Iowa Admin. Code rr. 567-15.1 - Purpose
This rule implements 40 CFR Part 3, the federal cross-media electronic reporting rule (CROMERR), as amended through November 17, 2009.
(2)
Definitions.
a. For the
purpose of this chapter, the following definitions in
40 CFR Section
3.3 are adopted by reference: "Authorized
program," "Copy of record," "Electronic document," "Electronic document
receiving system," "Electronic signature," "Electronic signature agreement,"
"Electronic signature device," "Federal program," "Handwritten signature," and
"Valid electronic signature."
b.
The following definition applies to this chapter:
"Authorized signatory" means an individual authorized to sign documents under one or more authorized programs, in accordance with the specific requirements of each authorized program, and who signs a document submitted to one of the department's electronic document receiving systems pursuant to an electronic signature agreement.
(3)
Use of
electronic document receiving systems.
a.
Website announcement.
When the director has announced on the department's website that electronic
documents are being accepted in lieu of paper to satisfy requirements under one
or more authorized programs, individuals who submit such electronic documents
must use the CROMERR-compliant electronic document receiving system or systems
as specified by the department.
b.
Submittals requiring signature. Any electronic document
submitted to the department must bear a valid electronic signature of an
authorized signatory, if that signatory would be required under an authorized
program to sign the paper document for which the electronic document
substitutes.
c.
Submittals
not requiring signature. If no signature is required under an
authorized program, individuals may submit electronic documents in lieu of
paper to satisfy requirements of such programs through one or more of the
department's CROMERR-compliant electronic document receiving systems without an
electronic signature or an electronic signature agreement.
(4)
Electronic signature agreement
(ESA).
a.
Agreement to be
executed. In order to sign and submit electronic documents in one of
the departments' CROMERR-compliant electronic document receiving systems, a
signatory must execute an ESA specific to that electronic document receiving
system.
b.
Form and content
of agreement. All ESAs shall include the information and follow the
format defined by the department in the specific CROMERR-compliant electronic
document receiving system.
c.
Verification. The identity and signature authority of each
individual submitting an ESA shall be verified by the state of Iowa or by a
third-party signature verification service. After verification, the department
shall notify an individual electronically that electronic documents may be
signed and submitted in a specific CROMERR-compliant electronic document
receiving system.
d.
Certification. Each document submission authorized by an
electronic signature shall contain the following statement: "I certify under
penalty of law that I have had the opportunity to review, in human-readable
format, the content of the electronic document to which I here certify and
attest, and I further certify under penalty of law that, based on the
information and belief formed after reasonable inquiry, the statements and
information contained in this submission are true, accurate, and complete. I
understand that making any false statement, representation, or certification of
this submission may result in criminal penalties."
(5)
Valid electronic
signature.
a.
Signatory. An authorized signatory may not allow another
individual to use the electronic signature device unique to the authorized
signatory's electronic signature.
b.
Unique signature device.
When the electronic signature device is used to create an individual's
electronic signature, the code or mechanism must be unique to that individual
at the time the signature is created and the individual must be uniquely
entitled to use it. The signatory shall:
(1)
Protect the electronic signature device from compromise; and
(2) Report to the department, within one
business day of discovery, any evidence that the security of the device or the
signatory's electronic signature has been compromised.
(6)
Effect of electronic
signature and enforcement. The provisions of
40 CFR Section
3.4 are adopted by reference.
Notes
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