[Federal Register Volume 61, Number 172 (Wednesday, September 4, 1996)]
[Notices]
[Pages 46684-46694]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-22381]



[[Page 46683]]


_______________________________________________________________________

Part II





Environmental Protection Agency





_______________________________________________________________________



Filing of Electronic Reports via Electronic Data Interchange; Notice

  Federal Register / Vol. 61, No. 172 / Wednesday, September 4, 1996 / 
Notices  

[[Page 46684]]



ENVIRONMENTAL PROTECTION AGENCY

[FRL-5601-4]


Notice of Agency's General Policy for Accepting Filing of 
Environmental Reports via Electronic Data Interchange (EDI)

AGENCY: Environmental Protection Agency.

ACTION: Interim final notice.

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SUMMARY: Agency regulations require that specified parties submit 
environmental reports under various statutory and regulatory 
provisions. These reports are to be submitted via forms and procedures 
specified by the Administrator. Today's notice of policy announces the 
Environmental Protection Agency's (EPA's) general approach for 
accepting electronic filing of environmental reports via Electronic 
Data Interchange (EDI). As specific EPA programs adopt EDI for their 
reports, details about specific reporting requirements will be 
announced, supplementing today's notice.
    This action supports the President's overall regulatory reinvention 
goals of reducing the burdens of compliance and streamline regulatory 
reporting, as stated in the President's March, 1996, Reinventing 
Environmental Regulation Report. Also, EDI directly supports the 
Administrator's ``One-Stop Reporting'' initiative, the reengineering of 
regulatory reporting under the Common Sense Initiative (CSI), and the 
Administrator's goal of reducing baseline reporting burden by twenty-
five percent. The use of EDI under this policy will make the tools of 
automation and business process reengineering available wherever the 
goal is to streamline and simplify the regulatory reporting processes. 
In addition, transmission of reports via EDI facilitates the 
availability of more timely and accurate environmental information to 
the public, in support of the Agency's efforts to improve public access 
to data and information.
    The scope of this policy includes any Agency regulatory, 
compliance, or informational (e.g., voluntary reporting programs) 
reporting via EDI, and excludes any procurement-related reporting, as 
well any reporting via other electronic means that may be adopted in 
the future. In addition to EDI, the Agency is currently evaluating 
alternative means of electronic reporting for those reporting 
facilities that may not be equipped to engage in EDI.
    This policy is based on EPA's experience with pilot tests of EDI 
for compliance reports and reflects substantial involvement, as well as 
ongoing dialogue, with our state and industry partners. While the 
policy does not explicitly address state-delegated reporting, EPA urges 
uniform EDI implementation across State-delegated programs and believes 
it is in the interest of all the participants to conform to the 
approach set forth in today's policy. The Agency will continue to 
consult and work with States to address the implementation of EDI under 
delegated programs in the Final Notice. We are therefore very 
interested in receiving comments on our EDI policy from States and from 
submitters subject to State-delegated reporting.

DATES: This action is effective on September 4, 1996.

ADDRESSES: The Agency is soliciting public comments on today's notice. 
EPA is particularly interested in comments on the PIN Management System 
outlined in today's notice, on common business practices for 
maintaining electronic files associated with the conduct of EDI (e.g., 
transmission logs), and on the Generic Terms and Conditions Agreement 
Model. The Agency also invites the regulated community, contractors, 
and vendors to provide comments on viable electronic alternatives to 
EDI and viable methods of handling other forms of electronic commerce.
    Comments should be addressed to EPA EDI Implementation Policy 
Comment Clerk, Water Docket MC-4101; United States Environmental 
Protection Agency, 401 M Street SW., Washington, DC 20460. Commenters 
are requested to submit an original and 3 copies of their written 
comments as well as an original and 3 copies of any attachments, 
enclosures, or other documents referenced in the comments. Commenters 
who want receipt of the their comments acknowledged should include a 
self-addressed, stamped envelope. All comments must be postmarked or 
delivered by hand by December 30, 1996. No facsimiles (faxes) will be 
accepted.
    EPA will also accept comments electronically. Comments should be 
addressed to the following Internet address: [email protected]. 
Electronic comments must be submitted as an ASCII file avoiding the use 
of special characters and any form of encryption. Electronic comments 
will be transferred into a paper version for the official record. EPA 
will attempt to clarify electronic comments if there is an apparent 
error in transmission. Comments and data will also be accepted on disks 
in WordPerfect 5.1 format or ASCII file format. All comments and data 
in electronic form must be identified by the Federal Register Notice 
title and date. Electronic comments on this notice may be filed online 
at many Federal Depository Libraries.
    Comments on electronic alternatives to EDI should also be directed 
to: U.S. Environmental Protection Agency, RTP (MD-34), ATTN: Julie 
Dyrdek, Research Triangle Park, North Carolina 27711 OR sent by FAX to 
(919) 541-5091; OR by Internet to Dyrdek. [email protected].

FOR FURTHER INFORMATION CONTACT: For questions about this policy notice 
or EPA EDI environmental reporting in general, contact Evi Huffer, U.S. 
Environmental Protection Agency, OPPE (2137), ATTN: EDI Team, 401 M 
Street, S.W., Washington, D.C. 20460 or call (202) 260-4825 and leave a 
brief message. This telephone number has been setup to respond to 
inquiries concerning today's notice.

SUPPLEMENTARY INFORMATION:

I. Introduction

Generally

    The primary purpose of today's notice is to announce the Agency's 
general policies concerning the receipt of electronic submissions of 
EPA environmental reports from the reporting community via Electronic 
Data Interchange (EDI). Unless specified in a separate program-specific 
notice, members of the reporting community are not required to use EDI 
to submit reports. However, EPA is making EDI available because there 
are specific, well-documented advantages to using EDI in lieu of paper 
forms. To get the full benefits of these advantages, this policy is 
designed to promote consistency across EPA program offices implementing 
EDI.
    For environmental reports covered by this policy, today's notice 
presents an overall framework for accepting electronic reports filed 
via EDI. This notice does not announce EPA's intent at this time to 
accept any specific report via EDI.\1\ As specific EPA programs adopt 
EDI for the filing of a specific report, the Agency will publish a 
separate notice in the Federal Register announcing our intent to accept 
filing of that report via EDI. Such subsequent program-specific notices 
shall supplement today's notice, following

[[Page 46685]]

the general approach outlined in this notice of policy, and providing 
detailed information for electronically filing those specific reports.
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    \1\ EPA currently accepts electronic filing via EDI for the 
Reformulated Gasoline and Anti-Dumping Reports under 40 CFR Part 80 
and, starting in August, 1996, for the Discharge Monitoring Report 
under the National Pollution Discharge Elimination System.
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EDI and Its Benefits

    EDI is the transmission, in a standard syntax, of unambiguous 
information between computers that may belong to organizations 
completely external to each other. It has been widely used by the 
private sector for commercial transactions. As an ``open systems'' 
approach to data exchange, EDI is largely independent of technology 
environments, providing a transparent bridge between incompatible 
hardware and software platforms.
    EDI is the dominant form of electronic commerce across almost all 
business sectors--from aerospace to wood products--both nationally and 
internationally. EDI also predominates in the Federal government, most 
visibly at the Department of Defense. At least in the U.S., EDI is 
based on standard formats and protocols developed and maintained under 
the auspices of the American National Standards Institute (ANSI) 
Accredited Standards Committee (ASC)  x 12. Supporting these standards 
are a wide array of commercial software packages and communications 
networks, and a growing reservoir of industry EDI expertise available 
both to us and our regulated community.
    The benefits of EDI include:
    For EPA and Delegated States--
     dollars saved in data processing costs;
     significant enhancement of data quality;
     potential for dramatic improvements in speed/ease of data 
access; and
     opportunities to change business practices (such as 
integrating data collections across programs, States, and agencies; 
automating routine program management functions);
    For our Industry Partners--
     dollars saved in reporting costs;
     much greater control of data quality in submissions;
     new opportunities to improve internal management of 
environmental data;
     dramatic improvements in access to EPA and State 
environmental databases; and
     productivity-enhancing possibilities (such as more uniform 
reporting requirements and procedures across States and programs; more 
streamlined data submissions reflecting the integration of reporting 
requirements;
    For the Public--
     The availability of much more timely and accurate 
environmental information, in support of the Agency's efforts to 
improve the public's access to data and information in the public 
domain.
    In summary, EDI can both reduce the costs of reported data and 
information, and enhance its value. EPA expects many regulated entities 
will recognize the benefits of EDI and choose to implement it as their 
preferred method for electronic submission of environmental reports.

History of EPA's EDI Initiative

    The EPA first endorsed EDI for electronic reporting of 
environmental data in its Policy on Electronic Reporting (Federal 
Register Notice No. FRL-3815-4, vol. 55, no. 146, July 30, 1990). This 
policy was intended to promote electronic reporting and a uniform 
Agency approach that would be compatible with current industry and 
federal government practices. The policy recommends a standards-based 
approach, and encourages the use of ANSI ASC X12 standards for EDI.
    EPA's 1990 policy anticipated a broader federal policy establishing 
EDI as the uniform approach to electronic reporting for Federal 
agencies, published the following year as Federal Information 
Processing Standard (FIPS PUB) 161, effective September 30, 1991. The 
stated objectives of FIPS PUB 161 are: to have Federal agencies achieve 
the benefits of EDI; to minimize the cost of EDI implementation by 
preventing duplication of effort; and to ensure that electronic 
reporting is implemented in a manner consistent across Agencies and 
compatible with current practices in the regulated community.
    Since 1990, EPA has been working to fulfill the goals of these two 
policy statements by demonstrating the technical feasibility of EDI for 
reporting environmental data, primarily through a series of pilot 
projects involving partnerships between EPA and the States, industry, 
and foreign governments. In keeping with the spirit of collaborative 
partnerships that EDI embodies, EPA has conducted these pilots: (1) 
working closely with our industry partners in the ASC X12 community, as 
a member of the appropriate committees and subcommittees; (2) seeking 
voluntary industry collaboration, whenever possible, working through 
such industry groups as the Chemical Industry Data Exchange (CIDX) and 
the Petroleum Industry Data Exchange (PIDX); (3) working with EDI 
software vendors to adapt their existing products to EPA applications--
fostering a marketplace solution that will support the use of EDI for 
environmental data operations; and (4) avoiding any proprietary formats 
and standards for electronic reporting.
    Some of EPA's programs have now reached the stage where the 
technical issues surrounding implementation of EDI have largely been 
resolved. For such programs, the issues that stand between pilot and 
full EDI implementation center on the legal effects of using the 
electronic medium for regulatory and other environmental reporting. 
Hence EPA's need for the policy set out in today's notice that defines 
the functional requirements and specifications for legally admissible 
electronic submission of environmental reports. Our hope is that 
today's notice of policy will allow the Agency to go forward with the 
actual implementation of EDI.
    EPA began work on this policy in April 1994, forming an Agency-wide 
workgroup, the Electronic Data Interchange Implementation Workgroup 
(EDIIW), which involved all interested EPA programs, including regional 
offices. EDIIW was formed to address issues in three areas: (1) 
Electronic signature/certification--determining which technologies will 
satisfy legal requirements for signature/certification under EPA's 
statues and regulations; (2) terms and conditions of electronic 
submission--setting out the general requirements for admissible 
electronic submissions of environmental reports from the reporting 
community, and addressing such questions as determining time of 
submission, resolving disputes with the Submitter, assigning 
responsibility for errors, and so on; and (3) regulatory/statutory 
obstacles to electronic submissions--identifying provisions that, for 
example, refer directly or indirectly to paper, and taking steps to 
eliminate these to the greatest extent possible.
    Consistent with the 1990 policy, EDIIW's goal has been to develop 
an implementation approach that is as uniform as possible across Agency 
programs and as consistent as possible with the practices of other 
Federal Agencies and the private sector. In developing this policy, 
EDIIW has drawn upon the Agency's government/industry collaborative 
pilot project experience, as well as the practical expertise of other 
government agencies and industry. To the extent possible, the workgroup 
has sought to confine the resulting policy to functional requirements 
so as not to tie Agency policy to particular hardware/software/network 
platforms or products. In addition, the effort has focused on assessing 
existing technologies and practices, and applying them as appropriate, 
rather than attempting to

[[Page 46686]]

develop approaches that are wholly new.

How the EPA EDI Reporting Program Will Work

    Today's policy sets forth the basic approach for implementing EDI 
for environmental reporting. As EPA implements specific reporting 
initiatives (e.g, when a program is ready to move forward with actual 
EDI implementation for a particular report), a notice will be published 
in the Federal Register announcing the Agency's intent to accept a 
specific environmental report electronically. The program-specific 
notice will reference or incorporate today's notice, and outline the 
program-specific requirements for electronic filing of that report. 
Following publication of a program-specific notice, EPA will accept 
reports filed via EDI in lieu of paper reports so long as the 
electronic reports are consistent with the program-specific notice and 
the Submitter has signed a formal document that sets forth the ``Terms 
and Conditions'' for submitting reports via EDI and abides by the 
provisions set forth in that document.
    The Agency Generic Terms and Conditions Agreement (TCA) Model, the 
text of which appears in Section II below, sets forth the basic 
responsibilities of the Submitters. A program-specific notice of intent 
to accept specific reports via EDI will specify a TCA that is 
correspondingly program-specific, following the approach of today's TCA 
Mode.
    EPA will accept electronic reporting of environmental reports 
covered under today's notice only if the Submitter signs the applicable 
program-specific Terms and Conditions Agreement. EPA offices publishing 
program-specific TCAs will state their intent to be bound by the TCA 
once the Submitter signs the Terms and Conditions Memorandum and, where 
applicable, EPA issues a PIN. By signing the TCA, the reporting party 
will be subject to the procedural requirements discussed in this and 
subsequent program-specific Federal Register notices.
    In addition, program-specific notices will incorporate by reference 
associated program-specific technical EDI Implementation Guidelines. 
The program-specific Implementation Guidelines will define the 
application of specific ANSI ASC X12 transaction sets for the 
individual environmental reports in question.
    These Implementation Guidelines may also address other technical 
issues as dictated by the needs of the specific program and its 
Submitters. In any event, they shall be understood as program-specific 
amendments to the generic EPA technical guidance document titled ``EPA 
Electronic Data Interchange Implementation Guideline''. This generic 
guideline sets forth EPA's general goals in using EDI and the related 
business issues; outlines the Agency's general approach to developing, 
maintaining, and using EDI standards; and discusses such issues as 
choice of systems architecture, value added network (VAN) and 
translator products. Copies of this document are currently available 
for the public's review. [Copies of both the generic and--as they 
become available--program-specific guidelines will be sent to 
Submitters and other interested parties, and may be obtained from a 
Bulletin Board System listed in SUPPLEMENTARY INFORMATION or by 
contacting the person(s) listed in FOR FURTHER INFORMATION CONTACT.
    Finally, it is EPA's policy to promote public access to 
environmental data and information. Where a program is able to make a 
database available to the public online, electronic reporting to EPA 
via EDI will greatly enhance public access to submissions for the 
reasons already noted. In any case, programs implementing EDI under 
this policy must insure that the public has at least the same or better 
access to electronically submitted reports as they currently have to 
reports submitted on paper.

The Personal Identification Number (PIN) System

    Where EPA requires certification to insure the integrity and 
authenticity of electronically submitted Documents, EPA will generally 
require the Submitter to use a personal identification number (PIN) 
assigned by EPA. The minimum requirement is a single PIN approach for 
each Submitter; however, specific program needs may require the use of 
an additional PIN. These PIN requirements are elaborated on in what 
follows as well as in the applicable TCAs.
    Each PIN will consist of a sequence of alpha-numeric characters. 
The Submitter must ensure that this PIN is included in each Document 
that such party transmits to EPA.
    When the PIN is received as part of an electronic message, the PIN 
will be deemed to indicate authenticity. Further, responsibility and 
accountability for the PIN is directly linked to the individual 
assigned that PIN. Regardless of how a corporation delegates authority, 
a PIN is assigned to an individual, and that individual within the 
scope of the agreement is responsible for the accuracy and authenticity 
of the information electronically received by EPA.
    Management of PINs. During this interim policy period, PIN's for 
program-specific reports will be assigned and managed by individual EPA 
Program Offices. While EPA recognizes the advantages of centralized 
management of electronic signature devices (PINs or other digital 
alternatives), we feel that it is impractical to provide for such a 
system at this time. The electronic commerce marketplace is still very 
much in transition, and the roles that other government agencies (both 
at the State and Federal levels), as well as third-party commercial 
service providers will play in electronic certification are yet to be 
fully determined. EPA will continue to monitor developments in the 
electronic commerce marketplace and requests comments from the public 
on management of electronic signature devices. The Final Policy Notice 
will address the Agency's streamlined management of electronic 
signature devices.
    Assignment of PINs. In conjunction with the Terms and Condition 
Agreement, the responsible corporate officer of the Submitter must 
identify authorized representatives (i.e., corporate employees who are 
authorized to submit reports). EPA will then assign an individual PIN 
or dual PIN, depending on program-specific needs, to each authorized 
representative so identified, mailing the PINs directly to such 
representatives via U.S. Postal Service or recognized carrier.
    Once PINs are assigned, EPA does not intend to routinely change 
them. However, the Agency will issue a new PIN at the written request, 
on company letterhead, of a responsible corporate officer of the 
Submitter.
    In addition, EPA will change PINs where Submitters undergo 
personnel changes that affect the identity of their authorized 
representatives, or where there is evidence of compromise, as detailed 
in the following section, Security of PINs. In such cases, the 
Submitter is responsible for immediately notifying EPA (in writing and 
on company letterhead and signed by an authorized corporate officer) of 
termination of employment, or reassignment, of any authorized 
representative, and of any new or newly assigned employee(s) who will 
act as authorized representative(s). Depending on the reporting cycle, 
EPA will then cancel such authorized representative's individual PIN 
before the next reporting cycle to which the PIN applies, or no later 
than fourteen (14) business days of

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receiving such notice, whichever comes first.
    Security of PINs. The Submitters must institute and maintain 
security procedures to protect their PINs from unauthorized disclosure, 
and EPA will do the same within the context of Agency systems. The 
Submitter is responsible for notifying EPA immediately if it has reason 
to believe the security of any PIN(s) has been compromised and must 
revoke such PIN(s) and request a change. If EPA has reason to believe 
that PIN security has been compromised, the Agency will initiate PIN 
revocation and/or changes.

Record Retention Requirements

    Certain records must be created and maintained for the specific 
purposes of transmitting reports to EPA via EDI. However, in addressing 
such records, this notice should not be understood to in any way affect 
any other record-keeping requirements in existing regulations, or to 
apply to the question of satisfying such requirements by maintaining 
electronic files in lieu of paper files for audit purposes.
    Concerning EDI transmission of reports to EPA then, in general, 
Submitters must retain sufficient records to demonstrate the 
authenticity, completeness, accuracy, and integrity of those 
transmissions. It is EPA's view that this requirement is inherent in 
the standard business practices associated with EDI. That is, EPA 
considers, and the Submitter agrees in the TCA, that by electing to 
submit reports to EPA via EDI the Submitter commits to adopting 
business practices consistent with EDI, to include maintaining an 
auditable system of records associated with the creation and 
transmission of electronic files.
    EPA considers auditability to be defined, at least conceptually, by 
the Data Interchange Standards Association's (DISA) `Model EDI Audit 
Program', and expects Submitters to maintain records that conform to 
the substance of that model. Submitters should always bear in mind that 
the creation and management of adequate and proper documentation of all 
EDI transactions is essential to ensuring that they can serve as the 
official record of the reports submitted to EPA for administrative, 
programmatic, and legal purposes. For EPA reports covered under today's 
notice, the required records must be sufficient to serve as the 
official record of those reports.
    Central to these required records is a Transmission Log, which must 
be retained by all parties using EDI for reporting purposes. The 
Transmission Log includes the date, time, destination address and 
telephone number, and a copy of the file transmitted; it also documents 
who had access to the Submitter's system during the creation of the 
files and during their transmission. Following the guidance of the DISA 
Audit Model, EPA views these Transmission Log elements to constitute 
the minimum records required to provide an auditable system for 
creating and transmitting reports via EDI. Therefore, EPA expects each 
Submitter to create an official Transmission Log of all transactions 
and maintain it without any modification. Each Submitter shall 
designate one or more qualified individuals with appropriate authority 
to certify the accuracy and completeness of the Transmission Log and 
this designation shall be retained as part of the records. Each 
Submitter shall also maintain records concerning the assignment and 
revocation of PINs, as discussed elsewhere in this notice.
    These two items (the Transmission Log and PIN records) constitute 
the minimum records required for EDI transactions under this notice. 
Submitters should determine what additional records to retain to ensure 
their record of EDI transmissions is adequate to resolve any 
discrepancies between the Submitter's record and EPA's record. 
Submitters must maintain such records, together with the Transmission 
Log and PIN records for the applicable retention period specified in 
the regulations. This period is frequently three (3) years or more, and 
should be specified in the program-specific notice, guidance, and/or 
TCA.
    Correspondingly, at a minimum, EPA will maintain a secure copy of 
all EDI transmissions, both in-bound and out-bound, in addition to the 
Transmission Log and PIN assignment records. EPA will also maintain a 
record that documents our procedures and processes for managing EDI 
transmissions. EPA will maintain its documentation for the time period 
set by the Agency's records disposition schedules.
    Individual EPA Program Offices may mandate additional recordkeeping 
requirements for Submitters or themselves based on their audit needs. 
Individual Program Offices will also determine whether and under what 
conditions the EDI transmission records can serve as the Submitter's 
auditable record. In addition, of course, the Submitter must maintain 
whatever other records the applicable statute or regulation require, 
including, e.g., the files, databases, laboratory reports, 
calculations, etc. that might be involved in preparing the document for 
submission. Submitters should refer to the applicable statute or 
regulation, as well as to the program-specific notice, guidance, and/or 
TCA for recordkeeping requirements.

Paperwork Reduction Act

    In general, while EPA information collection requirements are 
subject to approval by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act, 44 U.S.C. 3501 et seq., EPA considers the 
activities associated with accepting electronic filing of environmental 
reports via EDI, detailed in today's notice of policy, not subject to 
approval by OMB under the PRA. In addition, Electronic submission of 
reports in the manner of EDI do not require the inclusion of the OMB 
control number to satisfy PRA display requirements, provided that the 
public receives adequate notice of OMB clearance through other means. 
While the PRA requires display of OMB numbers on a legally valid form, 
in the case of EDI, adequate notice will be provided by including a 
citation of the OMB number in a PRA section of all program-specific 
Federal Register notices announcing the availability of EDI, and also 
including a citation in the program-specific Terms and Conditions 
Agreement.

Receipt of Documents

    Date of Receipt. EPA will consider an electronically filed report 
received when it can be fully processed by the translator at the EPA's 
receipt computer, i.e. when the document is retrievable from the 
electronic mailbox by EPA and syntactically correct (to applicable EDI 
standards), able to be successfully translated by EPA. No document 
shall satisfy any reporting requirement until it is received. Upon 
receipt of any report, EPA will promptly send a functional 
acknowledgment in return within ``X'' business days.\2\ A positive 
functional acknowledgment indicating no syntactical errors will 
constitute conclusive evidence that EPA has properly received a report 
and will establish the ``Received Date''.
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    \2\ The number of business days shall depend on specific program 
needs and will be specified in the program-specific Notice or 
related documents (e.g., Implementation Guidelines, TCA).
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    Retransmission. If the Submitter does not receive this functional 
acknowledgment promptly \3\ after its transmission to the EPA, then the 
Submitter must re-send the document and follow any recovery procedures

[[Page 46688]]

stated in the applicable EPA EDI Implementation Guidelines.
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    \3\ ``Promptly'' shall be determined by each program-specific 
EDI application and defined in the program-specific notice or 
related documents (e.g., Implementation Guideline, TCA).
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    The Submitter must retransmit any document within ``X'' days \4\ of 
receiving a re-transmission request by EPA. Likewise, EPA will re-send 
any transmission originated by EPA at the Submitter's request.
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    \4\ The number of days shall depend on specific program needs 
and will be specified in the Program-Specific Notice or related 
documents (e.g., Implementation Guideline, TCA).
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    Inability to Transmit. Circumstances, both foreseeable and 
unforeseeable, may prevent a reporting party from conducting EDI. 
Nevertheless, no Submitter will be excused from the requirement to file 
reports with the Agency by the appropriate regulatory deadline. If a 
party is unable to electronically file a required report by such 
deadline, it must submit a paper report on forms required by the 
applicable regulation.

Legal Status of Electronic Submissions

    EPA regulatory programs will, where practicable and not in conflict 
with applicable law, initiate EDI for their reporting requirements by 
creating program-specific Implementation Guidelines, which--taken 
together with program-specific Federal Register notices (including 
Terms and Conditions Agreements) that are consistent with this Notice--
will outline the specific procedures required for electronic 
submission. For such programs, EPA will consider the electronic reports 
that are filed in a manner consistent with the procedures thus outlined 
to fulfill the requirements of an equivalent paper submission as 
required under the applicable existing Agency regulations pertaining to 
form/format, submission procedure and signature requirements for 
reports.
    Specifically, concerning the requirement that reports must be 
signed and certified as correct by the Submitter or its authorized 
representative, EPA will consider a properly filed electronic report--
filed in a manner consistent with the procedures outlined in applicable 
program-specific Implementation Guidelines and Federal Register 
notices--to meet the legal signature/certification requirements of 
equivalent paper submissions. For practical purposes, EPA will consider 
the use of the PIN, which is required to be included in each and every 
submitted document, to constitute certification of correctness--by the 
owner or responsible corporate officer of the Submitter--within the 
meaning of signature/certification for that report.
    EPA considers, and the Submitter agrees in the TCA, that use of the 
PIN(s) is required on each and every report and that use of the PIN 
constitutes a certification, under penalty of perjury (or other 
program-specific requirement), that the information submitted is true 
and accurate. However, it should be stressed that the PIN will have 
this status only to the extent that the electronic filing satisfies all 
the requirement procedures.
    As technology evolves, EPA may embrace other, or alternative, 
electronic manifestations of signature/certification. However, based on 
current technology, and considering issues of costs and the level of 
certainty required for authentication, PIN-based certification provides 
the most suitable approach available to EPA and our regulated 
community.

II. Text of EPA Generic Terms and Conditions Agreements Model

Scope

    Use of this generic Terms and Conditions Agreement (TCA) model 
applies when EPA requires certification and/or authentication by the 
Submitter of a report. Where neither certification or authentication is 
required but use of a TCA is desired by EPA, the Agency may modify this 
TCA to eliminate unnecessary paragraphs. The model TCA is designed to 
promote consistency in implementing EDI by Program Offices within the 
Agency.

Model

EPA Generic Terms and Conditions Agreement (TCA) Model for Submission 
of Environmental Reports via Electronic Data Interchange (EDI)

    THIS ELECTRONIC DATA INTERCHANGE TERMS AND CONDITIONS AGREEMENT 
(the ``Agreement''), by and between the United States Environmental 
Protection Agency (``EPA''), 401 M St., SW, Washington, D.C., a federal 
governmental agency, and reporting party (``Submitter'') who has signed 
and returned the Terms and Conditions Agreement (TCA) Memorandum, 
included in today's notice referenced above, is effective on the date 
on which EPA issues the initial PIN(s), in response to receipt and 
acceptance of Submitter's signed TCA Memorandum.\5\ (When a program is 
not using a PIN system, some other determinant for the effective date 
will be specified in the program-specific notice.)
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    \5\ Or, in the case where PIN is not required, as otherwise 
noted in the program-specific notice.
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    1. RECITALS. The intent of this agreement is to create legally 
binding obligations upon the parties using EDI and to ensure that (a) 
use of any electronic functional equivalent of documents referenced or 
exchanged under this agreement shall be deemed an acceptable practice 
in the ordinary course of Submitter-to-EPA environmental reporting and 
(b) such electronic records shall be admissible as evidence on the same 
basis as paper documents. The parties intend to be legally bound by 
them.
    2. VALIDITY AND ENFORCEABILITY
    2.1 This Agreement has been executed by the parties to evidence 
their mutual intent to create binding regulatory reporting documents 
using electronic transmission and receipt of such records.
    2.2 Any records properly communicated pursuant to this Agreement 
shall be considered to be a ``writing'' or ``in writing''; and any such 
records which contain or to which there is affixed, a Signature, as 
defined by para. 6 of this Agreement, (``Signed Documents'') shall be 
deemed for all purposes (a) to have been ``signed'' and (b) to 
constitute an ``original'' when printed from electronic files or 
records established and maintained in the normal course of business.
    2.3 The conduct of the parties pursuant to this Agreement, 
including the use of Signed Records properly communicated pursuant to 
the Agreement, shall, for all legal purposes, evidence a course of 
dealing and a course of performance accepted by the parties in 
furtherance of this Agreement.
    2.4 The Submitter agrees not to contest the validity or 
enforceability of Signed Documents under the provisions of any 
applicable law relating to whether certain agreements are to be in 
writing or signed by the party to be bound thereby. Signed Documents, 
if introduced as evidence on paper in any judicial, arbitration, 
mediation or administrative proceedings, will be admissible as between 
the parties to the same extent and under the same conditions as other 
business records originated and maintained in documentary form. Neither 
party shall contest the admissibility of copies of the Signed Documents 
under the Federal Rules of Evidence as inadmissible or in violation of 
either the business records exception of the rule on hearsay, or the 
best evidence rule, or on the basis that the Signed Documents were not 
originated or maintained in documentary (paper) form.
    3. RECEIPT. A Document shall be deemed to have been properly 
received by EPA when it is accessible to EPA, can be fully processed by 
the translator at EPA's Receipt Computer, and is syntactically correct 
to applicable EDI

[[Page 46689]]

standards. No Document shall satisfy any reporting requirement or be of 
any legal effect until it is received.
    4. VERIFICATION. Upon receipt of any Document, the receiving party 
shall promptly and properly transmit a functional acknowledgment in 
return within ``x'' business day of receipt to verify that the Document 
has been received.\6\ If a positive functional acknowledgment is not 
received in return for a Document, the party initially transmitting the 
Document shall be responsible for re-sending the Document.
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    \6\ The number of days shall depend on specific program needs 
and will be specified in the Program-Specific Notice or related 
documents (e.g., Implementation Guideline, TCA).
---------------------------------------------------------------------------

    5. DATE OF RECEIPT. EPA will consider an electronically filed 
report received when it can be fully processed by the translator at the 
EPA's receipt computer, i.e., when the document is retrievable from the 
electronic mailbox by EPA, syntactically conforms to applicable EDI 
standards, and is able to be successfully translated by EPA. A positive 
functional acknowledgment indicating no syntactical errors will 
constitute conclusive evidence that EPA has properly received a report 
and will establish the ``Received Date''.
    6. RE-TRANSMISSION. If the Submitter does not receive a functional 
acknowledgment promptly \7\ after its transmission to the EPA, then the 
Submitter must re-send the document and follow any recovery procedures 
stated in the applicable EPA EDI Implementation Guidelines.
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    \7\ ``Promptly'' shall be determined by each program-specific 
EDI application and defined in the program-specific notice or 
related documents (e.g., Implementation Guideline, TCA).
---------------------------------------------------------------------------

    The Submitter must retransmit any document within ``X'' days \8\ of 
receiving a re-transmission request by EPA. Likewise, EPA will re-send 
any transmission originated by EPA at the Submitter's request.
---------------------------------------------------------------------------

    \8\ The number of days shall depend on specific program needs 
and will be specified in the Program-Specific Notice or related 
documents (e.g., Implementation Guideline, TCA).
---------------------------------------------------------------------------

    7. INABILITY TO TRANSMIT. Circumstances, both foreseeable and 
unforeseeable, may prevent a reporting party from conducting EDI. 
Nevertheless, no Submitter will be excused from the requirement to file 
reports with the Agency by the appropriate regulatory deadline. If a 
party is unable to electronically file a required report by such 
deadline, it must submit a paper report on forms required by the 
applicable regulation.
    8. SIGNATURE. The Submitter shall adopt as its signature an 
electronic identification consisting of symbols (i.e., the Personal 
Identification Number [PIN] which is affixed to or contained in each 
Document transmitted by the Submitter (``Signature''). The Submitter 
agrees that any such Signature affixed to or contained in any 
transmitted Document shall be sufficient to verify such party 
originated and possessed the requisite authority both to originate the 
transaction and to verify the accuracy of the content of the document 
at the time of transmittal. Unless otherwise specified in the TCA, 
affixing the Personal Identification Number (PIN) issued to the 
Submitter by EPA to any transmitted Document constitutes a valid 
Signature. The Submitter expressly agrees that it will sign each and 
every report it submits by using its PIN(s) [or other electronic 
identification, if provided for in the TCA], and that the use of the 
PIN(s) [or other electronic identification, if provided for in the TCA] 
constitutes certification of the truth and accuracy, upon penalty of 
perjury (or other program specific requirement), of the information 
contained in each such report.
    9. DEFINITIONS. Whenever used in this Agreement or any documents 
incorporated into this Agreement by reference, the following terms 
shall be defined as follows:
    9.1  Compromise. When the PIN is intentionally or unintentionally 
disclosed to individuals and organizations who are not authorized to 
know or use the PIN.
    9.2  Data. Facts or descriptions of facts.
    9.3  Document/Record. Information that is inscribed on a tangible 
medium or that is stored in an electronic or other medium and is 
retrievable in perceivable form.
    9.4  Electronic Agent. A computer program designed, selected or 
programmed by a party to initiate or respond to electronic messages or 
performances without review by an individual. An electronic agent acts 
within the scope of its agency if its performance is consistent with 
the functions intended by the party who utilizes the electronic agent.
    9.5  Electronic Message/Transaction. A record generated or 
communicated by electronic, optical or other analogous means for 
transmission from one information system to another. The term includes 
electronic data interchange and electronic mail.
    9.6  Functional Acknowledgement. Is the sending of a 997 
transaction set (under ANSI ASC X12 Standards) indicating the results 
of the translator's syntactical analysis of the electronically 
submitted file. A positive acknowledgement indicates that the syntax of 
the submitted file conforms to the standard and can be processed by the 
translator. A negative acknowledgement indicates nonconformance to the 
standards.
    9.7  Guidelines. Federal Register Notice and EPA Implementation 
Guidelines.
    9.8  Message. Data structured in accordance with the protocol 
specified in the Guidelines and transmitted electronically between the 
parties and relating to a Transaction.
    9.9  Personal Identification Number (PIN). Assigned by EPA, each 
PIN will consist of a sequence of alpha-numeric characters.
    9.10.  Receive/Receipt. To take delivery of a record or 
information. An electronic record or information is received when it 
enters an information processing system in a form capable of being 
processed by that system if the recipient has designated that 
information system for the purpose of receiving such records or 
information.
    9.11 Date of Receipt. EPA will consider an electronically filed 
report received when it is accessible to the receiver (i.e. EPA) at its 
receipt computer. Upon receipt of any report, EPA will promptly submit 
a functional acknowledgment in return. A positive functional 
acknowledgment indicating no syntactical errors will constitute 
conclusive evidence that EPA has properly received a report and will 
establish the ``Received Date''. No document shall satisfy any 
reporting requirement until it is received.
    9.12 Report. The report required by ________ [Program-specific 
notice will insert applicable regulatory/statutory cite for program-
specific report].
    9.13 Signed. For the purposes of EDI, a transaction is ``signed'' 
if it includes a symbol and/or action that is adopted or performed by a 
party or its electronic agent with the present intent to authenticate 
or manifest assent to a record, a performance, or a message. Actions or 
symbols adopted or performed by an electronic agent serve to 
authenticate with present intent a record or message on behalf of a 
party if the party designed, programmed or selected the electronic 
agent with an intent that the agent produce the result and the 
electronic agent performs in a manner consistent with its intended 
programming. That a record or message is signed is conclusively 
presumed as a matter of law if the parties agreed to an authentication 
procedure and the symbol or action taken complies with that procedure. 
Otherwise, that a document is signed may be proved in any manner 
including by a showing that a procedure existed by which a party

[[Page 46690]]

must of necessity have taken an action or executed a symbol in order to 
have proceeded further in the use or processing of the information.
    9.14 Transaction. Any communication made or transaction carried out 
and identified as the communication or transaction to which a Message 
refers including but not limited to the filing of a specific report.
    9.15 Transmission Log. Must be retained by all parties using EDI 
for reporting purposes. The Transmission Log includes the date, time, 
destination address and telephone number, and a copy of the file 
transmitted; it also documents the persons who had access to the 
Submitter's system during the creation of the files and during their 
transmission. The Submitter shall create an official Transmission Log 
of all transactions and maintain it without any modification. Each 
Submitter shall designate one or more qualified individuals with 
appropriate authority to certify the accuracy and completeness of the 
Transmission Log and this designation shall be retained as part of the 
records. Each Submitter shall also maintain records concerning the 
assignment and revocation of PINs, as discussed elsewhere in this 
notice.
    9.16 Transaction set. [Cite for specific program].
    9.17 User Manual. [Cite, if any].
    9.18 Writing. Any document properly transmitted pursuant to this 
Agreement shall be considered to be a ``writing'' or ``in writing''.\9\
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    \9\ ``For the purpose of interpreting federal statutes, 
``writing'' is defined to include `printing and typewriting and 
reproductions of visual symbols by photographing, multi graphing, 
mimeographing, manifolding, or otherwise.' Although the terms of 
contracts formed using EDI are stored in a different manner than 
those of paper and ink contracts, they ultimately take the form of 
visual symbols. . . .it is sensible to interpret federal law in a 
manner to accommodate technological advancements. . . .It is evident 
that EDI technology had not been conceived nor, probably, was even 
anticipated at the times section 1501 and the statutory definition 
of ``writing'' were enacted. Nevertheless, we conclude that, given 
the legislative history of section 1501 and the expansive definition 
of writing, section 1501 and 1 U.S.C. Section 1 encompass EDI 
technology.'' U.S. Comptroller General decision, ``Use of Electronic 
Data Interchange Technology to Create Valid Obligations,'' File: B-
245714 (13 December 1991).
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    9.19 Other Definitions. (As required, additional Definitions may be 
included in Program-specific TCAs.)
    10. EDI TRANSACTION PARAMETERS. Each party may electronically 
transmit to or receive from the other party any of the transaction sets 
listed in the Appendix and transaction sets which by agreement are 
added to the Appendix (collectively referred to as ``Documents'' or 
``Reports''). All Documents/Reports shall be transmitted in accordance 
with the standards set forth herein and in the Appendix. Appendix(es) 
are hereby incorporated herein by reference. Any transmission of data 
which is not a Document/Report (i.e., which is not one of the specified 
transaction sets) shall have no force or effect between the parties.
    10.1 Implementation Guidelines. All Documents/Reports transmitted 
between the parties shall strictly adhere to published Accredited 
Standards Committee (ASC) X12 standards for Electronic Data Interchange 
(EDI) and shall comply with data conventions and implementation 
guidelines set forth in this Agreement and Federal Register notice 
(``Guidelines'') and all modifications of the Guidelines.
    10.2 Modifications of Standards. Whenever EPA intends to upgrade to 
a new version and release of the ASC X12 standard or modify the 
Guidelines, EPA shall give notice of its intent and shall establish a 
conversion date. The Submitter shall have a minimum of sixty (60) days 
from the conversion date to upgrade to the new standard.\10\ EPA can 
discontinue support of the previous standard no sooner than ninety (90) 
days after the conversion date.\11\
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    \10\ These dates may vary with specific program requirements.
    \11\ These dates may vary with specific program requirements.
---------------------------------------------------------------------------

    11. SYSTEM AND OPERATION EXPENSES. Each party, at its own expense, 
shall provide and maintain the equipment, software, services and 
testing necessary to effectively and reliably transmit and receive 
Documents.
    12. SECURITY. The parties shall take reasonable actions to 
implement and maintain security procedures necessary to ensure the 
protection of transmissions against the risk of unauthorized access, 
alteration, loss or destruction including, but not limited to those set 
forth [in Appendix A, in guidelines set forth in F.R., etc.].
    12.1 Creation of PIN. Where EPA requires certification to insure 
the authenticity of electronically submitted documents, EPA will 
generally require the Submitter to use a PIN assigned by EPA. If EPA 
agrees to enter into a trading partner relationship with a Submitter, 
EPA will assign PIN(s) upon receipt and receipt by EPA of the 
Submitter's signed TCA. EPA will mail the PIN(s) directly to each 
authorized representative(s) identified in the PIN request. The Agency 
will issue a new PIN at the written request, on company letterhead, of 
a responsible corporate officer of the submitter. In addition, EPA will 
change PINs where Submitters undergo personnel changes that affect the 
identity of their authorized representatives, or where there is 
evidence of compromise. Depending on the reporting cycle, EPA will then 
cancel such authorized representative's individual PIN before the next 
reporting cycle to which the PIN applies, or no later than fourteen 
(14) business days of receiving such notice, whichever comes first.
    12.2 Protection of PIN. Each party must protect the security of its 
PIN(s) from compromise and shall take all necessary steps to prevent 
its loss, disclosure, modification, or unauthorized use. The Submitter 
shall notify EPA immediately if it has reason to believe the security 
of any PIN(s) has been compromised and must request a change. If EPA 
has reason to believe that PIN security has been compromised, the 
Agency will consult with the Submitter and initiate PIN changes where 
necessary. Also, the Submitter is responsible for immediately notifying 
EPA (in writing and on company letterhead and signed by an authorized 
corporate officer) of termination of employment, or reassignment, of 
any authorized representative, and of any new or newly assigned 
employee(s) who will act as authorized representative(s).
    12.3 Access Control. [If required, additional program-specific 
measures to control access to the transmitted files.]
    12.4 Confidentiality. (If Applicable, program-specific clause.) The 
submitter may claim as confidential information submitted to EPA 
pursuant to this agreement. In order to assert a claim of 
confidentiality, the Submitter must mark the response CONFIDENTIAL 
BUSINESS INFORMATION or with a similar designation, and must clearly 
specify which information in the Document is so claimed. [The program 
may wish to insert here specific instructions for asserting 
confidentiality claims for electronic submissions.] Information so 
designated will be disclosed by EPA only to the extent allowed by, and 
by means of, the procedures set forth in, 40 CFR Part 2. If the 
Submitter fails to claim the information as confidential in accordance 
with the provisions of this paragraph, 10.4, the information may be 
available to the public without further notice.
    12.5 Other Specific Security Requirements. [If required, other 
program-specific measures.]
    13. MISDIRECTED AND CORRUPTED TRANSMISSIONS. If EPA has reason to 
believe that a Message is not intended for EPA or is corrupted, EPA 
shall notify the Submitter and shall delete from EPA's system the 
information contained

[[Page 46691]]

in such Message (where allowed by applicable law) but not the record of 
its receipt. Where there is evidence that a Message has been corrupted 
or if any Message is identified or capable of being identified as 
incorrect, EPA shall notify the Submitter and it shall be re-
transmitted by the Submitter as soon as practicable with a clear 
indication that it is a corrected Message. [Dependent on circumstances, 
corresponding requirement may be needed if EPA will be sending 
messages.]
    14. COMMUNICATIONS CONNECTIONS. Unless otherwise stipulated in 
program-specific notice, documents shall be transmitted electronically 
to each party through a third party service provider (``Provider''), 
designated in the program-specific Implementation Guidelines, who shall 
be considered the designated provider. The Submitter may transmit 
through EPA's designated Provider or through a third party service 
provider of their choice. In either case, the Submitter assumes all 
risks associated with their interaction with third party service 
providers. Upon written consent of EPA, at Submitter's own expense and 
at sender's own risk, documents may be electronically transmitted to 
EPA directly. EPA will specify procedures for doing so. Upon thirty 
days advance notice EPA may change its third party service providers.
    14.1 Third-Party Service Provider Fees.\12\ [Apportionment of the 
following fees: (could be incorporated by reference from guidelines, 
appendix etc.)]
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    \12\ EPA does not foresee clause 12.1 being included in it's TCA 
during the Interim Policy Phase and is uncertain if such provisions 
will be included in future TCAs.
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    14.2 Third-Party Service Provider Liability Apportionment. Each 
party shall be responsible for ensuring the correctness of its 
transmission except as otherwise provided in this Agreement.
    14.3 Records Transmitted Through Provider. The parties agree that 
either of them may have access to Providers' copies of the records, at 
the expense of the requesting party.
    15. RECORD RETENTION AND STORAGE.
    15.1 Transmission Log. The Transmission Log shall be maintained by 
the Submitter without any modification for as long as required for the 
paper record [Specific program must insert applicable regulations]. The 
Submitter shall designate one or more individuals with appropriate 
authority to certify the accuracy and completeness of the Transmission 
Log.
    15.2 Record Retention. Nothing herein is intended to release the 
Submitter from or waive any requirement of law applicable to the 
Submitter pertaining to record or document retention, or to create new 
or additional requirements for retention of records or documents except 
as specifically noted herein or in the Appendix(es). Sender shall 
retain all records, regardless of the medium on which they are 
recorded, used in the derivation of the Documents/Reports or 
information therein transmitted pursuant to this Agreement for the 
period which would be required for functionally equivalent paper 
records.
    16. CONFLICTING TERMS AND CONDITIONS. This Agreement and all 
appendices attached constitute the entire agreement between the 
parties. As the parties develop additional capabilities respecting EDI, 
additional addenda may be added to this Agreement. EPA will publish 
notice of new Addenda appending this Agreement and their effective date 
in the Federal Register. Upon the effective date, each Addendum shall 
be appended to this Agreement. If the Submitter does not agree to 
specified changes in the terms and conditions of this Agreement, as 
provided in the newly published Addenda, the Submitter must notify EPA 
in accordance with paragraph 15 below. In the absence of such 
notification, each addendum shall be appended to this Agreement and the 
date published in the Federal Register notice shall be the effective 
date.
    17. TERMINATION. This Agreement shall remain in effect until 
terminated by either party with not less than 30 days prior written 
notice, which notice shall specify the effective date of termination; 
provided, however, that any termination shall not affect the respective 
obligations or rights of the parties arising under any Documents or 
otherwise under this Agreement prior to the effective date of 
termination. Termination of this Agreement shall not affect any action 
required to complete or implement Messages which are sent prior to such 
termination. Emergency temporary termination of computer connections 
may be made to protect data from illegal access or other incidental 
damage.
    18. SURVIVABILITY. Notwithstanding termination for any reason, 
Clauses #2 (Validity and Enforceability), #10 (Security), #13 (Record 
Retention and Storage), #21 (Governing Law), #22 (Choice of Language), 
and #23 (Dispute Resolution) shall survive termination of this 
Agreement.
    19. ASSIGNABILITY. This Agreement is for the benefit of, and shall 
be binding upon, the Submitter and their respective successors and 
assigns.
    20. SEVERABILITY. Any provision of this Agreement which is 
determined to be invalid or unenforceable will be ineffective to the 
extent of such determination without invalidating the remaining 
provisions of this Agreement or affecting the validity or 
enforceability of such remaining provisions.
    21. NOTICE. All notices or other forms of notification, request or 
instruction required to be given by a party to any other party under 
paragraphs 10, 14, and 15 of this Agreement shall be delivered by hand, 
or sent by first class post or other recognized carrier to the address 
of the addressee as set out in this Agreement or to such other address 
as the addressee may from time to time have notified for the purpose of 
this clause, or sent by electronic means of message transmission 
producing hard copy read-out including telex and facsimile, or 
published in the Federal Register notice, and shall be deemed to have 
been received:
     if sent by electronic means: at the time of transmission 
if transmitted during business hours of the receiving instrument and if 
not during business hours, one hour after the commencement of the next 
working day following the day transmission;
     if sent by first-class post or recognized carrier: 3 
business days after posting exclusive of the day of posting;
     if delivered by hand: on the day of delivery.
    Notwithstanding the above, EPA may at its discretion provide 
notices under paragraphs 7.2, 13, and 17 of this Agreement via 
publication in the Federal Register. Notice shall be deemed to be 
received on the day of publication of the Federal Register notice.
    Notice address for EPA follows: USEPA, ________.
    22. INABILITY TO FILE REPORTS VIA EDI. No party shall be liable for 
any failure to perform its obligations in connection with any EDI 
Transaction or any EDI Document, where such failure results from any 
act or cause beyond such party's control which prevents such party from 
transmitting or receiving any Documents via EDI, except that the 
Submitter is nonetheless required to submit records or information 
required by law via other means, as provided by applicable law and 
within the time period provided by such law.
    23. GOVERNING LAW. This Agreement shall be governed by and 
interpreted in accordance with the Federal laws of the United States.

[[Page 46692]]

    24. CHOICE OF LANGUAGE. (Optional Program-specific application 
clause) The parties have requested that this Agreement and all 
Documents and other communications transmitted via the EDI Network or 
otherwise delivered with respect to this Agreement be expressed in the 
English language. (Should include translation.)
    25. DISPUTE RESOLUTION. All disputes, differences, disagreements, 
and/or claims between the parties arising under or relating to this 
agreement that are not resolved by negotiation and that the parties 
cannot agree to submit for arbitration or other procedure for the 
resolution of disputes, shall be subject to the jurisdiction of U.S. 
Courts.
    26. ENTIRE AGREEMENT. This Agreement [and the Implementation Guide 
and Appendix] constitute the complete agreement of the parties relating 
to the matters specified in this Agreement and supersede all prior 
representations or agreements, whether oral or written, with respect to 
such matters. No oral modification or waiver of any of the provisions 
of this Agreement shall be binding on either party. As the Partners 
develop additional capabilities respecting EDI, additional Addenda may 
be added to this Agreement. EPA does not intend to change guidelines 
without just cause or without consulting industry, however, as a 
practical matter it is too cumbersome to obtain formal agreements from 
each Submitter when technical or procedural changes are required, 
particularly to the Implementation Guidelines. Therefore, EPA will 
publish notice of new Addenda appending this Agreement and their 
effective date in the Federal Register. Upon the effective date, each 
Addendum shall be appended to this Agreement.
    This Agreement is for the benefit of, and shall be binding upon, 
the parties and their respective successors and assigns.

(To be signed by the Delegated Authority in specific EPA Office)

Dated:-----------------------------------------------------------------

----------------------------------------------------------------------
Name of Delegated Authority
Title of Delegated Authority

III. Model of EPA Terms and Conditions Agreement Memorandum

    Program-specific notices will contain the memorandum, similar to 
this model agreement memorandum, which the Submitter will sign and 
return to EPA. The program-specific TCA will stipulate what actions 
will constitute acceptance by EPA of a Submitter's signed and returned 
agreement memorandum and the effective date of the agreement.

BILLING CODE 6560-50-M

[[Page 46693]]

[GRAPHIC] [TIFF OMITTED] TN04SE96.000




[[Page 46694]]


    Dated: August 21, 1996.
Carol M. Browner,
Administrator.
[FR Doc. 96-22381 Filed 9-3-96; 8:45 am]
BILLING CODE 6560-50-C