.
    If a certification is revoked, the e-log application is no longer 
available for use in the fishery.

    Authority: 16 U.S.C. 1801 et seq.

    Dated: June 30, 2009.
Alan D. Risenhoover,
Director, Office of Sustainable Fisheries, National Marine Fisheries 
Service.
[FR Doc. E9-15958 Filed 7-6-09; 8:45 am]
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