Automated Tariff Filing and Information System

FEDERAL MARITIME COMMISSION

46 CFR Part 514

[Docket No. 95-13]

Automated Tariff Filing and Information System

AGENCY: Federal Maritime Commission.

ACTION: Final rule.

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SUMMARY: This Final Rule amends the requirements of the Federal

Maritime Commission (``Commission'' or ``FMC'') pertaining to the

Automated Tariff Filing and Information System (``ATFI'') to clarify

that no individual may file or retrieve ATFI data until he or she

submits a User Registration Form and supporting documents, together

with the proper fee, to the Commission and receives a logon ID and

password. The rule also makes it clear that this requirement cannot be

circumvented by sharing, loaning or using logon IDs or passwords

assigned to others. In addition, the rule permits the on-line

downloading of daily subscriber data. Subscribers may request daily

updates on tape provided by them in those instances where on-line

downloading is not cost-effective. Full database tapes, weekly update

tapes, and monthly update tapes will no longer be provided.

EFFECTIVE DATE: December 7, 1995.

FOR FURTHER INFORMATION CONTACT:

Doris J. Spencer, Director, Office of Information Resources Management,

Federal Maritime Commission, 800 North Capitol Street NW., Washington,

D.C. 20573, (202) 523-5835.

SUPPLEMENTARY INFORMATION: The Commission's tariff filing rules at 46

CFR 514.8(f)(1) provide that the ATFI logon IDs and passwords are

issued to individual users. Despite this provision, there have been

numerous instances of logon IDs or passwords being shared with, loaned

to or used by others. The Commission therefore issued a Notice of

Proposed Rulemaking (``NPR'') to amend Sec. 514.8 to clarify that no

individual may file or retrieve AFTI data until he or she submits a

User Registration Form, supporting documents, and the proper fee, to

the Commission and receives a logon ID and password. (60 FR 45126, Aug.

30, 1995).

Additionally, given the Commission's reduced level of funding, it

is no longer feasible for the Commission to provide full database

tapes, weekly update tapes and monthly update tapes. As an alternative,

the Commission proposed to implement the capability for on-line

downloading of daily subscriber data.

Four parties filed comments in response to the NPR: Rijnhaave

Information Services, Inc. (``RIS''), D.X.I. Incorporated (``DXI''),

Pacific Coast Tariff Bureau (``PCTB'') and Effective Tariff Management

Corporation (``ETM'').

The only comment addressing the proposed password and user ID rule

revision was filed by RIS. It is RIS's contention that user IDs and

passwords are issued to the tariff publisher and not to a single

individual within the tariff publisher's organization. In support of

its position RIS cites 46 CFR 514.2 which states that: ``Publisher

(tariff) means an organization authorized to file or amend tariff

information.'' RIS also refers to Commission News Release 93-11,

Assignment of ATFI Access Privileges and Further Batch Filing

Certification, August 4, 1993. The News Release states that if the

carrier authorizes the tariff publisher to maintain the carrier's

organizational record, the publisher, not the carrier, will be the

owner of the logon ID and password.

RIS's argument fails to distinguish between the authority to file

and amend tariffs and the authority to amend the organizational record

of the carrier. A tariff publisher may have authority to file and amend

tariffs on behalf of a carrier without having a logon ID and password

to access the carrier's organizational record. News Release 93-11

leaves no doubt that logon IDs and passwords are issued to individuals

within an organization and not to the organization itself. The News

Release states:

Each organization may identify only one person authorized to

update the Organization Record, which is an ATFI component that

reflects information about the organization. This person's Login ID

has the authority to change information in the Organizational

Record.

On the registration form (``form''), the person listed in block

8 will be the owner of the Login ID and password.

The portion of the News Release relied upon by RIS simply points

out that, if a carrier authorizes the tariff publisher to maintain the

carrier's organizational record, the carrier will not be issued a logon

ID and password. That discussion does not contradict the statement

quoted above which appears in the same news release. Accordingly, the

Commission rejects RIS's comment and will adopt the proposed

clarification of its rules pertaining to logon IDs and passwords.

All parties express a desire for the continuation of full database

tapes subscriber data. Full database tapes are said to be necessary to

audit and add new tariffs to their systems. ETM also opposes the

elimination of the weekly subscriber tapes based on (1) the cost of

daily data versus weekly update tapes, (2) the cost of higher speed

communications equipment, and (3) prolonged on-line downloading time

requiring additional lines and equipment to avoid work flow

disruptions.

Due to reduced appropriations, the Commission has been forced to

curtail purchases of equipment and services pursuant to its ATFI

contract. As part of the Commission's efforts to reduce expenses, the

position previously responsible for, among other things, developing

weekly, monthly and full data base tapes has been eliminated from the

contract. The Commission could not avoid cuts in the ATFI program by

increasing user fees. User fees are payable to the U.S. Treasury

[[Page 56123]]

and cannot be retained by the Commission to defray the cost of ATFI.

The Commission is sympathetic to those who want the Commission to

continue to provide weekly, monthly and full data base tapes, and

understands that the elimination of this service may have the effect of

increasing a tariff publisher's cost of doing business. However, the

Commission simply lacks the funds to continue providing weekly, monthly

and full data base tapes.

The change will not deprive the industry of ATFI subscriber data

that it would otherwise receive. All data contained on a full data base

tape has been previously made available as daily subscriber data. While

the Commission has an obligation to make ATFI subscriber data

available, the Commission does not have an obligation to make the data

available in a particular format.

The Commission will make certain modifications to the fees for ATFI

data in order to ameliorate the effects of the elimination of weekly,

monthly and full data base tapes. Persons requesting download of daily

updates will not be required to pay $61 as stated in the NPR, but only

46 cents per minute as now required by Sec. 514.21(g)(1). Persons

requesting daily updates on tape must supply the tapes and return

postage, and pay $43 per daily update as opposed to the $61 specified

in the NPR. The charge of $43 reflects the average downloading time, at

46 cents a minute, and associated labor costs. Although these charges

are based on the Commission's costs, the Commission cannot retain the

charges to defray the cost of providing the service, as explained

above.\1\

\1\ Section 514.20(d) was also modified to clarify the

application of Sec. 514.21(j)(2).

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The Commission plans a transition period during which users may

receive daily subscriber data either on tape or through on-line

download. This will allow subscribers to thoroughly test the data

download functionality and compare the results with tape data. The

transition period will also provide an opportunity for batch retrievers

and batch filers to access the system using higher speed modems and/or

improved file transfer software. After this period, firms desiring to

receive daily data on tape will be required to furnish their own tapes.

The Commission will install 28.8 Kbps modems and make available the

Zmodem file transfer protocol on the ATFI system. Batch retrievers and

batch filers may wish to upgrade their modem speed to decrease file

transfer time. The Zmodem file transfer protocol includes a crash

recovery capability that allows a data download file transfer to

restart at the point where it was disrupted.

Several parties proposed other changes. RIS suggests that the

certification process formerly required by 46 CFR 514.21(m) be

retained. PCTB requests an ATFI enhancement that would provide the

capability to download a single tariff and daily data for a single

tariff. PCTB also suggests that the Commission enter into a leased line

arrangement to facilitate the transmission of very large filings. RIS

seeks to use dedicated lines for daily updates and batch filing

sessions. All these proposals are beyond the scope of the NPR and

cannot be addressed in this proceeding.

The Commission certifies pursuant to Sec. 605(b) of the Regulatory

Flexibility Act, 5 U.S.C. 605(b), that this rule will not have a

significant economic impact on a substantial number of small entities,

including small businesses, small organizational units, and small

governmental jurisdictions. The Commission recognizes that these

proposed revisions may have some impact on the shipping industry, but

not of the magnitude that would be contrary to the requirements of the

Regulatory Flexibility Act.

The rule does not contain any collection of information

requirements as defined by the Paperwork Reduction Act of 1995, as

amended. Therefore, Office of Management and Budget review is not

required.

List of Subjects in 46 CFR Part 514

Freight, Harbors, Maritime carriers, and Reporting and

recordkeeping requirements.

Part 514 of Title 46 of the Code of Federal Regulations is amended

as follows:

PART 514--[AMENDED]

1. The authority citation for Part 514 continues to read as

follows:

Authority: 5 U.S.C. 552 and 553; 31 U.S.C. 9701; 46 U.S.C. app.

804, 812, 814-817(a), 820, 833a, 841a, 843, 844, 845, 845a, 845b,

847, 1702-1712, 1714-1716, 1718, 1721, and 1722; and sec. 2(b) of

Pub. L. 101-92, 103 Stat. 601.

Subpart C--Form, Content and Use of Tariff Data

2. In Sec. 514.8, paragraph (f) is revised to read as follows:

Sec. 514.8 Electronic Filing.

* * * * *

(f) Password and User ID. (1) System Identifications (``IDs'') for

either filing or retrieval logon and initial password assignments are

obtained by submitting the User Registration Form (exhibit 1 to this

part), along with the proper fee under Sec. 514.21 and other necessary

documents prescribed by Sec. 514.4(d) of this part, to BTCL. A separate

User Registration Form is required for each individual that will access

ATFI.

(2) Logon IDs and passwords may not be shared with or loaned to or

used by any individual other than the individual registrant. The

Commission reserves the right to disable any logon ID that is shared

with, loaned to or used by parties other than the registrant.

(3) Authority for organizational maintenance, filing or retrieval

can be transferred by submitting an amended registration form

requesting the assignment of a new logon ID and password (see

Sec. 514.(4)(d)). The original logon ID will be canceled when a

replacement logon ID is issued.

* * * * *

3. In Sec. 514.20, paragraph (d) is revised to read as follows:

Sec. 514.20 Retrieval.

* * * * *

(d) Batch retrieval through data base files. Interested parties may

subscribe to all tariff filings/updates received by the Commission on a

daily basis. The ATFI System Administrator will create a daily

subscriber data update file which will be accessible to subscribers.

The daily updates subscriber will access the ATFI system to on-line

download the tariff updates received during the previous workday and

any intervening weekend/holidays, as well as any tariff updates created

by the Commission (e.g., suspensions, rejections, etc.). Subscribers

may request that daily updates be forwarded on tape (either 9 track,

6250 bpi or 8 mm cartridge, Exabyte 8500 compatible) when the file size

indicates that the on-line download option is not cost-effective.

Subscriber responsibility and charges for use of this option are

specified in Sec. 514.21(j)(2). The Commission may also send selected

daily updates by first class mail (or as directed by subscribers at

subscriber's expense) or make updates available at the ATFI computer

center when the magnitude of the file size indicates that downloads

would degrade ATFI access for other ATFI user functions. The charge

specified in Sec. 514.21(j)(2) will apply, but subscribers will not be

required to provide tapes. Subscribers requesting update data on tape

are responsible for insuring that the Commission has received

sufficient pre-paid monies before the last business day of the

preceding month in order to subscribe to the next month's filings.

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The Commission will terminate the download capability of any accounts

in arrears.

* * * * *

4. In Sec. 514.21, paragraph (j) is revised to read as follows:

Sec. 514.21 User charges.

* * * * *

(j) Daily Subscriber Data (Sec. 514.20(d)). (1) Persons requesting

download of daily updates must pay 46 cents per minute as provided by

Sec. 514.21(g)(1).

(2) Persons requesting daily updates on tape must supply the tapes

and return postage, and pay $43 per daily update.

* * * * *

By the Commission.

Joseph C. Polking,

Secretary.

FR Doc. 95-27489 Filed 11-6-95; 8:45 am]

BILLING CODE 6730-01-M