BAA Appendices A-D.pdf

LIVING MARINE RESOURCES PROGRAM

BROAD AGENCY ANNOUNCEMENT

APPENDICES A-D

Appendix A: Pre-Proposal Submission and Evaluation Guide Appendix B: Data Rights and Handling Agreement Appendix C: Geospatial Data Requirements Appendix D: Ocean Observing System (OOS) Notification

Procedures

Living Marine

Resources Program

PRE-PROPOSAL SUBMISSION

AND EVALUATION GUIDE

September2022

Pre-Proposal Submission and Evaluation Guide September 2022

1 Introduction

The Living Marine Resources (LMR) program’s fundamental mission is to support the Navy’s ability to conduct uninterrupted training and testing, which preserve core Navy readiness capabilities. The LMR program meets its mission and responsibilities by:

Improving the best available science regarding the potential impacts to marine species from Navy activities, available for use in at-sea environmental compliance documentation;

Demonstrating and validating basic research projects that are ready for applied research investment; and

Broadening the use of or improving the technology and methods available to the U.S. Navy marine species monitoring program.

Research funded by the LMR program is needed to support the Navy’s at-sea environmental compliance and permitting processes. Without permits and associated environmental compliance, the Navy risks not being able to train or test. Without training and testing, the Navy cannot be ready to meet its mission.

Environmental compliance is fundamental to continued uninterrupted training and testing, and ultimately, to Navy readiness.

What Are The LMR Priority Species?

The LMR program is interested in increasing knowledge and understanding of all marine mammal species. However, in order to provide some guidance on research priorities, below is a list of priority marine mammal species:

Deep diving species, ESA-listed species, Species with large numbers of estimated takes under MMPA.

In addition to marine mammal species, the LMR program is also interested in increasing knowledge and understanding of the potential impacts to sea turtles, diving sea birds, and fish.

What Are The LMR Priority Geographic Regions?

The LMR program is primarily interested in funding research that is applicable to geographic regions that are important to the U.S. Navy. Figure 1 shows a map of the LMR program priority geographic regions. It is important to note that the LMR program acknowledges that some field research may be better suited outside of these geographic regions due to a variety of factors.

Figure 1. LMR Priority Geographic Regions

2 Pre-Proposals

What Is a Pre-proposal?

Pre-proposals are a description of a proposed research project in response to a specific need topic. Pre-proposals allow for the evaluation of the technical merit, appropriateness, feasibility, and overall budget of the proposed project. All qualified applicants interested in responding to a specific need topic are required to submit a pre-proposal. Details regarding how applicants submit a pre-proposal are detailed in the sections below.

What Information Is Required In a Pre-proposal?

There is no specific format required for the pre-proposal, however, the pre-proposal should be consolidated into one single file (PDF) and should not exceed ten pages in length.

On the first page of the pre-proposal, provide the following information:

1. Your Contact Information Name, Phone, and Email

2. Organization Information Organization Type (indicate Academia, Private (profit), Private (non-profit), or Other), Name, and

Address

3. Solicitation Number List the applicable BAA solicitation number that your proposal is being submitted under.

4. Investment Area List the investment area number (1-5) that your proposal is most applicable to.

5. Project Title Provide the title of your proposed project.

6. Cost Estimate (by Calendar Year and Quarter) Provide a summary table of overall project costs estimated to execute the project to completion, broken out by quarter for each calendar year. If your effort is assumed to be constant, then just evenly distribute the costs amongst the quarters. However, if your project includes field tests or other spikes in effort at particular points in the project, please do your best to estimate which quarters that will occur in. An example is as follows:

Year Q1 (Jan-Mar)

Q2 (Apr-Jun)

Q3 (Jul-Sep)

Q4 (Oct-Dec)

Cost

2020 $0 $0 $0 $5K $5K 2021 $7.5K $2.5K $0 $0 $10K Total $15K

In addition to any other relevant travel required for the project, please include a trip for the PI to attend the In-Progress Review (IPR) meeting (3-days) each year (fall) in Ventura, CA to present on the progress of the project. In addition to the PI, if there is a co-PI with significant contributions to the project, you can include travel for the co-PI to attend as well. However, due to space limitations for the meeting, you are only allowed a maximum of 2 people to attend the IPR from your entire project team (including all subcontractors). NOTE: if you have an existing LMR project and costs to attend the IPR are already covered, please do not include these costs again.

Assume for Year 1 of your project that effort will begin 4-5 months after submission of your proposal.

In the remaining pages of the pre-proposal, provide the following information:

7. Technical Approach Describe the proposed project and any relevant supporting background information.

Clearly state how the proposed project addresses the need topic.

If applicable, discuss the demonstration and validation phase of the research effort.

Provide supporting information that the approach or technology is mature enough for applied research funding (include any references). If the proposed project includes basic research elements, clearly break out the basic vs. applied aspects of the project.

Describe performance criteria to measure success of the research effort.

Discuss any aspects of the project that include leveraged funding from other programs.

Describe the potential limitations or technical risks that may pose a challenge to the success of the project.

8. Offeror’s Related Experience Provide evidence/examples that the offeror (academic institution, organization, firm, etc.) has experience related to the solution being proposed.

9. Principal Investigator's and Key Team Member's Related Experience Provide in a summary table the names, highest degree, organization/affiliations, location, and years of experience for each Principal Investigator (PI) and key team member.

Provide a one-page CV for each Principal Investigator (PI) and key team member. The CVs do not count toward the 10-page limit for the pre-proposal.

10. Project Benefits Describe the expected benefits of the proposed project to the Navy and the key issues it addresses in the need topic.

Describe the potential application of the results from the project.

Discuss the advantages of the proposed project over current approaches (technology, methods, costs, etc.).

11. Schedule/Milestones Provide the overall proposed project start and completion date.

Provide a detailed task/milestone (e.g. significant stage of development/progress, field tests/studies, deliverables, and publications) breakdown for the entire project with proposed dates.

12. Product Implementation (3 Elements)

a) Products and Deliverables:

Describe the intended product(s) and all associated deliverables.

b) Implementation Requirements:

Identify the intended end user of the product (i.e. Navy marine species monitoring program, Navy environmental compliance community [MMPA, ESA, NEPA, etc.], general scientific community, etc.).

Describe the planned method by which the product will be transitioned to end users (i.e.

publication, technology, method, etc.).

Specify how implementation methods may differ to reach appropriate audiences (i.e. Navy, regulators, scientific community, etc.) and any restrictions that may apply (i.e. permits, patents, proprietary technology or data, existing agreements, etc.).

Describe any proposed guidance documentation that will assist in future implementation.

c) Technical Risks:

Describe the potential technical risks that may pose a challenge to successful implementation of the product(s) or deliverable(s).

When Can I Submit My Pre-proposal?

The LMR program accepts pre-proposals only during open season, which will be specified on the Broad Agency Announcement (BAA) solicitation.

How Do I Submit My Pre-proposal?

For non-federal applicants a Broad Agency Announcement (BAA) solicitation will be posted under Contract Opportunities on Beta.SAM.gov (https://beta.sam.gov). Pre-proposals in response to the BAA should be submitted via email to exwc_lmr_program@navy.mil and must be received before the deadline specified.

What Happens After I Submit My Pre-proposal?

Once your pre-proposal is submitted, the following actions occur:

1. You will receive a confirmation email within one business day. It is your responsibility to make sure you receive confirmation or follow-up if you do not.

2. The LMR program manager notifies members of the LMR Advisory Committee (LMRAC), and any applicable Technical Review Committee (TRC) members, to evaluate your pre-proposal. LMRAC members and any assigned TRC members submit their evaluations. The evaluation criteria used is standardized and is described in detail below.

3. Pre-proposal evaluations are typically completed within 2-3 months and you will be notified of the results via e-mail.

How is my Pre-proposal Evaluated?

The LMR program has the LMRAC (and any applicable TRC) members evaluate whether the pre-proposal meets the minimum requirements of the following criteria:

1. The scientific/technical merits and objectives in terms of meeting the stated need topic, as well as evidence that the science/technology is mature enough for applied research funding, and the performance criteria to measure success of the research effort.

2. The offeror’s (Company, University, non-profit, etc.) capabilities, related experience, techniques, or unique combination of these that are integral factors in achieving the offeror’s proposed objectives.

3. The qualifications, capabilities, and experience of the principal investigator and key team members who are critical in achieving the objectives of the proposal.

4. The overall estimated cost relative to the proposed scientific/technical approach.

5. Expected benefits of the proposed project, key issues the proposed solution addresses, potential application of the results of the project, and advantages over current approaches.

6. Intended product(s) and all associated deliverables, identification of end users, method/plan for implementation of results, and acknowledgment/mitigation of technical risks.

Each LMRAC member is asked to provide a description of the strengths and weaknesses pertaining to these criteria. Once all evaluations are complete, the LMRAC members discuss the results and assign an overall disposition to the pre-proposal:

-Not Approved -Revised proposal requested -On Hold -Approved-Referred to Contracts

Offerors are then notified by email of the disposition assigned to their pre-proposal. Unsuccessful pre-proposal offerors with a disposition of "Not Approved" will receive an email, but will not receive a detailed description of the reasons why the proposal was not selected, due to the anticipated volume of submissions. If a pre-proposal is given a disposition of “Revised proposal requested”, then additional technical information is requested and submission of a revised pre-proposal is required. Submission of a revised pre-proposal does not guarantee that your pre-proposal will be selected. If a pre-proposal is given a disposition of "On Hold", then the LMR program is interested in the proposal, but cannot consider it in the current fiscal year due to other proposals ranking higher in priority. Successful pre-proposal offerors will receive a disposition of "Approved - Referred to Contracts". However, if the offeror is a private company, non-profit, or academic institution, then the NAVFAC EXWC Contracting office will need to determine whether the offeror is eligible for a contract. The offeror will receive an email from the NAVFAC EXWC contracting office with additional guidance regarding what information is required to determine eligibility.

BAA SOLICITATION

APPENDIX B

DATA RIGHTS AND HANDLING PROCEDURES AGREEMENT

August 2020

1. All data and information collected under a contract will be governed by the specific data rights clauses in the contract.

2. The Navy requires the ability to use data collected under this contract for regulatory compliance, environmental planning, public outreach, and/or other reports and documents, as needed. This includes all raw/unfiltered observation and telemetry data, associated metadata, and survey effort trackline data. In addition, the Navy is required to obtain and release all government funded data per the directive of the Presidential Executive Order of May 9, 2013 (Executive Order 13642 -- Making Open and Machine Readable the New Default for Government Information). The Navy will consult the scientist(s) collecting the data for further analysis as necessary, subject to the scientist(s) ability to meet Navy schedules and mission requirements.

The Navy intends to give proper credit in any presentation or report to the Contractor or Sub- Contractor who collected the data; however, the Navy is not required to do so.

3. In accordance with the clause at DFARS 252.204-7000, the Contractor or Sub-Contractors shall not make public release of any information relating to all or any part of this contract, or products/deliverables developed thereunder without prior approval of either the Procurement Contracting Officer or the Administrative Contracting Officer, as applicable. The Government intends to identify information that does not involve covered defense information or controlled technical information (i.e. information with military or aerospace applications) so that contractors are not required to submit requests for approval related to that information. After information is determined to not involve covered defense information or controlled technical information, Contractor or Sub-Contractors may publish and present their work to professional societies or the public. Abstracts of presentations dealing with work funded under this contract shall be provided to the COR prior to or concurrent with submission for presentation. Proper credit shall be given to the U.S. Navy's Living Marine Resources Program for funding this work.

4. The Navy may be provided an opportunity to review any presentations and publications in an advisory capacity prior to final publication, but any comments from the Navy are not binding with the exception of issues deemed to potentially impact national security. Proper credit shall be given to the U.S. Navy's Living Marine Resources Program for funding this work. The Contractor or Sub-Contractor shall furnish electronic copies of each publication to the COR at no additional expense.

6. Reports specified within the Scope of Work are considered contract deliverable products and may be subject to QA/QC review by the primary contractor as well as review and commenting by the COR or ACOR.

7. Use of photographs taken under the authorization of a NMFS Scientific Research Permit must be accompanied by a statement indicating that the photos were taken pursuant to a NMFS Scientific Research Permit. The Navy intends to attribute this material to the Contractor or Sub- Contractor and include the accompanying permit information when using any photographs taken under this contract.

8. All visual survey and tagging data collected under the contract will be contributed as complete data sets, including all observations, telemetry locations, attributes or metadata, and survey effort trackline data, to the following databases as appropriate (e.g. OBIS-SEAMAP, Movebank, Animal Telemetry Network Data Assembly Center [ATN-DAC], or other databases specified by the COR). Data format and standards should follow guidelines established in Appendix C (Geospatial Data Requirements) unless otherwise directed by the COR. Ensure that labor towards this effort is included in your Scope of Work.

9. The procedures described in Appendix D (Living Marine Resources Program Ocean Observing System Notification Procedures) shall be followed when acoustic recordings are obtained.

10. All data collected under the contract will be archived. At a minimum, there should be two copies of the data, preferably with each copy in a different location. For visual survey and tag data, contribution into databases described under #8 above can be considered as one of the acceptable locations.

BAA SOLICITATION

APPENDIX C

GEOSPATIAL DATA REQUIREMENTS

August 2020

1 REFERENCES

a) U. S. Navy Living Marine Resources Program Data Agreement (Appendix B)

b) Contributing Data to OBIS-SEAMAP. http://seamap.env.duke.edu/about/provider_faq

c) Spatial Data Standards for Facilities, Infrastructure and Environment (SDSFIE), Defense Installations Spatial Data Infrastructure (DISDI) Group.

https://www.sdsfieonline.org/Components/DISDI

d) North American Profile (NAP) of ISO 19115: 2003, Geographic Information – Metadata.

http://www.fgdc.gov/nap/metadata

e) Geospatial Positioning Accuracy Standards, Part 4: Architecture, Engineering, Construction, and Facilities Management (FGDC-STD-007.4-2002), Federal Geographic Data Committee (FGDC), 2002.

http://www.fgdc.gov/standards/projects/FGDC-standards-projects/accuracy/part4

f) Geospatial Positioning Accuracy Standards, Part 1: Reporting Methodology (FGDC-

STD-007.1-1998), FGDC, 1998.

http://www.fgdc.gov/standards/projects/FGDC-standards-projects/accuracy/part1/index_html

g) Geospatial Positioning Accuracy Standards, Part 3: National Standard for Spatial Data Accuracy (FGDC-STD-007.3-1998), FGDC, 1998.

https://www.fgdc.gov/standards/projects/accuracy/part3/chapter3

h) FGDC endorses ISO metadata and data quality standards, Federal Geographic Data Committee (FGDC), 2016. https://www.fgdc.gov/standards/news/fgdc-iso-metadata-standards

2 GENERAL SPECIFICATIONS

With regards to all digital files prepared for this contract, including source data acquired, source code generated and/or used, and related materials, including that furnished by the government, the contractor shall adhere to reference (a).

Specifically, for all geospatial data produced under this contract, the Contractor will adhere to the requirements as specified in Section 3. In addition, the Contractor must submit all source visual survey data to Ocean Biogeographic Information System Spatial Ecological Analysis of Megavertebrate Populations (OBIS-SEAMAP). Data sets should be designated for the Navy’s partner contribution page (http://seamap.env.duke.edu/partner/NAVY) and attributed to the original collector with acknowledgement of appropriate the U.S. Navy Command(s) as the funding source. Reference (b) provides information on submitting data to OBIS-SEAMAP.

3 GEOSPATIAL DATA REQUIREMENTS

3.1 Data Standards

Data standards facilitate the development, sharing, and use of geospatial data. The Contractor shall ensure that all geospatial data is delivered in a single Esri file geodatabase, and source data layers associated with digital map files (.mxd files) by a relative file pathway to the file geodatabase. A data inventory spreadsheet with fields for File Geodatabase Name, Feature Dataset, Feature Class, Feature Label Name, Feature Legend Designation, Data Source, and Comments shall accompany the file geodatabase. In addition, all geospatial data delivered by the Contractor shall adhere to the following criteria:

a) precise geographic coordinates in decimal degree format with four decimal precision;

b) units of nautical miles (nm) for expansive marine areas and statute miles (mi) for expansive land areas;

c) reference the GRS 1980 spheroid and the North American Datum 1983 (WGS-84); and

d) US NAVY SDSFIE data model in reference (c) for newly-created GIS data only.

NOTE: The Contractor shall categorize 3rd Party data into SDSFIE Feature Data Sets of the geodatabase (fauna, flora, air transportation, military operations, etc.) but keep the integrity and format of the 3rd Party attributes and metadata.

3.2 Metadata Standards

The term “metadata” is defined as data about data. The term is often used to refer to information that allows either: (1) discovery of data, (2) understanding the provenance and quality of the data, or/and (3) analysis of the data via a set of machine readable instructions that describe the data and its relationships. The contractor shall provide metadata in accordance with Content Standard for Digital Geospatial Metadata (CSDGM), reference (h), the current U.S. federal metadata standard.

The Contractor shall ensure that metadata is provided for all geospatial data delivered, including data furnished by the Government, a third party, or generated as a result of this project, and is compliant with reference (h). All metadata shall be in XML format. The Contractor shall reference the North American Profile of ISO 19115 2003, reference (d), metadata style sheet in

ArcCatalog when populating Service-level and Feature Class-level metadata. The Contractor is required to supply metadata for all fields within this style sheet.

3.3 Mapping Guidelines

The Contractor shall comply with FGDC Geospatial Positioning Accuracy Standards, Part 4:

Architecture, Engineering, Construction, and Facilities Management, reference (e), which provides accuracy standards for engineering drawings, maps, and surveys. Map or drawing scales will be determined by the COR, given specific project requirements.

3.4 Global Positioning System (GPS) Surveys

The Contractor shall comply with the FGDC Geospatial Positioning Accuracy Standards, Part 1:

Reporting Methodology, reference (f), when conducting GPS surveys and collecting geospatial data. Specifically, the Contractor shall ensure that the horizontal accuracy for planning grade GPS data collection shall be sub-meter, unless otherwise specified. Every effort shall be made to capture feature locations without using offsets, unless obstructions are present. If offsets are used, the Contractor shall ensure that they are agreed to by the government and documented, per direction of the COR, given specific project requirements.

Data sets derived from GPS data collection efforts (mapping or survey grade) shall include metadata that records the following:

a) Description of receiver and other equipment used during collection and processing;

b) Base stations used for differential corrections;

c) Statements of estimated horizontal and vertical accuracy at the 90% confidence interval, including the method of determination per the FGDC Geospatial Positioning Accuracy Standards, Part 3: National Standard for Spatial Data Accuracy, reference (g)

d) Conversion routines used to translate the data into final geospatial data delivery format per Section 3.1 above.

All GPS metadata shall comply with the metadata format requirements of Section 3.2 above.

3.5 Data Integrity

The Contractor shall employ appropriate quality control standards to ensure that data is topologically correct, accurate, and complete, including:

a) no erroneous overshoots, undershoots, dangles or intersections in the line work;

b) point and line features snap together where appropriate to support networks (e.g. do not break linear features for labeling or other aesthetic purposes);

c) all features clip to the spatial extent of the map display areas or study area boundary as appropriate (e.g. no global rasters for a northeast U.S. document);

d) continuous lines and point features digitized as points;

e) no sliver polygons;

f) coincident common boundaries for all digitally-represented graphic features, regardless of feature layer;

g) attributes used for consistency and labeling throughout a GIS project;

h) no ‘NULL’ geometries in feature classes;

i) data deliverables consistent with all map documents (.mxd or image);

j) file names contain no spaces or special characters aside from ‘_’ (includes data, .mxd, and image files), and match between .mxd and images.

Appendix D Living Marine Resources Program

Ocean Observing System Notification Procedures

September 2022

All LMR funded activities must comply with the Ocean Observing System (OOS) Handling Procedures in

Enclosure 1 and the OOS Compatibility Memo in Enclosure 2. In order to comply with US Navy guidance, the LMR program requires notification 90 days prior to any planned deployment of any OOS device regardless of recording platform, deployment method, or location. This applies to all LMR funded projects and includes related projects if leveraging the same field effort. The notification should include:

1. Latitude / longitude

2. Sampling rate

3. Duty cycle

4. Number of sensors

5. Sensor depth

6. Recording platform

7. Method of deployment and mooring

8. Method of data delivery (archive on hard drive, satellite transmission, etc.)

9. Deployment and recovery dates

Just after deployment and recovery, we require confirmation that the sensor(s) is(are) in/out of the water and final lat /lon, time, and date. All moored or bottom mounted sensors must comply with the

OOS Handling Procedures in enclosure 1. If the OOS sensors meet the specifications of potential concern, we will coordinate the notification internally with the appropriate points of contact within

Navy for awareness of the deployment.

The procedures within the Navy and outlined in the enclosures are designed to avoid potential conflict with OOS data collection efforts and Navy operations, allowing researchers to record data as planned.

If there is a potential conflict of concern, we will contact you with further instructions to mitigate any issues.

Notification Points of Contact:

Anu Kumar

1000 23rd Avenue

Port Hueneme, CA 93043 anurag.kumar.civ@us.navy.mil

805‐982‐4853

Mandy Shoemaker

1000 23rd Avenue

Port Hueneme, CA 93043 mandy.l.shoemaker.civ@us.navy.mil

805‐982‐5872

Enclosure 1: U. S. Navy Handling Procedures for

Ocean Observing Systems (OOS) Data

U. S. Navy

HANDLING PROCEDURES

for

Ocean Observing Systems (OOS) Data

Used for Navy-funded Marine Mammal Research and Development and Navy-funded Marine Mammal Monitoring

11 July 2011

1. INTRODUCTION

While Ocean Observing Systems (OOS) used in association with Navy-funded Marine Mammal

Research and Development and Navy-funded Marine Mammal Monitoring are intended to record acoustic data related to marine mammals, it is acknowledged that the OOS are also being placed in Navy operating areas where the likelihood of also recording sensitive information is increased.

All acoustic raw data collected during Navy-funded Marine Mammal Research and Development efforts or for Navy-funded Marine Mammal Monitoring collected within Navy sensitive areas such as Navy training ranges shall be considered “Proprietary Data” and is to be controlled in a manner that provides reasonable assurance that unauthorized persons do not gain access.

2. OBJECTIVES

This document sets forth the general control procedures for offboard OOS used in association with Navy-funded Marine Mammal Research and Development and Navy-funded Marine

Mammal Monitoring. It implements guidance provided by CNO OPNAV N45 and N87. All participants working with OOS for purposes of marine mammal R&D or monitoring are required to read and comply with the procedures contained herein for data being recorded within Navy sensitive areas.

Participants are encouraged to direct questions or concerns regarding this document to their government sponsor. These procedures will be reviewed on an as needed basis to ensure accuracy of procedures and descriptions. In the event that there is any conflict between the procedures prescribed in this document and those described in other DoD or Program Office directives, the more restrictive requirements will apply until a determination is made by the cognizant government authority.

These control procedures being implemented for the purpose of safeguarding potentially sensitive Navy information captured in the raw data in no way precludes or limits the Principal

Investigator (PI) or his research group from publishing the results of information gained with regard to marine mammal vocalizations, ambient acoustic noise or other scientifically relevant information from these data sets. Furthermore, these procedures also do not apply to those datasets taken in open uncontrolled areas where there would be no anticipated sensitivity of the data collected.

3. MATERIAL ACCOUNTABILITY, CONTROL & STORAGE

3.1 General Guidelines

The most fundamental guideline is that there is to be no public access to the OOS raw time series acoustic data collected in Navy sensitive areas. Access to sensitive data is to be restricted and limited to the performing institution and authorized project partners. All data products containing sensitive raw acoustic time series data - whether recorded on hard drives, CD, DVD, or other media - will be marked, controlled and stored as Proprietary Data.

Reasonable steps should be taken to minimize risk of access by unauthorized personnel.

Proprietary Data may not be exported nor shared outside the authorized research facilities without specific prior written authorization from the Government sponsor.

Proprietary Data must be stored at a minimum in a locked desk, locked file cabinet, locked room, or similar place.

Proprietary documents and material may be transmitted via first class mail, FedEx, parcel post, or -- for bulk shipments -- fourth class mail.

Fax or e-mail transmission of proprietary information (voice, data or facsimile) should be by encrypted communications systems whenever practical. Proprietary data may not be put on an

Internet web site or further distributed UNLESS all of the following conditions are satisfied:

1) government sponsor authorization is obtained,

2) access to the website is actively limited to a specific target audience which is password protected, and

3) Any proprietary data >75 seconds must be encrypted,

4) data control instructions and markings are distributed with the information.

Proprietary Data on recordable media may be erased through reformatting the media unless circumstances suggest a need for more careful protection.

3.2 Marking of Proprietary Data

Unclassified acoustic recording media containing Proprietary Data shall be clearly marked in a manner that alerts the holder that the media contains sensitive data that must be controlled. The marking must also refer the holder to an appropriate Point of Contact at the facility (or facilities) responsible for the acoustic recording media for control procedures. An example of an acceptable marking is provided below. This marking may be tailored to meet the performing institution facility control procedures.

Example marking:

UNCLASSIFIED

THIS ACOUSTIC MONITORING DEVICE HARD DRIVE IS UNCLASSIFIED

BUT MAY CONTAIN PROPRIETARY ACOUSTIC DATA THAT IS

CONTROLLED. CONTACT {Insert Name, Title, Facility, Telephone number, Email Address} FOR APPROPRIATE CONTROL PROCEDURES.

3.3 Control At-Sea

The PI is responsible for controlling recordable media containing sensitive but unclassified data

(controlled items) while underway. This responsibility may be delegated to appropriately briefed

PI’s staff personnel.

Accountability of controlled items in the field will occur daily and upon rotation of responsible personnel. Custody Logs will be used to track and account for controlled items while in the field. See Appendix A for a sample custody log.

During mobilization, a Material Custody Log is prepared for each courier case that is used to transport controlled hard drives or other controlled recordable media to/from the field site. This expedites rapid inventory before, during, and upon completion of the trip.

If the instruments are to be turned-around at sea, data logger recordable media containing sensitive data should be:

Removed and placed in sealed antistatic bag , Unique identification numbers associated with each drive recorded on a custody log, and

Stored in an appropriate water-resistant storage container in a location that restricts access by unauthorized personnel.

Upon returning to port, the PI or assigned delegate will account for all recordable media containing sensitive data. An inventory will be compiled before the material is transferred offboard and transported to the processing facility by a briefed courier if not being transported by

PI or his staff. The custody log will be maintained and any material transfers between couriers will be recorded until controlled items are checked in at the receiving facility.

OOS instruments that are recovered, but not redeployed, may be returned to the research institution without removal of the recordable media provided that the instruments remain in the custody of designated courier personnel or PI’s staff until the media can be properly secured.

3.4 Courier Transmission of Proprietary Data

Courier transmission of controlled items will be the norm if not being transported by PI or PI’s staff. Couriers will be provided a briefing on an annual basis that covers the requirements for transporting sensitive but unclassified data. Information to be covered in that briefing is provided by Appendix B.

Couriers not part of the Principal Investigator’s staff or that of the research facility will be provided a letter that lists the performing facility and address, appropriate points of contact with phone numbers, and any special instructions as necessary.

Upon receipt of controlled items, couriers will inspect and verify that they have not been tampered with or altered in an unauthorized manner. Custody logs will be used to maintain an audit trail. While performing as a courier, interactions with outside personnel will use a common sense approach that does not draw attention to the controlled items being transferred.

3.5 Control at Research Facility

Proprietary Data should be handled in a manner that provides reasonable assurance that unauthorized persons do not gain access. Principal Investigators shall establish control procedures tailored to their research facility that document procedures for the receipt, archiving, and storage of sensitive recorded acoustic data. These tailored procedures should address the items listed in Table 1.

Working data disks with Proprietary Data are to be stored in locked files cabinets in a controlled space. These disks must be checked out and returned by person doing the analysis. All working data disks with Proprietary Data must be returned to data control file cabinets when not in active use.

Any computers used to analyze raw, acoustic timseries data must be properly configured to ensure that no unauthorized access to the data is possible. Computer connections to the research facility network are allowed provided that the following measures are taken to ensure data security:

Access to computer is restricted to authorized personnel only, and network security policies are configured such that there is no "global" or "everyone" access to the computer.

Computers are not configured as FTP or web servers, or otherwise serving information to external, unauthorized users.

Computers shall have a software firewall installed to further restrict network port access to authorized users/computers only.

Authorized user passwords should use at least 6 characters — although 7 are preferable, maximums and minimums vary with applications, do not use names or words of more than 4 letters found in the dictionary, substitute numbers for vowels if your password is identified as a dictionary word, avoid strings of numbers such as a birth date, social security number, or phone number, mix upper- and lower-case letters, include symbols in addition to letters and numbers, and avoid consecutive numbers or letters from the alphabet or keyboard.

During extended processing tasks (when the computer / storage media is unattended, not under direct custody control), the computer space (office, lab, etc.) must be properly secured to prevent unauthorized personnel from having direct access to either the storage media or computer.

If the above security measures are not possible, a computer may be disconnected from the network while raw, acoustic timseries data is loaded. Controlled items will be logged and inventoried annually.

TABLE 1. Topics to be addressed in Tailored Control Procedures

Description of Equipment Used

Fixed Autonomous Acoustic Recorders

Processing Equipment

Scope of Field Activities

Schedule

Locations

Personnel

Activity Description

Method of Protection

Transfer

Handling

Markings

Courier Briefings

Storage

Contigency Plans

Risk Assessment

4. GOVERNMENT REVIEWS AND SELF REVIEWS

The cognizant government sponsor has the authority to conduct periodic inspections to ensure compliance with these control procedures. Organizations accepting Navy funding for the use of these recording devices are encouraged to conduct self-reviews before and after major field activities. The intent of these reviews is to identify weaknesses, enhance control procedures where necessary, and ensure compliance with this control procedure. Reports of self-reviews will be maintained on file.

5. EMERGENCY PLANS AND PROCEDURES

Any loss or known unauthorized removal of controlled data shall be reported to the Government sponsor as soon as possible.

IMPORTANT! Personal safety always takes precedence over security of equipment and material.

APPENDIX A: MATERIAL CUSTODY LOG

We accept custody of the below listed material and will ensure its proper safeguarding until we return it to an authorized representative of the Principal Investigator. In the event we cannot maintain control, we will immediately notify the Principal Investigator or his/her representative.

DATE CONTROL NO. DESCRIPTION CUSTODIAN TRANSFERRED TO

APPENDIX B: DESIGNATION AND COURIER BRIEFING

To the maximum extent practical:

A. Always complete custody log entries for the controlled items at the point of departure and point or origin.

B. Maintain constant custody of the controlled material from receipt until delivery.

C. Place all controlled items out-of-sight in a closed case of normal appearance or other closed carry-on bag. Based on the volume of material, use additional couriers as necessary.

D. Be cautious to ensure that your case containing controlled items is not switched or stolen while enroute. If traveling by aircraft, keep the case in a location where you can easily monitor it, preferably under the seat in front of you.

E. Pre-plan travel routes. Include alternate routes. In unfamiliar areas, mark and use maps.

Do not schedule unnecessary overnight stops.

F. In event of vehicle mishap or if you are forced to abandon a trip because of failure to make connections, sickness, etc., keep the controlled items in constant personal contact or make reasonable arrangements to restrict unauthorized access. If a motel is required, contact the Hotel Manager for possible locations where the controlled items may be taken and securely deposited.

G. If you arrive at your destination after normal working hours, do not leave the controlled items with unauthorized personnel. Keep the items within your control until you can make arrangements to transfer them to authorized personnel.

H. Do not consume alcoholic beverages when transporting controlled items.

I. In event of any of the following emergency situations, notify the Principal Investigator or

Government sponsor as soon as practical. After receiving such notification, your PI must contact the cognizant Government Sponsor.

1) Any loss or unauthorized access to controlled items.

2) In event of any situation where officials insist on taking possession of the controlled items, attempt to obtain the names, agency, and telephone numbers of the individuals involved.

3) In event of any situation where unauthorized personnel threaten violence and insist on taking possession of the controlled items, do not argue or physically attempt to stop them. Also, do not attempt to hide the controlled material or otherwise dispose of it.

Enclosure 2: Ocean Observing System Awareness and Compatibility

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