Notes

Outline

CROMERR Applied to Industrial Pretreatment

Discussion Overview Background and Goals of CROMERR Electronic Reporting Basics What Applies to Pretreatment Receiving System Approval Process Receiving System Requirements

Perspective

Introduction CROMERR Stands for Cross Media Electronic Reporting Rule Modification to the Code of Federal Regulations (CFR). Allows for the submission and storage of electronic compliance documents

Background of CROMERR Stems from the Government Paperwork Elimination Act First proposed August 31st 2001 Effective as of January 11, 2006 EPA sought performance based uniform, technology-neutral framework for electronic reporting Who is affected: Regulated Industry, EPA, State, Tribe and Local Governments

Background of CROMERR 20 Parts under 40 CFR were modified Environmental topics affected range from Hazardous Waste to Asbestos

Goals of CROMERR Reduced cost and burden for entities submitting and receiving documents Reduces the likelihood of data entry errors Improved reporting efficiency Must be legally enforceable

Electronic Reporting An automated exchange of electronic data between two or more organizations in a standardized format Online Banking, Tax Submissions, Other Uses?

What Applies to Industrial Pretreatment Guidance documentation can be found in section VI. Section VI Requirements for Electronic Reporting Under EPA-Authorized Programs Actual regulation modifications can be found in Subpart D – § 3.1000 and § 3.2000

What Applies to Industrial Pretreatment

What Applies to Industrial Pretreatment

Applicable Priority Reports Priority Reports may be used in litigation IUs may submit the following reports: Baseline Monitoring Reports Pretreatment Standards Report Periodic Compliance Reports Reports Made By Significant Industrials Users

EPA Approval Process To participate, each IPP must submit an application to the EPA EPA will provide an application Check List Identify who and where to send application EPA will review each receiving system

Application Requirements Chief Executive or similar person must certify  existing laws cover electronic reporting Documentation of receiving system Systems upgrade schedule Other information requested by EPA administrator

System Review Process EPA response within 75 days Amendments reviewed within 30 days

Electronic Reporting Process

Electronic Receiving System Requirements Receiving system requirements are identified in parallel within section VI.E. and § 3.2000 Requirements are designed to maintain the enforceability of paper based systems The following 12 requirements match the numbered requirements within Section VI.E

1) Timeliness of Data Generation System must quickly accept and respond to document submissions

2) Copy of Record True and correct copy of the electronic document was received Include all electronic signatures that have been executed Copy must include date and time of receipt Must be viewable in human-readable format

3) Integrity of the Electronic Document Once submitted documents may not be changed without detection Achieved through: System Security – Deter internet hackers Access Control – Internal system security Secure Transmission – Encryption processes

4) Document Must be Knowingly Submitted Provide evidence that the submitter knowingly confirmed the submission process. Send out of band acknowledgement of submission Record at least the date, time, contact and the address to where the acknowledgement was sent.

5) Opportunity to Review and Repudiate Submitter must be notified that their submission was received Ensure the opportunity to review and repudiate their submission POTW must Identify a repudiation time period

6) Validity of Electronic Signature Electronic Signature is a unique digital ID for a specific person Electronic Signature Device is software or a set of code which creates a unique and identifiable digital signature for a specific person Most common forms of digital signature devices include: PKI (public key infrastructure) certificate and PIN.

Validity of Electronic Signature (Continued) Verification of signature device owner prior to accepting electronic signature Verification must be completed with legal certainty Must verify the signer has the authority to make such submissions

7) Binding Electronic Signature to Document Submission As discussed in “Copy of Record Provision, an electronic signature must be bound to the electronic document Electronic signatures can be used to identify if a document has been modified

8) Opportunity to Review Similar to # 5 “Opportunity to Review and Repudiate” Review of content being submitted as truthful and accurate Must be in a human readable format

9) Understanding Act of Signing A prominently displayed statement that there are criminal penalties for false certification must be clearly visible at the place of signing Complete a Subscriber Agreement

Example Certification Statement

10) Subscriber Agreement Subscriber must sign an electronic signature agreement document requiring the individual to: Protect signature device from compromise Be held legally accountable by an electronic signature

11) Acknowledgement of Receipt System must Send out-of-band acknowledgement of document receipt Must store a record that an acknowledgement of receipt was sent

12) Signatory Identity Determination Verification of signature device owner prior to accepting electronic signature Verification must be completed with legal certainty

Summary CROMERR enables Pretreatment Programs to receive electronic compliance reports from IUs Requires a comprehensive application process CROMERR sets rigorous standards for electronic document receiving systems.

Additional Resources Contact Mr. David Schwarz at Schwarz.David@epamail.epa.gov Online Copy of Rule is available:   http://www.epa.gov/fedrgstr/EPA-GENERAL/2005/October/Day-13/g19601.htm Skip Feeney can be reached for comments and questions at: skip@linkoweb.com or 877-546-5699