- § 3.1000 - How does a state, tribe, or local government revise or modify its authorized program to allow electronic reporting?
- § 3.2000 - What are the requirements authorized state, tribe, and local programs' reporting systems must meet?
- APPENDIX Appendix 1 - Appendix 1 to Part 3—Priority Reports
§ 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.
(2) Programs planning to receive electronic documents under an authorized program: A state, tribe, or local government that does not have an existing electronic document receiving system for an authorized program must receive EPA approval of revisions or modifications to such program in compliance with paragraph (a)(1) of this section before the program may receive electronic documents in lieu of paper documents to satisfy program requirements.
(3) Programs already receiving electronic documents under an authorized program: A state, tribe, or local government with an existing electronic document receiving system for an authorized program must submit an application to revise or modify such authorized program in compliance with paragraph (a)(1) of this section no later than January 13, 2010. On a case-by-case basis, this deadline may be extended by the Administrator, upon request of the state, tribe, or local government, where the Administrator determines that the state, tribe, or local government needs additional time to make legislative or regulatory changes in order to meet the requirements of this part.
(4) Programs with approved electronic document receiving systems: An authorized program that has EPA's approval to accept electronic documents in lieu of paper documents must keep EPA apprised of those changes to laws, policies, or the electronic document receiving systems that have the potential to affect program compliance with § 3.2000. Where the Administrator determines that such changes require EPA review and approval, EPA may request that the state, tribe, or local government submit an application for program revision or modification; additionally, a state, tribe, or local government on its own initiative may submit an application for program revision or modification respecting their receipt of electronic documents. Such applications must comply with paragraph (a)(1) of this section.
(5) Restrictions on the use of procedures in this section: The procedures provided in paragraphs (b) through (e) of this section may only be used for revising or modifying an authorized program to provide for electronic reporting and for subsequent revisions or modifications to the electronic reporting elements of an authorized program as provided under paragraph (a)(4) of this section.
(b)(1) To obtain EPA approval of program revisions or modifications using procedures provided under this section, a state, tribe, or local government must submit an application to the Administrator that includes the following elements:
(i) A certification that the state, tribe, or local government has sufficient legal authority provided by lawfully enacted or promulgated statutes or regulations that are in full force and effect on the date of the certification to implement the electronic reporting component of its authorized programs covered by the application in conformance with § 3.2000 and to enforce the affected programs using electronic documents collected under these programs, together with copies of the relevant statutes and regulations, signed by the State Attorney General or his or her designee, or, in the case of an authorized tribe or local government program, by the chief executive or administrative official or officer of the governmental entity, or his or her designee;
(ii) A listing of all the state, tribe, or local government electronic document receiving systems to accept the electronic documents being addressed by the program revisions or modifications that are covered by the application, together with a description for each such system that specifies how the system meets the applicable requirements in § 3.2000 with respect to those electronic documents;
(iii) A schedule of upgrades for the electronic document receiving systems listed under paragraph (b)(1)(ii) of this section that have the potential to affect the program's continued conformance with § 3.2000; and
(iv) Other information that the Administrator may request to fully evaluate the application.
(2) A state, tribe, or local government that revises or modifies more than one authorized program for receipt of electronic documents in lieu of paper documents may submit a consolidated application under this section covering more than one authorized program, provided the consolidated application complies with paragraph (b)(1) of this section for each authorized program.
(3)(i) Within 75 calendar days of receiving an application for program revision or modification submitted under paragraph (b)(1) of this section, the Administrator will respond with a letter that either notifies the state, tribe, or local government that the application is complete or identifies deficiencies in the application that render the application incomplete. The state, tribe, or local government receiving a notice of deficiencies may amend the application and resubmit it. Within 30 calendar days of receiving the amended application, the Administrator will respond with a letter that either notifies the applicant that the amended application is complete or identifies remaining deficiencies that render the application incomplete.
(ii) If a state, tribe, or local government receiving notice of deficiencies under paragraph (b)(3)(i) of this section does not remedy the deficiencies and resubmit the subject application within a reasonable period of time, the Administrator may act on the incomplete application under paragraph (c) of this section.
(c)(1) The Administrator will act on an application by approving or denying the state's, tribe's or local government's request for program revision or modification.
(2) Where a consolidated application submitted under paragraph (b)(2) of this section addresses revisions or modifications to more than one authorized program, the Administrator may approve or deny the request for revision or modification of each authorized program in the application separately; the Administrator need not take the same action with respect to the requested revisions or modifications for each such program.
(3) When an application under paragraph (b) of this section requests revision or modification of an authorized public water system program under part 142 of this title, the Administrator will, in accordance with the procedures in paragraph (f) of this section, provide an opportunity for a public hearing before a final determination pursuant to paragraph (c)(1) of this section with respect to that component of the application.
(4) Except as provided under paragraph (c)(4)(i) and (ii) of this section, if the Administrator does not take any action under paragraph (c)(1) of this section on a specific request for revision or modification of a specific authorized program addressed by an application submitted under paragraph (b) of this section within 180 calendar days of notifying the state, tribe, or local government under paragraph (b)(3) of this section that the application is complete, the specific request for program revision or modification for the specific authorized program is considered automatically approved by EPA at the end of the 180 calendar days unless the review period is extended at the request of the state, tribe, or local government submitting the application.
(i) Where an opportunity for public hearing is required under paragraph (c)(3) of this section, the Administrator's action on the requested revision or modification will be in accordance with paragraph (f) of this section.
(ii) Where a requested revision or modification addressed by an application submitted under paragraph (b) of this section is to an authorized program with an existing electronic document receiving system, and where notification under paragraph (b)(3) of this section that the application is complete is executed after October 13, 2007, if the Administrator does not take any action under paragraph (c)(1) of this section on the specific request for revision or modification within 360 calendar days of such notification, the specific request is considered automatically approved by EPA at the end of the 360 calendar days unless the review period is extended at the request of the state, tribe, or local government submitting the application.
(d) Except where an opportunity for public hearing is required under paragraph (c)(3) of this section, EPA's approval of a program revision or modification under this section will be effective upon publication of a notice of EPA's approval of the program revision or modification in the
(e) If a state, tribe, or local government submits material to amend its application under paragraph (b)(1) of this section after the date that the Administrator sends notification under paragraph (b)(3)(i) of this section that the application is complete, this new submission will constitute withdrawal of the pending application and submission of a new, amended application for program revision or modification under paragraph (b)(1) of this section, and the 180-day time period in paragraph (c)(4) of this section or the 360-day time period in paragraph (c)(4)(ii) of this section will begin again only when the Administrator makes a new determination and notifies the state, tribe, or local government under paragraph (b)(3)(i) of this section that the amended application is complete.
(f) For an application under this section that requests revision or modification of an authorized public water system program under part 142 of this chapter:
(1) The Administrator will publish notice of the Administrator's preliminary determination under paragraph (c)(1) of this section in the
(2) Requests for a hearing submitted under this section must be submitted to the Administrator within 30 days after publication of the notice of opportunity for hearing in the
(3) The hearing will be conducted by a designated hearing officer in an informal, orderly, and expeditious manner. The hearing officer will have authority to take such action as may be necessary to assure the fair and efficient conduct of the hearing; and
(4) After reviewing the record of the hearing, the Administrator will issue an order either affirming the determination the Administrator made under paragraph (c)(1) of this section or rescinding such determination and will promptly publish a notice of the order in the
§ 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.
(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.
Appendix 1 - Appendix 1 to Part 3—Priority Reports
| Category | Description | 40 CFR Citation | 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). | 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. | 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. | 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 | 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). |
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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.