Current through September 24, 2024
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.
Authority: T.C.A. §§
11-1-101,
47-10-101 et seq., and
4-5-201 et seq.
