16854 Federal Register / Vol. 60, No. 63 / Monday, April 3, 1995 / Notices

may be made by check, money order, or

NTIS deposit account.

[FR Doc. 95–8069 Filed 3–31–95; 8:45 am]

BILLING CODE 3510–CN–M

[Docket No. 950314073–5073–01]

RIN 0693–AB41

Proposed Revision of Federal

Information Processing Standard

(FIPS) 161–1, Electronic Data

Interchange (EDI)

AGENCY: National Institute of Standards

and Technology (NIST), Commerce.

ACTION: Notice; request for comments.

SUMMARY: A revision of Federal

Information Processing Standard (FIPS)

161–1, Electronic Data Interchange, is

being proposed. The revision reflects

changes in the development of

voluntary industry standards for

Electronic Data Interchange (EDI),

including the planned alignment of the

X12 and UN/EDIFACT families of

standards, and provides updated

guidance to Federal agencies in the

selection of EDI standards. The revision

also establishes a Federal EDI Standards

Management Committee to harmonize

the development of EDI transaction set

and message standards among Federal

agencies, and the setting of governmentwide implementation conventions for

EDI applications used by Federal

agencies.

The purpose of this notice is to solicit

views from the public, manufacturers,

and Federal, state, local government,

and private users prior to submission of

this proposed revision to the Secretary

of Commerce for review and approval.

The proposed revision consists of the

following announcement, which

provides information concerning the

applicability, implementation, and

maintenance of the standard. Interested

parties may obtain copies of documents

defining the EDI standards from Data

Interchange Standards Association, Inc.

(DISA), 1800 Diagonal Road, Suite 200,

Alexandria, VA 22314–2852, telephone

(703) 548–7005.

DATES: Comments on this proposed

revision must be received on or before

July 3, 1995.

ADDRESSES: Written comments

concerning the proposed revision

should be sent to: Director, Computer

Systems Laboratory, ATTN: Proposed

Revision of FIPS 161–1, Technology

Building, Room B–154, National

Institute of Standards and Technology,

Gaithersburg, MD 20899.

Written comments received in

response to this notice will be made part

of the public record and will be made

available for inspection and copying in

the Central Reference and Records

Inspection Facility, Room 6020, Herbert

C. Hoover Building, 14th Street between

Pennsylvania and Constitution

Avenues, NW, Washington, DC 20230.

FOR FURTHER INFORMATION CONTACT:

Mr. Roy Saltman, Computer Systems

Laboratory, National Institute of

Standards and Technology,

Gaithersburg, MD 20899, telephone

(301) 975–3376.

EXECUTIVE ORDER 12866: This FIPS notice

has been determined to be ‘‘not

significant’’ for purposes of E.O. 12866.

Dated: March 28, 1995.

Samuel Kramer,

Associate Director.

Proposed Federal Information

Processing Standards Publication 161–

2; Draft 1995 February 16; Draft

Announcing the Standard for Electronic

Data Interchange (EDI)

Federal Information Processing

Standards Publications (FIPS PUBS) are

issued by the National Institute of

Standards and Technology (NIST) after

approval by the Secretary of Commerce

pursuant to section 111(d) of the Federal

Property and Administrative Services

Act of 1949 as amended by the

Computer Security Act of 1987, Pub. L.

100–235.

1. Name of Standard. Electronic Data

Interchange (EDI) (FIPS PUB 161–2).

2. Category of Standard. Software

Standard, Electronic Data Interchange.

3. Explanation. EDI is the computerto-computer transmission of strictly

formatted messages that represent

documents; EDI is an essential

component of electronic commerce (EC).

EC is the use of documents in electronic

form, rather than paper, for carrying out

functions of business or government

that require interchanges between

organizations of information,

obligations, or monetary value.

This publication adopts, as a Federal

Information Processing Standard,

recognized national and international

standards for EDI. In EDI, data that

would be traditionally conveyed on

paper documents are transmitted or

communicated electronically according

to established rules and formats. The

data that are associated with each type

of functional document, such as a

purchase order or invoice, are

transmitted together as an electronic

message. The formatted data may be

transmitted from originator to recipient

via telecommunications or physically

transported on electronic storage media.

EDI typically implies a sequence of

messages between two parties, for

example, buyer and seller, either of

whom may serve as originator or

recipient. Messages from buyer to seller

could include, for example, the data

necessary for request for quotation

(RFQ), purchase order, receiving advice,

and payment advice; messages from

seller to buyer could include similarly

the data for response to RFQ, purchase

order acknowledgment, shipping notice,

and invoice. EDI is being used also for

an increasingly diverse set of concerns,

for example, for interchanges between

healthcare providers and insurers, and

for governmental regulatory, tax, and

statistical reporting.

Implementation of EDI requires the

use of a family of interrelated standards.

The family must include standards for

types of messages (also called

‘‘transaction sets’’), and for transmission

envelopes, data elements, and short

sequences of data elements called data

segments. A message or transaction set

standard defines the sequence of data

segments that constitute that message or

transaction set. The data segment

directory lists all data segments, and

defines the identifier and sequence of

data elements constituting each. The

data element directory (also called a

‘‘dictionary’’) provides specifications of

all data elements. Transmission

envelopes provide control information

about the included messages to the

carrying and receiving systems.

The standardization of message

formats, and of data segments and

elements within the messages, makes

possible the assembling, disassembling,

and processing of the messages by

computer.

This FIPS PUB adopts, with specific

conditions, the families of standards

known as X12 and UN/EDIFACT. This

FIPS PUB does not mandate the

implementation of EDI systems within

the Federal Government; rather it

requires the use of X12 or UN/EDIFACT,

subject to the conditions specified

below, when Federal departments or

agencies implement EDI systems. The

X12 and UN/EDIFACT standards were

originally developed respectively by

Accredited Standards Committee X12

on Electronic Data Interchange (ASC

X12), accredited by the American

National Standards Institute (ANSI), and

by the United Nations (UN) Economic

Commission for Europe—Working Party

(Four) on Facilitation of International

Trade Procedures (UN/ECE/WP.4).

Technical input from the United States

in the development of UN/EDIFACT at

the UN is through the Pan American

EDIFACT Board (PAEB). The PAEB is

separate from ASC X12, and it serves as

the coordinating body for national
Federal Register / Vol. 60, No. 63 / Monday, April 3, 1995 / Notices 16855

standards organizations of North,

Central, and South America.

FIPS PUB 161–2 supersedes FIPS PUB

161–1 in its entirety. FIPS PUB 161–2

contains editorial changes, updated

references to documents and

organizations, and updated guidance to

agencies on the selection of X12 and

UN/EDIFACT standards and

implementation conventions. This

guidance is based on recent voluntary

industry standards activities and on the

Federal Government initiative that

commenced with the Presidential

Memorandum of October 26, 1993

entitled ‘‘Streamlining Procurement

Through Electronic Commerce.’’

4. Approving Authority. Secretary of

Commerce.

5. Maintenance Agency. U.S.

Department of Commerce, National

Institute of Standards and Technology

(NIST), Computer Systems Laboratory.

6. Cross Index and Related

Documents.

6.1. Cross Index.

—FIPS PUB 113, Computer Data

Authentication, May 1985.

—FIPS PUB 46–2, Data Encryption

Standard, December 1993.

—FIPS PUB 186, Digital Signature

Standard (DSS), May 1994.

—FIPS PUB 146–2, Profiles for Open

Systems Internetworking

Technologies, expected approval

1995.

—FIPS PUB 180–1, Secure Hash

Standard, expected approval 1995.

6.2. Related Documents.

—NIST Special Publication 500–224,

Stable Implementation Agreements

for Open Systems Interconnection

Protocols, Version 8, Edition 1, March

1995.

—NIST Special Publication 800–9, Good

Security Practices for Electronic

Commerce, Including Electronic Data

Interchange, December 1993.

—ASC X12W/94–710, ASC X12 Plan for

Technical Migration To And

Administrative Alignment With UN/

EDIFACT, approved by ASC X12 on

January 13, 1995 and modified at the

ASC X12 plenary meeting, February 6,

1995.

—NISTIR xxxx, Charter for Federal EDI

Standards Management Committee,

expected 1995.

6.3. Sources of Documents. For the

source of cited NIST publications,

including FIPS PUBS, see Section 13.

For the source of X12 and UN/EDIFACT

documents, see Subsection 10.1.

7. Objectives. The primary objectives

of this standard are:

a. To promote the achievement of the

benefits of EDI: reduced paperwork,

fewer transcription errors, faster

response time for procurement and

customer needs, reduced inventory

requirements, and more timely payment

of vendors;

b. To ease the interchange of data sent

via EDI by the use of standards for data

formats and transmission envelopes;

c. To minimize the cost of EDI

implementation by preventing

duplication of effort.

8. Applicability.

8.1. Conditions of Application. EDI

may be employed with any type of

operational data representable as a

sequence of data elements that is

needed to be transmitted or received on

a repetitive basis by a Federal agency in

the course of its activities. This standard

is applicable to the interchange of such

data on a particular subject, between a

Federal agency and another organization

(which may be another Federal agency),

if (1) the data are to be transmitted

electronically using EDI, and (2) X12

transaction sets or UN/EDIFACT

messages meeting the data requirements

of the Federal agency for the subject of

the interchange have been developed

and approved, and are acceptable for

use under the conditions set forth in

this FIPS PUB.

8.2. Subject Matter. Examples of

applications (not necessarily the subject

of current standards) are:

a. Vendor search and selection: Price/

sales catalogs, bids, proposals, requests

for quotations, notices of contract

solicitation, debarment data, trading

partner profiles;

b. Contract award: Notices of award,

purchase orders, purchase order

acknowledgments, purchase order

changes;

c. Product data: Specifications,

manufacturing instructions, reports of

test results, safety data;

d. Shipping, forwarding, and

receiving: Shipping manifests, bills of

lading, shipping status reports,

receiving reports;

e. Customs: Release information;

manifest update;

f. Payment information: Invoices,

remittance advices, payment status

inquiries, payment acknowledgments;

g. Inventory control: Stock level

reports, resupply requests, warehouse

activity reports;

h. Maintenance: Service schedules

and activity, warranty data;

i. Tax-related data: Tax information

and filings;

j. Insurance-related data: Health care

claim; mortgage insurance application;

k. Other government activities:

Communications license application;

hazardous waste report; court

conviction record.

9. Federal EDI Standards

Development and Coordination.

9.1. Federal EDI Standards

Management Committee. There is

established a Federal EDI Standards

Management Committee (FESMC). The

goal of the FESMC is to assure a single

Government face to industry,

consistency among instances of an

application across agencies, streamlined

data, and coordinated Government

representation at standards bodies.

Functions of the committee include

harmonization of development of EDI

transaction set and message standards

among Federal agencies, and the setting

of Government-wide implementation

conventions for each EDI application

used by Federal agencies. Workgroups

in subject areas such as finance,

procurement, and transportation will be

established under FESMC. Membership

on the committee shall be from Federal

agencies using or planning to use EDI;

selection of the chair of the committee

shall be approved by the Office of

Management and Budget.

9.2. Agency Responsibilities.

9.2.1. Agencies already employing

X12 or UN/EDIFACT standards or draft

standards approved under this FIPS

PUB shall submit their implementations

to FESMC for coordination.

9.2.2. For the case in which X12 or

UN/EDIFACT documents are available

or under development for a needed

subject area but do not meet agency

requirements, agencies shall submit

their requirements to FESMC to

coordinate need changes, and shall

submit their requirements to ASC X12

by following procedures specified in

ASC X12 Standing Document (SD) 2,

Operations Manual, and SD 6,

Operations Manual (UN/EDIFACT

Standards). These are available from

Data Interchange Standards Association,

Inc. (DISA) (see Subsection 10.1 for

address and phone number).

9.2.3. For the case in which a subject

area for which an agency wishes to use

EDI has not yet been considered for

standardization, agencies shall submit

their requirements for standardization to

FESMC and to ASC X12, as described in

Subsection 9.2.2. Proposed

implementations shall maximize use of

existing X12 and/or UN/EDIFACT

standards or draft standards to the

extent possible. Use of already approved

documents should minimize the

administrative work involved in new

development and in standards

maintenance.

9.2.4. Agencies shall adopt the

implementation conventions (ICs)

established by FESMC. ICs shall be

classified as Implementer’s Agreements

pursuant to this FIPS PUB, but are not

themselves FIPS PUBS. Proposed ICs

will be coordinated with industry. NIST
16856 Federal Register / Vol. 60, No. 63 / Monday, April 3, 1995 / Notices

will publish ICs and maintain a registry

of them.

10. Specifications. Documents are

available that define the standard X12

transaction sets and UN/EDIFACT

messages as well as the foundation

standards for both families.

Developments are continuing in both

families of standards.

10.1 Source of Documents.

Documents defining both the X12 and

UN/EDIFACT families of standards, as

well as ASC X12 and PAEB operational

and procedural documents, are available

from DISA or from a contractor named

by DISA. DISA serves as the secretariat

for ASC X12 and the PAEB: its address

and phone number are: Address: Data

Interchange Standards Association, Inc.,

1800 Diagonal Road—Suite 200,

Alexandria, VA 22314–2852, Phone:

(703) 548–7005.

A list of available publications, as

well as descriptive material, prices and

ordering procedures, may be found in

the most recent DISA Publications

Catalog.

10.2. ASC X12 Documents.

10.2.1. X12 standards are published

periodically with revisions and updates,

and standards included in a publication

may have one of two possible statuses:

(1) Draft Standards for Trial Use

(DSTUs); these are fully approved by

ASC X12, and are typically published as

‘‘releases’’ at one-year intervals. DSTU

Version 3, Release 4, identified as

003040, was published in December

1993; Version 3, Release 5, identified as

003050, was published in December

1994. Two interim subreleases also are

published annually. The 1994

subreleases were identified as 003041

and 003042.

(2) American National Standards

(ANSs); these are fully approved by ASC

X12 and by ANSI, and are typically

published as ‘‘versions’’ at intervals of

three to five years. ANS Version 3,

published in March 1992, is

functionally equivalent to DSTU

Version 2, Release 4. It is expected that

ANS Version 4, planned for 1997, will

be functionally equivalent to DSTU

Version 3, Release 7, identified as

003070.

10.2.2. A particular X12 standard is

one of three types; it may be a ‘‘control

and foundation standard,’’ it may be a

‘‘transaction set’’ (which uses X12

syntax), or it may be an EDIFACTsyntax ‘‘message.’’

10.2.3. Control and foundation

standards currently include the

following:

Data Element Dictionary X12.3

Interchange Control Structure X12.5

Application Control Structure X12.6

Segment Directory X12.22

Interconnect Mailbag Control Structures

X12.56

Security Structures X12.58

Implementation of EDI Structures—

Semantic Impact X12.59

Standards X12.5 and X12.6 define the

X12 syntax.

10.2.4. DSTU Version 3 Release 5

includes 225 transaction set standards

and two EDIFACT-syntax message

standards.

10.3 UN/EDIFACT Documents.

10.3.1. Un/EDIFACT standards are

published periodically with revisions

and updates, and standards included in

a publication may have one of two

possible statuses:

(1) Status 1, approved for trial use. A

set of status 1 messages and directories

is typically published yearly. The most

recent set, identified as UN/EDIFACT

Draft Messages and Directories, Version

D94.B, was published in October 1994.

(2) Status 2, fully approved by UN/

ECE/WP.4. These may be referred to as

the UN Trade Data Interchange

Directory (UNTDID).

Version S93.A was approved in

March 1994, and Version S95.A is

expected in September 1995.

10.3.2. The D94.B Status 1 Draft

Messages and Directories include the

following:

Uniform Rules of Conduct for

Interchange of Trade Data by

Teletransmission (UNCID);

UN/EDIFACT Terminology;

United National Rules for EDIFACT

United Nationals Directories for

EDIFACT

75 Messages of Status 1

The United Nations Rules for

EDIFACT include sections on

establishment of United Nations

standard message types (UNSMs),

syntax rules (see Subsection 10.3.4),

syntax implementation guidelines,

message design guidelines, and general

introduction for UNSM descriptions.

The United Nations Directories for

EDIFACT include the standard message

type directory, message, frameworks,

segment directory, composite data

element directory, data element

directory, and code lists.

10.3.3. The S93.A Status 2 Messages

and Directories (UNTDID) includes the

same types of information provided in

D94.B, excepting that approved

messages of Status 2 instead of Status 1

are listed. Forty-two messages of Status

2 are specified.

10.3.4. A foundation standard used in

UN/EDIFACT is approved by the

International Organization for

Standardization (ISO); it is entitled ISO

9735—UN/EDIFACT Application Level

Syntax Rules. There are several

versions: Version 1 (1988), Version 2

(1990), and Version 3 (Version 2 with

Amendment 1 of December, 1992).

Version 3 is included in D94.B. Version

4 is expected in March, 1995.

11. Implementation.

11.1 Schedule for Adoption. FIPS

PUB 161 was effective on September 30,

1991. Federal agencies that are not using

EDI for subject matter for which X12 or

UN/EDIFACT standards have been

approved and issued shall utilize only

those standards in EDI systems that they

procure or develop, subject to the

qualifications of Subsections 11.3, 11.4

and 11.5. Agencies already using those

standards continue to do so. Agencies

that were using industry-specific

standards for EDI on September 30,

1991 shall be governed by Subsection

11.6.

11.2. Acceptance of UN/EDIFACT. In

January 1995, ASC X12, by a vote of its

membership, approved the ASC X12

Plan for Technical Migration To And

Administrative Alignment with UN/

EDIFACT. This plan was modified at the

February 1995 plenary meeting of ASC

X12. Key features of the modified

Alignment Plan are:

(1) Draft standards based on X12

syntax or on UN/EDIFACT syntax may

be submitted by ASC X12 for processing

as ANSs.

(2) X12 Release 003070 shall form the

basis of Version 4 of draft proposed X12

American National Standards (ANSs).

(3) After the release of Version 4, ASC

X12 shall continue for a period of time,

in accordance with the plan, to develop,

maintain, approve and publish X12-

syntax transaction sets and supporting

documents.

(4) An ASC X12 ballot shall be

conducted in 1998 to determine if X12-

syntax transaction set development

should be terminated. If the ballot for

termination is not approved, a threeyear repeating cycle shall occur

thereafter, until no new x12-syntax

transaction sets are being developed.

11.3. Selection of X12 or UN/

EDIFACT. X12 and UN/EDIFACT are

separate although similar, families of

standards. The existence of one does not

preclude the other, and equivalent

functionality may be obtained in either

system. Software that assembles and

disassembles messages and transaction

sets called translation software, is

available for both systems, often in the

same package.

In selecting a family of standards,

agencies should attempt to maximize

economy and efficiency and to

minimize the costs imposed on U.S.

businesses.
Federal Register / Vol. 60, No. 63 / Monday, April 3, 1995 / Notices 16857

11.3.1. For domestic interchanges,

agencies may use, at this time, standards

employing either X12 or UN/EDIFACT

syntax or both. Selection of syntax for

an interchange shall take into account

the prevailing syntax used in the

industry of the interchange partner.

However, standards using UN/EDIFACT

syntax shall be employed for new or

significantly upgraded interchanges in

the absence of demonstrably higher

costs, or at the request of interchange

partners providing a significant fraction

of interchange traffic. Continued longterm use and maintenance of dual

standards is unacceptably inefficient.

11.3.2. For internal interchanges,

migration to standards using UN/

EDIFACT syntax shall commence at this

time if that syntax is not currently being

used. A timetable for conversion to UN/

EDIFACT of existing international

implementations shall be set as

applicable standards and software

becomes available. New or significantly

upgraded interchanges shall employ

only standards using UN/EDIFACT

syntax.

11.4. Use of Draft Standards. Both

X12-syntax and EDIFACT-syntax

standards approved and published by

ASC X12, if not approved at a higher

level are designated DSTUs for purposes

of this FIPS PUB. Federal agencies shall

use only the following two type of

standards for EDI implementations: (1)

Draft standards, i.e., UN/EDIFACT

Status 1 standards or STUs from ASC

X12, or (2) full standards, i.e., UN/

EDIFACT Status 2 standards or ANSs

submitted by ASC X12. Industry

practice is to use draft standards; these

represent the latest consensus and are

available sooner than the corresponding

full standards. Consequently, draft

standards are preferred for use over full

standards.

11.5. Age-Limitations on Acceptable

Standards. Agencies, in their

agreements with interchange partners,

may not use any version of an

acceptable standard specified in

Subsections 11.3 and 11.4 that is more

than four years old, unless it is the most

recent version. Any version of an ISO

standard may be used, e.g., ISO 9735,

subject to the same age-limitation.

11.6. Continued Use of EDI Industry

Standards. Federal agencies using

industry-specific EDI standards on

September 30, 1991 may continue to use

those standards for five years from that

date. However, such agencies shall,

without delay, submit their

standardization requirements as

indicated in Subsections 9.2.2 and 9.2.3.

Industry-specific EDI standards may be

used beyond five years only if no

equivalent X12 or UN/EDIFACT

standards, as appropriate, have been

approved and issued by September 30,

1995. If an equivalent X12 DSTU or UN/

EDIFACT Status 1 standard, as

appropriate, is approved and issued

after September 30, 1995, Federal

agencies using an industry-specific

standard shall have one year to convert,

following the first publication of the

approved standard. Implementation

shall be consistent with the

requirements of Subsections 11.3 and

11.4.

11.7. Security and Authentication.

Agencies shall employ risk management

techniques to determine the appropriate

mix of security controls needed to

protect specific data and systems. The

selection of controls shall take into

account procedures required under

applicable laws and regulations.

Optional tools and techniques for

implementation of security and

authentication may be provided by ASC

X12 and UN/ECE/WP.4 for use in

connection with their respective

families of standards. Agencies may

utilize these tools and techniques, and/

or they may utilize other methods in

systems supporting the EDI data

interchange. Methods and procedures

implemented shall be consistent with

applicable FIPS PUBS and guidance

documents issued by NIST.

12. Waivers. Under certain

exceptional circumstances, the heads of

Federal departments and agencies may

approve waivers to Federal Information

Processing Standards (FIPS). The head

of such agency may redelegate such

authority only to a senior official

designated pursuant to section 3506(b)

of Title 44, U.S.Code.

Waivers shall be granted only when:

a. Compliance with a standard would

adversely affect the accomplishment of

the mission of an operator of a Federal

computer system, or

b. Cause a major adverse financial

impact on the operator which is not

offset by Governmentwide savings.

Agency heads may act upon a written

waiver request containing the

information detailed above. Agency

heads may also act without a written

waiver request when they determine

that conditions for meeting the standard

cannot be met. Agency heads may

approve waivers only by a written

decision which explains the basis on

which the agency head made the

required finding(s). A copy of each such

decision, with procurement sensitive or

classified portions clearly identified,

shall be sent to: National Institute of

Standards and Technology; Attn: FIPS

Waiver Decisions, Technology Building,

Room B–154; Gaithersburg, MD 20899.

In addition, notice of each waiver

granted and each delegation of authority

to approve waivers shall be sent

promptly to the Committee on

Government Reform and Oversight of

the House of Representatives and the

Committee on Governmental Affairs of

the Senate and shall be published

promptly in the Federal Register.

When the determination on a waiver

applies to the procurement of

equipment and/or services, a notice of

the waiver determination must be

published in the Commerce Business

Daily as part of the notice of solicitation

for officers of an acquisition or, if the

waiver determination is made after that

notice is published, by amendment to

such notice.

A copy of the waiver, any supporting

documents, the document approving the

waiver and any supporting and

accompanying documents, with such

deletions as the agency is authorized

and decides to make under 5 U.S.C. sec.

552(b), shall be part of the procurement

documentation and retained by the

agency.

13. Where to Obtain Copies of NIST

Publications. Copies of this publication

and NIST publications referenced in

Section 6 are for sale by the National

Technical Information Service (NTIS),

U.S. Department of Commerce,

Springfield, VA 22161; phone (703)

487–4650. When ordering this

publication, refer to Federal Information

Processing Standards Publication 161–2

(FIPSPUB161–2), the title. Payment may

be made by check, money, or NTIS

deposit account.

[FR Doc. 95–8068 Filed 3–31–95; 8:45 am]

BILLING CODE 3510–CN–M

National Oceanic and Atmospheric

Administration

[I.D. 032395B]

Endangered Species; Permits

AGENCY: National Marine Fisheries

Service (NMFS), National Oceanic and

Atmospheric Administration (NOAA),

Commerce.

ACTION: Issuance of Amendment 1 to

Permit 895 (P504D).

Notice is hereby given that on March

28, 1995, as authorized by the

provisions of the Endangered Species

Act of 1973 (ESA) (16 U.S.C. 1531-1543)

and the NMFS regulations governing

listed fish and wildlife permits (50 CFR

parts 217-222), NMFS issued

Amendment 1 to Permit Number 895

held by the Army Corps of Engineers

(P504D), to transport listed Snake River