Federal & State Regulations | Subpart D - Electronic Reporting Under EPA-Authorized State, Tribe, and Local Programs

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§3.1000 How does a state, tribe, or local government revise or modify its authorized program to allow electronic reporting?

(a) A state, tribe, or local government that receives or plans to begin receiving electronic documents in lieu of paper documents to satisfy requirements under an authorized program must revise or modify such authorized program to ensure that it meets the requirements of this part.

(1) General procedures for program modification or revision: To revise or modify an authorized program to meet the requirements of this part, a state, tribe, or local government must submit an application that complies with paragraph (b)(1) of this section and must follow either the applicable procedures for program revision or modification in other parts of Title 40, or, at the applicant's option, the procedures provided in paragraphs (b) through (e) of this section.

§3.2000 What are the requirements authorized state, tribe, and local programs' reporting systems must meet?

(a) Authorized programs that receive electronic documents in lieu of paper to satisfy requirements under such programs must:

(1) Use an acceptable electronic document receiving system as specified under paragraphs (b) and (c) of this section; and

(2) Require that any electronic document must bear the valid electronic signature of a signatory if that signatory would be required under the authorized program to sign the paper document for which the electronic document substitutes, unless the program has been approved by EPA to accept a handwritten signature on a separate paper submission. The paper submission must contain references to the electronic document sufficient for legal certainty that the signature was executed with the intention to certify to, attest to, or agree to the content of that electronic document.

(b) An electronic document receiving system that receives electronic documents submitted in lieu of paper documents to satisfy requirements under an authorized program 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 under paragraph (a)(2) of this section, that:

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

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

(iii) Each signatory had 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;

(iv) 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;

(v) Each signatory has 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;

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

(vii) 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 has been determined with legal certainty by the issuing state, tribe, or local government. In the case of priority reports identified in the table in Appendix 1 of Part 3, this determination has been made before the electronic document is received, by means of:

(A) 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 without governmental action or authorization; or

(B) A method of determining identity no less stringent than would be permitted under paragraph (b)(5)(vii)(A) of this section; or

(C) Collection of either a subscriber agreement or a certification from a local registration authority that such an agreement has been received and securely stored.

(1) A person is subject to any appropriate civil, criminal penalties or other remedies under state, tribe, or local law for failure to comply with a reporting requirement if the person fails to comply with the applicable provisions for electronic reporting.

(2) Where an electronic document submitted to satisfy a state, tribe, or local reporting requirement bears an electronic signature, the electronic signature legally binds or obligates the signatory, or makes the signatory responsible, to the same extent as the signatory's handwritten signature on a paper document submitted to satisfy the same reporting requirement.

(3) Proof that a particular electronic signature device was used to create an electronic signature that is included in or logically associated with an electronic document submitted to satisfy a state, tribe, or local reporting requirement will suffice to establish that the individual uniquely entitled to use the device at the time of signature did so with the intent to sign the electronic document and give it effect.

(4) Nothing in the authorized program limits the use of electronic documents or information derived from electronic documents as evidence in enforcement proceedings.

Appendix 1 to Part 3 - Priority Reports

Category	Description	40 CFR Citation
¹ Included within each permit application category, though sometimes not listed, are the permits submitted to run/operate/maintain facilities and/or equipment/products under EPA or authorized programs.
Required Reports
State Implementation Plan	Emissions data reports for mobile sources	51.60(c).
Excess Emissions and Monitoring Performance Report Compliance Notification Report	Excess emissions and monitoring performance report detailing the magnitude of excess emissions, and provides the date, time, and system status at the time of the excess emission	60.7(c), 60.7(d).
New Source Performance Standards Reporting Requirements	Semi-annual reports (quarterly, if report is approved for electronic submission by the permitting authority) on sulfur dioxide, nitrous oxides and particulate matter emission (includes reporting requirements in Subparts A through DDDD)	60.49a(e) & (j) & (v), 60.49b(v).
Semi-annual Operations and Corrective Action Reports	Semi-annual report provides information on a company's exceedance of its sulfur dioxide emission rate, sulfur content of the fresh feed, and the average percent reduction and average concentration of sulfur dioxide. When emissions data is unavailable, a signed statement is required which documents the changes, if any, made to the emissions control system that would impact the company's compliance with emission limits	60.107(c), 60.107(d).
National Emission Standards for Hazardous Air Pollutants Reporting Requirements	Include such reports as: Annual compliance, calculation, initial startup, compliance status, certifications of compliance, waivers from compliance certifications, quarterly inspection certifications, operations, and operations and process change	61.11, 61.24(a)(3) & (a)(8), 61.70(c)(1) & (c)(2)(v) & (c)(3) & (c)(4)(iv), 61.94(a) & (b)(9), 61.104(a) & (a)(1)(x) & (a)(1)(xi) & (a)(1)(xvi), 61.138(e) & (f), 61.165(d)(2) & (d)(3) & (d)(4) & (f)(1) & (f)(2) &(f)(3), 61.177(a)(2) & (c)(1) & (c)(2) & (c)(3) & (e)(1) & (e)(3), 61.186(b)(1) & (b)(2) & (b)(3) & (c)(1) & (f)(1), 61.247(a)(1) & (a)(4) & (a)(5)(v) & (b)(5) & (d), 61.254(a)(4), 61.275(a) & (b) & (c), 61.305(f) & (i), 61.357(a) & (b) & (c) & (d), 63.9(h).
Hazardous Air Pollutants Compliance Report	Reports containing results from performance test, opacity tests, and visible emissions tests. Progress reports; periodic and immediate startup, shutdown, and malfunction reports; results from continuous monitoring system performance evaluations; excess emissions and continuous monitoring system performance report; or summary report	63.10(d), 63.10(e)(1), 63.10(e)(3).
Notifications and Reports	Reports that document a facility's initial compliance status, notification of initial start-up, and periodic reports which includes the startup, shutdown, and malfunction reports discussed in 40 CFR 65.6(c)	65.5(d), 65.5(e).
Continuous Emissions Monitoring	Quarterly emissions monitoring reports and opacity reports which document a facility's excess emission	75.64, 75.65.
Notice of Fuel or Fuel Additive Registration and Health Effects Testing	Registration of new fuels and additives, and the submission and certification of health effect data	79.10, 79.11, 79.20, 79.21, 79.51.
Manufacture In-Use and Product Line Emissions Testing	Reports that document the emissions testing results generated from the in-use testing program for new and in-use highway vehicle ignition engines; non-road spark-ignition engines; marine spark-ignition engines; and locomotives and locomotive engines	86.1845, 86.1846, 86.1847, 90.113, 90.1205, 90.704, 91.805, 91.504, 92.607, 92.508, 92.509.
Industrial and Publicly Owned Treatment Works Reports	Discharge monitoring reports for all individual permittees - including baseline reports, pretreatment standards report, periodic compliance reports, and reports made by significant industrial users	122.41(l)(4)(i), 403.12(b) & (d) & (e) & (h).
Event Driven Notices
State Implementation Plan	Owners report emissions data from stationary sources	51.211.
Report For Initial Performance Test	Report that provides the initial performance test results, site-specific operating limits, and, if installed, information on the bag leak detection device used by the facility	60.2200 (initial performance tests).
Emissions Control Report	Report submitted by new sources within 90 days of set-up which describes emission control equipment used, processes which generate asbestos-containing waste material, and disposal information	61.153(a)(1), 61.153(a)(4)(i), 61.153(a)(5)(ii).
State Operating Permits - Permit Content	Monitoring and deviation reports under the State Operating Permit	70.6(a)(3)(iii)(A), 70.6(a)(3)(iii)(B).
Title V Permits - Permit Content	Monitoring and deviation reports under the Federal Operating Permit	71.6(a)(3)(iii).
Annual Export Report	Annual report summarizing the amount and type of hazardous waste exported	262.56(a).
Exceptions Reports	Reports submitted by a generator when the generator has not received confirmation from the Treatment, Storage, and Disposal Facility (TSDF) that it received the generator's waste and when hazardous waste shipment was received by the TSDF. For exports, reports submitted when the generator has not received a copy of the manifest from the transporter with departure date and place of export indicated; and confirmation from the consignee that the hazardous waste was received or when the hazardous waste is returned to the U.S	262.42, 262.55.
Contingency Plan Implementation Reports	Follow-up reports made to the Agency for all incidents noted in the operating record which required the implementation of a facility's contingency plan	264.56(j), 265.56(j).
Significant Manifest Discrepancy Report	Report filed by Treatment, Storage, and Disposal Facilities (TSDF) within 15 days of receiving wastes, when the TSDF is unable to resolve manifest discrepancies with the generator	264.72(b), 265.72(b).
Unmanifested Waste Report	Report that documents hazardous waste received by a Treatment, Storage, and Disposal Facility without an accompanying manifest	264.76, 265.76.
Noncompliance Report	An owner/operator submitted report which documents hazardous waste that was placed in hazardous waste management units in noncompliance with 40 CFR sections 264.1082(c)(1) and (c)(2); 264.1084(b); 264.1035(c)(4); or 264.1033(d)	264.1090.
Notification - Low Level Mixed Waste	One-time notification concerning transportation and disposal of conditionally exempted waste	266.345.
Notification - Land Disposal Restrictions	One-time notification and certification that characteristic waste is no longer hazardous	268.9(d).
Underground Storage Tank Notification	Underground Storage Tank system notifications concerning design, construction, and installation. As well as when systems are being placed in operation. (EPA Form 7530-1 or state version.)	280.22.
Free Product Removal Report and Subsequent Investigation Report	Report written and submitted within 45 days after confirming a free product release, including information on the release and recovery methods used for the free product, and when test indicate presence of free product, response measures	280.64, 280.65.
Manufacture or Import Premanufacture Notification	Premanufacture notification of intent to begin manufacturing, importing, or processing chemicals identified in Subpart E for significant new use (forms 7710-56 and 7710-25)	720.102, 721.25.
Permit Applications ¹
State Implementation Plan	Information describing the source, its construction schedule, and the planned continuous emissions reductions system	52.21(n).
State Operating Permits	Reports, notices, or other written submissions required by a State Operating Permit	70.6(c)(1).
Title V Permits - Permit Content	Reports, notices, or other written submissions required by a Title V Operating Permit	71.6(c)(1), 71.25(c)(1).
Title V Permits	Specific criteria for permit modifications and or revisions, including a certification statement by a responsible official	71.7(e(2)(ii)(c).
Reclaimer Certification	Certification made by a reclaimer that the refrigerant was reprocessed according to specifications and that no more than 1.5% of the refrigerant was released during the reclamation	82.164.
Application for Certification and Statement of Compliance	Control of Emissions for New and In-Use Highway Vehicles and Engines statement of compliance made by manufacturer, attesting that the engine family complies with standards for new and in-use highway vehicles and engines	86.007-21 (heavy duty), 1844-01 (light duty).
Application for Certification	Application made by engine manufacturer to obtain certificate of conformity	89.115, 90.107, 91.107, 92.203, 94.203.
National Pollutant Discharge Elimination System	National Pollutant Discharge Elimination System (NPDES) Permits and Renewals (includes individual permit applications, NPDES General Form 1, and NPDES Forms 2A-F, and 2S)	122.21.
Resource Conservation and Recovery Act Permit Applications and Modifications	Signatures for permit applications and reports; submission of permit modifications. (This category excludes Class I permit modifications (40 CFR 270.42, Appendix I) that do not require prior approval)	270.11, 270.42.
Certifications of Compliance/Non-Applicability
State Implementation Plan Requirements	State implementation plan certifications for testing, inspection, enforcement, and continuous emissions monitoring	51.212(c), 51.214(e).
Certification Statement	Chemical Accident Prevention Provisions - Risk Management Plan certification statements	68.185.
Title V Permits	Federal compliance certifications and permit applications	70.5(c)(9), 70.5(d), 70.6(c)(5).
State Operating Permits	State compliance certifications and permit applications	71.5(c)(9), 71.5(d), 71.24(f).
Annual and Other Compliance Certification Reports	Annual compliance certification report and is submitted by units subject to acid rain emissions limitations	72.90.
Annual Compliance Certification Report, Opt-In Report, and Confirmation Report	Annual compliance certification report which is submitted in lieu of annual compliance certification report listed in Subpart I of Part 72	74.43.
Quarterly Reports and Compliance Certifications	Continuous Emission Monitoring certifications, monitoring plans, and quarterly reports for NO_X emissions	75.73.
Certification Letters Recovery and Recycling Equipment, Motor Vehicle Air Conditioners Recycling Program, Detergent Package	Protection of Stratospheric Ozone: Recycling & Emissions Reduction. Acquisition of equipment for recovery or recycling made by auto repair service technician and Fuels and Fuel Additives Detergent additive certification	79.4, 80.161, 82.162, 82.42.
Response Plan Cover Sheet	Oil Pollution Prevention certification to the truth and accuracy of information	112 (Appendix f).
Closure Report	Report which documents that closure was in accordance with closure plan and/or details difference between actual closure and the procedures outlined in the closure plan	146.71.
Certification of Closure and Post Closure Care, Post-Closure Notices	Certification that Treatment, Storage, and Disposal Facilities (TSDF) are closed in accordance with approved closure plan or post-closure plan	264.115, 264.119, 264.119(b)(2), 264.120, 265.115, 265.119(b)(2), 265.120, 265.19.
Certification of Testing Lab Analysis	Certification that the testing and/or lab analyses required for the treatment demonstration phase of a two-phase permit was conducted	270.63.
Periodic Certification	Certification that facility is operating its system to provide equivalent treatment as in initial certification	437.41(b).