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