MEMORANDUM

SUBJECT:	Electronic Reporting Requirements for New Source Performance Standards (NSPS) and National Emission Standards for Hazardous Air Pollutants (NESHAP) Rules
FROM:	OAQPS/SPPD/Measurement Policy Group
TO:	Paula Hirtz, OAQPS/SPPD/Minerals and Manufacturing Group
DATE:	August 8, 2018
Electronic Reporting Overview
      Owners and operators of affected sources are required to submit specified reports electronically to the Compliance and Emissions Data Reporting Interface (CEDRI), located on the Environmental Protection Agency's (EPA's) Central Data Exchange (CDX). This section describes the electronic reporting process. Figure 1 below provides a graphical overview of the electronic reporting system.
              Figure 1  -  Electronic Reporting Process Overview

The Electronic Reporting Tool (ERT)
EPA's ERT creates electronic versions of stationary source sampling test plans and reports of test results for performance tests and performance evaluations. Once an ERT package is created, it must be uploaded to CDX for submittal. Currently, the ERT is a Microsoft Access(R) application. EPA has posted an extensible markup language (XML) schema of data elements contained in the ERT on the ERT website to allow the development of alternative software options. Third-party software must contain all of the same data elements required by the ERT. EPA will not preapprove third-party software or maintain a list of available third-party software. Third-party software will be validated through CEDRI submittal; only software that meets the requirements of the XML schema located on the ERT website will be accepted by CEDRI. If an owner or operator chooses to use third-party software, it is his responsibility to ensure that the third-party software is acceptable. Use of a third-party software that does not meet the requirements of the posted XML schema does not relieve owners and operators of the responsibility to electronically submit the report by the submittal deadline. 
Performance test reports and performance evaluation reports involving test methods and performance specifications that are supported by EPA's ERT, as listed on the ERT website at the time of the test, must be submitted in the format generated through the use of the ERT. All other performance test and performance evaluation reports must be submitted as an attachment in the ERT. EPA expects the list of supported test methods and performance specifications to change and expand over time. As such, EPA encourages owners, operators, and performance testing contractors to check the website regularly for up-to-date information on methods and performance specifications supported by the ERT.
CDX/CEDRI
In order to electronically submit reports, users need to first visit the CDX homepage and register in CDX, the point of entry for submission of electronic data to EPA. Once in CDX, CEDRI, the interface on the CDX that allows users to submit required NSPS and NESHAP reports electronically, can be selected from the Active Program Service List. Detailed instructions for registering and accessing CDX and CEDRI are outlined in the user's guide available on the CEDRI website.
Once CEDRI is selected from the Active Program Service List, users must then select a CEDRI role. The available roles are "Preparer" and "Certifier." Additionally, certifiers can use the CDX role sponosorship function to designate another user as a "Delegated Certifier." The preparer compiles the data and assembles the submission packages. The preparer can upload files and complete electronic forms. However, the preparer may not submit or sign packages unless the preparer is also a registered certifier for the facility. As part of the registration process, a preparer is required to identify the certifier(s) for whom he is preparing reports. A certifier can also assemble submission packages and can modify submission packages that a preparer has assembled. The certifier is responsible for submitting and signing packages using an electronic signature. The certifier is generally referred to as the "owner or operator" or "responsible official" of the facility. A delegated certifier is a person granted signatory authority by a registered certifier. A delegated certifier can perform all of the same tasks that a certifier performs but cannot delegate their role to another representative.
EPA designed this process to be compliant with the Cross-Media Electronic Reporting Rule (CROMERR). The CROMERR (under 40 CFR part 3) provides the legal framework for electronic reporting under all of EPA's environmental regulations and includes criteria for assuring that the electronic signature is legally associated with an electronic document for the purpose of expressing the same meaning and intention as would a handwritten signature if affixed to an equivalent paper document. In other words, documents submitted using an electronic signature are equally enforceable as documents submitted using a handwritten (or "wet") signature. For more information on CROMERR, see the CROMERR website. Users should be aware that certifiers and delegated certifiers must go through a one-time identity-proofing process when registering. This process (by which registrants prove their true identity) can be done in real time or can take up to two weeks, depending on the method of identity proofing used. Additionally, certifiers who are not principals at the company will need proof of signing authority. As with identity-proofing, CDX provides a fast, online process and a slower, paper-based option to demonstrate signing authority. Affected facilities may want to consider registering alternate certifiers or delegated certifiers to reduce the chance that unavailability of the primary certifier prevents submission of an electronic report.
Once in CEDRI, users can upload an ERT file, upload a portable document format (PDF) file, upload a zip file containing a spreadsheet template or create a report submission using a CEDRI webform, depending on the type of report that is being submitted. When the certifier determines that the report is ready for submission, the certifier will certify the submission with a CROMERR electronic signature and submit the report through CEDRI. Facilities can submit reports for multiple subparts or multiple reports for the same subpart at the same time. Additionally, for most reports, CEDRI templates provide the opportunity for a bulk upload. Bulk uploads allow the same report type to be submitted for multiple facilities in one batch report. Following submission, the certified signature file will be stored with each report contained in the submission package as the CROMERR Copy of Record in CDX.

Accessibility by Air Agencies and the Public
Air agency staff will have access to data immediately upon submittal if they are registered in CEDRI. Following a processing period in CEDRI, each report will be sent to EPA's Web Factor and Information Retrieval (WebFIRE) database, where it is publicly accessible. The processing period is  60 days for performance test reports and performance evaluation reports and 30 days for all other submissions. During this processing period, corrected reports may be submitted to CEDRI. If changes are made to the submission package prior to the end of the processing period, the processing period will start over to allow air agency reviewers time to review the new submission package. While only the corrected package will be available in WebFIRE, all versions of submitted reports will remain as part of the official record and be available to EPA and air agency reviewers through CEDRI. Corrections to reports may still be submitted after the processing period is over. However, the original report will be available in WebFIRE until the end of the processing period for the corrected report, at which time the corrected report will replace the original report in WebFIRE.
Extensions for Electronic Reporting
EPA has identified two broad circumstances in which electronic reporting extensions may be provided. In both circumstances, the decision to accept a claim of needing additional time to report is within the discretion of the Administrator, and reporting should occur as soon as possible. 
If either the CDX or CEDRI is unavailable at any time beginning five business days prior to the date that the submission is due, and the unavailability prevents submission of a report by the required date, an owner or operator may assert a claim of EPA system outage. EPA considers five business days prior to the reporting deadline to be an appropriate timeframe because if the system is down prior to this time, owners and operators still have one week to complete reporting once the system is back online. However, if the CDX or CEDRI is down during the week a report is due, EPA realizes that this could greatly impact the ability to submit a required report on time. EPA will notify owners or operators about known outages as far in advance as possible, by posting on the CDX website, and by email notification to all registered CEDRI users, so that an owner or operator can plan accordingly and still meet the reporting deadline. However, if a planned or unplanned outage occurs and an owner or operator believes that it will affect or it has affected the ability to comply with an electronic reporting requirement, EPA has provided a process to assert such a claim.
If a force majeure event occurs or is still occurring or if there are still lingering effects of the event in the five business days prior to a submission deadline, EPA has provided a process to assert a claim of force majeure. A force majeure event is defined as an event that will be or has been caused by circumstances beyond the control of the affected facility, its contractors, or any entity controlled by the affected facility that prevents an owner or operator from complying with the requirement to submit a report electronically as required by this rule. Examples of such events are acts of nature, acts of war or terrorism, or equipment failure or safety hazards beyond the control of the facility.
      EPA is providing these potential extensions to protect owners or operators from noncompliance in cases where a report cannot be submitted successfully by the reporting deadline for reasons outside the control of the owner or operator as described above. EPA is not providing an extension for other instances. Owners or operators should register for CEDRI far in advance of the initial compliance date, to ensure that the identity proofing process can be completed prior to the initial compliance date. Additionally, EPA recommends owners or operators to start developing reports early, in case any questions arise during the reporting process.
      
      
      Rationale for Electronic Reporting
The electronic submittal of reports increases the usefulness of the data contained in those reports, is in keeping with current trends in data availability, further assists in the protection of public health and the environment, and ultimately results in less burden on regulated facilities. It also will improve compliance by facilitating the ability of regulated facilities to demonstrate compliance and the ability of air agencies and EPA to assess and determine compliance. Electronic storage of reports make data more accessible for review, analysis and sharing. Electronic reporting also eliminates paper-based, manual processes; thereby saving time and resources, simplifying data entry, eliminating redundancies, minimizing data reporting errors and providing data quickly and accurately to affected facilities, air agencies, EPA, and the public.
In 2011, in response to Executive Order 13563, EPA developed a plan to periodically review its regulations to determine if they should be modified, streamlined, expanded or repealed in an effort to make regulations more effective and less burdensome. The plan includes replacing outdated paper reporting with electronic reporting. In keeping with this plan and the Digital Government Strategy, in 2013, EPA established an agency-wide policy on electronic reporting.  By requiring electronic submission of specified reports in NSPS and NESHAP rules, EPA is taking steps to implement this policy.
Benefits of Electronic Reporting
By making records, data and reports readily available, EPA, the regulated community and the public will benefit when EPA conducts its Clean Air Act (CAA)-required technology and risk-based reviews. As a result of having performance test reports and air emission data readily accessible, EPA's ability to carry out comprehensive reviews will be increased and achieved within a shorter period of time. These data will provide useful information on control efficiencies being achieved and maintained in practice within a source category and across source categories for regulated sources and pollutants. These reports can also be used to inform the technology-review process by providing information on improvements to add-on control technology and new control technology.
Additionally, under an electronic reporting system, EPA's Office of Air Quality Planning and Standards (OAQPS) would have air emissions and performance test data in hand; OAQPS would not have to collect these data from EPA Regional Offices or from delegated air agencies or industry sources in cases where these reports are not submitted to EPA Regional Offices. Thus, EPA anticipates fewer or less substantial information collection requests (ICRs) in conjunction with prospective CAA-required technology and risk-based reviews may be needed, which results in a decrease in time spent by industry to respond to data collection requests as well as reduced testing costs.
Electronic reporting minimizes submission of unnecessary or duplicative reports in cases where facilities report to multiple government agencies and the agencies opt to rely on EPA's electronic reporting system to view report submissions. Where air agencies continue to require a paper copy of these reports and will accept a hard copy of the electronic report, facilities will have the option to print paper copies of the electronic reports to submit to the air agencies, and, thus, minimize the time spent reporting to multiple agencies. Moreover, maintenance and storage costs associated with retaining paper records could likewise be minimized by replacing those records with electronic records of electronically submitted data and reports.
Air agencies, as well as EPA, can benefit from more streamlined and automated review of electronically submitted data. Standardizing report formats allows air agencies and EPA to review reports and data more quickly. Electronic reports and associated data facilitate downloading and analyzing data in spreadsheet format. Additionally, air agencies and EPA can access reports wherever and whenever they want or need, as long as they have access to the Internet. The ability to access and review reports electronically will also assist air agencies and EPA to more quickly and accurately determine compliance with the applicable regulations, potentially allowing a faster response to violations, which could minimize harmful air emissions. This benefits both air agencies and the general public.
By making data readily available, electronic reporting increases the amount of data that can be used for many purposes. One example is the development of emissions factors. An emissions factor is a representative value that attempts to relate the quantity of a pollutant released to the atmosphere with an activity associated with the release of that pollutant (e.g., pounds of particulate emitted per million British thermal unit of heat input). Such factors facilitate the estimation of emissions from various sources of air pollution and are an important tool in developing emissions inventories, which in turn are the basis for numerous efforts, including trends analysis, regional and local scale air quality modeling, regulatory impact assessments, and human exposure modeling. Emissions factors are also widely used in regulatory applicability determinations and in permitting decisions.
EPA has received feedback from stakeholders asserting that many of EPA's emissions factors are outdated or not representative of a particular industry emission source. While EPA believes that the emissions factors are suitable for their intended purpose, EPA recognizes that the quality of emissions factors varies based on the extent and quality of underlying data. EPA also recognizes that emissions profiles on different pieces of equipment can change over time due to a number of factors (fuel changes, equipment improvements, industry work practices), and it is important for emissions factors to be updated to keep up with these changes. EPA is currently pursuing emissions factor development improvements that include procedures to incorporate the source test data that is submitted electronically. By requiring the electronic submission of test reports, EPA is able to access and use the submitted data to update emissions factors more quickly and efficiently, creating factors that are characteristic of what is currently representative of the relevant industry sector. Likewise, an increase in the number of test reports used to develop the emissions factors will provide more confidence that the factor is of higher quality and representative of the whole industry sector. 
      Electronic reporting of environmental data is already common practice in many media offices at EPA. Changes to incorporate electronic reporting into the NSPS and NESHAP rules are needed to continue EPA's transition to electronic reporting.

