v>EPA
Cross-Media Electronic
Reporting Regulation
(CROMERR)
Legal Certification Guide for State Attorney General or Local Government or Tribe Certifying Official
Statement
Certification Requirements for States 2
Certification Requirements for Tribes and Local Governments 3
Example for States 5
Example for Tribes and Local Governments 6
Example Completed 40 CFR Part 3 Crosswalk 7
40 CFR Part 3 Crosswalk Template 11
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Certification Requirements for States
Attachment 1 is an example of certification statement language that may be used, in part, to satisfy the certification
requirement of 40 C.F.R. § 3.1000(b)(l)(i). We request that you certify as required by the regulation and include it as part of
your State's Cross Media Electronic Reporting Regulation ('CROMERR' or 'Regulation') application packet. In addition to
including all State statutes and regulations relevant to the application, we suggest including a description specifically linking
applicable portions of 40 C.F.R. Part 3 with relevant portions of your State's statutes and regulations to assist EPA's review.
All applicable provisions of CROMERR may be relevant to an application. However, below is a list of specific items you may
wish to focus on prior to certification and include in your documentation:
(1) 40 C.F.R. § 3.2000(a)(2) provides that a "valid electronic signature" is required if a person would have been
required to "sign the paper document for which the electronic document substitutes . . . ." Please verify that
your State is requiring electronic signatures in accordance with the Regulation. Additionally, please verify that
your electronic reporting system produces electronic signatures or a wet-ink on paper signature can be
provided, where either signature is admissible and sufficiently persuasive that the signature would satisfy the
"beyond a reasonable doubt" standard when criminal sanctions are possible. When criminal sanctions are not
possible, the signatures produced should be sufficiently persuasive to meet the applicable burden of proof.
(2) Electronic signatures collected by the electronic reporting system must meet the definition of "valid electronic
signature" under 40 C.F.R. § 3.3. See 40 C.F.R. § 3.2000(a)(2). Please verify that the method used to create
electronic signatures satisfies the definition in section 3.3.
(3) Systems must be able to show that "[e]ach 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!.]" 40 C.F.R. § 3.2000(b)(5)(iv). Please verify that the notice provided to
signatories is legally sufficient.
(4) Systems are required to show that "[f]or 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." 40 C.F.R. § 3.2000(b)(5)(vii). Please verify that your identity-proofing method
is sufficiently robust to meet the "beyond a reasonable doubt" evidentiary standard.
(5) Please also verify that the requirements of 40 C.F.R. § 3.2000(c) are met. The requirements include:
a. A person is subject to all appropriate civil, criminal penalties or other remedies under State law for failure
to comply with a reporting requirement if the person fails to comply with the applicable provisions of the
Regulation.
b. Where an electronic document submitted to satisfy a State 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 would, if
the paper document were submitted to satisfy the same reporting requirement.
c. 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 reporting requirement
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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.
Nothing in the authorized program limits the use of electronic documents or information derived from electronic
documents as evidence in enforcement proceedings.
Crosswalk
The certification must include copies of all State statutes and regulations relevant to the application. EPA suggests also
including a description specifically linking applicable portions of 40 CFR Part 3 to relevant portions of the State statutes and
regulations to facilitate EPA's review. A completed example of this comparison and a comparison template are provided
below in Attachments 3 and 4, respectively.
Signatory Authorization
If the certification document is signed and dated by the State Attorney General ("State AG") on official letterhead, no further
action is needed for the purposes of certification. However, if the certification document is not signed by the State AG, you
may wish to provide other means for EPA to rely on when determining whether certification requirements have been met,
including but not limited to:
(1) A delegation statement signed and dated on official letterhead by the State AG that:
a. authorizes a named individual within the State AG's office to sign the certification document on the State
AG's behalf; or
b. designates any individual serving in a specified official position to sign the certification document;
OR
(2) A copy of an official State policy or regulation that authorizes an individual in a named position to represent the
State AG in the matter.
Certification Requirements for Tribes and Local
Governments
EPA requests that all Tribal and local applicants review Tribal and local statutes, regulations, and ordinances to verify that
they do not affect CROMERR implementation. In conducting this review, we recommend consulting with any city, county,
Tribal, or State agencies, departments, or other regulatory bodies with subject matter expertise in any potentially conflicting
or limiting statutes. EPA requests that all Tribal and local applicants submit a certification that their Tribal and local statutes,
regulations, and ordinances do not affect CROMERR implementation. No crosswalk is required. An example is provided in
Attachment 2.
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Signatory Authorization
EPA requests that the certification be made by an individual in your organization that has the authority to represent your
organization and certify the document. This is the chief executive or administrative official of the Tribal or local organization
or the office of the government entity collecting electronic reports ("official"), or his or her designee. EPA also requests that
the certification be provided on official letterhead of the Tribal or local organization or office. If the certification document is
signed and dated by the official referenced above, on official letterhead, no further action is needed for the purposes of
certification. However, if the certification document is not signed by the official referenced above, but is instead signed by
his or her designee, you may wish to provide other means for EPA to rely on when determining whether certification
requirements have been met, including but not limited to:
(3) A delegation statement signed and dated on official letterhead by the official that:
c. authorizes a named individual within the official's office to sign the certification document on the official's
behalf; or
d. designates any individual serving in a specified official position to sign the certification document;
OR
A copy of an official Tribe or local government policy or regulation that authorizes an individual in a named position to
represent the official referenced above in the matter.
If a Statute, Regulation, or Ordinance Affects CROMERR Implementation
If a Tribal or local government determines that they do have statues, regulations, or ordinances that affect the
implementation of CROMERR, EPA recommends following the process outlined in "Certification Requirements for States"
above including:
1. A certification statement signed by signed and dated by the chief executive or administrative official or officer of a
governmental entity ("official") of an authorized Tribe or local government program, on official letterhead. EPA
recommends using the Example for States provided below as a template.
2. A completed crosswalk, as described in the "Certification Requirements for States" above. An example crosswalk
is provided in "Example Completed 40 CFR Part 3 Crosswalk" below.
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Example for States
Attorney General Certification Statement
(If Attorney General signs include the following:) I, rinsert name of Attorney General], am the Attorney General for the
State/Commonwealth of Iinsert State/Commonwealth name],
or
(If Attorney General's designee signs include the following:) I, Iinsert name of Attorney General's designee!, am the Iinsert title of Attorney
General's designee) for the State/Commonwealth of finsert state/Commonwealth name] and the Attorney General's designee for the
purposes of certifying to the appropriate Federal authorities the legal authority of the State/Commonwealth of finsert
state/commonwealth name] to administer any applicable Federal mandates. To demonstrate my authority to make this
certification, I have attached \insert either "a delegation statement from the Attorney General" or reference to the policy or regulation giving
authority1.
I have reviewed [insert State or Commonwealth and State/Commonwealth's Agency's name] application and supporting documentation to
EPA to approve electronic reporting for finsert name of reporting system!.
I hereby certify:
(1) that the State/Commonwealth of finsert state/commonwealth name! has sufficient legal authority provided by finsert
state/commonwealth namel's lawfully enacted or promulgated statutes or regulations to implement the electronic
reporting component of its authorized programs consistent with 40 Code of Federal Regulations § 3.2000 and
with this application;
(2) that such statutes or regulations are in full force and effect on the date of this certification; and
(3) that finsert state/Commonwealth name! has authority to enforce the affected programs using electronic documents
collected under these programs.
I have included with this certification all finsert state/commonwealth name! statutes and regulations relevant to this application. To
assist EPA's review of this application, I also have included a description specifically linking applicable provisions of 40 C.F.R.
Part 3 with relevant portions of finsert state/commonwealth namel's statutes and regulations.
[insert name of Attorney General or Attorney General's Designee]
[insert title]
[insert date]
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Example for Tribes and Local Governments
This example is applicable when Tribal and local statutes, regulations, and ordinances do not affect CROMERR
implementation. If CROMERR implementation is affected, EPA recommends using the process outlined under "Certification
Process for States" and the example under "Example for States".
[insert Tribe or local certifying official title] Certification Statement
I, Iinsert name of certifying officiall, am the !insert certifying official title1 for the Iinsert Tribe or locality name], I possess the authority to
represent finsert Tribe or locality namel through this certification document. I have reviewed finsert Tribe or locality namel application
and supporting documentation to EPA to approve electronic reporting for finsert name of reporting system].
I hereby certify that the Iinsert Tribe or locality namel has no lawfully enacted or promulgated statutes, ordinances, or regulations
that affect the implementation of the electronic reporting component of its authorized programs consistent with 40 Code of
Federal Regulations § 3.2000 and with this application.
[insert name of certifying official]
[insert title]
[insert date]
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Example Completed 40 CFR Part 3 Crosswalk
To assist EPA's review of this application, I have included a description prepared by the ODEQ which specifically links
applicable provisions of 40 C.F.R. Part 3 with relevant portions of the Oklahoma statutes and ODEQ regulations. The
description shows ODEQ's authority to implement electronic reporting. I have also included with this certification
descriptions and copies of all State statutes and regulations relevant to this application. These statutes and regulations
demonstrate the ODEQ's authority to enforce the affected authorized programs using electronic documents.
I. ODEQ LEGAL AUTHORITY TO IMPLEMENT ELECTRONIC REPORTING IN CONFORMANCE WITH 40 CFR § 3.2000
FEDERAL RULE
RELEVANT STATE STATUTE OR RULE
40 CFR 3.2000(a)(2) - "valid electronic signature" is
required if a person would have been required to
sign the paper document
OAC 252:4- 17-3(b)
40 CFR 3.2000(a)(2) - verify that State electronic
reporting system produces electronic signatures
that will satisfy the "beyond a reasonable doubt"
standard when criminal sanctions are possible (e.g.,
individual signatory is uniquely authorized to use
the signature device assigned to him/her)
OAC 252:4- 17-5(b)
40 CFR 3.2000 (a)(2) - verify that the method used
to create electronic signatures satisfies the
definition of "valid electronic signature" in 40 CFR
3.3
OAC 252:4- 17-5(b)
12AO.S. § 15-109(a)
40 CFR 3.2000(b)(5)(iv) - verify that each signatory
will have 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
OAC 252:4-17-5
OAC 252:4 Appendix E - Electronic Signature
Agreement
40 CFR 3.2000(b)(5)(vii) - verify that for each
electronic signature device used to create an
electronic signature, the identity of the individual
OAC 252:4-17-5
OAC 252:4 Appendix E - Electronic Signature
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FEDERAL RULE
RELEVANT STATE STATUTE OR RULE
uniquely entitled to use the device and his/her
relation to the entity has been determined with
legal certainty (e.g., identity-proofing method is
sufficiently robust to meet the "beyond a
reasonable doubt" evidentiary standard)
Agreement
40 CFR 3.2000(c) - verify that a person is subject to
all appropriate civil, criminal penalties or other
remedies for failure to comply with a reporting
requirement if the person fails to comply with the
applicable federal regulation
OAC 252:4-17-7
27A O.S. §§ 2-3-502 and 2-3-504
21 O.S. §463
40 CFR 3.2000(c) - verify that where an electronic
document submitted to satisfy a 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
OAC 252:4-17-6(b)
12AO.S. § 15-107
40 CFR 3.2000(c) - verify that the signatory will be
uniquely entitled to use the electronic signature
device at the time of signature
OAC 252:4- 17-5(b)
40 CFR 3.2000(c) - verify that nothing in the state
program limits the use of electronic documents or
information derived from electronic documents as
evidence in enforcement proceedings
OAC 252:4-17-7(b)
12AO.S. § 15-113
II. GENERAL AUTHORITY OF ODEQAS "STATE AGENCY" FOR PURPOSES OF 40 CFR § 3.2000:
Sections 15-117 and -118 of the Uniform Electronic Transactions Act (12A O.S. §§ 15-101 et seq.((hereinafter "UETA")
provides that each government agency of the State of Oklahoma shall determine whether, and the extent to which, it will
create and retain electronic records, and the extent to which it will send and accept electronic records and electronic
signatures to and from other persons.
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The ODEQ is created in § 2-3-101(A)(l) of the Oklahoma Environmental Quality Code (hereinafter "Code") and identified
as a "state environmental agency" in § 1-1-201(13) of the Oklahoma Environmental Quality Act (27A O.S. §§ 1-1-101 et seq.)
(hereinafter "Act").
Section 15-107 of the UETA provides legal recognition of electronic records, electronic signatures, and electronic contracts;
if a law requires a record to be in writing or if the law requires a signature, an electronic writing or an electronic signature
satisfies the law.
Section 15-109(a) of the UETA provides that an electronic record or signature is attributable to a person if it was the act of
the person, which may be shown in any feasible manner including a showing of the efficacy of any security procedure applied
to determine the person to which the electronic record or electronic signature was attributable.
Section 15-113 of the UETA provides that, in a proceeding, evidence of a record or signature may not be excluded solely
because it is in electronic form.
III. GENERAL REGULATORY AND ENFORCEMENT AUTHORITY OF ODEQ
The ODEQ has the power and duty to require the establishment and maintenance of records and reports. 27A O.S. §§ 2-3-
202(A)(8) and 2-3-501(C)
Section 2-3-502 of the Code provides that the ODEQ, upon determining that there are reasonable grounds to believe that
any person is in violation of the Code or any rule promulgated thereunder or of an order, permit or license issued pursuant
to the Code, may issue a notice of violation and, afterward, a compliance order requiring the violator to correct the violation.
Additionally, the ODEQ may assess an administrative penalty or initiate other appropriate remedies in order to compel
compliance with the requirements of the Code.
Section 2-3-504(A) of the Code provides that any person who violates any of the provisions of or who fails to perform any
duty imposed by the Code or who violates any order, permit or license issued by the ODEQ or rule promulgated by the Board
shall be guilty of a misdemeanor and may be punished in civil proceedings in district court by assessment of a civil penalty.
The ODEQ has authority to bring an action for injunctive relief to redress or restrain a violation by any person of the Code or
of any rule promulgated thereunder, or order, license, or permit issued pursuant thereto or for recovery of any administrative
or civil penalty assessed pursuant to the Code. 27A § 2-3-504(A)(4) and (F)
IV. SPECIFIC AUTHORITY OF ODEQ TO ENFORCE THE AFFECTED AUTHORIZED PROGRAMS USING ELECTRONIC
DOCUMENTS
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• Air Quality: The Oklahoma Clean Air Act (27AO.S. §§ 2-5-101 etseq., including enforcement provisions at § 2-5-110;
§ 2-5-114; § 2-5-116; and § 2-5-117); Oklahoma Administrative Code ("OAC") 252:100, Air Pollution Control Rules
(incorporates federal Air Quality reporting rules by reference)
• Water Quality: The Oklahoma Water Quality provisions of the Code (27A O.S. §§ 2-6-101 et seq., including
enforcement provisions at § 2-6-206; § 2-6-308; § 2-6-901); OAC 252:631, Public Water Supply Operation Rules
(incorporates federal PWS reporting rules by reference); OAC 252:606, Oklahoma Pollutant Discharge Elimination
System Standards (incorporates federal NPDES reporting rules by reference); OAC 252:652, Underground Injection
Control Rules (incorporates federal UIC reporting rules by reference)
• Land Protection: The Oklahoma Hazardous Waste Management Act (27A O.S. §§ 2-7-101 et seq., including
enforcement provisions at § 2-7-126; § 2-7-129; § 2-7-130); OAC 252:205, Hazardous Waste Management Rules
(incorporates federal hazardous waste reporting rules by reference)
Hazardous Materials Reporting: The Oklahoma Hazardous Materials Planning and Notification Act (27A O.S. §§ 4-1-101 et
seq.); OAC 252:020, Emergency Planning and Community Right-to-Know Rules (incorporates federal Tier II reporting rules
by reference)
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40 CFR Part 3 Crosswalk Template
To assist EPA's review of this application, [Insert Local/Tribal/State Agency AcronymI has included a description which
specifically links applicable provisions of 40 C.F.R. Part 3 with relevant portions of the [Insert Local Area/Tribal Area/State
Namel statutes and I Insert Local/Tribal/State Agency Acron vm 1 regulations. The description shows IInsert Local/Tribal/State
Agency Acronym! authority to implement electronic reporting. This certification also includes descriptions and copies of all
State statutes and regulations relevant to this application. These statutes and regulations demonstrate the [Insert Local/
Tribal/State Agency Acronym! authority to enforce the affected authorized programs using electronic documents.
I. fINSERT LOCAL/ Tribal/State AGENCY ACRONYM] LEGAL AUTHORITY TO IMPLEMENT ELECTRONIC REPORTING IN
CONFORMANCE WITH 40 CFR § 3.2000
FEDERAL RULE
RELEVANT LOCAL/TRIBAL/STATE STATUTE OR RULE
40 CFR 3.2000(a)(2) - "valid electronic signature" is
required if a person would have been required to
sign the paper document
40 CFR 3.2000(a)(2) - verify that State electronic
reporting system produces electronic signatures
that will satisfy the "beyond a reasonable doubt"
standard when criminal sanctions are possible (e.g.,
individual signatory is uniquely authorized to use
the signature device assigned to him/her)
40 CFR 3.2000 (a)(2) - verify that the method used
to create electronic signatures satisfies the
definition of "valid electronic signature" in 40 CFR
3.3
40 CFR 3.2000(b)(5)(iv) - verify that each signatory
will have 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
40 CFR 3.2000(b)(5)(vii) - verify that for each
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FEDERAL RULE
RELEVANT LOCAL/TRIBAL/STATE STATUTE OR RULE
electronic signature device used to create an
electronic signature, the identity of the individual
uniquely entitled to use the device and his/her
relation to the entity has been determined with
legal certainty (e.g., identity-proofing method is
sufficiently robust to meet the "beyond a
reasonable doubt" evidentiary standard)
40 CFR 3.2000(c) - verify that a person is subject to
all appropriate civil, criminal penalties or other
remedies for failure to comply with a reporting
requirement if the person fails to comply with the
applicable federal regulation
40 CFR 3.2000(c) - verify that where an electronic
document submitted to satisfy a 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
40 CFR 3.2000(c) - verify that the signatory will be
uniquely entitled to use the electronic signature
device at the time of signature
40 CFR 3.2000(c) - verify that nothing in the state
program limits the use of electronic documents or
information derived from electronic documents as
evidence in enforcement proceedings
II. GENERAL AUTHORITY OF fInsert Local/Tribal/State Agency Acronym] AS "fSTATE or LOCAL1 AGENCY" FOR PURPOSES
OF 40 CFR 3.2000:
fInsert Descriptions of Statutes Providing General Authority for Purposes of 40 CFR § 3.20001
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III. GENERAL REGULATORY AND ENFORCEMENT AUTHORITY OF fInsert Local/Tribal/State Agency Acronym]
[Insert Descriptions of Statutes Providing General Regulatory and Enforcement Authority!
IV. SPECIFIC AUTHORITY OF [Insert Local/Tribal/State Agency Acronym] TO ENFORCE THE AFFECTED AUTHORIZED
PROGRAMS USING ELECTRONIC DOCUMENTS
• Air Quality: IInsert References to Relevant Statutesl
• Water Quality: [Insert References to Relevant Statutesl
• Drinking Water: [Insert References to Relevant Statutesl
• Land Protection: [Insert References to Relevant Statutesl
• Hazardous Materials Reporting: [Insert References to Relevant Statutesl
• Other Authorized Programs: [Insert References to Relevant Statutesl
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