15 C.F.R. Subpart C—Requirements for Certified Distributors and Value Added Distributors of NOAA ENC Products
Title 15 - Commerce and Foreign Trade
The requirements for certification as a “Certified NOAA ENC Distributor” (CED) and “Certified NOAA ENC Value Added Distributor” (CEVAD) are described in this subpart. (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® 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. 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). (a) CED or CEVAD shall obtain official NOAA ENC® 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. (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. (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® 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® 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. (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 taken and the reporting of verification results. (b) [Reserved] (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 §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] 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. (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 §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 §995.24(a)(4) and (5) and (b)(3) and (4).) 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. Notice to respondents: This information is being collected by NOAA to ascertain qualifications for certification as an authorized distributor of official NOAA ENC® 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 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® data for redistribution are being followed. (10) Distribution of data/general (995.24(a)(1)(i)). Distributor asserts that all NOAA ENC® 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® 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® 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® 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. [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® 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 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® 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.
Title 15: Commerce and Foreign Trade
PART 995—CERTIFICATION REQUIREMENTS FOR DISTRIBUTORS OF NOAA HYDROGRAPHIC PRODUCTS
Subpart C—Requirements for Certified Distributors and Value Added Distributors of NOAA ENC Products
§ 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
Title: ____________________
Date: ____________________
Title:____________________
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