[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
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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).
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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).
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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.
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\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).
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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.
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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:-----------------------------------------------------------------
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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