Final Data Appendices A-D (12192019) (002).pdf

Last revised 12/18/2019

APPENDIX A

Electronic Information Management & Data Deliverable Specifications

1 REFERENCES

a) Environmental Information Management System (EIMS) Homepage.

https://eims3.sscno.nmci.navy.mil/

b) Environmental Information Management System (EIMS) User Manual.

https://eims3.sscno.nmci.navy.mil/eimshelp

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

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

d) US Navy Marine Species Monitoring Program Data Use Agreement

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

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

f) 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

g) 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

h) Geospatial Positioning Accuracy Standards, Part 3: National Standard for Spatial Data Accuracy

(FGDC-STD-007.3-1998), FGDC, 1998.

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

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

k) Rights in technical data – Noncommercial items (DFARS 252.227-7013)

l) Rights in special works (DFARS 252.227-7020)

2 GENERAL SPECIFICATIONS

All deliverables shall be fully compatible with EIMS system requirements and the data standards and format prescribed below unless otherwise approved by the COR. Reference (a) provides information on EIMS system requirements.

a) EIMS Access: Request an EIMS account for access to necessary capabilities, geospatial data, reports, or other pertinent information. The Contractor’s technical consultant shall coordinate with the project’s Contracting Officer’s Representative (COR) prior to and during the establishment of EIMS accounts to ensure appropriate contract personnel receive system access. References (a) provides information on EIMS client system requirements and requesting access.

b) Project Setup: Establish appropriate project folders on EIMS to facilitate document and map production among project members as well as transfer of final data deliverables and associated map documents.

Reference (b) provides information on setting up projects in EIMS.

c) Document Commenting: The EIMS Document Commenting tool may be used to collect, manage, and sort comments for draft and final deliverables. Reference (b) provides information on Document Commenting in EIMS.

https://eims3.sscno.nmci.navy.mil/ https://eims3.sscno.nmci.navy.mil/eimshelp https://www.sdsfieonline.org/Components/DISDI http://www.fgdc.gov/nap/metadata http://www.fgdc.gov/standards/projects/FGDC-standards-projects/accuracy/part4 http://www.fgdc.gov/standards/projects/FGDC-standards-projects/accuracy/part4 http://seamap.env.duke.edu/about/provider_faq

d) Geospatial Data Production and Management: Upload all map documents (.mxd and .jpeg) and geospatial data for the project to the established ‘GIS Project’ folder. A schedule for uploading draft and final geospatial products to EIMS will be determined during the project kick-off meeting. Refer to Sections 3.1 and 3.2 for specific geospatial data requirements.

e) Government Review: Retain all draft, pre-final, and final versions of the raw and finished format digital data and documents in the Document Project and GIS Project folders for government review and approval. Contractors shall have technical consultants available to assist the government with any digital data discrepancies. The data will be analyzed for subject content and system compatibility. Edits due to comments on data shall be incorporated by the Contractor prior to approval of the final deliverable.

f) Final Deliverables: Data and documents destined for publication in EIMS must be uploaded to the established EIMS folders. Visual survey data should also be provided to OBIS-SEAMAP.

i. Upload all final map documents (.mxd & .jpeg) and GIS data with metadata to the established GIS Project folder on EIMS. Refer to Sections 3.1 and 3.2 for specific geospatial data requirements.

ii. Submit all visual survey source data the 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 (j) provides information on submitting data to

OBIS-SEAMAP.

g) Project Close-Out: At project completion, clean up non-essential data, working drafts (non-deliverables), reference documents, etc. from project folders within EIMS or delete as directed by the COR.

h) Deliverables and Use: All digital data and files prepared for this contract, including source data acquired, source code generated and/or used, and related materials shall be delivered to the COR in digital form upon completion of the contract period. Except as otherwise negotiated under specific task orders, the Navy shall have unlimited rights in the technical data collected or produced under this contract in accordance with the contract clauses and the other appendices under this contract, including, but not limited to DFARS 252.227-7013 and 252.227-7020 (references k and l).

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 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 to 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.

http://seamap.env.duke.edu/partner/NAVY

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 (i), 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 (i). All metadata shall be in XML format. The Contractor shall reference the North American Profile of ISO 19115 2003 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 (f), which provides accuracy standards for engineering drawings, maps, and surveys. Map or drawing scales will be determined by the NTR, 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 (g), 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 (h)

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.

4 USE OF AUTHORITATIVE GEOSPATIAL DATA & EIMS

An authoritative data source provides cohesive, trusted, timely, and secure information to support a business process. Authoritative datasets in EIMS are derived in several ways (e.g. Fleet-generated, Fleet project generated, external sources) including:

a) Fleet itself if the data is subjected to a rigorous quality assurance (QA) process (i.e. Fleet training event projections from Range Complex Support Team (RCST) in Training Range Events and Capabilities (TREC), Marine Species Monitoring Program (MSMP) data, Fleet EP and range sustainment projects);

b) Official data production sources from whom EIMS imports the data (i.e. Biologically Important Areas (BIA) from National Marine Fisheries Service (NMFS)); or

c) Multiple, separate authoritative data sources whose data is conjoined in EIMS to create a new USFF product (i.e. Common Operating Picture (COP)).

Authoritative data in EIMS is ready for subsequent use by customers and provided to project contractors as GFI.

Unpublished data in EIMS is never considered authoritative, and not all published data is authoritative.

4.1 Fleet-Generated Authoritative Data Maintained in EIMS

The EIMS COP is a compilation of authoritative datasets from multiple sources that the EIMS Data Working Integrated Process Team (WIPT) and CPF GIS Coordinator conjoined into a comprehensive whole. USFF RCST generated TREC data. The Data WIPT and RCST regularly update the geospatial and tabular datasets in Table A-1 after subjecting the data to rigorous QA checks to ensure their accuracy and currency. Projects that need these types of data shall use the EIMS datasets, provided as GFI.

Table A-1: Fleet-Generated Authoritative Data Maintained in EIMS

Type Dataset Notes

Geospatial Common Operating

Picture

Military training and testing area boundaries, including surface, subsurface, and land ranges, Special Use Airspace, and Military Training Routes Area: Atlantic /Gulf of Mexico (GOMEX)/EastPac/WestPac Timeframe: Current, updated whenever a change occurs or error or omission is noted Source: Multiple (Federal Aviation Administration, Navy instruction, Code of Federal Regulations, etc.)

Relational:

Tabular +

GIS

(TREC)

Projected Training and

Testing Events

Fleet training events, locations, frequency, and associated event/ordnance/platform descriptions Area: Atlantic /GOMEX Timeframe: Nov 2013-present (actual)/Nov 2018-Nov 2023 (projected), updated annually Source: RCST in consultation with type commanders, etc.

Actual At-Sea

Ordnance Expenditures

USFF explosive and non-explosive at-sea ordnance expenditures Area: Atlantic /GOMEX Timeframe: 2009-present, updated daily Source: RCST in consultation with operational units

4.2 Fleet Project-Generated Authoritative Data Archived in EIMS

Fleet projects generate datasets which the Government may consider authoritative but are not refreshed unless/until future project updates. The EIMS Data WIPT subjects project data to a rigorous QA process before publishing it into the corpus of EIMS geospatial data. The COR will designate which, if any, EIMS datasets in Table A-2 below the Contractor shall use as GFI.

Table A-2: Fleet-Generated Authoritative Data Maintained in EIMS

Environmental Impact Statements

Study area boundaries, locations of ecological/cultural interest, military ops, infrastructure, hydrography, etc.

Study Areas: Atlantic/GOMEX, Hawaii/Southern California (SOCAL), Northwest, Gulf of Alaska, Mariana Islands, Boardman Bombing Range, Fallon Training Ranges Timeframe: 2013-2015. Project data is archived and never updated, but most studies are redone every 5 years.

Source: USFF/CPF

Encroachment Action Plans

Military influence areas, off-shore windfarm lease blocks, critical habitat, conservation areas, transportation, etc.

Area: Operating Areas for Virginia Capes (VACAPES)/ Northeast, Key West, Jacksonville, and Cherry Point;

Pinecastle and Navy Dare County Bombing Ranges Timeframe: 2015. Project data is archived and never updated, and new studies are currently not planned.

Source: USFF

Range Air Installation Compatible Use Zones

Range Compatibility Zones, Noise Contours Area: Navy Dare County Bombing Range Timeframe: 2016. Project data is archived and never updated, and new studies are done as necessary, nominally every five years but not currently scheduled.

Source: USFF

Range Complex Management Plans

Military installations and training areas/facilities, bathymetry, air/marine transportation routes, etc.

Area: Atlantic /GOMEX/EastPac/WestPac Timeframe: 2013-2016. Project data is archived and never updated. CPF will redo its plans as required, nominally every five years but currently not scheduled.

Source: USFF/CPF

4.3 Authoritative Data in EIMS Derived from External Sources

EIMS hosts copies of authoritative datasets from external sources, both Fleet-generated data not maintained in EIMS (e.g. MSMP data maintained at Duke University) and data generated by non-Navy sources (e.g. BIA generated and maintained by NMFS). The EIMS team does not control its QA or refresh cycle. The EIMS Data WIPT integrates these datasets into the corpus of EIMS geospatial data. The COR will designate which, if any, EIMS datasets in Table A-3 below the Contractor shall use as GFI.

Table A-3: Fleet-Generated Authoritative Data Maintained in EIMS

Biologically Important Areas

Marine mammal feeding, migration, reproduction areas Area: Atlantic/GOMEX/EastPac/WestPac Timeframe: 2015, updates currently not scheduled.

Source: NMFS

Marine Species Monitoring Program

Monitoring vessel (surface/aerial) tracklines & sightings Area: Atlantic /GOMEX/EastPac/WestPac Timeframe: 2007-Present, updated whenever a new dataset becomes available.

Source: USFF & CPF (datasets hosted at several universities such as Duke, then replicated in EIMS)

APPENDIX B

U.S. Navy Marine Species Monitoring Data Use Agreement

1. All data and information collected under this contract will be governed by the data rights clauses in the contract, including, but not limited to DFARS 252.227-7013 and 252.227-7020.

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 expert guidance and 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. 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 appropriate Navy sponsor for funding this work. The Contractor or Sub-Contractor shall furnish electronic copies of each publication to the COR at no additional expense.

4. Reports specified within the Statement 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 in accordance with the Quality Assurance Surveillance Plan (QASP).

5. 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, subsequent task orders or products/deliverables developed thereunder without prior approval of either the Procurement Contracting Officer or the Administrative Contracting Officer, as applicable. In individual task orders, 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. When approved (either upon request or by the task order itself), 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 appropriate Navy sponsor for funding this work. The Contractor or Sub-Contractor shall provide a copy of final presentations and publications in electronic format to the COR.

6. 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.

7. 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 databases specified in the statement of work (e.g. OBIS-SEAMAP, Movebank, Animal Telemetry Network Data Assembly Center (ATN-DAC), Navy’s internal Environmental Information Management System (EIMS), HRC Sighting Atlas database, or other databases specified by the COR). Data format and standards should follow guidelines established in Appendix A (Electronic Information Management & Data Deliverable Specifications) unless otherwise directed by the COR.

https://www.whitehouse.gov/the-press-office/2013/05/09/executive-order-making-open-and-machine-readable-new-default-government-https://www.whitehouse.gov/the-press-office/2013/05/09/executive-order-making-open-and-machine-readable-new-default-government-http://seamap.env.duke.edu/ https://www.movebank.org/ http://www.ioos.noaa.gov/observing/animal_telemetry/welcome.html

Last revised 9/16/2015

APPENDIX C

Handling Procedures for Ocean Observing System (OOS) Data from Navy-funded Marine Species Research and Development and Marine Species Monitoring

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 raw acoustic time-series data collected within Navy sensitive areas such as Navy training ranges during Navy-funded Marine Mammal Research and Development efforts or for Navy-funded Marine Species Monitoring 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 Species 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 Department of Defense (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. These control procedures supplement the data rights and copyright clauses in the contract and contract appendices. These procedures 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, AND 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 documented 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,

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 ensuring control of recordable media containing Proprietary Data 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.

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 Proprietary 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 Proprietary 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 the PI or 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 Proprietary Data.

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 persons 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 time-series 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 time-series 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

Contingency 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.

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

DESIGNATION AND COURIER BRIEFING

To the maximum extent practical:

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

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

3. 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.

4. 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.

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

Do not schedule unnecessary overnight stops.

6. 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.

7. 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.

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

9. 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.

a. Any loss or unauthorized access to controlled items.

b. 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.

c. 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.

Last revised 7/13/2017

APPENDIX D

Notification of Use of Integrated Ocean Observing System Animal Telemetry Network Data Assembly Center for Navy-funded marine species research and monitoring work

SUBJECT: Use of Integrated Ocean Observing System Animal Telemetry Network Data Assembly Center for Navy-funded marine species research and monitoring work

DATE: March 28, 2017

REFERENCES:

White House Office of Science and Technology Policy memorandum, “Increasing Access to the Results of Federally Funded Scientific Research,” February 22, 2013

U.S. Department of Defense – Draft Plan to Establish Public Access to the Results of Federally Funded Research, February 2015

National Ocean Council - Animal Telemetry Network Implementation Plan 2016-2021, December 2016

We are pleased to announce that the Integrated Ocean Observing System Animal Telemetry Network (IOOS ATN) Data Assembly Center (DAC) is operational and ready to support the data management needs of federal agencies and partners for animal telemetry research.

This memo serves as notification that all Navy-funded marine species research and monitoring work utilizing animal telemetry devices (“tags”) will be required to use and submit data to the ATN Data Assembly Center for management, archiving, and public access. This is in accordance with the February 22, 2013 Office of Science and Technology Policy (OSTP) memorandum “Increasing Access to the Results of Federally Funded Scientific Research”, and the February 2015 U.S. Department of Defense (DoD) Draft Plan to Establish Public Access to the Results of Federally Funded Research.

The Animal Telemetry Network, under the auspices of the U.S. Integrated Ocean Observing System, will provide a mechanism to facilitate and empower an alliance among Federal, tribal, state, local, industry and non-governmental organizations. In 2016, the Interagency Ocean Observations Committee (IOOC) of the National Science and Technology Council, which is comprised of 12 federal agencies, including NOAA, BOEM, and Navy, adopted the Animal Telemetry Network Implementation Plan 2016-2021. This plan outlines a national approach for coordinating marine animal telemetry research, operations, and data management across the United States as part of the U.S. IOOS. The U.S. Navy is pleased to partner with other federal agencies and non-federal entities on this new program.

The ATN DAC handles diverse types of archival, satellite, and acoustic animal telemetry data from an array of individual researchers and programs. The DAC supports project data management needs through services including, data submission, metadata templates, tools to manage and QA/QC data, data products such as State-Spaced Modeled (SSM) tracks, data sharing with various levels of security, data archiving, and data distribution through common web platforms to support value‐added services for data submitters and users. The ATN DAC has developed machine-to-machine data exchange to support researchers that are also using other regional or related database systems to facilitate compliance with the requirement to use the ATN DAC. The ATN DAC includes restricted access to data that the researchers upload for the period of time specified by the project sponsor. Please visit the IOOS ATN homepage and DAC web portal for more information.

Specific requirements including timelines for registering projects, uploading archival tag data, and public access will be included in individual task orders and the marine species monitoring program Data Use Agreement. We believe the ATN will provide mutual benefits for both funding agencies and researchers, and we look forward to this new path for Navy-funded research and monitoring.

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