U.S. Integrated Ocean Observing System; Regulations To Certify and Integrate Regional Coordination Entities, 39638-39644 [2013-15823]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric
Administration
15 CFR Part 997
[Docket No. 120813326–3458–01]
RIN 0648–BC18
U.S. Integrated Ocean Observing
System; Regulations To Certify and
Integrate Regional Coordination
Entities
U.S. Integrated Ocean
Observing System Program Office
(IOOS), National Oceanic and
Atmospheric Administration (NOAA),
Commerce.
ACTION: Notice of proposed rulemaking.
AGENCY:
The U.S. Integrated Ocean
Observing System Program Office,
which the National Oceanic and
Atmospheric Administration (NOAA) is
the lead agency for, proposes rules to
implement provisions of the Integrated
Coastal and Ocean Observation System
Act of 2009 (ICOOS Act). Among other
things, the ICOOS Act directs the
Interagency Ocean Observation
Committee (IOOC) to develop and
approve certification criteria and
procedures for integrating regional
information coordination entities
(RICEs) into the National Integrated
Coastal and Ocean Observation System
(System). This proposed rule would
accomplish that goal. This rule also
implements the provisions of the ICOOS
Act establishing that certified entities
integrated into the System are, for the
purposes of determining liability arising
from the dissemination and use of
observation data, considered part of
NOAA and therefore their employees
engaged in the collection, management,
and dissemination, of observation data
in the System receive the same tort
protections for use of that data as
Federal employees.
DATES: Comments on this proposed rule
must be received by August 1, 2013.
ADDRESSES: You may submit comments
on this document, identified by NOAA–
NOS–2013–0083, by any of the
following methods:
• Electronic Submission: Submit all
electronic public comments via the
Federal e-Rulemaking Portal. Go to
www.regulations.gov/
#!docketDetail;D=NOAA-NOS-20130083, click the ‘‘Comment Now!’’ icon,
complete the required fields, and enter
or attach your comments.
• Mail: Submit written comments to
Dave Easter, U.S. Integrated Ocean
Observing System Program Office, 1100
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SUMMARY:
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Wayne Ave., Suite 1225, Silver Spring,
MD 20910.
• Fax: (301) 427–2073; Attn: Dave
Easter
Instructions: Comments sent by any
other method, to any other address or
individual, or received after the end of
the comment period, may not be
considered by NOAA. All comments
received are a part of the public record
and will generally be posted for public
viewing on www.regulations.gov
without change. All personal identifying
information (e.g., name, address, etc.),
confidential business information, or
otherwise sensitive information
submitted voluntarily by the sender will
be publicly accessible. NOAA will
accept anonymous comments (enter ‘‘N/
A’’ in the required fields if you wish to
remain anonymous). Attachments to
electronic comments will be accepted in
Microsoft Word, Excel, or Adobe PDF
file formats only.
FOR FURTHER INFORMATION CONTACT:
Dave Easter, U.S. Integrated Ocean
Observing System Program Office, at
(301) 427–2451.
SUPPLEMENTARY INFORMATION:
Background
The Integrated Coastal and Ocean
Observation System Act of 2009 (Pub. L.
111–11) (ICOOS Act or Act, codified at
33 U.S.C. 3601–3610) directs the
President, acting through the National
Ocean Research Leadership Council
(Council), to establish a National
Integrated Coastal and Ocean
Observation System (System). The
System must ‘‘include[] in situ, remote,
and other coastal and ocean observation,
technologies, and data management and
communication systems, and [be]
designed to address regional and
national needs for ocean information, to
gather specific data on key coastal,
ocean, and Great Lakes variables, and to
ensure timely and sustained
dissemination and availability of these
data.’’ 33 U.S.C. 3601(1). Another
purpose of the System is ‘‘to fulfill the
Nation’s international obligations to
contribute to the Global Earth
Observation System of Systems and the
Global Ocean Observing System.’’ 33
U.S.C. 3601(1) and 3603(a).
The System is built upon a nationalregional partnership, with contributions
from both Federal and non-Federal
organizations, promoting the quick and
organized collection and distribution of
ocean, coastal, and Great Lakes data and
data products to meet critical societal
needs. System data is used by both
governmental and non-governmental
concerns, to, among other things,
‘‘support national defense, marine
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commerce, navigation safety, weather,
climate, and marine forecasting, energy
siting and production, economic
development, ecosystem-based marine,
coastal, and Great Lakes resource
management, public safety, and public
outreach training and education.’’ It is
also used to promote public awareness
and stewardship of the Nation’s
waterways, coasts and ocean resources,
and to advance scientific understanding
of the use, conservation, management,
and understanding of healthy ocean,
coastal, and Great Lake resources. 33
U.S.C. 3601(1)(A)–(C).
The ICOOS Act directs the Council to
establish or designate an Interagency
Ocean Observation Committee (IOOC).
In 2010, the Joint Subcommittee on
Ocean Science and Technology (JSOST),
acting on behalf of the Council,
established the IOOC. The IOOC
replaced, and assumed and expanded
the role of its predecessor, the
Interagency Working Group on Ocean
Observations, which was originally
established by the JSOST under the
Ocean Action Plan.
Under the ICOOS Act, the IOOC must
‘‘develop contract certification
standards and compliance procedures
for all non-Federal assets, including
regional information coordination
entities, to establish eligibility for
integration into the System.’’ 33 U.S.C.
3603(c)(2)(E). To create the certification
criteria, the IOOC chartered two
working groups consisting of subject
matter experts on IOOS data partners
and regional entities to draft
recommended certification criteria. The
recommended draft criteria were
approved by the IOOC in October 2011
and released for public input. After a
sixty-day public comment period and
adjudication of public input, the IOOC
drafted final certification criteria.
In developing certification criteria,
the IOOC focused on identifying the
governance and management criteria a
RICE—organizations that coordinate
regional observing efforts; manage and
operate observing assets; manage and
distribute data; and engage user groups
in product development—must have in
place to allow NOAA to coordinate nonfederal assets for the purposes of the
ICOOS Act. The IOOC certification
standards ensure the necessary policies,
standards, data, information, and
services associated with eligibility for
integration into the System are
appropriately established, coordinated,
overseen and enforced.
This rule would, if implemented,
establish the criteria and procedures for
how RICEs can apply and become
certified for and integrated into System.
Integration into the System formally
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establishes the role of the RICE and
ensures that the data collected and
distributed by the RICE are managed
according to the best practices, as
identified by NOAA.
Additionally, under the ICOOS Act,
employees of RICEs that NOAA has
certified and incorporated into the
System who gather and disseminate
information under this Act are, for the
purposes of determining liability arising
from the dissemination and use of
observation data, considered to be part
of NOAA. In other words, they are
federal employees for the purposes of
tort liability relating to their work
directly related to the System. Only
those non-federal entities that agree to
meet the standards established under
the process described in the ICOOS Act,
and that are designated by NOAA as
certified entities in the System, will be
considered as ‘‘certified’’ for purposes of
these regulations.
These proposed regulations satisfy the
ICOOS Act requirement that NOAA, as
the lead Federal agency for
implementing the System, ‘‘promulgate
program guidelines to certify and
integrate non-federal assets, including
regional information coordination
entities, into the System.’’ 33 U.S.C.
3603(c)(3)(C). Accordingly, they detail
the compliance procedures and
requirements for certifying RICEs that
satisfy the IOOC-approved certification
standards.
Among other things, to become
certified, RICEs must provide NOAA
with information about their
organizational structure and operations,
including capacity to gather required
System observation data. They must
also document their ability to accept
and disburse funds and to enter into
legal agreements with other entities.
RICEs must have by-laws, accountability
measures governing boards and an
explanation of how they are selected,
and be able to provide information
about RICE diversity, user feedback
processes, and transparency. Moreover,
RICEs must submit to NOAA a strategic
operation plan to ensure the efficient
and effective administration and
operation of programs and assets to
support the System, and agree to and
actually work cooperatively with other
governmental and non-governmental
entities to the benefit of the System.
Importantly, an application for
certification must include a description
of the RICE’s management of ongoing
regional system operations and
maintenance. The RICE must illustrate
its standard operating procedures for
ensuring the continued validity and
maintenance of equipment used;
strategies to enhance the System.
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Additionally, a RICE must also provide
a Data Management and
Communications Plan documenting
how the RICE maintains and controls
data quality and distribution.
Certification lasts for five years, after
which time a certified RICE must apply
for re-certification.
These regulations apply to the
certification of RICEs only. Further
regulations will be developed by NOAA
to provide certification for other nonfederal assets that do not meet the
definition of RICEs.
Classification
Executive Order 12866
Under Executive Order (E.O.) 12866,
if the proposed regulations, including
regulations such as those proposed here,
are a ‘‘significant regulatory action’’ as
defined in § 3(f) of the Order, an
assessment of the potential costs and
benefits of the regulatory action must be
prepared and submitted to the Office of
Management and Budget (OMB). OMB
has determined that this action is not a
‘‘significant’’ regulatory action under
E.O. 12866.
Regulatory Flexibility Act
Pursuant to section 605 of the
Regulatory Flexibility Act (RFA), the
Chief Counsel for Regulation of the
Department of Commerce certified to
the Chief Counsel for Advocacy of the
Small Business Administration that
these proposed regulations, if adopted,
will not have a significant economic
impact on a substantial number of small
entities. The reasons for this
certification are as follows:
The ICOOS Act directs NOAA to
‘‘promulgate program guidelines to
certify and integrate non-Federal assets,
including regional information
coordination entities into the System.’’
33 U.S.C. 3603(c)(3)(C). This action
establishes the criteria and procedures
for certifying and integrating RICEs into
the Integrated Coastal and Ocean
Observation System (System), in
compliance with the ICOOS Act.
Specifically, this action proposes to
require RICEs to provide NOAA with
certain information about their
organizational structures, financial
capabilities and makeup, oversight, and
data quality assurance methods in order
to obtain certification under the ICOOS
Act. Although most of the affected
entities already meet the majority of the
requirements proposed here, there may
be some minimal costs for some or all
of those entities to come into full
compliance with these regulations.
Currently, there are eleven RICEs that
NOAA expects may be impacted by
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these regulations. RICEs are generally
partnerships of entities in the academic,
private, governmental, tribal, and nongovernmental sectors, and are organized
either pursuant to § 501(c)(3) of the
Internal Revenue Code or by
Memorandums of Agreement. Most of
these eleven RICEs employ from three to
five full- or part-time individuals, either
directly or as contractors. They therefore
fit into the Regulatory Flexibility Act’s
size standards as small organizations,
because they ‘‘are not-for-profit
enterprises independently owned and
operated and not dominant in their
field.’’ 5 U.S.C. 601(4).
RICEs primarily depend on funds
from NOAA for their operations.
Through a series of cooperative
agreements, NOAA has been funding
these eleven RICEs since FY 2005 to
develop the organizational structure,
operating procedures, and data
management capacity necessary to serve
as the entities responsible for planning,
coordinating, and operating the regional
observing systems. Funding levels to
build the organization and coordination
capacity of these eleven RICEs, made
available through these cooperative
agreements, varies by region, but has
typically ranged from $300K to $400K
per year per RICE.
In addition, beginning in FY 2008,
each of these eleven RICEs entered into
cooperative agreements with NOAA to
support data collection, data
management, and development of
products and services. In FY 2012, the
funding amounts for these eleven RICEs
ranged from $1.4 million to $2.5 million
per RICE.
Notably, many of the proposed
regulations are an extension of the effort
to build the capacity of these eleven
RICEs to perform successfully the duties
of a RICE as identified in the ICOOS
Act. As such, the regulations will likely
not impose additional expenses on the
affected RICEs, because those entities
are, for the most part, already engaging
in those activities.
NOAA expects that the greatest
economic impacts to RICEs of these
regulations will be associated with the
staff time necessary to organize and
submit to NOAA the information
required for certification. However,
these costs may be low, because in
many cases the RICE may already have
the information necessary to meet the
certification requirements. In a few
cases, some staff effort will be required
to develop new materials, but notably
that effort will be essentially funded
through the RICE’s cooperative
agreement with NOAA. Moreover,
NOAA expects that RICEs will incur
these costs only once every five years,
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given the duration of certification and
need for renewal, and that the costs
associated with preparing the
certification materials may be reflected
in a temporary loss of coordination
capacity. Each RICE’s specific
information needs are not clear at this
time, so the costs cannot be determined
with accuracy; however, because most
of the information needed to become
certified likely already is in the RICE’s
possession, these costs are likely low.
Another cost that may arise due to
these regulations relates to
implementation of new procedures at
RICEs to manage data and ensure data
quality. Most RICEs have some data
management and quality assurance
programs in place, but satisfying the
certification requirements proposed
here may result in some RICEs having
to re-allocate their existing funds to
provide additional resources to improve
their data quality and management. As
the data quality standards of each RICE
currently differs, NOAA cannot
determine the costs this rule would
impose on any given RICE to meet the
new requirements. However, NOAA
believes that such costs would likely be
a small percentage of their overall
operating budgets, and so would not
constitute a significant economic impact
to the affected entities.
One benefit to RICEs provided by
these regulations and the ICOOS Act is
the extension of liability protection to
RICE employees for data collected and
disseminated pursuant to the ICOOS
Act. Specifically, employees of entities
that are certified and integrated into the
System are, for the purposes of
determining liability arising from the
dissemination and use of observation
data, considered to be part of NOAA.
The extension of tort liability
protection may in some instances
benefit RICEs and their employees.
However, NOAA notes that this benefit
may be minimal, as past claims against
NOAA and the Department for damages
arising from allegedly incorrect data are
rare and have been for relatively low
amounts. Thus, any financial benefits in
terms of liability may be limited.
Finally, certification is a voluntary
step by RICEs. Although NOAA expects
any entity that may qualify as a RICE
and currently receives NOAA funds
under the ICOOS Act to seek
certification, lack of certification does
not preclude funding opportunities.
These regulations will affect eleven
known small organizations. However,
the rules impose no mandatory costs on
any of those organizations; rather, the
costs to these organizations to become
certified are born by the RICEs
voluntarily. Nonetheless, because the
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affected entities will likely possess most
of the information needed for
certification, IOOS expects that the
overall costs to the entities that result
from these rules will be minimal.
Because this rule, if implemented, will
not result in a substantial economic
impact on a significant number of small
entities, no Regulatory Flexibility
Analysis is required, and none has been
prepared.
Paperwork Reduction Act
This proposed rule contains a
collection-of-information requirement
subject to review and approval by OMB
under the Paperwork Reduction Act
(PRA). This requirement has been
submitted to OMB for approval. Public
reporting burden for certification as a
RICE is estimated to average 293 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.
Public comment is sought regarding:
whether this proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information shall have practical utility;
the accuracy of the burden estimate;
ways to enhance the quality, utility, and
clarity of the information to be
collected; and ways to minimize the
burden of the collection of information,
including through the use of automated
collection techniques or other forms of
information technology. Send comments
on these or any other aspects of the
collection of information to U.S
Integrated Ocean Observing System
Program Office, National Ocean Service,
NOAA at the ADDRESSES above, and
email to
OIRA_Submission@omb.eop.gov, or fax
to (202) 395–7285.
Notwithstanding any other provision
of the law, no person is required to
respond to, nor shall any person be
subject to a penalty for failure to comply
with, a collection of information subject
to the requirements of the PRA, unless
that collection of information displays a
currently valid OMB Control Number.
Dated: June 26, 2013.
Holly A. Bamford,
Assistant Administrator for Ocean Services
and Coastal Zone Management.
List of Subjects in 15 CFR Part 997
Science and technology, Ocean
observing, Certification requirements.
For the reasons set forth in the
preamble, NOAA proposes to amend 15
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CFR chapter IX by adding part 997 to
read as follows:
SUBCHAPTER G—REQUIREMENTS FOR
CERTIFICATION BY NOAA OF NONFEDERAL ASSETS INTO THE INTEGRATED
COASTAL AND OCEAN OBSERVATION
SYSTEM
PART 997—REGIONAL INFORMATION
COORDINATION ENTITIES
Subpart A—General
Sec
997.1
997.2
Definitions
Acceptance of Procedures by a RICE
Subpart B—Certification and Decertification
Process for a Regional Information
Coordination Entity (RICE)
Sec
997.10
997.11
997.12
997.13
997.14
997.15
997.16
Eligibility
Application Process
Review by NOAA
Certification Process
Certification Duration and Renewal
Audit and Decertification
Final Action
Subpart C—Certification and Application
Requirements for a RICE
Sec
997.20 General
997.21 Organizational Structure
997.22 Membership Policy
997.23 Strategic Operational Plan
997.24 Gaps Identification
997.25 Financial Oversight
997.26 [Reserved]
997.27 [Reserved]
997.28 [Reserved]
997.29 [Reserved]
997.30 Civil Liability
Authority: 33 U.S.C. 3603 et seq.
Subpart A—General
§ 997.1
Definitions.
Certification. For purposes of these
regulations, the term ‘‘certification’’
means the granting by NOAA of status
to a non-federal entity as a participating
RICE of the System authorized by
§ 12304 of the ICOOS Act. An applicant
will not be considered to be
participating in the System unless (1) it
agrees to meet the certification
standards issued by the Administrator
issued herein, and (2) the Administrator
declares the applicant to be part of the
System as a certified RICE.
Non-Federal Assets. The term ‘‘nonfederal assets’’ means all relevant
coastal and ocean observation
technologies, related basic and applied
technology research and development,
and public education and outreach
programs that are integrated into the
System and are managed through State,
regional organizations, universities,
nongovernmental organizations, or the
private sector.
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Owned and/or operated by the RICE.
Non-Federal Assets that are either
owned and/or operated directly by the
RICE, or supported financially in part or
in full by the RICE.
Regional Information Coordination
Entity. The term ‘‘regional information
coordination entity’’ means an
organizational body that is certified or
established by contract or memorandum
by the lead Federal agency (NOAA)
designated in the ICOOS Act, and that
coordinates State, Federal, local, and
private interests at a regional level with
the responsibility of engaging the
private and public sectors in designing,
operating, and improving regional
coastal and ocean observing systems in
order to ensure the provision of data
and information that satisfy the needs of
user groups from the respective regions.
The term ‘‘regional information
coordination entity’’ includes regional
associations described in the System
Plan.
Employee of a Regional Information
Coordination Entity. An individual
identified in subsections 997.23(d)(3) or
997.23(f)(1) of these Regulations.
System. The term ‘‘System’’ means the
National Integrated Coastal and Ocean
Observation System established in
accordance with § 12304 of the ICOOS
Act (33 U.S.C. 3603).
System Plan. The term ‘‘System Plan’’
means the plan contained in the
document entitled ‘‘Ocean.US
Publication No. 9, The First Integrated
Ocean Observing System (IOOS)
Development Plan,’’ as updated by the
Council under these regulations.
§ 997.2
RICE.
Acceptance of Procedures by a
By its voluntary entrance or
participation in the System, the RICE
acknowledges and accepts the
procedures and requirements
established by these regulations.
Subpart B—Certification and
Decertification Process for a Regional
Information Coordination Entity (RICE)
§ 997.10
Eligibility.
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Any non-Federal entity may submit
an application for certification as a RICE
as defined in the ICOOS Act and these
Regulations.
§ 997.11
Application Process.
(a) The applicant for certification
shall submit an application package
containing the information and
documentation outlined in Subpart C—
Certification and Application
Requirements for a RICE of these
Regulations. The submission package
shall include the application form,
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available online at https://
www.ioos.noaa.gov/certification.
(b) Submission shall be made to
NOAA at the address below, or to such
other address as may be indicated in the
future: Director U.S. IOOS Program
Office, NOAA, 1100 Wayne Ave, Suite
1225, Silver Spring, MD 20910.
Submissions may also be made online at
https://www.ioos.noaa.gov/certification.
§ 997.12
Review by NOAA.
(a) After receiving an application
package, NOAA shall have up to 90
calendar days to review the application
package and decide whether to certify
the applicant.
(b) Before the 90 calendar days have
elapsed, NOAA may request additional
information, in which case NOAA shall
have up to 30 additional calendar days
after that additional information has
been received by NOAA, above and
beyond the original 90 calendar days, to
review the application package and
decide whether to certify the applicant.
(c) NOAA’s decision whether to
certify the applicant shall be based on
whether the RICE demonstrates that it
satisfies the current IOOC certification
criteria and these regulations.
§ 997.13
Certification Process.
(a) NOAA’s decision whether to
certify the applicant, along with the
reason for its decision, shall be
delivered to the applicant via letter
delivered by first class mail and by
electronic means.
(b) Applicants receiving a certification
determination in the affirmative shall be
designated as ‘‘certified’’ RICEs by
NOAA. NOAA shall memorialize this
status via a memorandum of agreement
with the applicant. Certification shall
mean that a RICE is incorporated into
the System.
(c) A certified RICE shall provide
NOAA with written notification of the
RICE’s intention to change any details of
its organizational structure or Strategic
Operational Plan, from those details
originally provided to satisfy the
requirements of these Regulations, and
shall request approval from NOAA for
the change. After receiving the written
notification, NOAA shall have up to 30
calendar days to review the requested
change and decide whether to approve
the requested change. NOAA’s decision,
along with the reason for its decision,
shall be included in a written
notification to the RICE.
§ 997.14 Certification Duration and
Renewal.
(a) Certification of a RICE shall be for
a term of 5 years, unless otherwise
specified by the NOAA Administrator.
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(b) Certification may be renewed, at
the request of the RICE, for a period of
five years. A RICE seeking to renew its
certification shall provide NOAA with a
written request to renew at least 120
calendar days before the expiration of
the existing certification. The request
shall include the application form,
available online at https://
www.ioos.noaa.gov/certification, and all
information providing evidence that the
applicant satisfies the IOOC certification
criteria and NOAA regulations
promulgated to certify and integrate
non-Federal assets into the System.
(c) After receiving a written request
for renewal of certification, NOAA shall
have up to 90 calendar days to review
the request and decide whether to
renew the certification.
(d) Before the 90 calendar days have
elapsed, NOAA may request additional
information, in which case NOAA shall
have up to 30 additional calendar days
after that additional information has
been received by NOAA, above and
beyond the original 90 calendar days, to
review the request and decide whether
to renew the certification.
(e) NOAA’s decision whether to
renew the certification shall be based on
whether the RICE continues to
demonstrate that it satisfies the current
IOOC certification criteria and these
regulations. NOAA’s decision, along
with the reason for its decision, shall be
included in a written notification to the
RICE.
§ 997.15
Audit and Decertification.
(a) NOAA may audit a RICE that it has
certified to ensure compliance with the
IOOC certification criteria and these
regulations. NOAA may conduct an
audit without advance notice.
(b) NOAA may decertify a RICE. In
general, a RICE may be decertified
when:
(1) The results of an audit indicate
that the RICE no longer satisfies the
requirements under which it was
certified;
(2) Other relevant reasons for
decertification become apparent.
(c) NOAA’s intent to decertify a RICE,
along with the identification of a
specific deficiency(ies) and a
recommended corrective action(s), shall
be included in a written notification to
the RICE. After receiving NOAA’s
written notification, a RICE shall have
up to 30 calendar days to request in
writing that NOAA reconsider its intent
to decertify the RICE. The RICE’s
request for reconsideration shall contain
sufficient information for NOAA to
determine whether to grant the request
for reconsideration. Alternatively, the
RICE may correct the deficiency(ies)
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identified by NOAA within 30 calendar
days, notify NOAA in writing of the
corrective action(s) taken, and provide
sufficient evidence for NOAA to
determine the correctness and
effectiveness of the corrective action(s)
taken.
(d) If a RICE submits to NOAA a
written request for reconsideration or a
written assertion that the identified
deficiency(ies) has been corrected,
NOAA shall have up to 60 calendar
days after receipt of the request or
assertion, to review the request for
reconsideration or the assertion of
corrective action. NOAA’s decision,
along with the reason for its decision,
shall be delivered to the applicant via
letter delivered by first class mail and
by electronic means.
(e) Upon decertification, a RICE shall
no longer be incorporated into the
System.
(f) A RICE may act voluntarily to
terminate its certification at any time by
notifying NOAA in writing of its desire
to do so. Upon receipt of the notification
by NOAA, the RICE will no longer be
incorporated into the System.
§ 997.16
Final Action.
NOAA’s decision, whether to certify,
renew or decertify a RICE shall be
considered final agency action.
Subpart C—Certification and
Application Requirements for a RICE
emcdonald on DSK67QTVN1PROD with PROPOSALS
§ 997.20
General.
(a) For the purposes of these
certification regulations, when the verb
‘‘describe’’ is used it indicates that the
RICE shall give an account in text that
responds to the requirement. This text
shall contain sufficient information to
demonstrate how the RICE satisfies the
certification requirement. The RICE may
include a link(s) to additional
information. When the verb
‘‘document’’ is used, it indicates that the
RICE shall furnish a document(s) that
responds to the requirement. A text
statement accompanying the
document(s) will normally be necessary
to provide context for the document(s)
and to demonstrate how the RICE
satisfies the certification requirement.
The RICE may include a link to a
document in the accompanying text
statement.
(b) Documentation that addresses the
certification requirements may include
references to existing RICE documents.
All documents and materials may be
submitted directly to the U.S. IOOS
Program Office or made accessible for
public viewing on the RICE’s Web site.
§ 997.21
Organizational Structure.
(a) To become certified, a RICE must
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Demonstrate an organizational
structure capable of gathering required
System observation data, supporting
and integrating all aspects of coastal and
ocean observing and information
programs within a region and that
reflects the needs of State and local
governments, commercial interests, and
other users and beneficiaries of the
System and other requirements
specified under this subtitle and the
System Plan. 33 U.S.C. 3603(c)(4)(A)(i).
(b) A RICE’s application shall
(1) Describe the RICE’s organizational
structure (e.g., 501(c)(3) tax-exempt
organization, establishment via MOU or
MOA).
(2) Document the RICE’s ability to
satisfy applicable legal criteria for
accepting and disbursing funds, and
entering into agreements. Sufficient
documentation may be provided in the
form of: (1) Evidence of a current grant,
cooperative agreement, or contract in
good standing with the Federal
government; or (2) evidence of fiscal
agreements, standard operating
procedures for financial activities, and
proof of an audit process.
(3) Document the RICE’s measures for
addressing issues of accountability and
liability. For this criterion,
accountability and liability refer to the
RICE’s governance and management
activities. Sufficient documentation may
be provided in the form of (1) a conflict
of interest policy for the Governing
Board or governing body, which clearly
states that a member of the governing
board will declare any conflict of
interest he or she may have and will
recuse him or herself from associated
funding decisions, and (2) a policy
statement in the RICE’s by-laws that
addresses liability issues.
(4) Describe the process the RICE uses
to set priorities for distributing funds
(e.g., requirement for Governing Board
or governing body approval when
responding to funding opportunities or
adjusting to funding level changes in
existing agreements).
(5) Document the by-laws, signed
articles of agreement, or any binding
agreements that demonstrate how the
RICE establishes and maintains a
Governing Board or governing body.
The documentation shall demonstrate:
(i) How the composition of the
Governing Board or governing body is
selected and how it is representative of
regional ocean observing interests.
NOAA defines ‘‘representative’’ in this
specific context to include geographic,
sector, expertise, and stakeholder
considerations.
(ii) How and with what frequency the
RICE solicits and receives advice on
RICE participant diversity, stakeholder
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coordination, and engagement
strategies, to ensure the provision of
data and information that satisfy the
needs of user groups.
(iii) How the RICE collects and
assesses user feedback to gauge the
effectiveness of the regional system and
subsystems in satisfying user needs, and
how the RICE responds to this user
feedback in setting its priorities.
Sufficient documentation may be
provided in the form of a description of
the method the RICE uses in its annual
planning process to assess priorities
among the identified user needs in the
region and to respond to those user
needs.
(iv) Steps the RICE takes to ensure
decisions on priorities and overall
regional system design are transparent
and available. At a minimum, RICE
priorities and regional system design
decisions shall be made accessible for
public viewing on the RICE’s Web site.
§ 997.22
Membership Policy.
The RICE application shall describe:
(a) The process by which individuals
or organizations may formally
participate in the governance activities
of the RICE;
(b) The rights and responsibilities of
this participation;
(c) The process by which the RICE
strives for organizational diversity
through intra-regional geographic
representation, and diversity of
activities and interests from both public
and private sectors; and
(d) How the RICE allows for
participation from adjacent regions or
nations.
§ 997.23
Strategic Operational Plan.
(a) To become certified, a RICE must:
Develop and operate under a strategic
operational plan that will ensure the
efficient and effective administration of
programs and assets to support daily
data observations for integration into the
System, pursuant to the standards
approved by the Council;
and
work cooperatively with
governmental and non-governmental
entities to identify and provide
information products of the System for
multiple users within the service area of
the regional information coordination
entities.
The Strategic Operational Plan is a
high-level document that outlines how
a RICE manages and operates an
integrated regional observing system.
This Plan should evolve as a RICE
matures, new technologies become
available, regional priorities change, and
new users and stakeholders are
identified. The Plan may be responsive
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to changing funding levels, and shall
contain the following sections,
referencing other plans directly when
applicable. The RICE application shall
provide descriptions and
documentation that the Strategic
Operational Plan satisfies the
requirements of § 997.23.
(b) Background and Context
The RICE shall describe:
(1) The role of the RICE in furthering
the development of the regional
component of the System;
(2) The process by which the RICE
updates the Strategic Operational Plan
at least once every five years and how
the RICE seeks inputs from the broader
user community; and
(3) The RICE’s primary partners and
any contributing observing systems. For
the purposes of § 997.23, NOAA defines
a primary partner as any organization or
individual that contributes significant
staff time, funding or other resources to
project activities. This is not an
exhaustive list of all RICE partners but
the primary partners the RICE is
working with on a given project.
emcdonald on DSK67QTVN1PROD with PROPOSALS
(c) Goals and Objectives
The RICE shall describe:
(1) How the RICE addresses marine
operations; coastal hazards; ecosystems,
fisheries and water quality; and climate
variability and change; and
(2) The major objectives that guide the
RICE’s priorities for data collection and
management, development of products
and services, research and development,
and education and outreach.
(d) Operational Plan for the Observing
System
The RICE’s Strategic Operational Plan
shall include or reference an
Operational Plan for the Observing
System that:
(1) Describes the key products,
services and outcomes that the
observing system will deliver;
(2) Describes the elements of the
operational integrated observing system
that will deliver those products, services
and outcomes;
(3) Documents to NOAA’s satisfaction
that the individual(s) responsible for
RICE operations has the necessary
qualifications and possesses relevant
professional education and work
experience to deliver observations
successfully. At a minimum the RICE
shall:
(i) Identify the individual responsible
for overall RICE management;
(ii) Identify, as applicable, the
individual responsible for observations
system management in the region;
(iii) Provide the curriculum vitae for
each identified individual; and
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(iv) Identify the procedures used to
evaluate the capability of the
individual(s) identified in subsection
997.23(d)(3) to conduct the assigned
duties responsibly.
(4) Describes how the RICE manages
ongoing regional system operations and
maintenance. At a minimum the RICE
shall:
(i) Describe the RICE’s standard
operating procedures for ensuring that
those responsible for managing
hardware owned and/or operated by the
RICE calibrate, validate, operate, and
maintain equipment regularly and in
accordance with manufacturer guidance
or industry best practice (other
management factors that influence the
delivery of quality data, such as
managing software applications, are
addressed in subsection 997.23(f); and
(ii) Describe the RICE’s standard
operating procedures for ensuring that
those responsible for managing
hardware owned and/or operated by the
RICE maintain equipment inventories,
shipping logs and instrument history
logs.
(e) Development of a Strategy To
Sustain and Enhance the System
The RICE shall describe its strategy
for balancing changes in regional
priorities with the need to maintain
established data sets, the primary value
of which may be in their long-term
records. At a minimum the description
shall:
(1) Identify the guiding principles that
inform the strategy;
(2) Reference and show connections
to a long-term (five-to-ten-year) regional
Build-out Plan for the full
implementation of the regional
observing system based on the RICE’s
priorities and identified user needs; and
(3) Relate the annual planning process
the RICE uses to review its priorities in
light of funding levels and its plans for
system enhancement as outlined in the
regional Build-out Plan.
(f) Data Management and
Communications (DMAC) Plan
The RICE’s Strategic Operational Plan
shall include or reference a DMAC Plan
that:
(1) Documents to NOAA’s satisfaction
that the individual responsible for
management of data operations for the
RICE has the necessary technical skills,
and possesses relevant professional
education and work experience to
support DMAC capabilities and
functionality for the System. At a
minimum the DMAC Plan shall:
(i) Identify the individual responsible
for the coordination and management of
observation data in the region; and
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39643
(ii) Provide the curriculum vitae for
the identified individual.
(iii) Identify the procedures used to
evaluate the capability of the individual
identified in subsection 997.23(f)(1) to
conduct the assigned duties responsibly.
(2) Describes how data are ingested,
managed and distributed, including a
description of the flow of data through
the RICE data assembly center from the
source to the public dissemination/
access mechanism. The description
shall include any transformations or
modifications of data along the data
flow pathway including, but not limited
to, format translations or aggregations of
component data streams into an
integrated product.
(3) Describes the data quality control
procedures that have been applied to
data that are distributed by the RICE. All
data shall be quality controlled. For
each data stream, describe the quality
control procedure applied to the data,
by the RICE or other named entity,
between the data’s collection and
publication by the RICE. The
description will also include a reference
to the procedure used (e.g., QARTOD,
JCOMM/IODE, scientific literature).
(4) Adheres to the NOAA Data
Sharing Procedural Directive.1 The
System is an operational system;
therefore the RICE should strive to
provide as much data as possible, in
real-time or near real-time, to support
the operation of the System. When data
are collected in part or in whole with
funds distributed to a RICE through the
U.S. IOOS Program Office, the RICE
should strive to make the data available
as soon as logistically feasible for each
data stream. When data are not collected
with funds distributed to a RICE
through the U.S. IOOS Program Office,
the data may be made available in
accordance with any agreement made
with the data provider.
(5) Describes how the RICE will
implement data management protocols
promulgated by the IOOC and the U.S.
IOOS Program Office in a reasonable
and timely manner as defined for each
protocol.
(6) Documents the RICE’s data
archiving process or describes how the
RICE intends to archive data at a
national archive center (e.g., NODC,
NGDC, NCDC) in a manner that follows
guidelines outlined by that center.
Documentation shall be in the form of
a Submission Agreement, Submission
Information Form (SIF) or other, similar
data producer-archive agreement.
1 NOAA Data Sharing Policy for Grants and
Cooperative Agreements Procedural Directive,
Version 2.0 https://www.nosc.noaa.gov/EDMC/
documents/EDMC_PD-DSPNG_final_v2.pdf.
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(g) Budget Plan
The RICE’s Strategic Operational Plan
shall include or reference a Budget Plan
that:
(1) Identifies who supports the RICE
financially;
(2) Outlines the RICE’s plans and
strategies for diversifying funding
sources and opportunities;
(3) Identifies how RICE priorities
guide funding decisions; and
(4) Assesses funding constraints and
the associated risks to the observing
System that the RICE must address for
the future.
§ 997.24
Gaps Identification.
(a) To become certified, a RICE must
identify gaps in observation coverage
needs for capital improvements of
Federal assets and non-Federal assets of
the System, or other recommendations
to assist in the development of annual
and long-terms plans and transmit such
information to the Interagency Ocean
Observing Committee via the Program
Office[.] 33 U.S.C. 3603(c)(4)(A)(ii).
(b) The RICE application shall
(1) Document that the RICE’s asset
inventory contains up-to-date
information. This could be
demonstrated by a database or portal
accessible for public viewing and
capable of producing a regional
summary of observing capacity;
(2) Provide a regional Build-out Plan
that identifies the regional priorities for
products and services, based on its
understanding of regional needs, and a
description of the integrated system
(observations, modeling, data
management, product development,
outreach, and R&D). The RICE shall
review and update the Build-out Plan at
least once every five years; and
(3) Document the priority regional
gaps in observation coverage needs, as
determined by an analysis of the RICE
asset inventory and Build-out Plan. The
RICE shall review and update the
analysis of priority regional gaps in
observation coverage needs at least once
every five years.
emcdonald on DSK67QTVN1PROD with PROPOSALS
§ 997.25
Financial Oversight.
(a) To become certified, a RICE must
comply with all financial oversight
requirements established by the
Administrator, including requirement
relating to audits. 33 U.S.C.
3603(c)(4)(A)(v).
(b) The RICE’s application shall
document compliance with the terms
and conditions set forth in 2 CFR Part
215—Uniform Administrative
Requirements for Grants and
Agreements with Institutions of Higher
Education, Hospitals, and Other Nonprofit Organizations, Subpart C—Post
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Award Requirements. This Subpart
prescribes standards for financial
management systems, among others.
(Compliance with this criterion can be
demonstrated by referencing any
existing grant, cooperative agreement, or
contract the RICE has with NOAA.)
(c) The RICE shall document annually
the RICE’s operating and maintenance
costs for all observing platforms and
sensors, etc., owned and/or operated by
the RICE.
§§ 997.26 through 997.29
§ 997.30
[Reserved]
Civil Liability.
(a) For purposes of determining
liability arising from the dissemination
and use of observation data gathered
pursuant to the ICOOS Act and these
regulations, any non-Federal asset or
regional information coordination entity
incorporated into the System by
contract, lease, grant, or cooperative
agreement that is participating in the
System shall be considered to be part of
the National Oceanic and Atmospheric
Administration. Any employee of such
a non-Federal asset or regional
information coordination entity, while
operating within the scope of his or her
employment in carrying out the
purposes of this subtitle, with respect to
tort liability, is deemed to be an
employee of the Federal Government.
(b) The ICOOS Act’s grant of civil
liability protection (and thus the RICE’s
limited status as part of NOAA) applies
only to a RICE that:
(1) Is participating in the System,
meaning the RICE has been certified by
NOAA in accordance with the ICOOS
Act and these regulations; and
(2) has been integrated into the
System by contract, lease, grant or
cooperative agreement with NOAA.
(c) An ’’employee’’ of a regional
information coordination entity is an
individual who satisfies all of the
following requirements:
(1) The individual is employed or
contracted by a certified RICE that has
been integrated into the System by
contract, lease, grant or cooperative
agreement with NOAA, and that is
participating in the System, as defined
in § 997.30(b), above;
(2) The individual is identified by the
RICE, as required in § 997.23(d)(3), as
one of three individuals responsible for
the collection, management, or
dissemination of ocean, coastal, and
Great Lakes observation data; and
(3) The individual is responsive to
federal government control.
(d) The protection afforded to
employees of a RICE with regard to
liability applies only to specific
individuals employed or contracted by
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a RICE who meet the requirements of
997.30(c) and who are responsible for
the collection, management, or
dissemination of ocean, coastal, and
Great Lakes observation data. The RICE
must identify to NOAA’s satisfaction:
(1) The individual responsible for
overall system management, (2) as
applicable, the individual responsible
for observations system management,
and (3) the individual responsible for
management of data operations. In
accepting certification, the RICE will
concede to NOAA the power to ensure
these individuals comply with the
requirements of the program regulations
in their daily operations and that they
are responsive to NOAA through the
agreement the RICE has with NOAA.
[FR Doc. 2013–15823 Filed 7–1–13; 8:45 am]
BILLING CODE 3510–JE–P
DEPARTMENT OF THE TREASURY
Internal Revenue Service
26 CFR Part 1
[REG–140789–12]
RIN 1545–BL42
Information Reporting for Affordable
Insurance Exchanges
Internal Revenue Service (IRS),
Treasury.
ACTION: Notice of proposed rulemaking.
AGENCY:
This document contains
proposed regulations relating to
requirements for Affordable Insurance
Exchanges (Exchanges) to report
information relating to the health
insurance premium tax credit enacted
by the Patient Protection and Affordable
Care Act and the Health Care and
Education Reconciliation Act of 2010.
These proposed regulations affect
Exchanges that make qualified health
plans available to individuals and
employers.
SUMMARY:
Written (including electronic)
comments and requests for a public
hearing must be received by September
3, 2013.
ADDRESSES: Send submissions to:
CC:PA:LPD:PR (REG–140789–12), Room
5203, Internal Revenue Service, P.O.
Box 7604, Ben Franklin Station,
Washington, DC 20044. Submissions
may be hand-delivered Monday through
Friday between the hours of 8 a.m. and
4 p.m. to CC:PA:LPD:PR (REG–140789–
12), Courier’s Desk, Internal Revenue
Service, 1111 Constitution Avenue NW.,
Washington, DC, or sent electronically
via the Federal eRulemaking Portal at
DATES:
E:\FR\FM\02JYP1.SGM
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Agencies
[Federal Register Volume 78, Number 127 (Tuesday, July 2, 2013)]
[Proposed Rules]
[Pages 39638-39644]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-15823]
[[Page 39638]]
=======================================================================
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
15 CFR Part 997
[Docket No. 120813326-3458-01]
RIN 0648-BC18
U.S. Integrated Ocean Observing System; Regulations To Certify
and Integrate Regional Coordination Entities
AGENCY: U.S. Integrated Ocean Observing System Program Office (IOOS),
National Oceanic and Atmospheric Administration (NOAA), Commerce.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The U.S. Integrated Ocean Observing System Program Office,
which the National Oceanic and Atmospheric Administration (NOAA) is the
lead agency for, proposes rules to implement provisions of the
Integrated Coastal and Ocean Observation System Act of 2009 (ICOOS
Act). Among other things, the ICOOS Act directs the Interagency Ocean
Observation Committee (IOOC) to develop and approve certification
criteria and procedures for integrating regional information
coordination entities (RICEs) into the National Integrated Coastal and
Ocean Observation System (System). This proposed rule would accomplish
that goal. This rule also implements the provisions of the ICOOS Act
establishing that certified entities integrated into the System are,
for the purposes of determining liability arising from the
dissemination and use of observation data, considered part of NOAA and
therefore their employees engaged in the collection, management, and
dissemination, of observation data in the System receive the same tort
protections for use of that data as Federal employees.
DATES: Comments on this proposed rule must be received by August 1,
2013.
ADDRESSES: You may submit comments on this document, identified by
NOAA-NOS-2013-0083, by any of the following methods:
Electronic Submission: Submit all electronic public
comments via the Federal e-Rulemaking Portal. Go to
www.regulations.gov/#!docketDetail;D=NOAA-NOS-2013-0083, click the
``Comment Now!'' icon, complete the required fields, and enter or
attach your comments.
Mail: Submit written comments to Dave Easter, U.S.
Integrated Ocean Observing System Program Office, 1100 Wayne Ave.,
Suite 1225, Silver Spring, MD 20910.
Fax: (301) 427-2073; Attn: Dave Easter
Instructions: Comments sent by any other method, to any other
address or individual, or received after the end of the comment period,
may not be considered by NOAA. All comments received are a part of the
public record and will generally be posted for public viewing on
www.regulations.gov without change. All personal identifying
information (e.g., name, address, etc.), confidential business
information, or otherwise sensitive information submitted voluntarily
by the sender will be publicly accessible. NOAA will accept anonymous
comments (enter ``N/A'' in the required fields if you wish to remain
anonymous). Attachments to electronic comments will be accepted in
Microsoft Word, Excel, or Adobe PDF file formats only.
FOR FURTHER INFORMATION CONTACT: Dave Easter, U.S. Integrated Ocean
Observing System Program Office, at (301) 427-2451.
SUPPLEMENTARY INFORMATION:
Background
The Integrated Coastal and Ocean Observation System Act of 2009
(Pub. L. 111-11) (ICOOS Act or Act, codified at 33 U.S.C. 3601-3610)
directs the President, acting through the National Ocean Research
Leadership Council (Council), to establish a National Integrated
Coastal and Ocean Observation System (System). The System must
``include[] in situ, remote, and other coastal and ocean observation,
technologies, and data management and communication systems, and [be]
designed to address regional and national needs for ocean information,
to gather specific data on key coastal, ocean, and Great Lakes
variables, and to ensure timely and sustained dissemination and
availability of these data.'' 33 U.S.C. 3601(1). Another purpose of the
System is ``to fulfill the Nation's international obligations to
contribute to the Global Earth Observation System of Systems and the
Global Ocean Observing System.'' 33 U.S.C. 3601(1) and 3603(a).
The System is built upon a national-regional partnership, with
contributions from both Federal and non-Federal organizations,
promoting the quick and organized collection and distribution of ocean,
coastal, and Great Lakes data and data products to meet critical
societal needs. System data is used by both governmental and non-
governmental concerns, to, among other things, ``support national
defense, marine commerce, navigation safety, weather, climate, and
marine forecasting, energy siting and production, economic development,
ecosystem-based marine, coastal, and Great Lakes resource management,
public safety, and public outreach training and education.'' It is also
used to promote public awareness and stewardship of the Nation's
waterways, coasts and ocean resources, and to advance scientific
understanding of the use, conservation, management, and understanding
of healthy ocean, coastal, and Great Lake resources. 33 U.S.C.
3601(1)(A)-(C).
The ICOOS Act directs the Council to establish or designate an
Interagency Ocean Observation Committee (IOOC). In 2010, the Joint
Subcommittee on Ocean Science and Technology (JSOST), acting on behalf
of the Council, established the IOOC. The IOOC replaced, and assumed
and expanded the role of its predecessor, the Interagency Working Group
on Ocean Observations, which was originally established by the JSOST
under the Ocean Action Plan.
Under the ICOOS Act, the IOOC must ``develop contract certification
standards and compliance procedures for all non-Federal assets,
including regional information coordination entities, to establish
eligibility for integration into the System.'' 33 U.S.C. 3603(c)(2)(E).
To create the certification criteria, the IOOC chartered two working
groups consisting of subject matter experts on IOOS data partners and
regional entities to draft recommended certification criteria. The
recommended draft criteria were approved by the IOOC in October 2011
and released for public input. After a sixty-day public comment period
and adjudication of public input, the IOOC drafted final certification
criteria.
In developing certification criteria, the IOOC focused on
identifying the governance and management criteria a RICE--
organizations that coordinate regional observing efforts; manage and
operate observing assets; manage and distribute data; and engage user
groups in product development--must have in place to allow NOAA to
coordinate non-federal assets for the purposes of the ICOOS Act. The
IOOC certification standards ensure the necessary policies, standards,
data, information, and services associated with eligibility for
integration into the System are appropriately established, coordinated,
overseen and enforced.
This rule would, if implemented, establish the criteria and
procedures for how RICEs can apply and become certified for and
integrated into System. Integration into the System formally
[[Page 39639]]
establishes the role of the RICE and ensures that the data collected
and distributed by the RICE are managed according to the best
practices, as identified by NOAA.
Additionally, under the ICOOS Act, employees of RICEs that NOAA has
certified and incorporated into the System who gather and disseminate
information under this Act are, for the purposes of determining
liability arising from the dissemination and use of observation data,
considered to be part of NOAA. In other words, they are federal
employees for the purposes of tort liability relating to their work
directly related to the System. Only those non-federal entities that
agree to meet the standards established under the process described in
the ICOOS Act, and that are designated by NOAA as certified entities in
the System, will be considered as ``certified'' for purposes of these
regulations.
These proposed regulations satisfy the ICOOS Act requirement that
NOAA, as the lead Federal agency for implementing the System,
``promulgate program guidelines to certify and integrate non-federal
assets, including regional information coordination entities, into the
System.'' 33 U.S.C. 3603(c)(3)(C). Accordingly, they detail the
compliance procedures and requirements for certifying RICEs that
satisfy the IOOC-approved certification standards.
Among other things, to become certified, RICEs must provide NOAA
with information about their organizational structure and operations,
including capacity to gather required System observation data. They
must also document their ability to accept and disburse funds and to
enter into legal agreements with other entities. RICEs must have by-
laws, accountability measures governing boards and an explanation of
how they are selected, and be able to provide information about RICE
diversity, user feedback processes, and transparency. Moreover, RICEs
must submit to NOAA a strategic operation plan to ensure the efficient
and effective administration and operation of programs and assets to
support the System, and agree to and actually work cooperatively with
other governmental and non-governmental entities to the benefit of the
System. Importantly, an application for certification must include a
description of the RICE's management of ongoing regional system
operations and maintenance. The RICE must illustrate its standard
operating procedures for ensuring the continued validity and
maintenance of equipment used; strategies to enhance the System.
Additionally, a RICE must also provide a Data Management and
Communications Plan documenting how the RICE maintains and controls
data quality and distribution. Certification lasts for five years,
after which time a certified RICE must apply for re-certification.
These regulations apply to the certification of RICEs only. Further
regulations will be developed by NOAA to provide certification for
other non-federal assets that do not meet the definition of RICEs.
Classification
Executive Order 12866
Under Executive Order (E.O.) 12866, if the proposed regulations,
including regulations such as those proposed here, are a ``significant
regulatory action'' as defined in Sec. 3(f) of the Order, an
assessment of the potential costs and benefits of the regulatory action
must be prepared and submitted to the Office of Management and Budget
(OMB). OMB has determined that this action is not a ``significant''
regulatory action under E.O. 12866.
Regulatory Flexibility Act
Pursuant to section 605 of the Regulatory Flexibility Act (RFA),
the Chief Counsel for Regulation of the Department of Commerce
certified to the Chief Counsel for Advocacy of the Small Business
Administration that these proposed regulations, if adopted, will not
have a significant economic impact on a substantial number of small
entities. The reasons for this certification are as follows:
The ICOOS Act directs NOAA to ``promulgate program guidelines to
certify and integrate non-Federal assets, including regional
information coordination entities into the System.'' 33 U.S.C.
3603(c)(3)(C). This action establishes the criteria and procedures for
certifying and integrating RICEs into the Integrated Coastal and Ocean
Observation System (System), in compliance with the ICOOS Act.
Specifically, this action proposes to require RICEs to provide NOAA
with certain information about their organizational structures,
financial capabilities and makeup, oversight, and data quality
assurance methods in order to obtain certification under the ICOOS Act.
Although most of the affected entities already meet the majority of the
requirements proposed here, there may be some minimal costs for some or
all of those entities to come into full compliance with these
regulations.
Currently, there are eleven RICEs that NOAA expects may be impacted
by these regulations. RICEs are generally partnerships of entities in
the academic, private, governmental, tribal, and non-governmental
sectors, and are organized either pursuant to Sec. 501(c)(3) of the
Internal Revenue Code or by Memorandums of Agreement. Most of these
eleven RICEs employ from three to five full- or part-time individuals,
either directly or as contractors. They therefore fit into the
Regulatory Flexibility Act's size standards as small organizations,
because they ``are not-for-profit enterprises independently owned and
operated and not dominant in their field.'' 5 U.S.C. 601(4).
RICEs primarily depend on funds from NOAA for their operations.
Through a series of cooperative agreements, NOAA has been funding these
eleven RICEs since FY 2005 to develop the organizational structure,
operating procedures, and data management capacity necessary to serve
as the entities responsible for planning, coordinating, and operating
the regional observing systems. Funding levels to build the
organization and coordination capacity of these eleven RICEs, made
available through these cooperative agreements, varies by region, but
has typically ranged from $300K to $400K per year per RICE.
In addition, beginning in FY 2008, each of these eleven RICEs
entered into cooperative agreements with NOAA to support data
collection, data management, and development of products and services.
In FY 2012, the funding amounts for these eleven RICEs ranged from $1.4
million to $2.5 million per RICE.
Notably, many of the proposed regulations are an extension of the
effort to build the capacity of these eleven RICEs to perform
successfully the duties of a RICE as identified in the ICOOS Act. As
such, the regulations will likely not impose additional expenses on the
affected RICEs, because those entities are, for the most part, already
engaging in those activities.
NOAA expects that the greatest economic impacts to RICEs of these
regulations will be associated with the staff time necessary to
organize and submit to NOAA the information required for certification.
However, these costs may be low, because in many cases the RICE may
already have the information necessary to meet the certification
requirements. In a few cases, some staff effort will be required to
develop new materials, but notably that effort will be essentially
funded through the RICE's cooperative agreement with NOAA. Moreover,
NOAA expects that RICEs will incur these costs only once every five
years,
[[Page 39640]]
given the duration of certification and need for renewal, and that the
costs associated with preparing the certification materials may be
reflected in a temporary loss of coordination capacity. Each RICE's
specific information needs are not clear at this time, so the costs
cannot be determined with accuracy; however, because most of the
information needed to become certified likely already is in the RICE's
possession, these costs are likely low.
Another cost that may arise due to these regulations relates to
implementation of new procedures at RICEs to manage data and ensure
data quality. Most RICEs have some data management and quality
assurance programs in place, but satisfying the certification
requirements proposed here may result in some RICEs having to re-
allocate their existing funds to provide additional resources to
improve their data quality and management. As the data quality
standards of each RICE currently differs, NOAA cannot determine the
costs this rule would impose on any given RICE to meet the new
requirements. However, NOAA believes that such costs would likely be a
small percentage of their overall operating budgets, and so would not
constitute a significant economic impact to the affected entities.
One benefit to RICEs provided by these regulations and the ICOOS
Act is the extension of liability protection to RICE employees for data
collected and disseminated pursuant to the ICOOS Act. Specifically,
employees of entities that are certified and integrated into the System
are, for the purposes of determining liability arising from the
dissemination and use of observation data, considered to be part of
NOAA.
The extension of tort liability protection may in some instances
benefit RICEs and their employees. However, NOAA notes that this
benefit may be minimal, as past claims against NOAA and the Department
for damages arising from allegedly incorrect data are rare and have
been for relatively low amounts. Thus, any financial benefits in terms
of liability may be limited.
Finally, certification is a voluntary step by RICEs. Although NOAA
expects any entity that may qualify as a RICE and currently receives
NOAA funds under the ICOOS Act to seek certification, lack of
certification does not preclude funding opportunities.
These regulations will affect eleven known small organizations.
However, the rules impose no mandatory costs on any of those
organizations; rather, the costs to these organizations to become
certified are born by the RICEs voluntarily. Nonetheless, because the
affected entities will likely possess most of the information needed
for certification, IOOS expects that the overall costs to the entities
that result from these rules will be minimal. Because this rule, if
implemented, will not result in a substantial economic impact on a
significant number of small entities, no Regulatory Flexibility
Analysis is required, and none has been prepared.
Paperwork Reduction Act
This proposed rule contains a collection-of-information requirement
subject to review and approval by OMB under the Paperwork Reduction Act
(PRA). This requirement has been submitted to OMB for approval. Public
reporting burden for certification as a RICE is estimated to average
293 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.
Public comment is sought regarding: whether this proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information shall
have practical utility; the accuracy of the burden estimate; ways to
enhance the quality, utility, and clarity of the information to be
collected; and ways to minimize the burden of the collection of
information, including through the use of automated collection
techniques or other forms of information technology. Send comments on
these or any other aspects of the collection of information to U.S
Integrated Ocean Observing System Program Office, National Ocean
Service, NOAA at the ADDRESSES above, and email to OIRA_Submission@omb.eop.gov, or fax to (202) 395-7285.
Notwithstanding any other provision of the law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the PRA, unless that collection of information displays
a currently valid OMB Control Number.
Dated: June 26, 2013.
Holly A. Bamford,
Assistant Administrator for Ocean Services and Coastal Zone Management.
List of Subjects in 15 CFR Part 997
Science and technology, Ocean observing, Certification
requirements.
For the reasons set forth in the preamble, NOAA proposes to amend
15 CFR chapter IX by adding part 997 to read as follows:
SUBCHAPTER G--REQUIREMENTS FOR CERTIFICATION BY NOAA OF NON-FEDERAL
ASSETS INTO THE INTEGRATED COASTAL AND OCEAN OBSERVATION SYSTEM
PART 997--REGIONAL INFORMATION COORDINATION ENTITIES
Subpart A--General
Sec
997.1 Definitions
997.2 Acceptance of Procedures by a RICE
Subpart B--Certification and Decertification Process for a Regional
Information Coordination Entity (RICE)
Sec
997.10 Eligibility
997.11 Application Process
997.12 Review by NOAA
997.13 Certification Process
997.14 Certification Duration and Renewal
997.15 Audit and Decertification
997.16 Final Action
Subpart C--Certification and Application Requirements for a RICE
Sec
997.20 General
997.21 Organizational Structure
997.22 Membership Policy
997.23 Strategic Operational Plan
997.24 Gaps Identification
997.25 Financial Oversight
997.26 [Reserved]
997.27 [Reserved]
997.28 [Reserved]
997.29 [Reserved]
997.30 Civil Liability
Authority: 33 U.S.C. 3603 et seq.
Subpart A--General
Sec. 997.1 Definitions.
Certification. For purposes of these regulations, the term
``certification'' means the granting by NOAA of status to a non-federal
entity as a participating RICE of the System authorized by Sec. 12304
of the ICOOS Act. An applicant will not be considered to be
participating in the System unless (1) it agrees to meet the
certification standards issued by the Administrator issued herein, and
(2) the Administrator declares the applicant to be part of the System
as a certified RICE.
Non-Federal Assets. The term ``non-federal assets'' means all
relevant coastal and ocean observation technologies, related basic and
applied technology research and development, and public education and
outreach programs that are integrated into the System and are managed
through State, regional organizations, universities, nongovernmental
organizations, or the private sector.
[[Page 39641]]
Owned and/or operated by the RICE. Non-Federal Assets that are
either owned and/or operated directly by the RICE, or supported
financially in part or in full by the RICE.
Regional Information Coordination Entity. The term ``regional
information coordination entity'' means an organizational body that is
certified or established by contract or memorandum by the lead Federal
agency (NOAA) designated in the ICOOS Act, and that coordinates State,
Federal, local, and private interests at a regional level with the
responsibility of engaging the private and public sectors in designing,
operating, and improving regional coastal and ocean observing systems
in order to ensure the provision of data and information that satisfy
the needs of user groups from the respective regions. The term
``regional information coordination entity'' includes regional
associations described in the System Plan.
Employee of a Regional Information Coordination Entity. An
individual identified in subsections 997.23(d)(3) or 997.23(f)(1) of
these Regulations.
System. The term ``System'' means the National Integrated Coastal
and Ocean Observation System established in accordance with Sec. 12304
of the ICOOS Act (33 U.S.C. 3603).
System Plan. The term ``System Plan'' means the plan contained in
the document entitled ``Ocean.US Publication No. 9, The First
Integrated Ocean Observing System (IOOS) Development Plan,'' as updated
by the Council under these regulations.
Sec. 997.2 Acceptance of Procedures by a RICE.
By its voluntary entrance or participation in the System, the RICE
acknowledges and accepts the procedures and requirements established by
these regulations.
Subpart B--Certification and Decertification Process for a Regional
Information Coordination Entity (RICE)
Sec. 997.10 Eligibility.
Any non-Federal entity may submit an application for certification
as a RICE as defined in the ICOOS Act and these Regulations.
Sec. 997.11 Application Process.
(a) The applicant for certification shall submit an application
package containing the information and documentation outlined in
Subpart C--Certification and Application Requirements for a RICE of
these Regulations. The submission package shall include the application
form, available online at https://www.ioos.noaa.gov/certification.
(b) Submission shall be made to NOAA at the address below, or to
such other address as may be indicated in the future: Director U.S.
IOOS Program Office, NOAA, 1100 Wayne Ave, Suite 1225, Silver Spring,
MD 20910. Submissions may also be made online at https://www.ioos.noaa.gov/certification.
Sec. 997.12 Review by NOAA.
(a) After receiving an application package, NOAA shall have up to
90 calendar days to review the application package and decide whether
to certify the applicant.
(b) Before the 90 calendar days have elapsed, NOAA may request
additional information, in which case NOAA shall have up to 30
additional calendar days after that additional information has been
received by NOAA, above and beyond the original 90 calendar days, to
review the application package and decide whether to certify the
applicant.
(c) NOAA's decision whether to certify the applicant shall be based
on whether the RICE demonstrates that it satisfies the current IOOC
certification criteria and these regulations.
Sec. 997.13 Certification Process.
(a) NOAA's decision whether to certify the applicant, along with
the reason for its decision, shall be delivered to the applicant via
letter delivered by first class mail and by electronic means.
(b) Applicants receiving a certification determination in the
affirmative shall be designated as ``certified'' RICEs by NOAA. NOAA
shall memorialize this status via a memorandum of agreement with the
applicant. Certification shall mean that a RICE is incorporated into
the System.
(c) A certified RICE shall provide NOAA with written notification
of the RICE's intention to change any details of its organizational
structure or Strategic Operational Plan, from those details originally
provided to satisfy the requirements of these Regulations, and shall
request approval from NOAA for the change. After receiving the written
notification, NOAA shall have up to 30 calendar days to review the
requested change and decide whether to approve the requested change.
NOAA's decision, along with the reason for its decision, shall be
included in a written notification to the RICE.
Sec. 997.14 Certification Duration and Renewal.
(a) Certification of a RICE shall be for a term of 5 years, unless
otherwise specified by the NOAA Administrator.
(b) Certification may be renewed, at the request of the RICE, for a
period of five years. A RICE seeking to renew its certification shall
provide NOAA with a written request to renew at least 120 calendar days
before the expiration of the existing certification. The request shall
include the application form, available online at https://www.ioos.noaa.gov/certification, and all information providing evidence
that the applicant satisfies the IOOC certification criteria and NOAA
regulations promulgated to certify and integrate non-Federal assets
into the System.
(c) After receiving a written request for renewal of certification,
NOAA shall have up to 90 calendar days to review the request and decide
whether to renew the certification.
(d) Before the 90 calendar days have elapsed, NOAA may request
additional information, in which case NOAA shall have up to 30
additional calendar days after that additional information has been
received by NOAA, above and beyond the original 90 calendar days, to
review the request and decide whether to renew the certification.
(e) NOAA's decision whether to renew the certification shall be
based on whether the RICE continues to demonstrate that it satisfies
the current IOOC certification criteria and these regulations. NOAA's
decision, along with the reason for its decision, shall be included in
a written notification to the RICE.
Sec. 997.15 Audit and Decertification.
(a) NOAA may audit a RICE that it has certified to ensure
compliance with the IOOC certification criteria and these regulations.
NOAA may conduct an audit without advance notice.
(b) NOAA may decertify a RICE. In general, a RICE may be
decertified when:
(1) The results of an audit indicate that the RICE no longer
satisfies the requirements under which it was certified;
(2) Other relevant reasons for decertification become apparent.
(c) NOAA's intent to decertify a RICE, along with the
identification of a specific deficiency(ies) and a recommended
corrective action(s), shall be included in a written notification to
the RICE. After receiving NOAA's written notification, a RICE shall
have up to 30 calendar days to request in writing that NOAA reconsider
its intent to decertify the RICE. The RICE's request for
reconsideration shall contain sufficient information for NOAA to
determine whether to grant the request for reconsideration.
Alternatively, the RICE may correct the deficiency(ies)
[[Page 39642]]
identified by NOAA within 30 calendar days, notify NOAA in writing of
the corrective action(s) taken, and provide sufficient evidence for
NOAA to determine the correctness and effectiveness of the corrective
action(s) taken.
(d) If a RICE submits to NOAA a written request for reconsideration
or a written assertion that the identified deficiency(ies) has been
corrected, NOAA shall have up to 60 calendar days after receipt of the
request or assertion, to review the request for reconsideration or the
assertion of corrective action. NOAA's decision, along with the reason
for its decision, shall be delivered to the applicant via letter
delivered by first class mail and by electronic means.
(e) Upon decertification, a RICE shall no longer be incorporated
into the System.
(f) A RICE may act voluntarily to terminate its certification at
any time by notifying NOAA in writing of its desire to do so. Upon
receipt of the notification by NOAA, the RICE will no longer be
incorporated into the System.
Sec. 997.16 Final Action.
NOAA's decision, whether to certify, renew or decertify a RICE
shall be considered final agency action.
Subpart C--Certification and Application Requirements for a RICE
Sec. 997.20 General.
(a) For the purposes of these certification regulations, when the
verb ``describe'' is used it indicates that the RICE shall give an
account in text that responds to the requirement. This text shall
contain sufficient information to demonstrate how the RICE satisfies
the certification requirement. The RICE may include a link(s) to
additional information. When the verb ``document'' is used, it
indicates that the RICE shall furnish a document(s) that responds to
the requirement. A text statement accompanying the document(s) will
normally be necessary to provide context for the document(s) and to
demonstrate how the RICE satisfies the certification requirement. The
RICE may include a link to a document in the accompanying text
statement.
(b) Documentation that addresses the certification requirements may
include references to existing RICE documents. All documents and
materials may be submitted directly to the U.S. IOOS Program Office or
made accessible for public viewing on the RICE's Web site.
Sec. 997.21 Organizational Structure.
(a) To become certified, a RICE must
Demonstrate an organizational structure capable of gathering
required System observation data, supporting and integrating all
aspects of coastal and ocean observing and information programs within
a region and that reflects the needs of State and local governments,
commercial interests, and other users and beneficiaries of the System
and other requirements specified under this subtitle and the System
Plan. 33 U.S.C. 3603(c)(4)(A)(i).
(b) A RICE's application shall
(1) Describe the RICE's organizational structure (e.g., 501(c)(3)
tax-exempt organization, establishment via MOU or MOA).
(2) Document the RICE's ability to satisfy applicable legal
criteria for accepting and disbursing funds, and entering into
agreements. Sufficient documentation may be provided in the form of:
(1) Evidence of a current grant, cooperative agreement, or contract in
good standing with the Federal government; or (2) evidence of fiscal
agreements, standard operating procedures for financial activities, and
proof of an audit process.
(3) Document the RICE's measures for addressing issues of
accountability and liability. For this criterion, accountability and
liability refer to the RICE's governance and management activities.
Sufficient documentation may be provided in the form of (1) a conflict
of interest policy for the Governing Board or governing body, which
clearly states that a member of the governing board will declare any
conflict of interest he or she may have and will recuse him or herself
from associated funding decisions, and (2) a policy statement in the
RICE's by-laws that addresses liability issues.
(4) Describe the process the RICE uses to set priorities for
distributing funds (e.g., requirement for Governing Board or governing
body approval when responding to funding opportunities or adjusting to
funding level changes in existing agreements).
(5) Document the by-laws, signed articles of agreement, or any
binding agreements that demonstrate how the RICE establishes and
maintains a Governing Board or governing body. The documentation shall
demonstrate:
(i) How the composition of the Governing Board or governing body is
selected and how it is representative of regional ocean observing
interests. NOAA defines ``representative'' in this specific context to
include geographic, sector, expertise, and stakeholder considerations.
(ii) How and with what frequency the RICE solicits and receives
advice on RICE participant diversity, stakeholder coordination, and
engagement strategies, to ensure the provision of data and information
that satisfy the needs of user groups.
(iii) How the RICE collects and assesses user feedback to gauge the
effectiveness of the regional system and subsystems in satisfying user
needs, and how the RICE responds to this user feedback in setting its
priorities. Sufficient documentation may be provided in the form of a
description of the method the RICE uses in its annual planning process
to assess priorities among the identified user needs in the region and
to respond to those user needs.
(iv) Steps the RICE takes to ensure decisions on priorities and
overall regional system design are transparent and available. At a
minimum, RICE priorities and regional system design decisions shall be
made accessible for public viewing on the RICE's Web site.
Sec. 997.22 Membership Policy.
The RICE application shall describe:
(a) The process by which individuals or organizations may formally
participate in the governance activities of the RICE;
(b) The rights and responsibilities of this participation;
(c) The process by which the RICE strives for organizational
diversity through intra-regional geographic representation, and
diversity of activities and interests from both public and private
sectors; and
(d) How the RICE allows for participation from adjacent regions or
nations.
Sec. 997.23 Strategic Operational Plan.
(a) To become certified, a RICE must:
Develop and operate under a strategic operational plan that will
ensure the efficient and effective administration of programs and
assets to support daily data observations for integration into the
System, pursuant to the standards approved by the Council;
and
work cooperatively with governmental and non-governmental entities
to identify and provide information products of the System for multiple
users within the service area of the regional information coordination
entities.
The Strategic Operational Plan is a high-level document that
outlines how a RICE manages and operates an integrated regional
observing system. This Plan should evolve as a RICE matures, new
technologies become available, regional priorities change, and new
users and stakeholders are identified. The Plan may be responsive
[[Page 39643]]
to changing funding levels, and shall contain the following sections,
referencing other plans directly when applicable. The RICE application
shall provide descriptions and documentation that the Strategic
Operational Plan satisfies the requirements of Sec. 997.23.
(b) Background and Context
The RICE shall describe:
(1) The role of the RICE in furthering the development of the
regional component of the System;
(2) The process by which the RICE updates the Strategic Operational
Plan at least once every five years and how the RICE seeks inputs from
the broader user community; and
(3) The RICE's primary partners and any contributing observing
systems. For the purposes of Sec. 997.23, NOAA defines a primary
partner as any organization or individual that contributes significant
staff time, funding or other resources to project activities. This is
not an exhaustive list of all RICE partners but the primary partners
the RICE is working with on a given project.
(c) Goals and Objectives
The RICE shall describe:
(1) How the RICE addresses marine operations; coastal hazards;
ecosystems, fisheries and water quality; and climate variability and
change; and
(2) The major objectives that guide the RICE's priorities for data
collection and management, development of products and services,
research and development, and education and outreach.
(d) Operational Plan for the Observing System
The RICE's Strategic Operational Plan shall include or reference an
Operational Plan for the Observing System that:
(1) Describes the key products, services and outcomes that the
observing system will deliver;
(2) Describes the elements of the operational integrated observing
system that will deliver those products, services and outcomes;
(3) Documents to NOAA's satisfaction that the individual(s)
responsible for RICE operations has the necessary qualifications and
possesses relevant professional education and work experience to
deliver observations successfully. At a minimum the RICE shall:
(i) Identify the individual responsible for overall RICE
management;
(ii) Identify, as applicable, the individual responsible for
observations system management in the region;
(iii) Provide the curriculum vitae for each identified individual;
and
(iv) Identify the procedures used to evaluate the capability of the
individual(s) identified in subsection 997.23(d)(3) to conduct the
assigned duties responsibly.
(4) Describes how the RICE manages ongoing regional system
operations and maintenance. At a minimum the RICE shall:
(i) Describe the RICE's standard operating procedures for ensuring
that those responsible for managing hardware owned and/or operated by
the RICE calibrate, validate, operate, and maintain equipment regularly
and in accordance with manufacturer guidance or industry best practice
(other management factors that influence the delivery of quality data,
such as managing software applications, are addressed in subsection
997.23(f); and
(ii) Describe the RICE's standard operating procedures for ensuring
that those responsible for managing hardware owned and/or operated by
the RICE maintain equipment inventories, shipping logs and instrument
history logs.
(e) Development of a Strategy To Sustain and Enhance the System
The RICE shall describe its strategy for balancing changes in
regional priorities with the need to maintain established data sets,
the primary value of which may be in their long-term records. At a
minimum the description shall:
(1) Identify the guiding principles that inform the strategy;
(2) Reference and show connections to a long-term (five-to-ten-
year) regional Build-out Plan for the full implementation of the
regional observing system based on the RICE's priorities and identified
user needs; and
(3) Relate the annual planning process the RICE uses to review its
priorities in light of funding levels and its plans for system
enhancement as outlined in the regional Build-out Plan.
(f) Data Management and Communications (DMAC) Plan
The RICE's Strategic Operational Plan shall include or reference a
DMAC Plan that:
(1) Documents to NOAA's satisfaction that the individual
responsible for management of data operations for the RICE has the
necessary technical skills, and possesses relevant professional
education and work experience to support DMAC capabilities and
functionality for the System. At a minimum the DMAC Plan shall:
(i) Identify the individual responsible for the coordination and
management of observation data in the region; and
(ii) Provide the curriculum vitae for the identified individual.
(iii) Identify the procedures used to evaluate the capability of
the individual identified in subsection 997.23(f)(1) to conduct the
assigned duties responsibly.
(2) Describes how data are ingested, managed and distributed,
including a description of the flow of data through the RICE data
assembly center from the source to the public dissemination/access
mechanism. The description shall include any transformations or
modifications of data along the data flow pathway including, but not
limited to, format translations or aggregations of component data
streams into an integrated product.
(3) Describes the data quality control procedures that have been
applied to data that are distributed by the RICE. All data shall be
quality controlled. For each data stream, describe the quality control
procedure applied to the data, by the RICE or other named entity,
between the data's collection and publication by the RICE. The
description will also include a reference to the procedure used (e.g.,
QARTOD, JCOMM/IODE, scientific literature).
(4) Adheres to the NOAA Data Sharing Procedural Directive.\1\ The
System is an operational system; therefore the RICE should strive to
provide as much data as possible, in real-time or near real-time, to
support the operation of the System. When data are collected in part or
in whole with funds distributed to a RICE through the U.S. IOOS Program
Office, the RICE should strive to make the data available as soon as
logistically feasible for each data stream. When data are not collected
with funds distributed to a RICE through the U.S. IOOS Program Office,
the data may be made available in accordance with any agreement made
with the data provider.
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\1\ NOAA Data Sharing Policy for Grants and Cooperative
Agreements Procedural Directive, Version 2.0 https://www.nosc.noaa.gov/EDMC/documents/EDMC_PD-DSPNG_final_v2.pdf.
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(5) Describes how the RICE will implement data management protocols
promulgated by the IOOC and the U.S. IOOS Program Office in a
reasonable and timely manner as defined for each protocol.
(6) Documents the RICE's data archiving process or describes how
the RICE intends to archive data at a national archive center (e.g.,
NODC, NGDC, NCDC) in a manner that follows guidelines outlined by that
center. Documentation shall be in the form of a Submission Agreement,
Submission Information Form (SIF) or other, similar data producer-
archive agreement.
[[Page 39644]]
(g) Budget Plan
The RICE's Strategic Operational Plan shall include or reference a
Budget Plan that:
(1) Identifies who supports the RICE financially;
(2) Outlines the RICE's plans and strategies for diversifying
funding sources and opportunities;
(3) Identifies how RICE priorities guide funding decisions; and
(4) Assesses funding constraints and the associated risks to the
observing System that the RICE must address for the future.
Sec. 997.24 Gaps Identification.
(a) To become certified, a RICE must identify gaps in observation
coverage needs for capital improvements of Federal assets and non-
Federal assets of the System, or other recommendations to assist in the
development of annual and long-terms plans and transmit such
information to the Interagency Ocean Observing Committee via the
Program Office[.] 33 U.S.C. 3603(c)(4)(A)(ii).
(b) The RICE application shall
(1) Document that the RICE's asset inventory contains up-to-date
information. This could be demonstrated by a database or portal
accessible for public viewing and capable of producing a regional
summary of observing capacity;
(2) Provide a regional Build-out Plan that identifies the regional
priorities for products and services, based on its understanding of
regional needs, and a description of the integrated system
(observations, modeling, data management, product development,
outreach, and R&D). The RICE shall review and update the Build-out Plan
at least once every five years; and
(3) Document the priority regional gaps in observation coverage
needs, as determined by an analysis of the RICE asset inventory and
Build-out Plan. The RICE shall review and update the analysis of
priority regional gaps in observation coverage needs at least once
every five years.
Sec. 997.25 Financial Oversight.
(a) To become certified, a RICE must comply with all financial
oversight requirements established by the Administrator, including
requirement relating to audits. 33 U.S.C. 3603(c)(4)(A)(v).
(b) The RICE's application shall document compliance with the terms
and conditions set forth in 2 CFR Part 215--Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-profit Organizations, Subpart C--
Post Award Requirements. This Subpart prescribes standards for
financial management systems, among others. (Compliance with this
criterion can be demonstrated by referencing any existing grant,
cooperative agreement, or contract the RICE has with NOAA.)
(c) The RICE shall document annually the RICE's operating and
maintenance costs for all observing platforms and sensors, etc., owned
and/or operated by the RICE.
Sec. Sec. 997.26 through 997.29 [Reserved]
Sec. 997.30 Civil Liability.
(a) For purposes of determining liability arising from the
dissemination and use of observation data gathered pursuant to the
ICOOS Act and these regulations, any non-Federal asset or regional
information coordination entity incorporated into the System by
contract, lease, grant, or cooperative agreement that is participating
in the System shall be considered to be part of the National Oceanic
and Atmospheric Administration. Any employee of such a non-Federal
asset or regional information coordination entity, while operating
within the scope of his or her employment in carrying out the purposes
of this subtitle, with respect to tort liability, is deemed to be an
employee of the Federal Government.
(b) The ICOOS Act's grant of civil liability protection (and thus
the RICE's limited status as part of NOAA) applies only to a RICE that:
(1) Is participating in the System, meaning the RICE has been
certified by NOAA in accordance with the ICOOS Act and these
regulations; and
(2) has been integrated into the System by contract, lease, grant
or cooperative agreement with NOAA.
(c) An ''employee'' of a regional information coordination entity
is an individual who satisfies all of the following requirements:
(1) The individual is employed or contracted by a certified RICE
that has been integrated into the System by contract, lease, grant or
cooperative agreement with NOAA, and that is participating in the
System, as defined in Sec. 997.30(b), above;
(2) The individual is identified by the RICE, as required in Sec.
997.23(d)(3), as one of three individuals responsible for the
collection, management, or dissemination of ocean, coastal, and Great
Lakes observation data; and
(3) The individual is responsive to federal government control.
(d) The protection afforded to employees of a RICE with regard to
liability applies only to specific individuals employed or contracted
by a RICE who meet the requirements of 997.30(c) and who are
responsible for the collection, management, or dissemination of ocean,
coastal, and Great Lakes observation data. The RICE must identify to
NOAA's satisfaction: (1) The individual responsible for overall system
management, (2) as applicable, the individual responsible for
observations system management, and (3) the individual responsible for
management of data operations. In accepting certification, the RICE
will concede to NOAA the power to ensure these individuals comply with
the requirements of the program regulations in their daily operations
and that they are responsive to NOAA through the agreement the RICE has
with NOAA.
[FR Doc. 2013-15823 Filed 7-1-13; 8:45 am]
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