[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
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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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