### SUPPORTING STATEMENT FOR

EPA INFORMATION COLLECTION REQUEST NUMBER 2002.0 6

“ C ROSS

- MEDIA ELECTRONIC REPORTING RULE ”

October 17 , 2014

Office of Environmental Information

U.S. Environmental Protection Agency Washington, D.C. 20460

### TABLE OF CONTENTS

1. IDENTIFICATION OF TH E INFORMATION COLLEC TION

................................ ....................... 1 1(a) TITLE AND NUMBER OF THE INFORMATION COLLECTION

................................ ...... 1 1(b) CHARACTERIZATION OF THE INFORMATION COLLECTION

................................ ..... 1

2. NEED FOR AND USE OF THE COLLECTION

................................ ................................ .............. 3 2(a) NEED AND AUTHORITY FOR THE COLLECTION

................................ ........................... 3 2(b) PRACTICAL UTILITY AND USERS OF THE DATA

................................ .......................... 4

3. NOND UPLICATION, CONSULTA TIONS, AND OTHER COL LECTION CRITERIA

................ 6 3(a) NONDUPLICATION

................................ ................................ ................................ ............... 6 3(b) PUBLIC NOTICE

................................ ................................ ................................ ..................... 6 3(c) CONSULTATIONS

................................ ................................ ................................ .................. 6 3(d) EFFECTS OF LESS FREQUENT COLLECTION

................................ ................................ .. 7 3(e) GENERAL GUIDELINES

................................ ................................ ................................ ........ 8 3(f) CONFIDENTIALITY

................................ ................................ ................................ ............... 8 3(g) SENSITIVE QUESTIONS

................................ ................................ ................................ ........ 8

4. THE RESPOND ENTS AND THE INFORMA TION REQUESTED

................................ ................ 9 4(a) RESPONDENTS AND NAICS CODES

................................ ................................ .................. 9 4(b) INFORMATION REQUESTED

................................ ................................ ............................... 9

5. THE INFORMATION COLL ECTED: AGENCY ACTIV ITIES, COLLECTION METHODOLOGY, AND INF ORMATION MANAGEMENT

................................ ...................... 16 5(a) AGENCY ACTIVITIES

................................ ................................ ................................ ......... 16 5(b) COLLECTION METHODOLOGY AND MANAGEMENT

................................ ................ 17 5(c) SMALL ENTITY FLEXIBILITY

................................ ................................ ........................... 17 5(d) COLLE CTION SCHEDULE

................................ ................................ ................................ .. 17

6. ESTIMATING THE HOUR AND COST BURDEN OF T HE COLLECTION

.............................. 19 6(a) ESTIMATING RESPONDENT BURDEN HOURS

................................ .............................. 19 6(c) ESTIMATING AGENCY HOUR AND COST BURDEN

................................ .................... 22 6(d) ESTIMATING RESPOND ENT UNIVERSE AND TOTAL HOUR AND

COST BURDEN

................................ ................................ ................................ ..................... 22 6(e) BOTTOM LINE HOUR AND COST BURDEN

................................ ................................ ... 32 6(f) REASONS FOR CHANGE IN BURDEN

................................ ................................ .............. 33 6(g) PUBLIC BURDEN STATEMENT

................................ ................................ ......................... 361

1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) TITLE AND NUMBER OF THE INFORMATION COLLECTION

This Information Collection Request (ICR) is entitled “Cross

- Media Electronic Reporting

Ru le ,” EPA ICR Number 2002.0 6 , OMB Control Number 2025

- 0003.

1(b) CHARACTERIZATION OF THE INFORMATION COLLECTION

The U.S. Environmental Protection Agency (EPA) allows regulated entities to report electronically to EPA by allowing the use of electronic doc ument receiving systems to receive electronic documents in satisfaction of certain document submission requirements in EPA ’ s regulations. 1 The Cross

- Media Electronic Reporting Rule (CROMERR) also allows State,
Tribal, and local governments to seek EPA app roval, as provided under 40 Code of Federal Regulations (CFR) 3.1000

, to accept electronic documents to satisfy reporting requirements under authorized or delegated environmental programs that they administer. In seeking EPA approval, these State, Tribal, and local governments must upgrade existing electronic document receiving systems or develop new electronic document receiving systems to satisfy the criteria

laid out at 40 CFR 3.2000. Regulated entities that use an electronic signature device in

submit ting electronic documents to the EPA or a State , Tribal, or l ocal government receiving system must comply with identity proofing requirements, as applicable. In the remainder of this document, we refer to State, Tribal, and local governments as “States/Lo cals” because, at the current time, EPA is not aware of any Tribal governments that have electronic document receiving systems or are planning to develop such systems during the next three years

.

CROMERR does not require any regulated entity to report el ectronically to EPA or

State s /Local s . CROMERR establishes requirements for utilizing electronic reporting as an alternative to paper

- based reporting. It does not require State s /Local s to implement electronic reporting; rather, it establishes the framewor k for implementing the electronic reporting alternative for Federal laws that they administer. In this regard, regulated entities are affected only as follows:

 Entities that report electronically to EPA have to register with EPA’s electronic

document rec eiving system (e.g., log on to the EPA Web site and enter requested information)

, comply with the identity proofing provisions

, and then commence electronic reporting. In this document, we refer to these entities as “direct reporters .”

 State s /Local s must upgrade existing electronic document receiving systems or develop new electronic document receiving systems to meet 40 CFR 3.2000 requirements. These State s /Local s must apply for EPA program modification approval under 40 CFR 3.1000. They also must impl ement the identity proofing requirements at 40 CFR 3.2000(b)(5).

1 In this document , EPA is using the term “electronic reporting” in a sense that excludes submission of a report via magnetic media, (i.e., via diskette, compact disc, or tape). EPA is also ex cluding transmission via hard copy facsimile. Likewise, EPA ’ s use of the term “electronic document” throughout this document refers exclusively to documents that are transmitted via a telecommunications network, excluding hard copy facsimile.2

 Entities that report electronically to States/Locals must comply with the identity proofing requirements at 40 CFR 3.2000(b)(5). In this document, we refer to these

entities as “indirect re porters .”

 Entities that opt to implement the local registration authority (LRA) alternative for identity proofing must identify an individual who will collect subscriber agreements from each individual that intends to use an electronic signature device in reporting electronically to a State/Local electronic document receiving system . In this document, we refer to these entities as “indirect reporting firms.”

 T he LRA must collect and store subscriber agreements from individual s in his/her indirect reporti ng firm. The LRA also must prepare an agreement collection certification and submit a certification of receipt and secure storage to the corresponding State/Local agency

.

Sections 1 through 5 of this document describe the information collection requireme nts covered in this ICR (e.g., in regard to need and use of the information collected). Section 6

estimates the annual burden to respondents

. This ICR does not address the burden savings to respondents in reporting electronically under EPA programs. EPA ’s programs will amend their

program

- specific ICRs to address these impacts.

CROMERR establishes requirements applicable to electronic reporting and receiving systems, as specified. Many of the activities to be conducted by direct reporters will be

dete rmined by the instructions associated with EPA’s electronic document receiving system. Specifically, EPA has developed an Agency

- wide receiving system, the Central Data Exchange (CDX), which guides direct reporters through the registration and reporting p rocedures. In developing this ICR, EPA referred to the regulatory text, as well as CDX, in describing direct reporters’ activities and associated burden.3

2. NEED FOR AND USE OF THE COLLECTION

2(a) NEED AND AUTHORITY FOR THE COLLECTION

EPA established the CROMERR requirements to ensure compliance with the Government Paperwork Elimination Act (GPEA). 2 GPEA requires that Federal agencies be prepared, by October 21, 2003, to allow persons who are required to maintain, submit, or disclose information, the option of doing so electronically, when practicable, as a substitute for paper; and to use electronic authentication (electronic signature) methods to verify the identity of the sender and the integrity of electronic content. GPEA specifically provides t hat electronic records, and their related electronic signatures, are not to be denied legal effect, validity, or enforceability merely because they are in electronic form.

(1) Registering with EPA Electronic Document Receiving System

Regulated entities m ust initially register with the EPA electronic document receiving system to establish a user account. EPA needs the registration information to identify the registrant, contact information, and registrant’s organization. Registrants also select a passwor d and user name during registration. This information is needed to ensure that only the registrant

has access to his/her account.

(2) Compliance with Identity Proofing Requirements

The identity proofing provisions in 40 CFR 3.2000(b)(5) are needed to streng then the

non

- repudiation provisions of CROMERR . The electronic signature agreement, required in Section 3.2000(b)(5)(v), establishes that the signatory was informed of their obligation to keep the signature device from compromise, by ensuring that it is n ot made available to anyone else. These provisions are intended to ensure that the Federal laws regarding the falsification of information submitted to the government still apply to any and all electronic transactions, and

that fraudulent electronic submi ssions will be prosecuted to the fullest extent of the law. In establishing clear requirements for electronic reporting systems, CROMERR helps to minimize fraud by assuring that the responsible individuals can be readily identified.

( 3 ) Approval of State /Local Electronic Document Receiving System Applications

EPA needs information submitted by State s /Locals in their program modification applications to evaluate the State s /Locals’ upgraded or new electronic document receiving systems to ensure they satisf y the criteria at 40 CFR 3.2000.

EPA also needs the information to evaluate whether the State/Local’s modified program has been satisfactorily revised or modified in regard to their electronic document receiving system. In particular, the application mu st include a certification that the State/Local has sufficient legal authority provided by lawfully enacted or promulgated statutes or regulations to implement the electronic reporting component of its authorized program covered by the

2 Title XVI I of Pub. L. 105 277

.4

application; and to enforce the affected programs using electronic documents collected under these programs. The certification must be signed by the governmental official who is legally competent to certify with respect to legal authority on behalf of their government. In t he case of

a S tate, this official must be the Attorney General or designee. In the case of a T ribe or local government, this official must be the chief administrative official or officer or designee. As a legal matter, EPA ’s position is that Attorneys Ge neral or their designees are the only officials capable of certifying with respect to their States’ legal authority. Where there are substantial administrative obstacles involving the Attorney General in such certifications, EPA urges the State Attorney G eneral to provide for a legally competent designee who is available to participate in the submission of the State’s application.

2(b) PRACTICAL UTILITY AND USERS OF THE DATA

(1) Registering with EPA Electronic Document Receiving System

Regulated entit ies must initially register with the EPA electronic document receiving system to establish a user account and create a password. EPA uses the information to identify the registrant (e.g., by name and/or organization), establish the account, and contact th e registrant

if needed. Regulated entities use the password to access their account and to protect it from

unauthorized use.

(2) Compliance with Identity Proofing Requirements

EPA

, State s /Locals , and LRAs use the identity proofing information from registran ts to determine each registrant’s identity and relationship to their regulated entity. The information may be used in an EPA or State/Local enforcement action to rebut a signatory’s attempt to repudiate their electronic signature and/or other elements of the document that was signed.

When EPA or State/Local agency receives a subscriber agreement, certification of receipt and secure storage, or other identity

- proofing information, the agency will review, process, and

file the submittal. EPA or State/Loca l agency would then provide the registrant with access to

the electronic document receiving system (e.g., open its account) so that it may begin using the electronic signature device in reporting electronically.

( 3 ) Approval of State / Local Electronic Docu ment Receiving System Applications

EPA uses the information submitted by State s /Locals in their program modification applications to evaluate the State s /Locals’ upgraded or new electronic document receiving systems against the criteria at 40 CFR 3.2000(b) (1)

- (5). For example, EPA will review the application to determine if the systems are able to generate data as needed, and in a timely manner, including copy of record for each electronic document received, sufficient to prove that

the electronic document was not altered without detection during transmission or at any time after receipt.5

EPA also reviews the application to ensure that the State/Local has taken all necessary steps to modify its regulations and statutes, as needed, so that it has authority to implement electronic reporting and enforce the affected programs using electronic documents collected under its programs. This includes, among other things, an evaluation of the Attorney General’s certification under 40 CFR 3.1000(b)(1)(i).6

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION

CRITERIA

3(a) NONDUPLICATION

CROMERR establishe s uniform, Agency

- wide criteria for electronic document receiving systems, thereby minimizing the potential for duplication or redundancy a cross EPA or State/Local programs. In addition , electronic reporting is voluntary, and will likely be used by facilities only if cost

- effective and non

- duplicative with their other compliance activities. CROMERR does not alter the reporting requirements under existing regulations and statutes, and does not affect whether a document must be created, submitted, or retained under the existing provisions 40 CFR.

3(b) PUBLIC NOTICE

In compliance with the Paperwork Reduction Act of 1995 (PRA) , EPA issued a p ublic

notice in the Feder

al Register on [Insert date] ( [Insert Federal Register citation] )

. The notice indicated that EPA was planning to submit an ICR, “Cross

- Media Electronic Reporting Rule” (EPA ICR No. 2002.06, OMB Control No. 20 2 5

– 0003 ), to the Offic e of Management and Budget (OMB) for review and approval in accordance with the PRA . The notice also requested

comments on the information collec tion and burden estimates covered in the ICR. The public comment period extended through [Insert date]

.

[I nsert summary of public comments received and a description of how the comments were considered in finalizing this supporting statement

. ]

3(c) CONSULTATIONS

Most of the underlying assumptions in this ICR (e.g., hour an d cost burden estimates) are

based on EPA consultations with industr y and States/Locals during the development of

CROMERR and renewal of previous CROMERR ICRs. In developing this current ICR, EPA carefully reviewed all of the ICR’s data and assumptions and determined that a few should be strengthened based on additional cons ultations.

Table 1 identifies the organizations contacted.

Table 1 Organizations EPA Contacted during the Development of this ICR ( [Insert month] 2014 )

Organization Contact Name Phone Number7

[Inse rt brief summary of consultation feedback.]

The above feedback is reflected in the burden assumptions of this ICR, as appropriate. Detailed information on EPA’s assumptions regarding these and other activities are fully

discussed in Section 6 of this doc ument.

3(d) EFFECTS OF LESS FREQUENT COLLECTION

(1) Registering with EPA Electronic Document Receiving System

Facilities must initially register with the EPA electronic document receiving system to establish a user account. Registration information i s collected at the time of registration (i.e.,

a one

- time event) and updated if needed. Because it is a one

- time activity, the information cannot be collected less frequently. If this information were not collected, EPA would not have a way to learn the identity of the registrant and establish its account.

(2) Compliance with Identity Proofing Requirements

Facilities must comply with the identity proofing provisions of CDX and 40 CFR 3.2000(b)(5), as applicable. These provisions provide that, in the case o f priority reports for which an electronic signature device was used to create an electronic signature, a determination of identity must be made before the electronic document is received. I t is critical that registrants

submit the identity proofing paper work in advance of their priority reports so that the Agency can establish a link between each registrant and its electronic signature device to hold them

accountable for their submittals. Facilities also must report any compromise or surrender of its

ele ctronic signature device to EPA or State/Local.

LRAs must report any breach of storage of its subscriber agreements. These are as

needed submittals. If these reports were not collected, EPA and State s /Locals would not have a way to learn about the sig nature compromise/surrender or storage breaches. Hence, they would not be in a position to take follow up action as needed (e.g., to temporarily prevent access to an account whose signature device has been compromised). This could result in the unauthori zed use an electronic signature device.

( 3 ) Approval of State / Local Electronic Document Receiving System Applications

CROMERR sets forth timeframes for EPA receipt, review, and approval of State/Local program modification applications to implement electr onic document receiving systems.

State s /Local s that did not have an electronic document receiving system in use or substantially developed on or before October 13, 2005 must apply to EPA for program modification approval before receiving electronic docume nts ( 40 C FR 3.10000(a)(2)) . If this frequency were not specified, EPA would not have assurance that State s /Locals are developing and using electronic document receiving systems that comply with CROMERR ’s provisions at 40 CFR 3.2000.8

3(e) GENERAL GUIDELI NES

This ICR adheres to the guidelines stated in the PRA , OMB ’ s implementing regulations, applicable OMB guidance, and EPA ’ s ICR Handbook.

EPA notes that subscriber agreements must be kept on file until five years after

deactivation of the associated el ectronic signature d evice. A five

- year retention period is necessary to ensure that such records are available in case of an EPA or State/Local enforcement action. EPA recognizes that a registrant may use an electronic signature device in signing a

range of enforcement

- sensitive reports. Certain reports may have relevance to an enforcement action long after it is submitted to EPA or State/Local. Because of this, EPA needed to establish a sufficiently long retention period for the subscriber agreements s o that they would available for

such enforcement actions.

3(f) CONFIDENTIALITY

If a confidentiality claim were asserted, EPA would treat the information in accordance with the confidentiality regulations at 40 CFR Part 2, Subpart B. EPA also would ensur e that the information collection procedures comply with the Privacy Act of 1974 and the OMB Circular

108.

3(g) SENSITIVE QUESTIONS

Persons registering with CDX are asked to provide knowledge

- based information (e.g., date of birth) to ensure the security of their password, user name, and other information supplied. If the person loses his/her password or user name, or otherwise needs to confirm his/her identity to EPA, EPA could use the knowledge

- based information to confirm his/her identity.9

4. THE RE SPONDENTS AND THE INFORMATION REQUESTED

4(a) RESPONDENTS AND NAICS CODES

The information collection requirements covered in this ICR will likely have broad applicability across industries. Refer to Appendix A for a list of the North American Industry

C lassification System (NAICS) codes associated with industries most likely affected by these requirements.

4(b) INFORMATION REQUESTED

Following is a description of the data items and activities associated with the information collection requirements cover ed in this ICR. Refer to Section 1(b) for the types of respondents

examined in this subsection.

(1) Registering with EPA Electronic Document Receiving System

Facilities must register their employees with CDX before reporting electronically to EPA.

The employees must update their registration information if it changes.

(i) Data Items :

 An on

- line registration application:

 Registrant name

.

 Organization name

.

 Address

.

 Knowledge

- based information (e.g., user

- supplied secret question

- and

answer pair)

.

(ii) Respondent Activities :

Facility employees must perform the following activities :

 Log on to receiving system site and enter requested information

.

 Update the information, as needed

.

( 2 ) Compliance with Identity Proofing Requirements

Direct reporters, i ndirect reporters

, indirect reporting firms, and LRAs must comply with the identity proofing provisions of CDX and CROMERR , as applicable. In addition,

State s/Locals that accept electronic documents to satisfy reporting requirements under authorized

or de legated environmental programs that they administer must process, review, and approve the identity proofing information submitted by indirect reporters

.10

CDX and 40 CFR 3.2000(a)(2) require that any electronic document must bear the valid electronic signat ure of a signatory if that signatory would be required under the authorized program to sign the paper document for which the electronic document substitutes, except as otherwise specified. In the case of an electronic document that must bear electronic si gnatures of individuals as provided by CDX and 40 CFR 3.2000(a)(2), each signatory must sign either an electronic signature agreement, or a subscriber agreement with respect to the electronic signature device used to create their electronic signature on th e electronic document.

CDX and 40 CFR 3.2000(b)(5)(vii) require that the identity of the individual uniquely entitled to use the device and their relation to any entity for which he or she will sign electronic documents must be determined with legal certa inty by EPA or State/Local, as applicable. In the case of priority reports, this determination must be made before the electronic document is received, by means of:

 Identifiers or attributes that are verified by attestation of disinterested individuals t o be uniquely true of the individual in whose name the application is submitted, based on information or objects of indep endent origin, at least one item of which is not subject to change without governmental action or authorization.

 A method of determini ng identity no less stringent than the one above.

 Collection of either a subscriber agreement or a certification from a LRA that such an agreement has been received and securely stored.

The term “subscriber agreement” means an electronic signature agree ment signed by an

individual with a handwritten signature . The agreement must be signed by an individual with respect to an electronic signature device that the individual will use to create his/her electronic signature requiring such individual to protec t the electronic signature device from compromise; to promptly report to the agency or agencies relying on the electronic signatures created any evidence discovered that the device has been compromised; and to be held as legally bound, obligated, or respon sible by the electronic signatures created as by a handwritten signature. This

agreemen t must be stored until five years after the associated electronic signature device has

been deactivated.

The term “Local Registration Authority” means an individual wh o is authorized by a

State/Local to issue an agreement collection certification, whose identity has been established by notarized affidavit, and who is authorized in writing by a regulated entity to issue agreement

collection certifications on its behalf. Once approved by EPA or State/Local, the LRA would collect subscriber agreements from each individual in the regulated entity that intends to use an electronic signature device in reporting electronically to EPA or State/Local electronic document

receivin g system. The LRA would collect and store the subscriber agreements in a manner that prevents authorized or unauthorized access to these agreements by anyone other than the LRA. The LRA would prepare an agreement collection certification and submit a cer tification of receipt and secure storage to the EPA or State/Local.11

(i) Data Item s :

 Compliance with identity proofing requirements by means of i dentifiers, attributes, or alternative m ethod :

 Identifiers or attributes that are verified by attestation of d isinterested individuals to be uniquely true, as specified.

 Other information necessary to determine identity.

 Compliance with s ubscriber agreement provisions :

 Subscriber agreement

.

 Report of compromised or surrendered electronic signature.

 Submission of subscriber agreement to LRA :

 Subscriber agreement

.

 Report of breach of security.

 Report of compromised or surrendered electronic signature.

 Designation of LRA:

 Application to designate a LRA, including notarized affidavit and a

written authorization from the regulated entity to issue collection agreement certifications on its behalf.

 Collection of subscriber agreements by LRA:

 Agreement collection certification. This is a signed statement by which a LRA certifies that a subscriber agreement has been rec eived from a registrant; the agreement has been stored in a manner that prevents authorized or unauthorized access to these agreements by anyone other

than the LRA ; and the LRA has no basis to believe that any of the collected agreements have been tampered with or prematurely destroyed.

 Certification of receipt and secure storage.

(ii) Respondent Activities :

Direct and indirect reporters must perform the following activities , as applicable :

 Comply with requirements for identifier

, attribute , or alternat ive method :

 Prepare and submit information on identifiers

, attributes

, or other identity

proofing information.

 Comply with subscriber agreement provisions:

 Prepare and submit a subscriber agreement.

 File subscriber agreement.

 Prepare and submit new subscr iber agreement, for employee turnover.

 File new subscriber agreement, for employee turnover.12

 Contact the Help D esk for technical support.

 Report compromised or surrendered electronic signature device and prepare/submit new subscriber agreement if necessary

.

 Submit subscriber a greement to LRA :

 Prepare subscriber agreement and send to LRA

.

 Prepare and submit new subscriber agreement to LRA , for employee

turnover.

 Report breach of security or compromise/ surrende r of electronic signature

device.

 Prepare and su bmit new subscriber agreement to LRA subsequent to breach of security or compromise of electronic signature device, if

necessary.

 Conduct ongoing management:

 Identify and resolve problems

.

Indirect reporting firms and LRAs must perform the following acti vities , as applicable:

 D esignating a LRA :

 Develop a process or plan to implement the requirement, designate the LRA, and submit LRA application to agency.

 Register the LRA with the electronic document receiving system.

 Redesignate LRA , due to turnover , an d send application materials

.

 Register new LRA with electronic document receiving system

.

 Collect subscriber agreements from reporters:

 Collect and securely store subscriber agreements

 Prepare agreement collection certification after securely storing subs criber agreements, and submit certification of receipt and secure storage

.

 Collect and securely store subscriber agreements, for employee turnover

.

 Prepare agreement collection certification after securely storing subscriber agreements, and submit certific ation of receipt and secure storage, for employee turnover

.

 Collect and securely store subscriber agreements, for breach of security/compromise of electronic signature device

.

 Prepare agreement collection certification after securely storing subscriber

agr eements, and submit certification of receipt and secure storage, for breach of security/compromise of electronic signature device

.13

State/Local agencies acting as regulators must perform the following activities:

 Collect iden tifiers

, attributes

, or alte rnative information :

 Receive, process, review

, and approve identifier, attribute, or alternative

information

.

 Collect subscriber agreements:

 Receive, process, review, approve, and file new subscriber agreements.

 Receive, process, review, approve, and file new subscriber agreements, for employee turnover.

 Receive, process, review, and approve report of compromise or surrender of electronic signature device.

 Collect submittals from LRAs:

 Receive, process, review, and approve certification of receipt and sec ure storage.

 Receive, process, review and approve updated certification of receipt and secure storage, for employee turnover.

 Receive notification of breach of security or compromise/surrender of electronic signature and take action.

 Receive, process, revi ew, and approve certification of receipt and secure storage, for breach of security or compromise/surrender of electronic signature device.

 Collect applications for designation of LRAs:

 Receive application to designate first

- time LRA.

 Receive application to designate LRA, for LRA turnover.

 Conduct ongoing management :

 Identify and resolve problems.

 Respond to information requests.

( 3 ) Approval of State / Local Electronic Document Receiving System Applications

To obtain EPA approval of authorized program r evision or modification using procedures provided under 40 CFR 3.1000, a State /Local must submit an application for program revision to EPA that includes the elements specified in Section s 3.1000(b)(1)(i) through (iv).

A State/Local that revises or modif ies more than one (1) authorized program for receipt of electronic documents, in lieu of paper documents, may submit a consolidated application covering more than one authorized program, provided the consolidated application complies with applicable requir ements for each authorized program.14

If the State/Local receives a notice from EPA that its application is incomplete or does not satisfy the requirements at 40 CFR 3.2000, the State/Local must submit an amendment to the original application that includes the missing information.

A State/Local that accepts electronic documents in lieu of paper documents under an authorized program for which EPA has approved program revisions or modifications under the procedures provided in 40 CFR 3.2000(a)(1) must kee p EPA apprised of those changes to laws, policies, or the electronic document receiving systems that have the potential to affect program

conformance with Section 3.2000.

The State/Local program must satisfy the requirements at 40 CFR 3.2000. Pursuant t o Section 3.2000, authorized programs that receive electronic documents, in lieu of paper documents, to satisfy requirements under such programs must use an acceptable electronic document receiving system as specified and require that any electronic docume nt must bear valid electronic signatures to the same extent that the paper submission for which it substitutes would bear handwritten signatures under the authorized program, unless otherwise specified. An electronic document receiving system that receive s 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 t he electronic document, that meets the criteria specified at

Sections 3.2000(b)(1) through (5).

(i) Data Items :

 An application (or application amendment) for program revision that includes the following elements:

 A certification that the State/Local has sufficient legal authority provided by lawfully enacted or promulgated statutes or regulations that are in full force and effect on the date of certification to implement the electronic reporting component of its authorized programs covered by the applicat ion in conformance with Section 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 designee, or in t he case of an authorized T ribal or local government program, by the C hief A dministrative O fficial or O fficer of the governmental entity or designee.

 A listing of all State/Local electronic document receiving systems to accept the electronic documents being addressed by the program modification or revisions that are covered by the application, together with a description for each such system that specifies how the system meets the applicable criteria in Section 3.2000(b) with respect to those electronic

docu ments.15

 A schedule of upgrades for electronic document receiving systems that have the potential to affect the program’s continued conformance with Section 3.2000, if appropriate.

 Other such information as the Administrator may request to fully evaluate

th e application.

 Appraisals to EPA of changes to laws, policies, or electronic document receiving systems.

(ii) Respondent Activities :

State/Local agencies that are regulated entities must perform the following

activities:

 Upgrade existing electronic do cument receiving system or develop new electronic document receiving system to meet 40 CFR 3.2000 requirements and apply for EPA program modification approval under 40 CFR 3.1000

.

 Submit amendment to original application for EPA program modification

appro val under 40 CFR 3.1000

.

 Submit notification to EPA about changes to laws, policies, or electronic document receiving systems that have the potential to affect program

conformance with 40 CFR 3.2000

.16

5. THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLL ECTION METHODOLOGY, AND INFORMATION MANAGEMENT

5(a) AGENCY ACTIVITIES

(1) Registering with EPA Electronic Document Receiving System

EPA activities associated with facility reporting to EPA’s electronic document receiving

system (i.e., CDX) include :

 De velop, o perate

, and maintain CDX.

(2) Compliance with Identity Proofing Requirements

EPA activities associated with the identity proofing requirements covered in this ICR

include:

 Collect iden tifiers or attributes or other information :

 Receive, process, re view

, and approve identifier, attribute, or alternative

information

.

 Collect subscriber agreements:

 Receive, process, review, approve, and file new subscriber agreements.

 Receive, process, review, approve, and file new subscriber agreements, for employee turnover.

 Receive, process, review, and approve report of compromise or surrender of electronic signature device.

 Conduct ongoing management :

 Identify and resolve problems.

 Respond to information requests.

( 3 ) Approval of State / Local Electronic Document Receiving System Applications

EPA activities associated with the approval of State/Local electronic document receiving systems include :

 Process and file applications submitted by State s /Locals seeking to modify their programs, as required by 40 CFR 3.10 00.

 Process and file amendments to program modification applications submitted by

State s /Locals.

 Process and file appraisals of changes to laws, policies, or electronic document receiving systems.17

5(b) COLLECTION METHODOLOGY AND MANAGEMENT

CDX serves a s EPA’s primary gateway for electronic documents received by EPA. CDX

functions include:

 Access management allowing or denying an entity access to CDX.

 Data interchange accepting and returning data via various file transfer mechanisms.

 Signature/certific ation management providing devices and required scenarios for individuals to sign and certify what they submit.

 Submitter and data authentication assuring that electronic signatures are valid and data is uncorrupted.

 Transaction logging providing date, tim e, and source information for data received to establish “chain of custody

. ”

 Acknowledgment and provision of copy of record providing the submitter with

confirmations of the data received.

 Archiving placing files received and transmission logs into secure, long term storage.

 Error checking flagging obvious errors in documents and document transactions, including duplicate documents and unauthorized submissions.

 Translati ng
, forwarding , and converting submitted documents into formats that will

load to EPA da tabases, and forwarding them to the appropriate systems.

 Outreach providing educati on and other customer services to CDX users (e.g., user manuals, Help Desk)

.

5(c) SMALL ENTITY FLEXIBILITY

CROMERR allows electronic reporting by permitting the use of el ectronic document receiving systems to receive electronic documents in satisfaction of certain document submission requirements in EPA’s regulations. Electronic reporting under CROMERR is voluntary. These changes will reduce the burden on all affected en tities, including small businesses. In addition, facilities will find that the initial set up process requires little expenditure of time and resources, and in the long run, this process will reduce the time spent on submissions each year.

5(d) COLLECTIO N SCHEDULE

The collection frequencies associated with CDX include the following:

 Registrants must initially register with the electronic document receiving system and obtain electronic signature certification, if applicable.

 Facilities must comply with requirements for determining the identity of individuals who use electronic signature devices (e.g., prepare/submit subscriber agreements or certification of receipt and secure storage), before submitting electronic reports using

the associated device.

 Re gistrants must submit a notice of compromise or surrender of electronic signature device promptly, should this occur.18

State s /Local s that did not have an electronic document receiving system in use or substantially developed on or before October 13, 2005 m ust , using specified procedures, apply

for and receive EPA approval of revisions or modifications to the authorized program before the program may receive electronic documents in lieu of paper documents to satisfy requirements of such program.

Within 75 c alendar days of receiving an application for program revision or modification, the Administrator will respond with a letter that either notifies the State/Local that the application is complete or identifies deficiencies in the application that render the application incomplete. The State/Local 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 appl icant that the amended application is complete or identifies remaining deficiencies that render the application incomplete.

Except where an opportunity for public hearing is required, if the Administrator does not take any action on a specific request for revision or modification of a specific authorized program addressed by an application submitted within 180 calendar days of notifying the State/Local that the application is complete, the specific request for program revision or modification for the speci fic 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/Local submitting the application.

If a State/Local submits material to amend its applic ation after the date that the Administrator sends notification 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, an d the 180

- day time period will begin again only when

the Administrator makes a new determination and notifies the State/Local under that the amended application is complete.19

6. ESTIMATING THE HOUR AND COST BURDEN OF THE COLLECTION

6(a) ESTIMATING RESPOND ENT BURDEN HOURS

Exhibit 1 provide s estimates of the respondent hourly burden associated with the information collection requirements co vered in this ICR. The exhibit include s burden hours (total and by labor type) per respondent, as well as the overall burden hours for all respondents. The majority of the ho ur estimates in Exhibit 1 are based on the Agency’s technical background
document, Cross Media Electronic Reporting Rule Cost Benefit Analysis

, [and consultations with industry and States]

.

6(b) ES TIMATING RESPONDENT COSTS

Exhibit 1 provide s estimates of the annual respondent costs associated with the information collection requirements covered in this ICR. These costs are based on the cost of labor, capital, and operation and maintenance (O&M).

(1) Labor Costs

Using the total burden hours discussed in Section 6(a) and the hourly respondent labor

costs outlined i n this section, Exhibit 1 illustrate s the labor costs associated with the information collection requirements covered in this ICR.

(a) Di rect Reporters, Indirect Reporters

, Indirect Reporting Firms, and Local Registration Authorities

EPA estimates an average hourly respondent labor cost (includin g fringe and overhead)

of $61.63 for legal staff, $39.50 fo r managerial staff, $39.17 for tec hnical staff, and $17.23 for

clerical staff. These respondent l abor costs were obtained from the previously approved

CROMERR ICR (i.e., EPA ICR Number 2002.0 5 , dated June 22, 2011 ), and updated to 201 4 levels using Employment Cos t Indexes developed by th e Bureau of Labor Statistics. 3

(b) State/Local Agencies

EPA estimates an average hourly respondent labor cost (includin g fringe and overhead)

of $41.13 for legal staff, $41.13 for managerial sta ff, $31.15 for technical staff, and $14.78 for

clerical staff . These respondent labor costs were obtained from the previously approved

CROMERR ICR (i.e., EPA ICR Number 2002.0 5 , dated June 22, 2011 ), and updated to 201 4 levels using Employment Cost Indexes developed by the Bureau of Labor Statistics. 4

3 Bureau of Labor Statistics; “ Table 4. Employment Cost Index for total compensation, for civilian

workers , by occupational and industry;” Employment Cost Index, Historical Listing

– Volume V , Continuous Occupational and Industry Ser ies, September 1975

– June 2014 ; July 2014 . Available online at: http://www.bls.gov/web/eci/ecicois.pdf , last accessed on October 8, 2014 . Civilian Workers, All Workers, March

2011=114.0 and June 2014= 121.4

.

4 Bureau of Labor Statistics, “ Table 7. Employment Cost Index for total compensation, for State and local government workers, by occupational and industry, ” Employment Cost Index, Historical Listing

– Volume V,20

(2) Capital Costs

Capital costs usually include any produced physical good needed to provide the needed information, such as machinery, c omputers, and other equipment.

(a) Direct Reporters, Indirect Reporters

, Indirect Reporting Firms, and Local Registration Authoriti es

EPA does not anticipate that direct reporters, indirect reporters

, indirect reporting firms,

and LRAs will incur capital costs in carrying out the information collection requirements

covered in this ICR.

(b) State /Local Agencies

EPA anticipates that St a te/Local agencies will incur capital costs in upgrading their existing electronic document receiving systems or developing new electronic document receiving

systems to satisfy CROMERR standards at 40 CFR 3.2000 (e.g., copy of record, Secure Sockets Layer (SSL), e

- mail notification, electronic signature, electronic signature agreement)

. In particular, EPA estimates that each State agency will incur a cost of $152,701 and that each

Local agency will incur a cost of $57,996

. These capital costs were obtain ed from the previously approved CROMERR ICR (i.e., EPA ICR Number 2002.0 5 , dated June 22, 2011 ), and updated

to 201 4 levels using Consumer Pric e Indexes developed by the Bureau of Labor Statistics. 5 The

above capital costs are shown in Exhibit 1 for all a pplicable respondent activities.

EPA notes that c apital costs for Local agencies are estimated to be lower than the capital costs for State agencies because Local agencies are expected to have simpler electronic document receiving systems that cover fe wer programs and fewer electronic reports than S tate systems. For example, EPA has receiv ed only one application from a L ocal agency under CROMERR, and that system only accepts reports under one authorized program

.

(3) Operation and Maintenance Costs

O& M costs are those costs associated with an information collection requirement incurred continually over the life of the ICR.

Continuous Occupational and Industry Series, September 1975

– June 2014 ; July 2014 . Available online at: http://www.bls.gov/web/eci/ecicois.pdf , last accessed on October 8, 2014 . State and Local Government Workers,
All Workers, March 201 1=116.6 and June 2014= 123.1

.

5 Bureau of Labor Statistics, “ Table 24. Historical Consumer Price Index for All Urban Consumers (CPI

U): U. S. city average, all items, ” CPI Detailed Report for August 2014 ; August 2014. Available online at: http://www.bl s.gov/cpi/cpid1408.pdf, last a ccessed on October 8, 2014. April 2011=224.906 and August

2014=237.852.21

(a) Direct Reporters, Indirect Reporters

, Indirect Reporting Firms, and Local Registration Authorities

O&M costs include :

 EPA esti mates that employee registrants that submit subscriber agreements to EPA or

State s /Local s will incur a cost of $3. 82 to mail a one

- ounce letter by certified mail ( i.e., $0. 49 for first

- class letter postage

, $ 3.30 for the certified

- mail f ee, and $0. 03 for

s tandard business envelope)

. 6

, 7

, 8

 EPA estimates that employee registrants that submit subscriber agreements to their

LRA will incur a cost of $0. 52 to mail a one

- ounce letter using first

- class mail (i.e., $0. 49 for first

- class letter postage and $0. 03 fo r standard business envelope)

. 9

, 10

 EPA estimates that indirect reporting firms will incur a cost of $2. 78 for obtaining a

notarized affidavit to establish the identity of a LRA . This O&M cost was obtained from the previously approved CROMERR ICR (i.e., E PA ICR Number 2002.0 5

, dated June 22, 2011 ), and updated to 201 4 levels using Consumer Pric e Indexes developed by the Bureau of Labor Statistics. 11

The above O&M costs are shown in Exhibit 1 for all a pplicable respondent activities.

(b) State /Local Agencie s

For State/Local agencies , O&M costs include mailing costs. In particular, EPA estimates

that State/Local agencies submitting documentation to EPA (e.g., applications for program modification approval under 40 CFR 3.1000 ) will incur a cost of $ 6.09 to m ail a nine

- ounce large e nvelope by certified mail ($2. 66 for first

- class large envelope postage, $ 3.30 for t he

certified

- mail fee, and $0. 13 for catalog envelope). 12

, 13

, 14 These O&M cos ts are shown in

Exhibit 1 for all applicable respondent activities.

6 U.S. Postal Service ; “ First

- Class Mail Prices .” Available online at: https://www.u sps.com/2014/mailing/m

- fcm

- retail.xls , la st accessed on October 8, 2014.

7 U.S. Postal Service; “Extra Services Prices.” Available online at: https://www.usps.com/2014/mailing/m

- dom

- extra

- services.xls , last accessed on October 8, 2014.

8 Standard business envelope cost based on current market price, as of October 8, 2014 (i.e., box of 500 standard business envelopes with gummed closure at $15.59).

9 U.S. Postal Service ; “ Firs t

- Class Mail Prices .” Available online at: https://www.usps.com/2014/mailing/m

- fcm

- retail.xls , la st accessed on October 8, 2014.

10 Standard business envelope cost based on current market price, as of October 8, 2014 (i.e., box of 500 standard business envelopes with gummed closure at $15.59).

11 Bureau of Labor Statistics, “ Table 24. Historical Consumer Price Index for All Urban Consumers (CPI

U): U. S. city average, all items, ” CPI Det ailed Report for August 2014 ; August 2014. Available online at: http://www.bls.gov/cpi/cpid1408.pdf , last a ccessed on October 8, 2014. April 2011=224.906 and August

2014=237.852.

12 U.S. Postal Servic e ; “ First

- Class Mail Prices .” Available online at:22

6( c) ESTIMATING AGENCY HOUR AND COST BURDEN

EPA estimates the Agency hour and cost burden associated with the information collection requirements covered in this ICR in Exhibit 2

. As shown i n the exhibit , EPA estimates an average hourly labor cost of $65. 58 for legal staff (GS

- 14 , Step 5), $55.50 for manageri al staff (GS

- 13, Step 1), $46.67 for technical s taff (GS

- 12, Step 1), and $23.68 for clerical staff (GS

- 06, Step 1). To derive these hourly estimates, EPA referred to the General Schedule (GS) Salary Table 201 4

. 15 This publication summarizes the unloaded (base) hourly rate for various labor categories in the Federal g overnment. EPA then applied the standard government overhead factor of 1.6 to the unloaded rate to derive loaded hourly rates.

EPA es timates that , each year, the Agency will incur a capital cost of $173,600 in CDX development, operation

, and maintenance activities

. 16 This capital cos t is shown in Exhibit 2

.

O&M costs include electronic transaction f ee s associated with the processing of electronic subscriber agreement s (ESA) by a third party vendor . In particular, EPA estimates that the Agency will i ncur an electronic transaction cost of $ 0.61 per subscriber agreement. 17

This O&M cos t is shown in Exhibit 2 for all applicable activities.

6(d) ESTIMATING RESPONDENT UNIVERSE AND TOTAL HOUR AND

COST BURDEN

In this section, EPA first describes the estimated respondent universe. EPA then estimates the annual burden to respondents under the information collection requirements

covered in this ICR.

EPA notes that, a s used in this document

, the term “respondent” includes:

 Direct reporters, indirect reporters

, indirect reporting firms, and LRAs complying with the registration and identity proofing requirements cov ered in this ICR , as applicab le . This includes:

https://www.usps.com/2014/mailing/m

- fcm

- retail.xls , la st accessed on October 8, 2014.

13 U.S. Postal Service; “Extra Services Prices.” Available online at: https://www.usps.com/2014/mailing/m

- dom

- extra

- services.xls , last accessed on October 8, 2014.

14 Catalog envelope cost based on current market price, as of Oc tober 8, 2014 (i.e., box of 100 6” x 9” brown kraft catalog envelopes with gummed closure at $13.29).

15 US Office of Personnel Management, “ Base Hourly Rate, ” 201 4 General Schedule (Base) , January

201 4 . Available online at: http://www.opm.gov/policy

- data

- oversight/pay

- leave/salaries

- wages/salary

tables/pdf/2014/GS_h.pdf , last accessed on October 8, 2014

.

16 Based on d ata current as of Octob er 13, 2014

.

17 Based on data current as of September 10, 2014.23

 Private sector entities; and

 State/Local agencies that are regulated entities 18

.

 State/Local agencies administering electronic document receiving systems subject to

CROM E RR 19 . In this document, we refer to these respondents as “ State/Lo cal agencies acting as regulators.”

 State/Local agencies seeking EPA approval to allow electronic reporting under

CROMERR 20 . In this document, we refer to these respondents as “ State/Local agencies that are regulated entities. ”

(1) Respondent Universe

EPA estimates that, in total, 102,387 respondents will be subject to the information collection requirements covered in this ICR. This includes 77,482 direct reporters, 24,834 indirect reporters, 48 State/Local agencies acting as r egulators , and 23 State /Local agencies that are regulated e ntities . The following paragraphs provide additional information on how these respondent universe estimates were derived.

(a) Direct Reporter Employee s

EPA estimates that, each year, 77,482 direct reporters will be subjec t to the information collection requirements covered in this ICR. This includes 55,483 direct reporter employees expected to register with CDX and 21,999 direct reporters expected to submit subscriber

agreements.

Table 2 presents information on the annua l number of employee registrants expected to register with CDX during the three

- year period cover ed by the ICR. As shown in the table, EPA estimates that, on average, 55,483 employees will register with CDX each year

.

Appendix B provides detailed infor mation on the methodology used to estimate the average annual number of direct reporters expected to register with the CDX during the three

year period covered by this ICR.

18 Addressing State/Local agencies as “respondents” is consistent with EPA’s interpretation of the definition of respondent in the PRA.

19 Ibid

.

20 Ibid.24

Table 2

Annual Number of Direct Reporter Employee s Expected to Register with

EPA ’s CDX during the Three

- Year Period Covered by the ICR

Respondent Universe Average Annual Number of New Employee Registrants a

Private Sector Entities 47,772

State /Lo cal Agencies that are Regulated Entities 7,711

Total 55,483

a Federal government emplo yees are not reflected in the table because they are exempt from ICR requirements.

Table 3 presents information on the estimated annual number of subscriber agreements to
be submitted to EPA during the three

- year period covered by the ICR. As shown in t he table, direct reporters have various options for c omplying with the subscriber agreement requirements

covered in this ICR :

 Paper subscriber agreement

. Direct reporters have the option of preparing and mailing a paper subscriber agreement (i.e., a non

- ESA).

 Electronic subscriber agreement (ESA). Direct reporters have the option of completing and submitting an ESA directly to CDX (i.e., without using a third party

vendor )

. This eli minates the requirement to prepare and mail new paper subscriber

agreem ents.

 Reuse (Consolidated) ESA. Direct reporters now have the option of “reusing” an

ESA . CDX has the ability to recognize when a registrant has already provided sufficient forensic evidence through wet

- ink signature, organization information, and

audit information tying forensic evidence to CDX credentials in order to allow reuse of the forensic evidence and accept a digitally signed (electronic) signature using the registrant’s existing CDX credential. This eli minates the requirement to prepare and

ma il new paper subscriber agreements.

 Third Party ESA

. Direct reporters now have the option of completing and submitting an ESA through a third party vendor. CDX provides a voluntary method for real

- time

iden tity proofing using a third party vendor to val idate government identification (ID) and additional personal information in comp liance with OMB Memorandum

M

- 04

- 04

, while retaining repeatable digital evidence of validation using cryptographic hash technology and not retaining the highly sensitive persona lly

id entifying information. The third party process validates both identity and business

affiliation. This eli minates the requirement to prepare and mail new paper subscriber

agreements.25

Appendix B provides detailed information on the methodology used to estimate the average annual number of subscriber agreements to be submitted to EPA during the three

- year period covered by this ICR.

Table 3

Annual Number of Subscriber Agreements to Be Submitted to EPA during the Three

- Year Period Covered by the ICR a

Type of Subscriber Agreement Annual Number of Subscriber Agreements b

, c Average

201 5 201 6 201 7

Private Sector Entities

Non

- ESA Registrants 1,696 1,867 1,856 1,806 ESA Registrants 8,701 9,693 9,792 9,395 Reuse (Consolidated) ESA Registrants 1,040 506 68 538
Third Party ESA Registrants 6,476 6,872 8,256 7,201

Subtotal 17,913 18,938 19,972 18,941
State/Local Agencies that A re Regulated Entities

Non

- ESA Registrants 274 301 300 292 ESA Registrants 1,404 1,565 1,581 1,517
Reuse (Consolidated) ESA Registrants 168 82 11 87 Third Party ESA Registrants 1,045 1,109 1,333 1,162

Subtotal 2,891 3,057 3,225 3,058

Total

Non

- ESA Registrants 1,970 2,168 2,156 2,098 ESA Registrants 10,105 11,258 11,373 10,912 Reuse (Consolidated) ESA Registrants 1,208 588 79 625
Third Party ESA Registrants 7,521 7,981 9,589 8,364

Total 20,804 21,995 23,197 21,999

a Table includes rounding error.

a Tab le contains data provided by EPA’s Office of Information Collection (OIC) , and are current as of August 8, 2014

.

c Fed eral government employees are not reflected in the table because they are exempt from ICR requirements.

(b) Indirect Reporter Employee s

Table 4 presents information on the annual number of employee registrants expected to register and comply with identify p roofing requirements of State/Local electronic document receiving systems during the three

- year period covered by the ICR. As shown in the table, EPA estimates that, on average, 24,834 employees from indirect reporting facilities will register and comply with identify proofing requirements of State/Local electronic document receiving systems each year.

For indirect reporters, EPA assumes that only a portion of employee registrants from

medium

- size and large firms will use the LRA alternative. The remaini ng facility employees will comply with the subscriber agreement provisions. Thus, in order to perform the analysis, EPA categorized employee registrants based on the size of their firms (i.e., small firm or26

medium

- size and large firm). Table 4 presents i nformation on the annual number of employee registrants by type of firm.

As shown in Table 4

, EPA estimates that, on average, 13,372 employees from small firms

and 11,462 employees from medium

- size and large firms will register and comply with identify

pr oofing requirements of State/Local electronic document receiving systems each year.

Appendix C provides detailed information on the methodology used to estimate the average annual number of indirect reporters for the three

- year period covered by this IC R.

Table 4

Annual Number of Indirect Reporter Employee s Expected to Register and Comply with Identify Proofing Requirements during the Three

- Year Period Covered by the ICR

Type of Firm Average Annual Number of Employee Registrants a

Private Sector Entit ies

Small Firms 11,514

Medium

- Size and Large Firms 9,869

Subtotal 21,383
State/Local Agencies that are Regulated Entities

Small Firms 1,858

Medium

- Size and Large Firms 1,593

Subtotal 3,451

Total

Small Firms 13,372

Medium

- Size and Large Firms 11,4 62

Total 24,834

a Federal government employees are not reflected in the table because they are exempt from ICR requirements.

(c) Indirect Reporting Firms

As shown in Table 4 , EPA estimates that, on average, 13,372 employees from small indirect reporting firms will register and comply with identify proofing requirements of State/Local electronic document receiving systems each year. Each small firm is expected to have an average of three employees 21 , for a total of 4,457 small firms (i.e., 13,372 employe es

÷ 3 employees/firm).

EPA also estimates that, on average, 11,462 employees from medium

- size and large indirect reporting firms will register with State/Local electronic document receiving systems each year. Each medium

- size and large firm is expected to have an average of 18 employees 22

, for a total of 637 medium

- size and large firms (i.e., 11,462 employees ÷ 18 employees/firm).

21 Th is assumption was taken from Cros s

- Media Electronic Reporting and Records Rule (CROMERRR) Cost Benefit Analysis, Final , dated November 17, 2004.

22 Th is assumption was taken from Cross

- Media Electronic Reporting and Records Rule (CROMERRR)27

(d) State/Local Agencies Acting as Regulators

Based on data from EPA’s CROMERR Program and Stakeholder Management (PSM) System

, EPA estimates that, currently, 48 State/Local agencies administer electronic document receiving systems subject to CROMERR. 23

(e) State s /Local s Agencies That Are Regulated Entities

B ased on information currently available to EPA on the submission and appro val of program modification applications under 40 CFR 3.1000 (i.e., CROMERR applications), EPA

estimates that , on average, four States/Locals (i.e., 3 States and 1 Local ) will upgrade their existing electronic document receiving systems or develop new elec tronic document receiving

system s and submit CROMERR applications each year.

EPA also estimates that, on average, 15 State s/Locals (i.e., 15 States and 0 Locals) will submit amendments to their original CROMERR applications each year.

In addition, EPA estimates that, on average, 4 States/Locals (i.e., 4 States and 0 Locals )

will submit notification s to EPA about changes to laws, policies, or electronic document receiving systems each year.

Based on the above information, EPA estimates that, each year , 23 State/Local agencies

will be regulated entities during the three

- year period covered by this ICR.

(2) Annual Respondent Burden (Exhibit 1)

(a) Registering with EPA Electronic Document Receiving System

– Direct Reporters

EPA estimates that, on avera ge, 55,483 employees of direct reporting facilities will register with EPA’s electronic document receiving system each year. EPA also estimates that, of

the 55,483 employee registrants

, approximately 10 percent (or 5,548 ) will need to update their registra tion information each year

.

(b ) Compliance with Identity Proofing Requirements

– Direct Reporters

The following paragraphs discuss the ass umptions associated with compliance with the identity proofing requirements by direct reporters

.

Cost Benefit Analysis, Final , dated November 17, 2004.

23 PSM is a custom implementation of a Salesforce.com platform that integrates database records, online file storage, multiple distinct spreadsheets, and email logs, to support the reduction of Technical Review Committee (TRC) and EPA’s Offic e of Environmental Information (OEI) levels of effort in managing the application approval

process . Data current as of October 9, 2014.2 8

Comply with Requ irements for I dentifier, Attribute, or Alternative Method

EPA does not anticipate that direct reporters will p repare and submi t information on

identifiers or attributes

, or other identity

- proofing information.

Comply with Subscriber Agreement Provision s

EPA assumes that all direct reporters will comply with the subscriber agreement requirements.

Non

- ESA Registrants. EPA estimates that, on average, employee registrants from direct reporting facilities will prepare, submit, and file a total of 2,097 pa per subscriber agreements each year. EPA also estimates that, of the 2,097 paper subscriber agreements prepared each year, 89 percent ( 1,867 ) will be from new and existing em ployee registrants (e.g., employees registering for the first time with a data fl ow) ; 10 percent ( 209 ) will be associated with employee turnover, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent ( 21 ) will be associated with a compromised electronic signature, which requires the sub mittal of a new subscriber agreement. EPA anticipates that all employee registrants preparing a paper subscriber agreement will contact the Help Desk for technical

support.

ESA Registrants. EPA estimates that, on average, employee registrants from dir ect reporting facilities will prepare, submit, and file a total of 10,912 ESAs each year. EPA also estimates that, of the 10,912 ESAs prepared each year, 89 percent ( 9,712 ) will be from new and existing em ployee registrants (e.g., employees registering fo r the first time with a data flow) ; 10

percent ( 1,091 ) will be associated with employee turnover, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent ( 109 ) will be associated with a compromised electronic signature, which requires the submittal of a new subscriber agreement. EPA anticipates that all employee registrants preparing a n ESA will contact the Help Desk for technical support.

Reuse (Consolidated) ESA Registrants. EPA estimates that, on avera ge, 625 employee registrants from direct reporting facilities will reuse their ESA each year. EPA also estimates that, of the 625 reuse (consolidated) ESAs, 89 percent ( 556 ) will be from existing employee registrants (e.g., existing employee registra nt s r egistering for the first time with a data flow) ; 10 percent ( 63 ) will be associated with employee turnover, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent ( 6 ) will be associated with a compromised el ectronic signature, which requires the submittal of a new subscriber agreement. EPA anticipates that all employee registrants reusing an ESA will contact the Help Desk for technical support.

Third Party ESA Registrants. EPA estimates that, on average, employee registrants from direct reporting facilities will prepare, submit, and file a total of 8,364 third party ESAs each year. EPA also estimates that, of the 8,364 third party ESAs prepared each year, 89 percent ( 7,444 ) will be from new and existing employee registrants (e.g., employees registering for the first time with a data flow) ; 10 percent ( 836 ) will be associated with employee turnover, which29

requires the submittal of a new subscriber agreement by the employee replacement; and one percent ( 84 ) will be associated with a compromised electronic signature, which requires the submittal of a new subscriber agreement. EPA anticipates that all employee registrants preparing

a third party ESA will contact the Help Desk for technical support.

Conduct On

- Going Management

EPA assumes that, of the 21,999 employee registrants from direct reporting facilities

, three percent ( 660 ) will have to work with EPA to resolve problems involving their agreements

or certif ications each year.

(c ) Compliance with Identity Proofing Requirements

– Indirect Reporters

The following paragraphs discuss the assumptions associated with compliance with the identity proofing requirements by indirect reporters.

Comply with Requirements for Identifier, Attribute, or Alterna tive Method

EPA does not anticipate that indirect reporters will p repare and submi t information on

identifiers or attributes

, or other identity

- proofing information.

Comply with Subscriber Agreement Provision s

For indirect reporters, EPA assumes that al l employee registrants from small firms ( 13,372 ) and 98 percent of employee registrants from medium

- size and large firms ( 11,462 x 0.98 = 11

, 233 ) will comply with the subscriber agreement requirements

. In addition, EPA

estimates that i nd irect reporters sub mit information to 1.3 State/Local electronic document receiving systems, on average; hence, their employees must submit subscriber agreements for 1.3 receiving systems, on average. 24 EPA assumes that all employee registrants from indirect reporting facili ties will submit paper subscriber agreements.

Based on the above assumptions, EPA estimates that, on average, employee registrants from indirect reporting facilities will prepare, submit , and file a total of 31,986 subscriber agreements each year (i.e., [ 13,372 small firm employees + 11,233 medium

- size and large firm employees ] x 1.3 subscriber agreements/employee )

.

EPA also estimates that, of the 31,986 subscriber agreements prepared each year,

89 percent ( 28,468 ) will be from new and existing employe e registrants (e.g., employees registering for the first time with a data flow) ; 10 percent 25 ( 3,199 ) will be associated with employee turnover, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent ( 320 ) w ill be associated with a c ompromised electronic signature, which requires the submittal of a new subscriber agreement

24 Ibid.

25 T h is assumption was taken from Secti on 2.3.4.2 (page 29) of Cross

- Media Electronic Reporting and

Records Ru le (CROMERRR) Cost Benefit Analysis, Final , dated November 17, 2004.30

EPA anticipates that all employee registrants preparing a subscriber agreement will contact the Help Desk for technical support.

Submi t Subscriber Agreements to Lo cal Registration Authorit y

EPA assumes that two percent of medium

- size and large firms will use the LRA

alternative

. EPA also assumes that indirect reporting firms submit information to 1.3 State/Local

electronic document re ceiving systems, on average; hence, their employees must submit subscriber agreements for 1.3 receiving systems, on average. 26 Based on th e s e assumption s
, EPA estimates that, on average, employees from indirect reporting firms will prepare and send to

thei r LRA a total of 298 su bscriber agreements each year (i.e., [ 11,462 medium

- size and large firm employees x 0.02] x 1.3 subscriber agreements/employee).

EPA estimates that, of the 298 subscriber agreements prepared each year, 89 percent ( 265 ) will be from new employee registrants; 10 percent ( 30 ) will be associated with employee turnover, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent ( 3 ) will be associated with a compromised electronic signature,

whi ch requires the submittal of a new subscriber agreement.

Conduct On

- Going Management

EPA assumes that, of the 24,605 employee registrants from indirect reporting facilities ( 13,372 + 11

, 233 = 24,605 )

, three percent ( 738 ) will have to work with States /Locals to resolve problems involving their agreements each year.

(c ) Implementation of Local Registration Authority Alternative

– Indirect Reporting Firms and Local Registration Authorities

The following paragraphs discuss the assumptions associated w ith implementation of the LRA alternative by indirect reporting firm s and LRAs.

Designating a L ocal Registration Authority

As stated above, EPA assumes that two percent of medium

- size and large indirect reporting firms ( 637 x 0.02 = 13 ) will use the LRA a lternative . These firms will develop a process or plan to implement the LRA alternative , designate the LRA, submit the LRA application to the agency, and register the LRA with the electronic document receiving system.

Of the 13 medium

- size and large indi rect reporting firms that will use the LRA

alternative , two percent (1) will need to redesignate the LRA annually due to turnover, which requires registration of the new LRA with the electronic document receiving system.

26 Ibid.31

Collect Subscriber Agreements fr om Reporters

EPA estimates that, on average, LRAs will collect a total of 298 subscriber agreements each year. Of these 298 subscriber agreements, 265 will be from new employee registrants, 30 will be associated with employee turnover, and 3 will be asso ciated with a compromised electronic signature. For each of these subscriber agreements, LRA s will need to prepare an agreement collection certification after securely storing the subscriber agreements, and submit a certification of receipt and secure sto rage

.

( d ) Compliance with Identity Proofing Requirements

– State/Local Agencies Acting as Regulators

Collect Identifier, Attribute, or Alternative Information

EPA does not anticipate that indirect reporters will p repare and submi t information on

iden tifiers or attributes

, or other identity

- proofing information.

Collect Subscriber Agreements

EPA estimates that, on average, employee registrants from indirect reporting facilities will prepare, submit, and file a total of 31,987 subscriber agreements eac h year. This includes
28,468 subscriber agreements from new employee registrants, 3,199 subscriber agreements associated with employee turnover, and 320 subscriber agreeme n t s associated with a

c ompromised electronic signature. State/Local agencies will r e ceive, process, review, approve

, and file all these subscriber agreements

.

Collect Submittals from Local Registration Authority

EPA estimates that, each year, employee registrants from indirect reporting facilities will

submit 298 subscriber agreements to their LRAs. This includes 265 subscriber agreements from

new em ployee registrants, 30 subscriber agreements associated with employee turnover

, and 3 subscriber agreements associated with a compromised electronic signature. State/Local agencies

will n eed to r eceive, process, review, and approve the certification of receipt and secure storage submitted by the LRA s

.

Collect Applications for Designation of L ocal Registration Authority

EPA estimates that, each year, 13 indirect reporting firms will use t he LRA alternative

. EPA also estimates that, each year, one of these firms will need to redesignate the LRA due to turnover. State/Local agencies will need to receive and approve these LRA applications.

Conduct On

- Going Management

EPA estimates that, each year, State/Local agencies will have to work with 738 employee registrants to resolve problems involving their agreements or certif ications , and respond to information requests

.32

( e ) Approval of State /Local Electronic Document Receiving System Appli cations

– State/Local Agencies that Are Regulated Entities

Read the Regulations

EPA estim ates that, on average, 23 States/Locals will submit documentation to EPA associated with the approval of State/Local electronic document receiving systems each year. These States/Locals are expected to read the regulations at 40 CFR Part 3.

Submit Electronic Document Receiving System Application

EPA estimates that, on average, 4 States/Locals will upgrade their existing electronic document receiving systems or deve lop new electronic document receiving system s and submit a CROMERR application eac h year. This includes 3 States and 1 Local

.

Submit Amendment to Original Application

EPA estimates that, on average, 15 States will submit amendments to their original

CR OMERR application each year. E PA does not anticipate that Locals will submit amendments

to their original CROMERR applications during the three

- year period covered by this ICR.

Submit Notification on Changes to Laws, Policies, or Electronic Document Rece iving System

EPA estimates that, on average, 4 States will submit a notification about changes to laws, policies, or electronic document receiving systems t hat have the potential to affect program

conformance with 40 CFR 3.2000

. EPA does not anticipate t hat Locals will submit this notification during the three

- year period covered by this ICR.

6(e) BOTTOM LINE HOUR AND COST BURDEN

(1) Respondent Tally

Exhibit s 3 and 4 summarize the total annual respondent hour and cost burden asso ciated with all the requirements covered in this ICR

. Exhibit 3 presents information on the total estimated respondent hour and cost burden for all respondents . Exhibit 4 presents information

on the total estimated respondent hour and cost burden, by typ e of respondent. As used in this document, the term “respondent” includes private sector and State/Local entities. 27 As shown in

the exhibit s , EPA estimates the annual respondent burden to be 38,49 1 hours and $ 2,086,380

. The bottom lin e burden to respond ents over three years is estimated to be 115,473 hours and $6,259,140

.

27 Refer to Section 6(d) for additional clarification on the types of respondents examined in this ICR

.33

(2) Agency Tally

Exhibit 5 summarizes the total annual EPA hour and cost burden associated with all the requirements covered in this ICR. As shown in the exhibit , EPA estimates the a nnual a gency burden to be 22,393 hours and $1,226,664

. The bottom line burden to the a gency over three years is estimated to be 67,179 hours and $3,679,992

.

6(f) REASONS FOR CHANGE IN BURDEN

The annual respondent burden estimate in the previously approve d CROMERR ICR (EPA ICR Number 2002.0 5 ) was 39,763 hours. The annual respondent burden estimate for this

ICR (EPA ICR Number 2002.0 6 ) is 38,491 hours. This represents a decrease of 1,272 hours.

This decrease occurred primarily because there was a decreas e in the total annual number

of employees complying with CROMERR’s identity proofing requirements , from 58,996 employees (i.e., 33,072 direct reporters + 25,924 indirect reporters) in the previously approved

ICR to 46 ,833 employees (i.e., 21,999 direct re porters + 24,834 indirect reporters) in this ICR. In estimating the annual number of employees complying with the CROMERR’s identity proofing requirements for this ICR, EPA was able to take advantage of improvements in data software and hardware capabili ties and thus, develop estimates based on actual data instead of the complex calculations used in the previous ly approved ICR. In particular, EPA was able to obtain actual numbers and growth rates for the annual number of subscriber agreements

submitted t o CDX over the past several years. These data wer e used to improve the estimate for

the annual number of subscriber agreements submitted by direct reporters. E PA believes that the respondent estimates included in this ICR are a reasonable approximation o f the actual respondent universe.

Table 5 provides information on changes in burden. As shown in Table 5

, all changes are considered “adjustments,” since they resulted from changes in the size of the respondent universe and refinements to the assumption s used in the development of the ICR.34

Table 5 Reasons for Change in Respondent Burden Hours from EPA ICR Number 2002.0 5 to EPA ICR Number 2002.0 6 a

Changes in EPA ICR Number 2002.0 6 Type of Change Burden Hours in

EPA ICR Number

2002.0 5 Burden Hours in

E PA ICR Number

2002.0 6 Change in Total

Annual Burden

Hours in EPA ICR

Number 2002.0 6
Registering with EPA Electronic Document Receiving System

- Direct Reporters
Increase in the number of employees that will register with EPA's

electronic document receivi ng system (CDX) Adjustment 4,269 8,433 4,164

Compliance with Identity Proofing Requirements

- Direct and Indirect Reporters
Comply with Subscriber Agreement Provisions

Decrease in the number of first

- time subscriber agreements Adjustment 17,762 14,439 (3,323) Decrease in the number of subscriber agreements, due to employee

turnover Adjustment 1,996 1,622 (374 )

Decrease in the number of subscriber agreements, due to compromised electronic signature Adjustment 53 43 (10)

Decrease in the number of emplo yee registrants that contact the Help Desk for technical support Adjustment 3,988 3,239 (749)

Submit Subscriber Agreement to Local Registration Authority

Increase in the number of new employee registrants that prepare subscriber agreements Adjustment 70 87 17

Increase in the number of subscriber agreements, due to employee

turnover Adjustment 8 10 2

Conduct On

- Going Management

Decrease in the number of employee registrants that will have to work with EPA or State/Locals to resolve problems involving their agreements

or certifications Adjustment 1,763 1,398 (365)

Implementation of Local Registration Authority Alternative

- Indirect Reporting Firms and Local Registration Authorities
Designating a Local Registration Authority

Decrease in the number of firms that opt to use the LRA alternative Adjustment 184 171 (13)
Collect Subscriber Agreements from Reporters
Increase in the number of new employee registrants that prepare subscriber agreements Adjustment 72 90 18

Increase in the number of subscrib er agreements, due to employee

turnover Adjustment 8 10 2Table 5 (continued)

Reasons for Change in Respondent Burden Hours from EPA ICR Number 2002.0 5 to EPA ICR Number 2002.0 6 a 35

Changes in EPA ICR Number 2002.0 6 Type of Change Burden Hours in

EPA ICR Number

2002.0 5 Burden Hours in

E PA ICR Number

2002.0 6 Change in Total

Annual Burden

Hours in EPA ICR

Number 2002.0 6
Compliance with Identity Proofing Requirements

- State/Local Agencies Acting as Regulators

Decrease in the number of first

- time subscriber agreements Adjustment 5,676 5,438 (238 )

Increase in the burden associated with the LRA alternative Adjustment 50 61 11

Decrease in the number of employee registrants that will have to work with State/Locals to resolve problems involving their agreements or

certifications Adjustment 1,928 1,845 (83)

Approval of State/Local Electronic Document Receiving System Application

- State/Local Agencies as Regulated Entities
Decrease in the number of States/Locals reading the regulations Adjustment 36 35 ( 1 )
Decrease in the number of States/Locals upgrading their exi sting electronic document receiving systems or developing new electronic document receiving systems and submitting CROMERR applications to

EPA Adjustment 1,534 1,203 (331)

Total Change in Burden Hours (1,272)

a Table includes rounding error.36

6(g) PUBLIC BURDEN STATEMENT

(1) Registering with EPA Electronic Document Receiving System

– Direct Reporters

The reporting burden is estimated to be 10 minutes for a facility employee to register

with CDX. This includes time for preparing the on

- line appli cation and calling the CDX Help

Desk. There are no recordkeeping requirements associated with registering with the CDX application.

(2) Compliance w ith Identity Proofing Requirement s

– Direct and Indirect Reporters

The report ing burden is estimated to be 80 minutes for a facility employee to p repare and

submit identifier, attribute, or alternative information

. There are no recordkeeping requirements

associated with this requirement , and as such, there is no recordkeeping burden.

The report ing burden is e stimated to range from 15 minutes to 20 minutes for a facility employee to prepare and submit a subscriber agreement. The recordkeeping burden for the facility employee is estimated to be 5 minutes to file an agreement on site.

(3) Implementation of Local Registration Authority Alternative

– Indirect Reporting Firms and Local Registration Authorities

The report ing burden is estimated to be 13 hours for a firm to develop a process or plan to

use the LRA alternative , designate the LRA, submit the LRA appli cation to the agency, and register the LRA with the electronic document receiving system. There are no recordkeeping requirements associated with this requirement , and as such, there is no recordkeeping burden.

The report ing burden is estimated to be 1 h our for a firm to redesignate the LRA, due to turnover; send the LRA application to the agency; and register the new LRA with the electronic document receiving system. There are no recordkeeping requirements associated with this requirement , and as such, there is no recordkeeping burden.

The report ing burden is estimated to be 10 minutes for a LRA to p repare and submit a certification of re ceipt and secure storage after receiving a subscriber agreement . The recordkeeping burden is estimated to be 10 min utes for a LRA to compile subscriber agreements from employee registrants within the LRA’s firm and place them in secure storage.

(4) Compliance w ith Identity Proofing Requirement s

– State/Local Agencies Acting as Regulators

The reporting burde n is estimat ed to be 30 minutes for a State/Local agency to r eceive, process, review

, and approve identifier, attribute, or alternative information

. There are no recordkeeping requirements associated with this requirement , and as such, there is no recordkeeping burde n.37

The reporting burde n is estimated to be 10 minutes for a State/Local agency to r eceive, process, review

, and approve subscriber agreements

. There are no recordkeeping requirements

associated with this requirement , and as such, there is no recordkeepin g burden.

The reporting burde n is estimated to be 3 0 minutes for a State/Local agency to r eceive, process, review

, and approve an LRA application

. There are no recordkeeping requirements

associated with this requirement , and as such, there is no recordke eping burden.

The reporting burde n is estimated to be 2.5 hours for a State/Local agency to r esolve problems involving subscriber agreements or certifications, and respond to information requests. There are no recordkeeping requirements associated with t his requirement , and as such, there is no recordkeeping burden.

( 5 ) Approval of State / Local Electronic Document Receiving System Applications

– State/Local Agencies that Are Regulated Entities

The reporting burde n is estimated to range from 210 hours to 331 hours for a State/Local

agency to prepare and submit the CROMERR application to EPA. The recordkeeping burden is estimated to be 90 minutes to read the regulations.

The reporting burde n is estimated to be 24 hours for a State/Local agency to prepare and

submit an amendment to its original CROMERR application to EPA. The recordkeeping burden is estimated to be 90 minutes to read the regulations.

The reporting burde n is estimated to be 45 minutes for a State/Local agency to notify

EPA about changes to laws, policies, or electronic document receiving systems t hat have the potential to affect program conformance with 40 CFR 3.2000

. The recordkeeping burden is estimated to be 90 minutes to read the regulations.

Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for t he purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train perso nnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to re spond to, a collection of information unless it displays a currently valid OMB control number. The OMB control numbers for EPA’ s regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

To comment on the Agency's need for this information, the a ccuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for t his ICR under

Docket ID Number EPA

– HQ

– OEI

– 2011

– 0096 , which is available for online viewing at38

www.regulations.go v, or in person viewing at the Office of Environmental Information (OEI)

Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, Washington, D.C. The EPA Docket Cent er Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is (202) 566

- 1744, and the telephone number for the OEI Docket is (202) 566

- 1752 . An electronic version of the public docket is available at www.regulations.gov. This site can be used to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available

electr onically. When in the system, select “search,” then key in the Docket ID Number identified above. Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D.C. 2050 3,

Attention: Desk Officer for EPA. Please include the EPA Docket ID Number EPA

– HQ

– OEI

– 2011

– 0096 and OMB Control Number 2025

– 0003 in any correspondence.39404142434445464748

[Page intentionally left blank]A

- 1

Appendix A

List o f North American Industry Classification System (NAICS) Codes Associated with Industries Most Likely Affected by the Information Collection Requirements Covered in this ICR

11 Agriculture, Forestry, Fishing and Hunting

111 Crop Production

112 Animal Pr oduction

113 Forestry and Logging

114 Fishing, Hunting and Trapping

115 Support Activities for Agriculture and Forestry

21 Mining

211 Oil and Gas Extraction

212 Mining (except Oil and Gas)

213 Support Activities for Mining

22 Utilities

221 Utiliti es

23 Construction

233 Building, Developing, and General Contracting

234 Heavy Construction

235 Special Trade Contractors

31 Manufacturing

311 Food Manufacturing

312 Beverage and Tobacco Product Manufacturing

313 Textile Mills

314 Textile Produc t Mills

315 Apparel Manufacturing

316 Leather and Allied Product Manufacturing

321 Wood Product Manufacturing

322 Paper Manufacturing

323 Printing and Related Support Activities

324 Petroleum and Coal Products Manufacturing

325 Chemical Manufacturi ng 326 Plastics and Rubber Products Manufacturing

327 Nonmetallic Mineral Product Manufacturing

331 Primary Metal Manufacturing

332 Fabricated Metal Product Manufacturing

333 Machinery Manufacturing

334 Computer and Electronic Product Manufacturing

335 Electrical Equipment, Appliance, and Component Manufacturing

336 Transportation Equipment Manufacturing

337 Furniture and Related Product Manufacturing

339 Miscellaneous Manufacturing 42 Wholesale Trade

421 Wholesale Trade, Durable Goods

422 Who lesale Trade, Nondurable Goods

44

- 45 Retail Trade

441 Motor Vehicle and Parts Dealers

442 Furniture and Home Furnishings Stores

443 Electronics and Appliance Stores

444 Building Material and Garden Equipment and Supplies Dealers

445 Food and Beverag e Stores

446 Health and Personal Care Stores

447 Gasoline Stations

448 Clothing and Clothing Accessories Stores

451 Sporting Goods, Hobby, Book, and Music

Stores

452 General Merchandise Stores

453 Miscellaneous Store Retailers

454 Nonstore Retailer s

48

- 49 Transportation and Warehousing

481 Air Transportation

482 Rail Transportation

483 Water Transportation

484 Truck Transportation

485 Transit and Ground Passenger Transportation

486 Pipeline Transportation

487 Scenic and Sightseeing Transp ortation

488 Support Activities for Transportation

491 Postal Service

492 Couriers and Messengers

493 Warehousing and Storage

51 Information

511 Publishing Industries

512 Motion Picture and Sound Recording

Industries

513 Broadcasting and Telecom munications

514 Information Services and Data Processing

Services

52 Finance and Insurance

521 Monetary Authorities Central Bank

522 Credit Intermediation and Related Activities

523 Securities, Commodity Contracts, and Other

Financial Investments a nd Related Activities

524 Insurance Carriers and Related Activities

525 Funds, Trusts, and Other Financial VehiclesA

- 2

53 Real Estate and Rental and Leasing

531 Real Estate

532 Rental and Leasing Services

533 Lessors of Nonfinancial Intangible Assets (e xcept Copyrighted Works)

54 Professional, Scientific, and Technical

Services

541 Professional, Scientific, and Technical

Services

55 Management of Companies and Enterprises

551 Management of Companies and Enterprises

56 Administrative and Support an d Waste Management and Remediation Services

561 Administrative and Support Services

562 Waste Management and Remediation

Services

61 Educational Services

611 Educational Services

62 Health Care and Social Assistance

621 Ambulatory Health Care Servi ces 622 Hospitals

623 Nursing and Residential Care Facilities

624 Social Assistance

71 Arts, Entertainment, and Recreation

711 Performing Arts, Spectator Sports, and

Related Industries

712 Museums, Historical Sites, and Similar

Institutions

713 Amu sement, Gambling, and Recreation

Industries

72 Accommodation and Food Services

721 Accommodation

722 Food Services and Drinking Places

81 Other Services (except Public Administration)

811 Repair and Maintenance

812 Personal and Laundry Services

81 3 Religious, Grantmaking, Civic, Professional,

and Similar

814 Private Households

92 Public Administration

921 Executive, Legislative, and Other General Government Support

922 Justice, Public Order, and Safety Activities

923 Administration of H um an Resource Programs 924 Administration of Environmental Quality Programs

925 Administration of Housing Programs, Urban Planning, and C

926 Administration of Economic Programs

927 Space Research and Technology

928 National Security and Internatio nal AffairB

- 1

Appendix B Methodology for Estimating the Annual Number of Facility Employees Expected to Register and Comply with the Identity Proofing Requirements of EPA’s Electronic Document Receiving System during the Three

- Year Period Covered by the ICR

This appendix describes the methodology for estimating the annual number of facility employees expected to register and comply with the identity proofing requirements of EPA’s electronic document receiving system (i.e., CDX) during the three

- year period covered by the

ICR.

1. Annual Number of New Employee Registrants

This section describes the methodology for estimating the annual number of facility employees expected to register with CDX during the three

- year period covered by the ICR (i.e., new employ ee registrants)

. Section 1 .1 provides an overview of the methodology,

Section 1. 2 provides a detailed discussion of the methodology, and Section 1. 3 presents the

results.

1.1. Overview

In estimating the annual number of facility employees expected to regi ster with CDX,

EPA first compiled historical information on the number of new employee registrants for years

20 11 through 201 3

. We then estimated the annual number of new employee registrants for the

three

- year period covered by the ICR (i.e., years 201 5 through 201 7 )

.

1.2. Detailed Discussion

EPA took the following steps to carry out the methodology.

A. Compile historical information on number of new employee registrant s

. EPA referred to CDX in order to compile historical information on the number of new registrants for years 20 11 through 201 3

.

Year Number of New

Employee Registrants

2011 45,755

2012 83,701

2013 40,511

B. Estimate annual number of new employee registrants over the three

- year period covered

in the ICR. We estimated the annual number of new employee registrants over the three

year period covered by the ICR (i.e., years 2015 through 2017) by averaging the number of new employee registrants for years 2011 th rough 2013. That is, we assumed that
56,656 new registrants (i.e., (45,755 + 83,701 + 40,511 ) ÷ 3) will register with CDX each

year.B

- 2

C. Estimate annual number of new registrants by type of ownership (i.e., private sector vs. State/Local) and remove Federal government employee registrants from this analysis. We referred to data published b y the Bureau of Labor Stat istics on the number of employees in the U.S. T hese data indicate that 84.32 percent of U.S. employees work for the private sector, 13.61 percent of employees work for States/Locals, and 2.07 percent of employees work for the Fed eral g overnment. We applied these percentages to the annual

number of new employee registrants in Step B . We then excluded Federal Government employees from the analysis because they are exempt from ICR requirements

.

1.3. Results

Exhibit B

- 1 presents infor mation on the average annual number of facility employees expected to register with CDX

.

Exhibit B

- 1

Annual Number of Facility Employees Expected to Register with

EPA ’s CDX during the Three

- Year Period Covered by the ICR

Respondent Universe Average Annua l Number of

New Employee Registrant s a

Private Sector 47,772

States/Locals 7,711

Total 55,483

a Federal government employees are not reflected in the table because they are exempt from ICR requirements.

2. Annual Number of S ubscriber Agreements

This section describes the methodology for estimating the annual number of subscriber agreements submitted to EPA to comply with the identity proofing requirements of CDX during

the three

- year period covered by the ICR. Section 2.1 provides an overv iew of the methodology,

Section 2. 2 provides a detailed discussion of the methodology, and Section 2. 3 presents the

results.

2.1. Overview

In estimating the annual number of subscriber agreements submitted to CDX , EPA first compiled information on the number of ESAs for years 20 12 through 201 4

. We then estimated

the annual number of subscriber agreements (i.e., paper subscriber agreements, electronic subscriber agreements (ESAs), reuse (consolidated) ESAs, and third party ESAs) for the three

year period covered by the ICR (i.e., years 201 5 through 201 7 ) based on analysis of growth rates
and implementation rates.B

- 3

2.2. Detailed Discussion

EPA took the following steps to carry out the methodology.

Non

- Electronic Subscriber Agreements

A. Compile historical information on number of non

- ESAs (i.e., paper subscriber agreements) , by CROMERR data flow

. Some of the CROMERR data flows do not support ESAs. For purposes of this analysis, the subscriber agreements associated with these data flows are categorized as “non

- ESAs” or paper subscriber agreements

.

To estimate the number of non

- ESAs or paper subscriber agreements for years 201 5 through 201 7 , we referred to CDX in order to compile historical information on the

number of non

- ESAs , by CROMERR data flow, for years 20 12 thr ough 2014

.

CROMERR

Data Flow Number of Non

- ESAs or Paper Subscriber Agreements

2012 2013 2014 a

ARCS 3 26 9

CEDRI 23 314

CEDRI1 5 45

CSPP 10 46 36

eSIPS 11

LEAD 36 500 349

MYRCRAID 17 11

ODS 1 2 1

OTAQDCFUEL 46 176 58

SSTS 6 39

TRIMEw eb 1 1,317 1,719

Total 102 2,158 2,547

a Number of paper subscriber agreements were available through July 2014. EPA projected the number of paper subscriber agreements for the entire year, based on available 2014 data.

B. Estimate total number of non

- ESAs or paper subscriber agreements, by CROMERR data flow, for the three

- year period covered in the ICR. W e estimated the total number of

non

- ESAs or paper subscriber agreements, by CROMERR data flow, for years 201 5 through 201 7 by using the following equ ations:

Numbe r of

Non

- ESAs f or Year Y = ([3 x Registrants Y

- 1 ] + [2 x Registrants Y

- 2 ] + [ Registrants Y

- 3 ]) / 6B

- 4

The table below shows the estimated number of non

- ESAs or paper subscriber

agreements , by CROMERR data flow, for years 201 5 through 201 7

.

CROMERR

Data Flow Number of Paper Subscriber Agreements a

2015 2016 2017

ARCS 14 14 13

CEDRI 165 191 203

CEDRI1 16 16 13

CSPP 35 37 36

eSIPS 6 7 7

LEAD 347 373 360

MYRCRAID 11 12 12

ODS 1 1 1

OTAQDCFUEL 95 96 89

SSTS 22 25 26

TRIMEweb 1,299 1 ,442 1,441

Total 2,011 2,214 2,201

a Table includes rounding error

.

Electronic Subscriber Agreements

C. Compile historical information on number of ESAs , by CROMERR data flow

. EPA referred to CDX in order to compile historical information on the number of ESAs , by CROMERR data flow, for years 20 12 through 201 4

.

CROMERR Data Flow Number of ESAs

2012 2013 2014 a

ARCS 2 1 0

CEDRI 32 1,731

CEDRI1 5 66 0

CSPP 30 66 35

eSIPS 21

LEAD 377 4,971 5,954

MYRCRAID 11 3

ODS 4 12

OTAQDCFUEL 3 2 110

SSTS 19 109

TRIMEweb 5 3,758 6,567

Total 422 8,930 14,542

a Number of paper subscriber agreements were available through July 2014. EPA projected the number of paper subscriber agreements for the entire year, based on available 2014 data.B

- 5

D. E stimate number of ESAs, by CROMERR data flow, for the three

- year period covered in

the ICR. W e estimated the number of ESAs, by CROMERR data flow, for years 201 5 through 201 7 by using the following equation:

Numbe r of

ESA s f or Year Y = ([3 x Registrant s Y

- 1 ] + [2 x Registrants Y

- 2 ] + [Registrants Y

- 3 ]) / 6

The table below shows the estimated number of ESAs, by CROMERR data flow, for years 201 5 through 201 7

.

CROMERR Data Flow Number of ESAs a

2015 2016 2017

ARCS 1 1 1

CEDRI 876 1,020 1,091

CEDRI1 23 23 19

CSPP 45 45 43

eSIPS 11 13 14

LEAD 4,697 5,162 5,139

MYRCRAID 5 5 5

ODS 7 8 8

OTAQDCFUEL 56 65 70

SSTS 61 70 74

TRIMEweb 4,537 5,084 5,149

Total 10,319 11,496 11,613

a Table includes rounding error

.

E. Estimate number of reuse (consolidat ed) ESAs, by CROMERR data flow, for the three

year period covered in the ICR

. We estimated the number of reuse (consolidated) ESAs

, for participating data flows

, by applying implementation rates derived from data provided by CDX to the number of ESAs obta ined in Step D . The implementation rates are presented in the table below:

CROMERR Data Flow Implementation Rates for Reuse (Consolidated) ESAs

2012 2013 2014

ARCS 4%

CEDRI 49% 1%

CSPP 97% 18% 29%

LEAD 2% 0.3% 0.02%

MYRCRAID 6%

ODS 67% 50% 6 7%

OTAQDCFUEL 2% 2% 7%

SSTS 11% 2%

TRIMEweb 24% 1% 1%B

- 6

The table below shows the estimated number of reuse (consolidated) ESAs, by CROMERR data flow, for years 201 5 through 201 7

.

CROMERR Data

Flow Number of Reuse (Consolidated) ESAs a

201 5 201 6 201 7

ARCS 0

CEDRI 499 16

CSPP 44 8 13

LEAD 94 14 1

MYRCRAID 0

ODS 5 4 5

OTAQDCFUEL 1 1 5

SSTS 8 1

TRIMEweb 1,089 66 40

Total 1,233 600 81

a Table includes rounding error

.

F. Estimate number of third party ESAs, by CROMERR data flow, for th e three

- year period

covered in the ICR

. We estimated the number of third party ESAs for participating data

flows by applying implementation rates derived from data provided by CDX to the

number of ESAs obtained in Step D

. The implementation rates are pro vided in the table

below:

CROMERR Data Flow Implementation Rates for Third Party ESAs

2012 2013 2014

CEDRI 81%

CEDRI1 50% 37%

CSPP 2% 46% 47%

eSIPS 56%

LEAD 90% 86% 93%

OTAQDCFUEL 2% 6% 50%

SSTS 56% 67%

TRIMEweb 76% 71% 78%

The table bel ow shows the estimated number of third party ESAs, by CROMERR data flow, for years 201 5 through 201 7

.

CROMERR Data Flow Implementation Rates for Third Party ESAs a

2012 2013 2014

CEDRI 882

CEDRI1 12 8

CSPP 1 21 20

eSIPS 8

LEAD 4,227 4,456 4, 801

OTAQDCFUEL 1 4 35B

- 7

CROMERR Data Flow Implementation Rates for Third Party ESAs a

2012 2013 2014

SSTS 39 50

TRIMEweb 3,439 3,622 3,995

Total 7,680 8,150 9,791

a Table includes rounding error

.

All Subscriber Agreements

G. Estimate annual number of subscriber agreements for the three

- year period covered by

the ICR

. Using t he number of subscriber agreements obtained in Steps B , D, E, and F

,

w e estimated the annual number of subscriber agreements for the three

- year period covered by the ICR. To do this, we averaged the number of subscriber agreements for years 201 5 through 2 01 7

. The results are presented in the table below.

Type of Subscriber Agreement Number of Subscriber Agreements a

Year 201 5 Year 201 6 Year 201 7 Average

Non

- ESAs (Paper Subscriber Agreements) 2,011 2,214 2,201 2,142

ESA s 10,319 11,496 11,613 11,143

R euse (Consolidated) ESA s 1,233 600 81 638 Third Party ESA s 7,680 8,150 9,791 8,540

a Table includes rounding error

.

H. Estimate number of subscriber agreements by type of ownership (i.e., private sector vs. State/Local) and remove subscriber agreements from Federal government employee registrants from this analysis. We referred to data published by the Bureau of Labor

Stat istics on the number of employees in the U.S. T hese data indicate that 84.32 percent
of U.S. employees work for the private sector, 13.61 percent of employees work for States/Locals, and 2.07 percent of employees work for the Federal g overnment. We applied these percentages to the number of ESAs o btained in Step G . We then excluded the subscriber agreements from Federal Government em ployees from the analysis

because Federal government employees are exempt from ICR requirements

.

2.3. Results

Exhibit B

- 2 presents information on the average annual number of subscriber agreements

to be submitted to CDX during the three

- year period covered b y this ICR

.B

- 8

Exhibit B

- 2

Annual Number Subscriber Agreements to be Submitted to

EPA ’s CDX during the Three

- Year Period Covered by the ICR a

Type of Subscriber Agreement Average Annual Number

of Subscriber Agreements b

Private Sector

Non

- ESAs (Paper Sub scriber Agreements) 1,806

ESAs 9,395
Reuse (Consolidated) ESAs 538 Third Party ESAs 7,201

Subtotal 18,941

States/Locals

Non

- ESAs (Paper Subscriber Agreements) 292

ESAs 1,517
Reuse (Consolidated) ESAs 87 Third Party ESAs 1,162

Subtotal 3,058

All (Private Sector and States/Locals)

Non

- ESAs (Paper Subscriber Agreements) 2,098

ESAs 10,912
Reuse (Consolidated) ESAs 625 Third Party ESAs 8,364

Total 21,999

a Exhibit includes rounding error.

b Federal government employees are exempt from ICR requ irements. As a result, their subscriber agreements are not included in the exhibit.C

- 1

Appendix C Methodology for Estimating the Annu al Number of Facility Employees Expected to Register and Comply with Identity Proofing Requirements of State/Local Electro nic Document Receiving System s d uring the Three

- Year Period Covered by the ICR

This appendix describes the methodology for estimating the annual number of facility employees expected to register and comply with identity proofing requirements of State/Loc al electronic document receiving systems during the three

- year period covered by the Information Collection Request ( ICR ) . Section 1 provides an overview of the methodology

, Section 2 provides a detailed discussion of the methodology, and Section 3 presen ts the results

.

1. Overview

EPA estimated the number of facilities reporting to State/Local electronic document receiving systems by first identifying States with existing and new systems and compiling them into a table (referred to as the “Master Table” i n this analysis). 28

, 29 We then referred to survey data compiled by EPA in 2002 from States that estimated the number of facilities subject to their respective receiving systems by environmental program. We updated these State estimates to current (201 4 ) l evels based on analysis of respondent universe growth rates in EPA program ICRs. We then extrapolated the updated survey data to the States in the Master Table to estimate their number of facilities. The extrapolation was performed by first finding the t otal number of commercial establishments in each State based on U.S. Census data, comparing the number of establishments in the survey States to the States in the Master Table, and using a scaling factor to extrapolate the number of facilities in the surve y States to the States in the Master Table based on their respective number of commercial establishments. We performed this extrapolation by environmental program for all States in the Master Table. Finally, we estimated the number of employees based on the number of facilities.

28 “Existing electronic document receiving system” means an electronic doc ument receiving system that is being used to receive electronic documents in lieu of paper to satisfy requirements under an authorized program on October 13, 2005 or the system, if not in use, has been substantially developed on or before that date as evid enced by the establishment of system services or specifications by contract or other binding agreement (40 CFR 3.3). Pursuant to 40 CFR 3.1000(a)(3), States/Locals 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

40 CFR 3.1000(a)(1) no later than January 13, 2010.

29 “New electronic document receiving system” refers to an electronic document receiving system that was not being used to re ceive electronic documents in lieu of paper to satisfy requirements under an authorized program on October 13, 2005 or the system, if not in use, that had not been substantially developed on or before that date. Pursuant to 40 CFR 3.1000(a)(2), States/Loc als with new electronic document receiving systems must receive EPA approval of revisions or modifications to the authorized program before the program may receive electronic documents in lieu of paper documents to satisfy program requirements.C

- 2

2. Detailed Discussion

EPA took the following steps to carry out the methodology.

Find the Number of States with Receiving Systems , by State Environmental Program

A. Identify States with existing and new electronic document receivin g systems. T o identify

States with existing and new electronic document receiving systems , we referred to

EPA’s CROMERR Program and Stakeholder Management (PSM) System

. PSM is a custom implementation of a Salesforce.com platform that integrates database records, online file storage, multiple distinct spreadsheets, and email logs, to support the reduction

of Technical Review Committee ( TRC ) and EPA’s Office of Environmental Information ( OEI ) levels of effort in managing the application approval process.

For purposes of this analysis, EPA categorized systems based on the following criteria :

Existing Electronic Document Receiving Systems New Electronic Document Receiving Systems

System Type System Stage System Type System Stage

 Existing

 New  Approval Revi ew

 Completeness Review

 Draft Received

 EPA Approved

 Incomplete

 TRC Approved  New

 Pending Receipt

 Scoping

EPA used data current as of October 9, 2014.

B. Estimate the numb er of existing and new State receiving systems, by environmental

program. Existing an d new receiving systems were categorized into State environmental programs based on the statute associated with the authorized program (e.g., Clean Air Act (CAA), Clean Water Act (CWA)). Attachment C

- 1 presents a table of the States with existing and new receiving systems, by State environmental program. This table is called

the “Master Table” in this appendix

.

Estimate the Number of Facilities, by State Environmental Program

C. Estimate number of facilities by State environmental program, based on CROMERR cost

benefit analysis (CBA) survey data. To obtain information on the number of facilities by State environmental program, we referred to “Table V

- 2. Existing State Receiving Systems” of Cross

- Media Electronic Reporting and Records Rule (C ROMERRR) Cost

B enefit Analysis

- Final ; dated November 17, 2004. This table contains information on the number of facilities associated with State receiving systems reported in a survey conducted by EPA during the summer of 2002. Attachment C

- 2 shows the number of

faci lities by State environmental program based on CBA survey data.C

- 3

D. Update CBA’s facility estimate for each State environmental program, based on ICR respondent data. The data on number of facilities developed under Step C are based on

2002 data. In order t o bring these numbers to the present (201 4 ), we took the following

steps:

 O btain ed data on annual number of respondents in the ICRs listed in Attachment C

- 3. For each ICR, we obtained respondent universe estimates for at least two different years (e.g., 2 00 3 and 20 12 ) to enable us to estimate the annual percent change in the

universe.

 Estimated the annual percent change in number of respondents for each ICR.

 Multiplied the annual percent change by 12 to estimate percent change over the

2002

- 201 4 period.

 Ap plied the 2002

- 201 4 percent change to facility estimates in order to update the number of facilities for each environmental program.

Attachment C

- 4 shows the ICR data used to u pdate the CBA’s facility estimates, by State environmental program.

Extrapolat e Updated State Survey Data on Number of Facilities to All States in Master Table

E. Develop a scaling factor for use in extrapolation. We referred to U.S. Census Bureau data on number of establishments by employment size for States. 30 Based on these data

, which are presented in Attachment C

- 5, we obtained the following information for each environmental program:

 Number of commercial establishments in the survey States for which respondent data were available; and

 Number of commercial establishments in S tates in the Master Table with existing and/or planned receiving systems. We then used these data to derive a scaling factor to be used in Step F. This scaling factor was derived using the following equation:

Scaling Factor = Number of establishments i n States in Master Table Number of establishments in survey States

F. Extrapolate the CBA’s updated facility estimates to States with existing and new receiving systems. In deriving the total number of facilities in all States in the Master Table, we fir st estimated the total number of facilities associated with each environmental program. To do this, we multiplied the updated survey data (Step D) by the corresponding scaling factor derived in Step E. This gave us the total number of facilities reportin g to the receiving systems of States in the Master Table, by environmental

program. We then add ed up the total number of facilities in States in the Master Table

across all environmental programs.

30 U.S. Cen sus Bureau, “Number of Firms, Number of Establishments, Employment, and Annual Payroll by Enterprise Employment Size for the United States and States, Totals: 20 11 ,” December 2013 . Available online

at: htt p://www.census.gov/econ/susb/ , last accessed on October 12, 2014 . These are the latest Statistics of U.S. Businesses (SUSB) annual data.C

- 4

G. Estimate annual number of facilities subject to the ICR requirements . In estimating the annual number of facilities subject to the ICR requirements, we made the following assumptions:

 Existing receiving systems: For purposes of this analysis, w e assume that existing systems have been in operation since 2005

. EPA estimates that 30 percent of facilities began to use the receiving system in the first year (i.e., 2005) and 10 percent in each subsequent year

.

 New receiving systems: We assume that one third of facilities will begin reporting in each year of the t hree

- year period covered by the ICR . In each year of the ICR, EPA estimates that 30 percent of facilities will begin to use the receiving system in the first year and 10 percent in each subsequent year. The above implementation rates for use of an elect ronic receiving system were taken from the CBA (Exhibit 2

- 5).

H. Estimate average annual number of facilities subject to the ICR requirements, by employment size . In estimating the average annual number of facilities by employment size, we referred to the U.S. Census Bureau data presented in Attachment C

- 5. Based on these data, in the U.S. , 70 percent of establishments have less than 20 employees and

30 percent of establishments have 20 or more employees. We applied these percentages

to the annual number of facilities in Step G. Once we estimated the annual number of facilities for each year from 201 5 through 201 7 (i.e., the three

- year period covered by the ICR), we obtained the average over three years.

I. Estimate average annual number of facility employ ees subject to the ICR requirements

. In estimating the average annual number of facility employees

, we assumed that small firm facilities have three employee s and that medium/large firm facilities have six employees. These estimates were taken from the C BA (Section 2.3.3, “Facilities;”

page 26).

J. Estimate average annual number of f acility employees subject to the ICR requirements by type of ownership (i.e., private sector vs. State/Local) and remove Federal government facilities from this analysis. I n estimating the average annual number of facility employees by type of ownership

, we referred to data published by the Bureau of Labor Statistics on the number of employees in the U.S. 31 These data indicate that

84.32 percent of U.S. employees work for th e private sector, 13.61 percent of employees work for States/Locals, and 2.07 percent of employees work for the Federal government. We applied these percentages to the annual number of facility employees in Step I. We then excluded Federal government emp loyees from the analysis because they are exempt from ICR requirements.

31 Bureau of Labor Statistics; Quarterly Census of Employment and Wages; Number of Employees (US Total, All Industri es, All Establishment Sizes , All Employees ); 20 13 (Annual). Available online at: http://data.bls.gov/pdq/querytool.jsp?survey=en , last accessed on October 12, 2014

.C

- 5

Attachments C

- 6 and C

- 7 present details on the application of the above m ethodology to existing and new receiving systems, respectively.

3. Results

Exhibit C

- 1 present s information on the average annual number of facility employees expected to register with existing and new State/Local receiving systems.

Exhibit C

- 1 Average Annual Number of Facility Employees Expected to Register with Existing and New State/Local Receiving Sy stems

d u ring the Three

- Year Period Covered by the ICR a

Type of Firm Average Annual Number of Facility Employees b

Existing Receiving Systems New Receiving System All Receiving Systems (i.e., Existing and New)

Private Sector

Small Firms 6,769 4,988 11,757

Me dium

- Size and Large Firms 5,803 4,275 10,078

Subtotal 12,572 9,263 21,835

States/Locals

Small Firms 1,093 805 1,898

Medium

- Size and Large Firms 937 690 1,627

Subtotal 2,030 1,495 3,525

All (Private Sector and States/Locals)

Small Firms 7,862 5,793 1 3,655

Medium

- Size and Large Firms 6,740 4,965 11,705

Total 14,602 10,758 25,360

a Exhibit includes rounding error.

b Federal government employees are not reflected in the table because they are exempt from ICR requirements.C

- 6

Attachment C

- 1

Number of Existing and New State/Local Electronic Document Receiving Systems , by State Environmental Program (also referred to as the “Master Table”)

State Existing Systems New Systems

Air Water Waste Air Water Waste

Alabama X

Alaska X X

Ame rican Samoa

Arizona X X

Arkansas X X X

California X X X

Colorado X

Connecticut X X

Delaware X X X

District of Columbia X X X X

Florida X X X

Georgia X X

Guam

H awaii X X

Idaho X

Illinois X X

Indiana X X X

Iowa X X

Kansas X X X

Kentucky X X X

Louisiana X

Maine X

Maryland X

Massachusetts X X X X

Michigan X X X

Mi nnesota X X X

Mississippi X X X

Missouri b X X X X

Montana X

Nebraska X X

Nevada X X

New Hampshire X

New Jersey X X XC

- 7

Attachment C

- 1 (continued) Number of Existing and New State/Local Electronic Document Receiving Systems , by State Environmental Program (also referred to as the “Master Table”)

State Existing Systems New Systems

Air Water Waste Air Water Waste

New Mexic o X

New York X X X

North Carolina X X X X

North Dakota X

Northern Mariana Islands

Ohio X X X

Oklahoma X X X

Oregon X

Pennsylvania

Puerto Rico

Rhode Island X

South Carolina X

South Dakota X X X

Tennessee X X

Texas X X X

U.S. Virgin Islands

Utah X

Vermont X X X

Virginia X X X

Washington X X X

West Virginia X

Wisconsin X X X

Wyoming X X X

Source: U.S. Environment al Protection Agency (USEPA), CROMERR Program and Stakeholder Management (PSM) System

,

d ata current as of October 9, 2014

.C

- 8

Attachment C

- 2

Number of Facilities Associated with Existing State Electronic Document Receiving Systems

in the CROMERR Cost

- Benef it Analysis Survey, by State Environmental Program

(Data Current as of Summer 2002)

State Air Water Waste, USTs, Emergency Planning

Air (CEM) Air

Permits Air

( NEI) Air

Title V

E missions Emission

Reports (Non

- Title V) Air

Quality PTO

A pplications Asbesto s

Notification EDMR Drinking/

Ground

Water Wastewater UIC HW

Annual Report UST Risk

Management

Florida 3

New Jersey 12 1,500 1,000

New Mexico 200

North Dakota 250

Ohio 200 780 2,400 780 5,700 1,550 480 500

Pennsylvania 125 6,000

Wisconsin 5,200 22 600

a For purposes of this analysis, data for Wisconsin’s “Consolidated (air, haz waste)” program was divided among the “Air” and “ HW Annual Report” categories. Specifically, 90 percent of the facilities were allocated to the “Air” category and the remaining 10 percent were allocated to the “HW Annual Report” cat egory. This allocation was based on Ohio’s data and available

information on the number of hazardous waste handlers that reported to the 2007 Hazardous Waste Report.

Source: U.S. Environmental Protection Agency (USEPA), “Table V

- 2. Existing State Receiving Systems” of Cross

- Media Electronic Reporting and Records Rule (CROMERRR) Cost Benefit Analysis, Final; November 17, 2004.

Acronym s

CEM Continuous Emissions Monitoring

EDMR Electronic Discharge Monitoring Report

HW Hazardous Waste

NEI National Emission Inventory

PTO Permit to Operate

UIC Underground Injection Control

UST Underground Storage TankC

- 9

Attachment C

- 3

List of ICRs Used in Analysis, by Environmental Program

ICR Numbers ICR Name

Air

1587.06

1587. 12 State Operating Permit Regulations

111.10

111.1 3 NESHAP for Asbestos

1088.10

1088.1 3 NSPS for Industrial

- Commercial

- Institutional Steam Generating Units

Water

2.11

2.1 5 National Pretreatment Program

270.42

270.4 5 Public Water System Supervision Program

Waste, USTs, Emergency Planning

261.14 Notification of Regulated Waste Activity

976.11 2007 Hazardous Waste Report

976.1 6 2013 Hazardous Waste Report, Notifi cation of Regulated Waste Activity, and Part A

Hazardous Waste Permit Application and Modification

1380.07

1380. 12 Underground Storage Tanks: Technical and Financial Requirements, and State Program

Approval Procedures

Source: U.S. Environmental Protect ion Agency (USEPA), Information Collection Request, Review, and Approval System

(ICRAS) . Data obtained on August 13, 2014

.C

- 10

Attachment C

- 4a ICR Data Used to Update Number of Facilities Obtained from CROMERR CBA Air ProgramsC

- 11

Attachment C

- 4b

ICR Dat a Used to Update Number of Facilities Obtained from CROMERR CBA Water ProgramsC

- 12

Attachment C

- 4c ICR Data Used to Update Number of Facilities Obtained from CROMERR CBA

Waste, USTs, Emergency Planning ProgramsC

- 13

Attachment C

- 5

Number of Establishmen ts (Facilities) by Employment Size, 20 11

STATE Less than 20 Employees 20 or More Employees Total

United States 5,160,237 2,193,806 7,354,043

Alabama 63,531 34,212 97,743

Alaska 14,672 5,447 20,119

Arizona 87,427 42,878 130,305

Arkansas 43,523 20,948 64,471

California 620,726 228,590 849,316

Colorado 110,895 39,994 150,889

Connecticut 61,646 26,394 88,040

Delaware 15,928 8,204 24,132

District of Columbia 12,569 8,976 21,545

Florida 367,662 123,189 490,851

Georgia 146,828 67,807 214,635

Hawaii 2 1,295 10,177 31,472

Idaho 31,493 10,906 42,399

Illinois 221,285 91,152 312,437

Indiana 93,609 49,870 143,479

Iowa 54,344 25,769 80,113

Kansas 49,554 24,044 73,598

Kentucky 58,367 31,403 89,770

Louisiana 68,736 34,480 103,216

Maine 29,446 10,666 40, 112

Maryland 91,698 41,550 133,248

Massachusetts 118,936 50,210 169,146

Michigan 151,473 65,871 217,344

Minnesota 101,406 43,200 144,606

Mississippi 38,705 19,887 58,592

Missouri 99,894 47,380 147,274

Montana 27,970 7,717 35,687

Nebraska 35,862 15, 691 51,553

Nevada 39,689 19,088 58,777

New Hampshire 26,003 11,028 37,031

New Jersey 170,203 56,675 226,878

New Mexico 29,748 14,112 43,860

New York 404,335 117,202 521,537

North Carolina 145,815 69,298 215,113

North Dakota 15,765 6,605 22,370

Ohio 161,735 88,741 250,476

Oklahoma 62,095 27,654 89,749C

- 14

Attachment C

- 5 (continued) Number of Establishments (Facilities) by Employment Size, 2011

STATE Less than 20 Employees 20 or More Employees Total

Oregon 76,997 29,343 106,340

Pennsylvania 199,334 96,386 295,720

Rhode Island 20,622 7,559 28,181

South Carolina 66,893 33,588 100,481

South Dakota 18,501 6,993 25,494

Tennessee 81,870 47,619 129 ,489

Texas 346,994 178,426 525,420

Utah 50,110 18,637 68,747

Vermont 15,984 5,206 21,190

Virginia 127,999 63,064 191,063

Washington 126,548 46,963 173,511

West Virginia 24,565 13,585 38,150

Wisconsin 93,519 44,526 138,045

Wyoming 15,433 4,896 20,32 9

Source: U.S. Census Bureau, “Number of Firms, Number of Establishments, Employment, and Annual

Payroll by Enterprise Employment Size for the United States and States, Totals: 20 11 ,”

December 2013 . Available online at: http://www.census.gov/econ/susb/ , last accessed on October 12, 2014 . These are the latest Statistics of U.S. Businesses (SUSB) annual data.C

- 15

Attachment C

- 6 Application of Methodology to Existing Receiving SystemsC

- 16

Attachment C

- 6 (continued) Application of Methodology to Existing Receiving SystemsC

- 17

Attachment C

- 7 Application of Methodology to New Receiving Systems