Page Comparison

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The Hawaii Longline Logbook E-signature Evaluation has concluded that OMB Assurance Level 1 2 (little or no confidence exists in the asserted identity) was appropriate for the Hawaii Longline Logbook.  This was a considered decision justified by low likelyhood of occurrence, mostly low impact of harm, and multiple and strong mitigating controls, including: multiple and sometimes counter-balancing sources of information; permitted entities with an ongoing trusted relationship with NMFS; a rigorous certification process for e-logbook applications; and unique identifiers on each e-logbook submission.  Although the evaluation concluded that an OMB Assurance Level 1 was appropriate, Note that the identity is established from association with a fishing permit holder, and not soley through the registration to submit logbooks electronically and association of e-logbook registration with fishing permits are features of the proposed system. But since the existing permit process does not explicitly verify an individual's identity these features do not qualify the proposed system as OMB level 2.

The proposed identity assertion, person proofing, and registration starts with a permit holder completing a NMFS electronic logbook agreement, establishing a linkage between the permit, the permit holder, and the fishing vessel operator who is authorized to submit electronic logbooks for that permit. more?... (See Identity Assertion, Person Proofing and Registration for a broader discussion of these issues and alternatives.)

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The proposed design implements the following audit trail controls for submission of e-logbooks via email:

1. The NMFS email interface program will run periodically (perhaps every 5 minutes), login to the postoffice, and open the inbox.
2. The email interface program will consider every message currently in the inbox, and for each message:
   1. Log receipt of the email message into audit trail tables.
   2. If the email message is recognized (recognized messages were generated by certified e-logbook software and submitted by registered permit holders).
      1. Generate a unique e-logbook message identier.
      2. Handle possible return-receipt-requested.
      3. Extract e-logbook message payload(s) (zip attachments)
         1. For each e-logbook payload:
         2. Log receipt of payload into audit trail tables.
         3. Unzip and unmarshall the payload, creating an e-logbook page object; if payload cannot be unzipped or unmarshalled the receipt is formed from the raw input data and unzip/unmarshall errors are noted and logged.
         4. Process the e-logbook page, inserting into the database (if possible) and creating a receipt (appropriate data checks are applied in this step and any errors noted in the receipt.)
         5. Return the receipt to the appropriate party.
         6. Log the result into audit trail tables.
3. These audit trail data items should be written to audit trail tables by the email interface application using a database account which has insert privileges to the database but does not have update or delete privileges. (And update and delete privileges on the audit trail tables should be carefully controlled by the database administrator.)

The proposed design implements the following audit trail controls for submission of physical media:

1. the NMFS employee who received the portable media will return to the office, login, and start a data import program.
2. The data import program will present the operator with fields to record where and when the portable media was delivered, who delivered it and who received it. The data import program will require this information before proceeding, and will institute appropriate data checks to ensure the most accurate data possible.  The data import program will record these fields as well as the login name of the operator, the time that the data import was run, and the raw uninterpreted contents of the submitted e-logbook file(s), into a NMFS database.
3. These audit trail data items should be written to audit trail tables by the data import application using a database account which has insert privileges to the database but does not have update or delete privileges. (And update and delete privileges on the audit trail tables should be carefully controlled by the database administrator.)
4. After the this audit trail information is recorded the data import program can proceed to interpret the e-logbook data stream and insert the data into NMFS operational database(s).

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1. After the data import program has interpreted (or attempted to interpret) the submitted e-logbook data, the data import program writes a receipt file. The proposed receipt will consist of an exact recapitulation of the submitted data with the following additions:
   1. a "messages" element will be added to the XML as a child element of the top level "LogbookReport" element
      1. the messages element will contain one or more messages documenting success or failure(s) in the interpretation of the e-logbook submission; for example:
         • in the case of a successful data import one message would be returned which might look like:
           <messages>
           <message msgid="1000" severity_code="I" severity_desc="INFO">Ok</message>
           </messages>
         • in the case of a failed data import one or more messages would be returned to explain the failure which might look like:
           <messages>
           <message msgid="1179" severity_code="E" severity_desc="ERROR">Line 1 49 is not a recognized gear code</message>
           </messages>
   2. for each element in the returned XML which consists of a code, for example, gear code, the XML schema will provide an optional attribute for a name; when the XML is submitted from the vessel these optional attributes will not be present (and if they are present they will be ignored); when the XML is returned from the agency as a receipt, these optional attributes will be populated by the agency to indicate that the code was recognized and to confirm what the code represents; for example:
      • incoming XML markup for gear may look like <gear>91</gear>
      • outgoing (receipt) XML markup for gear may look like <gear name="Pot">91</gear>
2. The receipt file will be written back onto the portable media if that media is to be returned to the vessel operator
3. Assuming that the data import was successful, or at least successful enough that the e-logbook's permit could be ascertained, the receipt file will also be emailed directly by the data import program to the address of record for the permit holder
   1. The XML file will be an attachment to the receipt email message; the body of the receipt message will contain a synopsis of any "messages" elements contained in the receipt.
4. If the receipt file cannot be emailed directly to the address of record for the permit holder the operator executing the data import program is notified so that they can take steps to inform the submitter

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