Tenn. Comp. R. & Regs. 0400-01-40-.05

Current through October 22, 2024

Section 0400-01-40-.05 - ELECTRONIC REPORTING SYSTEM

The Department's electronic document receiving system that receives electronic documents submitted in lieu of paper documents to satisfy a statutory obligation or a regulatory requirement administered by the Department under the applicable portions of Tennessee Code Annotated, Titles 11, 59, 60, 68 and 69 must be able to generate data with respect to any such electronic document, as needed and in a timely manner, including a copy of record for the electronic document, sufficient to prove, in private litigation, civil enforcement proceedings, and criminal proceedings, that:

(1) The electronic document was not altered without detection during transmission or at any time after receipt;

(2) Any alterations to the electronic document during transmission or after receipt are fully documented;

(3) The electronic document was submitted knowingly and not by accident;

(4) Any individual identified in the electronic document submission as a submitter or signatory had the opportunity to review the copy of record in a human-readable format that clearly and accurately associates all the information provided in the electronic document with descriptions or labeling of the information and had the opportunity to repudiate the electronic document based on this review; and

(5) In the case of an electronic document that must bear electronic signatures of individuals as provided by paragraph (4) of Rule 0400-01-40-.04, that:

(a) Each electronic signature was a valid electronic signature at the time of signing;

(b) The electronic document cannot be altered without detection at any time after being signed;

(c) Each signatory had signed the opportunity to review in a human-readable format the content of the electronic document that he or she was certifying to, attesting to or agreeing to by signing;

(d) Each signatory had the opportunity, at the time of signing, to review the content or meaning of the required certification statement, including any applicable provisions that false certification carries criminal penalties;

(e) Each signatory had signed either an electronic signature agreement or a subscriber agreement with respect to the electronic signature device used to create his or her electronic signature on the electronic document;

(f) The electronic document receiving system had automatically responded to the receipt of the electronic document with an acknowledgement that identifies the electronic document received, including the signatory and the date and time of receipt, and was sent to at least one address that does not share the same access controls as the account used to make the electronic submission; and

(g) For each electronic signature device used to create an electronic signature on the document, the identity of the individual uniquely entitled to use the device and his or her relation to any entity for which he or she will sign electronic documents had been determined with legal certainty by the Department. In the case of electronic documents submitted in lieu of paper documents to satisfy a statutory obligation or a regulatory requirement administered by the Department under the applicable portions of Tennessee Code Annotated, Titles 11, 59, 60, 68 and 69, this determination had been made before the electronic document was received, by means of:

1. Identifiers or attributes that are verified (and that may be re-verified at any time) by attestation of disinterested individuals to be uniquely true of (or attributable to) the individual in whose name the application is submitted, based on information or objects of independent origin, at least one item of which is not subject to change with governmental action or authorization;

2. A method of determining identity no less stringent than would be permitted by part 1 of this subparagraph; or

3. Collection of either a subscriber agreement or a certification from the Department that such an agreement has been received and securely stored.

Tenn. Comp. R. & Regs. 0400-01-40-.05

Original rule filed September 28, 2015; effective 12/27/2015.

Authority: T.C.A. §§ 11-1-101, 47-10-101 et seq., and 4-5-201 et seq.