SUPPORTING STATEMENT FOR 

EPA INFORMATION COLLECTION REQUEST NUMBER 2002.06 

“CROSS-MEDIA ELECTRONIC REPORTING RULE” 

February 26, 2015 

Office of Environmental Information 

U.S. Environmental Protection Agency 

Washington, D.C. 20460 
TABLE OF CONTENTS

1. IDENTIFICATION OF THE INFORMATION COLLECTION ....................................................... 3 

1(a) TITLE AND NUMBER OF THE INFORMATION COLLECTION ...................................... 3 

1(b) CHARACTERIZATION OF THE INFORMATION COLLECTION ..................................... 3 

2. NEED FOR AND USE OF THE COLLECTION .............................................................................. 5 

2(a) NEED AND AUTHORITY FOR THE COLLECTION ........................................................... 5 

2(b) PRACTICAL UTILITY AND USERS OF THE DATA .......................................................... 6 

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA ................ 8 

3(a) NONDUPLICATION ............................................................................................................... 8 

3(b) PUBLIC NOTICE ..................................................................................................................... 8 

3(c) CONSULTATIONS .................................................................................................................. 8 

3(d) EFFECTS OF LESS FREQUENT COLLECTION ................................................................ 15 

3(e) GENERAL GUIDELINES ...................................................................................................... 15 

3(f) CONFIDENTIALITY ............................................................................................................. 16 

3(g) SENSITIVE QUESTIONS ...................................................................................................... 16 

4. THE RESPONDENTS AND THE INFORMATION REQUESTED .............................................. 17 

4(a) RESPONDENTS AND NAICS CODES ................................................................................ 17 

4(b) INFORMATION REQUESTED ............................................................................................. 17 

5. THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT ...................................................... 24 

5(a) AGENCY ACTIVITIES ......................................................................................................... 24 

5(b) COLLECTION METHODOLOGY AND MANAGEMENT ................................................ 25 

5(c) SMALL ENTITY FLEXIBILITY ........................................................................................... 25 

5(d) COLLECTION SCHEDULE .................................................................................................. 25 

6. ESTIMATING THE HOUR AND COST BURDEN OF THE COLLECTION .............................. 27 

6(a) ESTIMATING RESPONDENT BURDEN HOURS .............................................................. 27 

6(c) ESTIMATING AGENCY HOUR AND COST BURDEN .................................................... 30 

6(d) ESTIMATING RESPONDENT UNIVERSE AND TOTAL HOUR AND 

COST BURDEN ..................................................................................................................... 30 

6(e) BOTTOM LINE HOUR AND COST BURDEN ................................................................... 40 

6(f) REASONS FOR CHANGE IN BURDEN .............................................................................. 41 

6(g) PUBLIC BURDEN STATEMENT ......................................................................................... 41 
3

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 

Rule (Renewal)” EPA ICR Number 2002.06, 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 document 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 approval, 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 submitting electronic 

documents to the EPA or a state, tribal, or local 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/Locals” 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 electronically to EPA or 

States/Locals. CROMERR establishes requirements for utilizing electronic reporting as an 

alternative to paper-based reporting. It does not require States/Locals to implement electronic 

reporting; rather, it establishes the framework 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 receiving 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.” 

 States/Locals must upgrade existing electronic document receiving systems or 

develop new electronic document receiving systems to meet 40 CFR 3.2000 

requirements. These States/Locals must apply for EPA program modification 

approval under 40 CFR 3.1000. They also must implement 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 excluding 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. 
4

 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 reporters.” 

 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.” 

 The LRA must collect and store subscriber agreements from individuals in his/her 

indirect reporting 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 requirements 

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 

determined 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 procedures. In 

developing this ICR, EPA referred to the regulatory text, as well as CDX, in describing direct 

reporters’ activities and associated burden. 
5

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 that 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 must 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 password 

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 strengthen 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 not 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 submissions 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 States/Locals in their program modification 

applications to evaluate the States/Locals’ upgraded or new electronic document receiving 

systems to ensure they satisfy 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 must 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 XVII of Pub. L. 105 277. 
6

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 the case of 

a state, this official must be the Attorney General or designee. In the case of a tribe 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 General 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 General 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 entities 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 the 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, States/Locals, and LRAs use the identity proofing information from registrants 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/Local 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 Document Receiving System Applications 

EPA uses the information submitted by States/Locals in their program modification 

applications to evaluate the States/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. 
7

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). 
8

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION 

CRITERIA 

3(a) NONDUPLICATION 

CROMERR establishes uniform, Agency-wide criteria for electronic document receiving 

systems, thereby minimizing the potential for duplication or redundancy across 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 public 

notice in the Federal Register on November 4, 2014 (79 FR 65391). The notice indicated that 

EPA was planning to submit an ICR, “Cross-Media Electronic Reporting Rule” (EPA ICR 

No. 2002.06, OMB Control No. 2025–0003), to the Office of Management and Budget (OMB) 

for review and approval in accordance with the PRA. The notice also requested comments on 

the information collection and burden estimates covered in the ICR. The public comment period 

extended through January 5, 2015. EPA did not receive any written comments on the ICR in 

response to the Federal Register notice. 

3(c) CONSULTATIONS 

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

based on EPA consultations with industry 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 consultations. 

Table 1 identifies the organizations contacted. 

Table 1 

Organizations EPA Contacted during the Development of this ICR (February 2015) 

Organization Contact Name Phone Number

Industry (i.e., Direct/Indirect Reporters) 

3M Linda Murray (651) 733-3461 

Maersk Line, Limited Larry Bowling (757) 531-7799 

OVS Ken Wessels (503) 437-1414 

Shields Bag and Printing Company Derek LaFramboise (509) 248-7500 
9

Organization Contact Name Phone Number

State/Local Agencies 

Arkansas Department of Environmental Quality Letty Hardee (501) 682-0672 

New York Department of Environmental Conservation Robert Wither (518) 402-8154 

Ohio Environmental Protection Agency Adele Vogelgesang (614) 728-1747 

The following paragraphs summarize the feedback obtained on the burden associated 

with various information collection activities. 

(1) Direct/Indirect Reporters 

(a) Identity Proofing Activities 

 Prepare and submit a non-electronic (paper) subscriber agreement. EPA received mixed 

feedback about the ICR’s original burden for preparing and submitting a non-electronic 

(paper) subscriber agreement (i.e., 15 minutes or 0.25 hour per subscriber agreement) from 

the employee registrants contacted. One registrant indicated that the ICR’s original burden 

estimate was a realistic industry average, while two registrants disagreed with the burden 

estimate. (One registrant did not provide feedback on this information collection activity.) 

The registrants contacted suggested a revised burden estimate of 30 minutes or 0.50 hour. 

Based on the consultation information, the average burden for preparing and submitting a 

non-electronic (paper) subscriber agreement was estimated to be 25 minutes or 0.42 hour per 

subscriber agreement. 

 Prepare and submit an electronic, reuse (consolidated), or third-party subscriber 

agreement. EPA received mixed feedback about the ICR’s original burden for preparing and 

submitting an electronic, reuse (consolidated), or third-party subscriber agreement 

(i.e., 10 minutes or 0.17 hour per subscriber agreement) from the employee registrants 

contacted. One registrant indicated that the ICR’s original burden estimate was a realistic 

industry average, while two registrants disagreed with the burden estimate. (One registrant 

did not provide feedback on this information collection activity.) The registrants contacted 

suggested a revised burden estimate of 20 minutes or 0.33 hour. Based on the consultation 

information, the average burden for preparing and submitting an electronic, reuse 

(consolidated), or third-party subscriber agreement was estimated to be 17 minutes or 

0.28 hour per subscriber agreement. 

 File subscriber agreement. EPA was informed that, generally, the ICR’s original burden for 

filing a subscriber agreement (i.e., 5 minutes or 0.08 hour per subscriber agreement) was a 

realistic industry average. However, one of the four registrants contacted suggested a revised 

burden estimate of 15 minutes or 0.25 hour. Based on the consultation information, the 

average burden for filing a subscriber agreement was estimated to be 7 minutes or 0.12 hour 

per subscriber agreement. 
10

 Report compromised or surrendered electronic signature device and prepare/submit new 

subscriber agreement. EPA was informed that, generally, the ICR’s original burden for 

reporting a compromised or surrendered electronic signature device and preparing/submitting 

a new subscriber agreement (i.e., 5 minutes or 0.08 hour per subscriber agreement) was a 

realistic industry average. However, one of the four registrants contacted suggested a revised 

burden estimate of 20 minutes or 0.33 hour. (One registrant did not provide feedback on this 

information collection activity.) Based on the consultation information, the average burden 

for reporting a compromised or surrendered electronic signature device and 

preparing/submitting a new subscriber agreement was estimated to be 10 minutes or 

0.17 hour per subscriber agreement. 

 Contact the Help Desk for technical support. EPA received mixed feedback about the 

ICR’s original burden for contacting the Help Desk for technical support (i.e., 3.6 minutes or 

0.06 hour per subscriber agreement) from the employee registrants contacted. One registrant 

indicated that the ICR’s original burden estimate was a realistic industry average, while two 

registrants disagreed with the burden estimate. (One registrant did not provide feedback on 

this information collection activity.) The registrants contacted suggested a revised burden 

estimate that ranged from 7.5 minutes to 10 minutes, or 0.13 hour to 0.17 hour. Based on the 

consultation information, the average burden for contacting the Help Desk for technical 

support was estimated to be 7 minutes or 0.12 hour per subscriber agreement. 

 Prepare subscriber agreement and send to LRA. EPA received mixed feedback about the 

ICR’s original burden for preparing a subscriber agreement and sending it to the LRA 

(i.e., 20 minutes or 0.33 hour per subscriber agreement) from the employee registrants 

contacted. One registrant indicated that the ICR’s original burden estimate was a realistic 

industry average, while one registrant disagreed with the burden estimate. (Two registrants 

did not provide feedback on this information collection activity.) The registrants contacted 

suggested a revised burden estimate of 30 minutes or 0.50 hour. Based on the consultation 

information, the average burden for preparing a subscriber agreement and sending it to the 

LRA was estimated to be 25 minutes or 0.42 hour per subscriber agreement. 

 Report breach of security or compromised/surrendered electronic signature device to LRA. 

EPA received mixed feedback about the ICR’s original burden for reporting a breach of 

security or a compromised/surrendered electronic signature device (i.e., 5 minutes or 0.08 

hour per report) from the employee registrants contacted. One registrant indicated that the 

ICR’s original burden estimate was a realistic industry average, while one registrant 

disagreed with the burden estimate. (Two registrants did not provide feedback on this 

information collection activity.) The registrants contacted suggested a revised burden 

estimate of 15 minutes or 0.25 hour. Based on the consultation information, the average 

burden for reporting a breach of security or a compromised/surrendered electronic signature 

device was estimated to be 10 minutes or 0.17 hour per report. 
11

 (b) Local Registration Authority Activities 

 Develop a process or plan to implement the requirement, designate the LRA, and submit 

LRA application to agency. EPA was informed by the employee registrants contacted that 

the ICR’s original burden for developing a process or plan to implement the requirement, 

designate the LRA, and submit an LRA application to an agency (i.e., 13 hours per reporting 

firm) was a realistic industry average. (Two registrants did not provide feedback on this 

information collection activity.) Based on the consultation information, the average burden 

for developing a process or plan to implement the requirement, designate the LRA, and 

submit an LRA application to an agency was not revised and thus, remained at 13 hours per 

reporting firm. 

 Register LRA with the electronic document receiving system. EPA was informed by the 

employee registrants contacted that the ICR’s original burden for registering the LRA with 

the electronic document receiving system (i.e., 10 minutes or 0.17 hour per reporting firm) 

was a realistic industry average. (Two registrants did not provide feedback on this 

information collection activity.) Based on the consultation information, the average burden 

for registering the LRA with the electronic document receiving system was not revised and 

thus, remained at 10 minutes or 0.17 hour per reporting firm. 

 Re-designate LRA, due to turnover, and send application materials. EPA was informed by 

the employee registrants contacted that the ICR’s original burden for re-designating an LRA, 

due to turnover, and sending application materials (i.e., 1 hour per reporting firm) was a 

realistic industry average. (Two registrants did not provide feedback on this information 

collection activity.) Based on the consultation information, the average burden for 

re-designating an LRA, due to turnover, and sending application materials was not revised 

and thus, remained at 1 hour per reporting firm. 

 Collect and securely store subscriber agreements. EPA was informed by the employee 

registrants contacted that the ICR’s original burden for an LRA to collect and securely store 

subscriber agreements (i.e., 10 minutes or 0.17 hour per subscriber agreement) was a realistic 

industry average. (Two registrants did not provide feedback on this information collection 

activity.) Based on the consultation information, the average burden for collecting and 

securely storing subscriber agreements was not revised and thus, remained at 10 minutes or 

0.17 hour per subscriber agreement. 

 Prepare agreement collection certification after securely storing subscriber agreements, 

and submit certification of receipt and secure storage. EPA was informed by the employee 

registrants contacted that the ICR’s original burden for preparing an agreement collection 

certification after securely storing subscriber agreements, and submitting the certification of 

receipt and secure storage (i.e., 10 minutes or 0.17 hour per certification) was a realistic 

industry average. (Two registrants did not provide feedback on this information collection 

activity.) Based on the consultation information, the average burden for preparing an 

agreement collection certification after securely storing subscriber agreements, and 

submitting the certification of receipt and secure storage was not revised and thus, remained 

at 10 minutes or 0.17 hour per certification. 
12

(c) On-Going Management Activities 

 Identify and resolve problems. EPA was informed that, generally, the ICR’s original burden 

for identifying and resolving problems (i.e., 1 hour per employee registrant) was a realistic 

industry average. However, one of the four registrants contacted suggested a revised burden 

estimate of 3 hours. (One registrant did not provide feedback on this information collection 

activity.) Based on the consultation information, the average burden for identifying and 

resolving problems was estimated to be 1.67 hours per employee registrant. 

(2) State/Local Agencies 

(a) Identity Proofing Activities 

 Receive, process, review, approve and file a subscriber agreement. EPA was informed by 

two of the three state agencies contacted that the ICR’s original burden for receiving, 

processing, reviewing, approving and filing a subscriber agreement (i.e., 10 minutes or 0.17 

hour per subscriber agreement) was a realistic national average. (One state agency did not 

provide feedback on this information collection activity.) Based on the consultation 

information, the average burden for receiving, processing, reviewing, approving and filing a 

subscriber agreement was not revised and thus, remained at 10 minutes or 0.17 hour per 

subscriber agreement. 

(b) Local Registration Authority Activities 

 Receive, process, review, and approve certification of receipt and secure storage. EPA was 

informed by one of the three state agencies contacted that the ICR’s original burden for 

receiving, processing, reviewing, and approving a certification of receipt and secure storage 

(i.e., 10 minutes or 0.17 hour per certification) was a realistic national average. (The 

remaining two state agencies did not provide feedback on this information collection 

activity.) Based on the consultation information, the average burden for receiving, 

processing, reviewing, and approving a certification of receipt and secure storage was not 

revised and thus, remained at 10 minutes or 0.17 hour per certification. 

 Receive notification of breach of security or compromised/surrendered electronic 

signature device, and take action. EPA was informed by one of the three state agencies 

contacted that the ICR’s original burden for receiving a notification of breach of security or 

compromised/surrendered electronic signature device, and taking action (i.e., 1 hour per 

notification) was a realistic national average. (The remaining two state agencies did not 

provide feedback on this information collection activity.) Based on the consultation 

information, the average burden for receiving a notification of breach of security or 

compromised/surrendered electronic signature device, and taking action was not revised and 

thus, remained at 1 hour per notification. 
13

 Receive application to designate LRA. EPA was informed by one of the three state agencies 

contacted that the ICR’s original burden for receiving an application to designate an LRA 

(i.e., 30 minutes or 0.50 hour per reporting firm) was a realistic national average. (The 

remaining two state agencies did not provide feedback on this information collection 

activity.) Based on the consultation information, the average burden for receiving an 

application to designate an LRA was not revised and thus, remained at 30 minutes or 

0.50 hour per reporting firm. 

(c) On-Going Management Activities 

 Identify and resolve problems. EPA was informed by two of the three state agencies 

contacted that the ICR’s original burden for identifying and resolving problems (i.e., 1 hour 

per employee registrant) was a realistic national average. (One state agency did not provide 

feedback on this information collection activity.) Based on the consultation information, the 

average burden for identifying and resolving problems was not revised and thus, remained at 

1 hour per employee registrant. 

 Respond to information requests. EPA was informed by two of the three state agencies 

contacted that the ICR’s original burden for responding to information requests 

(i.e., 1.5 hours per employee registrant) was a realistic national average. (One state agency 

did not provide feedback on this information collection activity.) Based on the consultation 

information, the average burden for responding to information requests was not revised and 

thus, remained at 1.5 hours per employee registrant. 

(d) State/Local Electronic Document Receiving System Application Activities 

 Read the regulations. EPA received mixed feedback about the ICR’s original burden for 

reading the regulations (i.e., 1.5 hours per State/Local agency) from the state agencies 

contacted. One state agency indicated that the ICR’s original burden estimate was a realistic 

industry average, while one state agency disagreed with the burden estimate. (One state 

agency’s feedback on the burden estimate included other activities and thus, was excluded 

from the analysis for consistency purposes.) The state agencies contacted suggested a 

revised burden estimate of 1.5 hours. Based on the consultation information, the average 

burden for reading the regulations was estimated to be 2.26 hours per State/Local agency. 

 Upgrade existing electronic document receiving system or develop new electronic 

document receiving system to meet 40 CFR 3.2000 and apply for EPA program 

modification approval under 40 CFR 3.1000 (state agency). EPA was informed by two of 

the three state agencies contacted that the ICR’s original burden for upgrading an existing 

electronic document receiving system or developing a new electronic document receiving 

system to meet 40 CFR 3.2000 and applying for EPA program modification approval 

(i.e., 331 hours per state agency) was a realistic national average. (One state agency’s 

feedback on the burden estimate seemed to include other activities and thus, was excluded 

from the analysis for consistency purposes.) Based on the consultation information, the 

average burden for upgrading an existing electronic document receiving system or 
14

developing a new electronic document receiving system to meet 40 CFR 3.2000 and applying 

for EPA program modification approval was estimated to be 331 hours per state agency. 

 Submit amendment to original application for EPA program modification approval under 

40 CFR 3.1000. EPA was informed by one of the three state agencies contacted that the 

ICR’s original burden for submitting an amendment to the original application for EPA 

program modification approval under 40 CFR 3.1000 (i.e., 24 hours per State/Local agency) 

was a realistic national average. (The remaining two state agencies did not provide feedback 

on this information collection activity.) Based on the consultation information, the average 

burden for submitting an amendment to the original application for EPA program 

modification approval under 40 CFR 3.1000 was not revised and thus, remained at 24 hours 

per State/Local agency. 

 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. EPA received mixed feedback about the ICR’s original burden for submitting a 

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 

(i.e., 45 minutes or 0.75 hour per State/Local agency) from the state agencies contacted. One 

state agency indicated that the ICR’s original burden estimate was a realistic industry 

average, while one state agency disagreed with the burden estimate. (One state agency did 

not provide feedback on this information collection activity.) The state agencies contacted 

suggested a revised burden estimate of 22 hours. Based on the consultation information, the 

average burden for submitting a 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 was estimated to be 11.39 hours per State/Local agency. 

 Cost for upgrading or developing electronic document receiving system (state agency). 

EPA was informed by one of the three state agencies contacted that the ICR’s original cost 

estimate for upgrading or developing an electronic document receiving system (i.e., $152,701 

per state agency) was a realistic national average. However, the remaining two state agencies 

disagreed with the cost estimate. The state agencies contacted suggested revised cost 

estimates that ranged from $300,000 to $479,364.06. Based on the consultation information, 

the average cost for upgrading or developing an electronic document receiving system was 

estimated to be $310,688 per state agency. 

 

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 document. 
15

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 is 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 of 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. It is critical that registrants 

submit the identity proofing paperwork 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 

electronic signature device to EPA or State/Local. 

LRAs must report any breach of storage of its subscriber agreements. These are asneeded submittals. If these reports were not collected, EPA and States/Locals would not have a 

way to learn about the signature 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 unauthorized 

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 electronic document receiving systems. 

States/Locals 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 documents (40 CFR 3.10000(a)(2)). If this frequency were not 

specified, EPA would not have assurance that States/Locals are developing and using electronic 

document receiving systems that comply with CROMERR’s provisions at 40 CFR 3.2000. 

3(e) GENERAL GUIDELINES 

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 electronic signature device. A five-year retention period is 

necessary to ensure that such records are available in case of an EPA or State/Local enforcement 
16

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 so 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 ensure 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. 
17

4. THE RESPONDENTS 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 

Classification 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 covered 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-andanswer 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, indirect reporters, indirect reporting firms, and LRAs must comply with 

the identity proofing provisions of CDX and CROMERR, as applicable. In addition, 

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

or delegated environmental programs that they administer must process, review, and approve the 

identity proofing information submitted by indirect reporters. 
18

CDX and 40 CFR 3.2000(a)(2) require that any electronic document must bear the valid 

electronic signature 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 signatures 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 the 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 certainty 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 to 

be uniquely true of the individual in whose name the application is submitted, based 

on information or objects of independent origin, at least one item of which is not 

subject to change without governmental action or authorization. 

 A method of determining 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 agreement 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 protect 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 responsible by the electronic signatures created as by a handwritten signature. This 

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

been deactivated. 

The term “Local Registration Authority” means an individual who 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 

receiving 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 certification of 

receipt and secure storage to the EPA or State/Local. 
19

(i) Data Items: 

 Compliance with identity proofing requirements by means of identifiers, 

attributes, or alternative method: 

 Identifiers or attributes that are verified by attestation of disinterested 

individuals to be uniquely true, as specified. 

 Other information necessary to determine identity. 

 Compliance with subscriber 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 received 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 alternative method: 

 Prepare and submit information on identifiers, attributes, or other identityproofing information. 

 Comply with subscriber agreement provisions: 

 Prepare and submit a subscriber agreement. 

 File subscriber agreement. 

 Prepare and submit new subscriber agreement, for employee turnover. 

 File new subscriber agreement, for employee turnover. 
20

 Contact the Help Desk for technical support. 

 Report compromised or surrendered electronic signature device and 

prepare/submit new subscriber agreement if necessary. 

 Submit subscriber agreement 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/surrender of electronic signature 

device. 

 Prepare and submit 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 activities, as 

applicable: 

 Designating 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, and 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 subscriber 

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 certification 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 

agreements, and submit certification of receipt and secure storage, for 

breach of security/compromise of electronic signature device. 
21

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

 Collect identifiers, attributes, or alternative 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 secure 

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, review, 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 revision 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 Sections 3.1000(b)(1)(i) through(iv). 

 A State/Local that revises or modifies 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 requirements for each authorized program. 
22

 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 keep 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 to 

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 document 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 receives 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 the 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 application 

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 the case of an authorized tribal or local 

government program, by the Chief Administrative Official or Officer 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 

documents. 
23

 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 

the 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 document 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 

approval 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. 
24

5. THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLLECTION 

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: 

 Develop, operate, and maintain CDX. 

(2) Compliance with Identity Proofing Requirements 

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

include: 

 Collect identifiers or attributes or other 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. 

 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 States/Locals seeking to modify their 

programs, as required by 40 CFR 3.1000. 

 Process and file amendments to program modification applications submitted by 

States/Locals. 

 Process and file appraisals of changes to laws, policies, or electronic document 

receiving systems. 
25

5(b) COLLECTION METHODOLOGY AND MANAGEMENT 

CDX serves as 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/certification 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, time, 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. 

 Translating, forwarding, and converting submitted documents into formats that will 

load to EPA databases, and forwarding them to the appropriate systems. 

 Outreach providing education 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 electronic 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 entities, 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) COLLECTION 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. 

 Registrants must submit a notice of compromise or surrender of electronic signature 

device promptly, should this occur. 
26

States/Locals that did not have an electronic document receiving system in use or 

substantially developed on or before October 13, 2005 must, 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 calendar 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 applicant 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 specific 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 application 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, and 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. 
27

6. ESTIMATING THE HOUR AND COST BURDEN OF THE COLLECTION 

6(a) ESTIMATING RESPONDENT BURDEN HOURS 

Exhibit 1 provides estimates of the respondent hourly burden associated with the 

information collection requirements covered in this ICR. The exhibit includes burden hours 

(total and by labor type) per respondent, as well as the overall burden hours for all respondents. 

The majority of the hour 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) ESTIMATING RESPONDENT COSTS 

Exhibit 1 provides 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 in this section, Exhibit 1 illustrates the labor costs associated with the information 

collection requirements covered in this ICR. 

(a) Direct Reporters, Indirect Reporters, Indirect Reporting Firms, and 

Local Registration Authorities 

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

of $61.63 for legal staff, $39.50 for managerial staff, $39.17 for technical staff, and $17.23 for 

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

CROMERR ICR (i.e., EPA ICR Number 2002.05, dated June 22, 2011), and updated to 2014 

levels using Employment Cost Indexes developed by the Bureau of Labor Statistics.3

(b) State/Local Agencies 

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

of $41.13 for legal staff, $41.13 for managerial staff, $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 2002.05, dated June 22, 2011), and updated to 2014 

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 Series, 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, 
28

(2) Capital Costs

Capital costs usually include any produced physical good needed to provide the needed 

information, such as machinery, computers, and other equipment. 

(a) Direct Reporters, Indirect Reporters, Indirect Reporting Firms, and 

Local Registration Authorities 

 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 State/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 $310,688 and that each local 

agency will incur a cost of $57,996. The capital costs for state agencies were obtained from 

consultations (refer to Section 3(c) of this document). The capital costs for local agencies were 

obtained from the previously approved CROMERR ICR (i.e., EPA ICR Number 2002.05, dated 

June 22, 2011), and updated to 2014 levels using Consumer Price Indexes developed by the 

Bureau of Labor Statistics.5

 The above capital costs are shown in Exhibit 1 for all applicable 

respondent activities. 

 EPA notes that capital 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 fewer programs and fewer electronic reports than state systems. For 

example, EPA has received only one application from a local 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 2011=116.6 and June 2014= 123.1. 

5

 Bureau of Labor Statistics, “Table 24. Historical Consumer Price Index for All Urban Consumers (CPIU): U. S. city average, all items,” CPI Detailed Report for August 2014; August 2014. Available online at: 

http://www.bls.gov/cpi/cpid1408.pdf, last accessed on October 8, 2014. April 2011=224.906 and August 

2014=237.852. 
29

(a) Direct Reporters, Indirect Reporters, Indirect Reporting Firms, and 

Local Registration Authorities 

O&M costs include: 

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

States/Locals 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 fee, and $0.03 for 

standard 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 for 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., EPA ICR Number 2002.05, 

dated June 22, 2011), and updated to 2014 levels using Consumer Price Indexes 

developed by the Bureau of Labor Statistics.11

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

(b) State/Local Agencies 

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 mail a nine-ounce 

large envelope by certified mail ($2.66 for first-class large envelope postage, $3.30 for the 

certified-mail fee, and $0.13 for catalog envelope).12, 13, 14 These O&M costs are shown in 

Exhibit 1 for all applicable respondent activities. 

 6

 U.S. Postal Service; “First-Class Mail Prices.” Available online at: 

https://www.usps.com/2014/mailing/m-fcm-retail.xls, last 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; “First-Class Mail Prices.” Available online at: 

https://www.usps.com/2014/mailing/m-fcm-retail.xls, last 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 (CPIU): U. S. city average, all items,” CPI Detailed Report for August 2014; August 2014. Available online at: 

http://www.bls.gov/cpi/cpid1408.pdf, last accessed on October 8, 2014. April 2011=224.906 and August 

2014=237.852. 

12 U.S. Postal Service; “First-Class Mail Prices.” Available online at: 
30

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 in the exhibit, EPA 

estimates an average hourly labor cost of $65.58 for legal staff (GS-14, Step 5), $55.50 for 

managerial staff (GS-13, Step 1), $46.67 for technical staff (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 2014.15 This publication summarizes the unloaded (base) hourly 

rate for various labor categories in the Federal government. EPA then applied the standard 

government overhead factor of 1.6 to the unloaded rate to derive loaded hourly rates. 

EPA estimates that, each year, the Agency will incur a capital cost of $173,600 in CDX 

development, operation, and maintenance activities.16 This capital cost is shown in Exhibit 2. 

O&M costs include electronic transaction fees associated with the processing of 

electronic subscriber agreements (ESA) by a third party vendor. In particular, EPA estimates 

that the Agency will incur an electronic transaction cost of $0.61 per subscriber agreement.17 

This O&M cost 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, as 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 covered in this ICR, as 

applicable. This includes: 

 https://www.usps.com/2014/mailing/m-fcm-retail.xls, last 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 October 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,” 2014 General Schedule (Base), January 

2014. Available online at: http://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salarytables/pdf/2014/GS_h.pdf, last accessed on October 8, 2014. 

16 Based on data current as of October 13, 2014. 

17 Based on data current as of September 10, 2014. 
31

 Private sector entities; and 

 State/Local agencies that are regulated entities18. 

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

CROMERR19. In this document, we refer to these respondents as “State/Local 

agencies acting as regulators.” 

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

CROMERR20. 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 regulators, and 23 State/Local agencies that 

are regulated entities. The following paragraphs provide additional information on how these 

respondent universe estimates were derived. 

(a) Direct Reporter Employees 

EPA estimates that, each year, 77,482 direct reporters will be subject 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 annual number of employee registrants expected to 

register with CDX during the three-year period covered 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 information on the methodology used to estimate the 

average annual number of direct reporters expected to register with the CDX during the threeyear 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. 
32

Table 2 

Annual Number of Direct Reporter Employees 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/Local Agencies that are Regulated Entities 7,711 

Total 55,483 

a

 Federal government employees 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 the table, 

direct reporters have various options for complying 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 eliminates the requirement to prepare and mail new paper subscriber 

agreements.

 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 eliminates the requirement to prepare and 

mail 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 

identity proofing using a third party vendor to validate government identification (ID) 

and additional personal information in compliance with OMB Memorandum 

M-04-04, while retaining repeatable digital evidence of validation using 

cryptographic hash technology and not retaining the highly sensitive personally 

identifying information. The third party process validates both identity and business 

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

agreements. 

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. 
33

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 

2015 2016 2017 

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 Are 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

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

c

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

(b) Indirect Reporter Employees 

Table 4 presents information on the annual number of employee registrants expected to 

register and comply with identify proofing 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 remaining 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 or 

medium-size and large firm). Table 4 presents information on the annual number of employee 

registrants by type of firm. 
34

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 

proofing 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 ICR. 

Table 4 

Annual Number of Indirect Reporter Employees 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 Entities 

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 11,462 

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 employees21, for a total of 4,457 small firms (i.e., 13,372 employees 

÷ 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 employees22, 

for a total of 637 medium-size and large firms (i.e., 11,462 employees ÷ 18 employees/firm). 

(d) State/Local Agencies Acting as Regulators 

 21 This assumption was taken from Cross-Media Electronic Reporting and Records Rule (CROMERRR) 

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

22 This assumption was taken from Cross-Media Electronic Reporting and Records Rule (CROMERRR) 

Cost Benefit Analysis, Final, dated November 17, 2004. 
35

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) States/Locals Agencies That Are Regulated Entities 

Based on information currently available to EPA on the submission and approval of 

program modification applications under 40 CFR 3.1000 (i.e., CROMERR applications), EPA 

estimates that, on average, four States/Locals (i.e., 3 state agencies and 1 local agency) will 

upgrade their existing electronic document receiving systems or develop new electronic 

document receiving systems and submit CROMERR applications each year. 

EPA also estimates that, on average, 15 States/Locals (i.e., 15 state agencies and 0 local 

agencies) will submit amendments to their original CROMERR applications each year. 

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

0 local agencies) will submit notifications 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 average, 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 (or5,548) will need to update their 

registration information each year. 

(b) Compliance with Identity Proofing Requirements – Direct Reporters 

The following paragraphs discuss the assumptions associated with compliance with the 

identity proofing requirements by direct reporters. 

Comply with Requirements for Identifier, Attribute, or Alternative Method 

EPA does not anticipate that direct reporters will prepare and submit information on 

identifiers or attributes, or other identity-proofing information. 

 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 Office of Environmental Information (OEI) levels of effort in managing the application approval 

process. Data current as of October 9, 2014. 
36

Comply with Subscriber Agreement Provisions 

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 paper 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 employee registrants (e.g., employees 

registering for the first time with a data flow); 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 submittal 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 direct 

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 employee registrants (e.g., employees registering for 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 an ESA will contact the Help 

Desk for technical support. 

Reuse (Consolidated) ESA Registrants. EPA estimates that, on average, 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 registrants registering 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 electronic 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, which 

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. 
37

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 certifications 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 Alternative Method 

EPA does not anticipate that indirect reporters will prepare and submit information on 

identifiers or attributes, or other identity-proofing information. 

Comply with Subscriber Agreement Provisions 

For indirect reporters, EPA assumes that all 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 indirect reporters submit 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 facilities 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 employee registrants (e.g., employees 

registering for the first time with a data flow); 10 percent25 ( 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) 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 subscriber agreement will 

contact the Help Desk for technical support. 

 24 Ibid. 

25 This assumption was taken from Section 2.3.4.2 (page 29) of Cross-Media Electronic Reporting and 

Records Rule (CROMERRR) Cost Benefit Analysis, Final, dated November 17, 2004. 
38

Submit Subscriber Agreements to Local Registration Authority 

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 receiving systems, on average; hence, their employees must submit 

subscriber agreements for 1.3 receiving systems, on average.26 Based on these assumptions, 

EPA estimates that, on average, employees from indirect reporting firms will prepare and send to 

their LRA a total of 298 subscriber 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, 

which 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 with implementation of the 

LRA alternative by indirect reporting firms and LRAs. 

Designating a Local 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 alternative. 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 indirect 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. 

Collect Subscriber Agreements from 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 associated with a compromised 

 26 Ibid. 
39

electronic signature. For each of these subscriber agreements, LRAs will need to prepare an 

agreement collection certification after securely storing the subscriber agreements, and submit a 

certification of receipt and secure storage. 

(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 prepare and submit information on 

identifiers 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 31,987subscriber agreements each year. This includes 

28,468 subscriber agreements from new employee registrants, 3,199 subscriber agreements 

associated with employee turnover, and 320 subscriber agreements associated with a 

compromised electronic signature. State/Local agencies will receive, 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 employee registrants, 30 subscriber agreements associated with employee turnover, and 3 

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

will need to receive, process, review, and approve the certification of receipt and secure storage 

submitted by the LRAs. 

Collect Applications for Designation of Local Registration Authority 

EPA estimates that, each year, 13 indirect reporting firms will use the 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 certifications, and respond to 

information requests. 
40

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

Applications – State/Local Agencies that Are Regulated Entities 

Read the Regulations 

EPA estimates 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 develop new electronic document receiving systems and submit a 

CROMERR application each year. This includes 3 state agencies and 1 local agency. 

Submit Amendment to Original Application 

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

CROMERR application each year. EPA 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 Receiving 

System 

EPA estimates that, on average, 4 state agencies will submit a notification about changes 

to laws, policies, or electronic document receiving systems that have the potential to affect 

program conformance with 40 CFR 3.2000. EPA does not anticipate that local agencies will 

submit this notification during the three-year period covered by this ICR. 

 6(e) BOTTOM LINE HOUR AND COST BURDEN

(1) Respondent Tally

Exhibits 3 and 4 summarize the total annual respondent hour and cost burden associated 

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 type of respondent. As used in this 

document, the term “respondent” includes private sector and State/Local entities.27 As shown in 

the exhibits, EPA estimates the annual respondent burden to be 49,604 hours and $2,995,642. 

The bottom line burden to respondents over three years is estimated to be 148,812 hours and 

$8,986,926. 

 27 Refer to Section 6(d) for additional clarification on the types of respondents examined in this ICR. 
41

(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 annual agency 

burden to be 22,393 hours and $1,226,664. The bottom line burden to the agency 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 approved CROMERR ICR 

(EPA ICR Number 2002.05) was 39,763 hours. The annual respondent burden estimate for this 

ICR (EPA ICR Number 2002.06) is 49,604 hours. This represents an increase of 9,841 hours. 

This increase in burden occurred primarily because, in developing this ICR, EPA 

carefully reviewed the respondent activities. Based on consultations with industry and state 

agencies, EPA increased some of the hourly burden estimates. EPA believes that the revised 

burden estimates included in this ICR reflect a realistic average. 

Note, however, that the increase in burden associated with the revised hourly burden 

estimates was offset by a decrease 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 reporters + 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 

capabilities and thus, develop estimates based on actual data instead of the complex calculations 

used in the previously approved ICR. In particular, EPA was able to obtain actual numbers and 

growth rates for the annual number of subscriber agreements submitted to CDX over the past 

several years. These data were used to improve the estimate for the annual number of subscriber 

agreements submitted by direct reporters. EPA believes that the respondent estimates included 

in this ICR are a reasonable approximation of the actual respondent universe. 

All changes in burden are considered “adjustments,” since they resulted from changes in 

the size of the respondent universe and refinements to the assumptions used in the development 

of the ICR. 

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 application and calling the CDX Help 

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

application. 

(2) Compliance with Identity Proofing Requirements – Direct and Indirect Reporters 
42

The reporting burden is estimated to be about 80 minutes for a facility employee to 

prepare 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 reporting burden is estimated to range from 17 minutes to 25 minutes for a facility 

employee to prepare and submit a subscriber agreement. The recordkeeping burden for the 

facility employee is estimated to be about 7 minutes to file an agreement on site. 

(3) Implementation of Local Registration Authority Alternative – Indirect Reporting 

Firms and Local Registration Authorities 

 The reporting 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 application 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 reporting burden is estimated to be 1 hour 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 reporting burden is estimated to be 10 minutes for a LRA to prepare and submit a 

certification of receipt and secure storage after receiving a subscriber agreement. The 

recordkeeping burden is estimated to be 10 minutes for a LRA to compile subscriber agreements 

from employee registrants within the LRA’s firm and place them in secure storage. 

(4) Compliance with Identity Proofing Requirements – State/Local Agencies Acting as 

Regulators 

The reporting burden is estimated to be 30 minutes for a State/Local agency to receive, 

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 burden. 

The reporting burden is estimated to be 10 minutes for a State/Local agency to receive, 

process, review, and approve subscriber agreements. There are no recordkeeping requirements 

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

The reporting burden is estimated to be 30 minutes for a State/Local agency to receive, 

process, review, and approve an LRA application. There are no recordkeeping requirements 

associated with this requirement, and as such, there is no recordkeeping burden. 
43

The reporting burden is estimated to be 2.5 hours for a State/Local agency to resolve 

problems involving subscriber agreements or certifications, and respond to information requests. 

There are no recordkeeping requirements associated with this 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 burden 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 burden 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 burden is estimated to be about 11 hours for a State/Local agency to notify 

EPA about changes to laws, policies, or electronic document receiving systems that 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 the 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 personnel 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 respond 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 accuracy 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 this ICR under 

Docket ID Number EPA–HQ–OEI–2011–0096, which is available for online viewing at 

www.regulations.gov, 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 Center 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 

electronically. When in the system, select “search,” then key in the Docket ID Number 
44

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. 20503, 

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. 
EXHIBIT 1CROSS-MEDIA ELECTRONIC REPORTING RULE

Leg. Mgr. Tech. Cler. Respon. Labor Capital/ Number of T

 $61.63/ $39.50/ $39.17/ $17.23/ Hours/ Cost/ Startup O&M Respon. H

INFORMATION COLLECTION ACTIVITY Hour Hour Hour Hour Activity Activity Cost Cost Activities Log on to the receiving system site and enter requested information 0.00 0.00 0.15 0.00 0.15 $5.88 $0.00 $0.00 55,483 8Update the information as needed 0.00 0.00 0.02 0.00 0.02 $0.78 $0.00 $0.00 5,548 

Subtotal Varies Varies Varies Varies Varies Varies Varies Varies Varies 8

Comply with Requirements for Identifier, Attribute, or Alternative MethodPrepare and submit requested information 0.00 0.25 1.00 0.10 1.35 $50.77 $0.00 $0.00 0 Comply with Subscriber Agreement Provisions - Non-ESA RegistrantsPrepare and submit a subscriber agreement 0.00 0.00 0.42 0.00 0.42 $16.45 $0.00 $3.82 1,867 File subscriber agreement 0.00 0.00 0.12 0.00 0.12 $4.70 $0.00 $0.00 1,867 Prepare and submit a new subscriber agreement, for employee turnover 0.00 0.00 0.42 0.00 0.42 $16.45 $0.00 $3.82 209 File new subscriber agreement, for employee turnover 0.00 0.00 0.12 0.00 0.12 $4.70 $0.00 $0.00 209 Report compromised or surrendered electronic signature device and prepare/submit new subscriber agreement if necessary 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $3.82 21 Contact the Help Desk for technical support 0.00 0.00 0.06 0.00 0.06 $2.35 $0.00 $0.00 2,097 Comply with Subscriber Agreement Provisions - ESA RegistrantsPrepare and submit a subscriber agreement 0.00 0.00 0.28 0.00 0.28 $10.97 $0.00 $0.00 9,712 2File subscriber agreement 0.00 0.00 0.12 0.00 0.12 $4.70 $0.00 $0.00 9,712 Prepare and submit a new subscriber agreement, for employee turnover 0.00 0.00 0.28 0.00 0.28 $10.97 $0.00 $0.00 1,091 File new subscriber agreement, for employee turnover 0.00 0.00 0.12 0.00 0.12 $4.70 $0.00 $0.00 1,091 Report compromised or surrendered electronic signature device and prepare/submit new subscriber agreement if necessary 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $0.00 109 Contact the Help Desk for technical support 0.00 0.00 0.06 0.00 0.06 $2.35 $0.00 $0.00 10,912 Prepare and submit a subscriber agreement 0.00 0.00 0.28 0.00 0.28 $10.97 $0.00 $0.00 556 File subscriber agreement 0.00 0.00 0.12 0.00 0.12 $4.70 $0.00 $0.00 556 Prepare and submit a new subscriber agreement, for employee turnover 0.00 0.00 0.28 0.00 0.28 $10.97 $0.00 $0.00 63 File new subscriber agreement, for employee turnover 0.00 0.00 0.12 0.00 0.12 $4.70 $0.00 $0.00 63 Report compromised or surrendered electronic signature device and prepare/submit new subscriber agreement if necessary 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $0.00 6 Contact the Help Desk for technical support 0.00 0.00 0.06 0.00 0.06 $2.35 $0.00 $0.00 625 Prepare and submit a subscriber agreement 0.00 0.00 0.28 0.00 0.28 $10.97 $0.00 $0.00 7,444 2File subscriber agreement 0.00 0.00 0.12 0.00 0.12 $4.70 $0.00 $0.00 7,444 Prepare and submit a new subscriber agreement, for employee turnover 0.00 0.00 0.28 0.00 0.28 $10.97 $0.00 $0.00 836 File new subscriber agreement, for employee turnover 0.00 0.00 0.12 0.00 0.12 $4.70 $0.00 $0.00 836 Report compromised or surrendered electronic signature device and prepare/submit new subscriber agreement if necessary 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $0.00 84 Contact the Help Desk for technical support 0.00 0.00 0.06 0.00 0.06 $2.35 $0.00 $0.00 8,364 Conduct On-Going ManagementIdentify and resolve problems 0.00 0.00 1.67 0.00 1.67 $65.41 $0.00 $0.00 660 

Subtotal Varies Varies Varies Varies Varies Varies Varies Varies Varies 1

a Exhibit includes rounding error.

Comply with Subscriber Agreement Provisions - Reuse (Consolidated) ESA RegistrantsComply with Subscriber Agreement Provisions - Third Party ESA RegistrantsESTIMATED ANNUAL RESPONDENT HOUR AND COST BURDEN a

Hours and Costs Per Respondent Per Activity

Registering with EPA Electronic Document Receiving System - Direct ReportersCompliance with Identity Proofing Requirements - Direct Reporters

Total H
EXHIBIT 1 (CONTINUED)CROSS-MEDIA ELECTRONIC REPORTING RULE

Leg. Mgr. Tech. Cler. Respon. Labor Capital/ Number of 

 $61.63/ $39.50/ $39.17/ $17.23/ Hours/ Cost/ Startup O&M Respon. 

INFORMATION COLLECTION ACTIVITY Hour Hour Hour Hour Activity Activity Cost Cost Activities Comply with Requirements for Identifier, Attribute, or Alternative MethodPrepare and submit requested information 0.00 0.25 1.00 0.10 1.35 $50.77 $0.00 $0.00 0 Comply with Subscriber Agreement Provisions - Non-ESA RegistrantsPrepare and submit a subscriber agreement 0.00 0.00 0.42 0.00 0.42 $16.45 $0.00 $3.82 28,468 File subscriber agreement 0.00 0.00 0.12 0.00 0.12 $4.70 $0.00 $0.00 28,468 Prepare and submit a new subscriber agreement, for employee turnover 0.00 0.00 0.42 0.00 0.42 $16.45 $0.00 $3.82 3,199 File new subscriber agreement, for employee turnover 0.00 0.00 0.12 0.00 0.12 $4.70 $0.00 $0.00 3,199 Report compromised or surrendered electronic signature device and prepare/submit new subscriber agreement if necessary 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $3.82 320 Contact the Help Desk for technical support 0.00 0.00 0.06 0.00 0.06 $2.35 $0.00 $0.00 31,987 Prepare subscriber agreement and send to LRA (non-ESA registrant) 0.00 0.00 0.42 0.00 0.42 $16.45 $0.00 $0.52 265 Prepare new subscriber agreement and send to LRA, for employee turnover (nonESA registrant) 0.00 0.00 0.42 0.00 0.42 $16.45 $0.00 $0.52 30 Report breach of security or comprimise/surrender of electronic signature device 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $0.00 3 Prepare new subscriber agreement and send to LRA subsequent to breach of security/compromise of electronic signature device (non-ESA registrant) 0.00 0.00 0.42 0.00 0.42 $16.45 $0.00 $0.52 3 Conduct On-Going ManagementIdentify and resolve problems 0.00 0.00 1.67 0.00 1.67 $65.41 $0.00 $0.00 738 Develop a process or plan to implement the requirement, designate the LRA, and submit LRA application to agency 1.00 0.00 12.00 0.00 13.00 $531.67 $0.00 $6.60 13 Register LRA with the electronic document receiving system 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $0.00 13 Redesignate LRA, due to turnover, and send application materials 0.00 0.00 1.00 0.00 1.00 $39.17 $0.00 $6.60 1 Register new LRA with electronic document receiving system 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $0.00 1 Collect and securely store subscriber agreements 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $0.00 265 Prepare agreement collection certification after securely storing subscriber agreements, and submit certification of receipt and secure storage 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $2.79 265 Collect and securely store subscriber agreements, for employee turnover 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $0.00 30 Prepare agreement collection certification after securely storing subscriber agreements, and submit certification of receipt and secure storage, for employee turnover 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $2.79 30 Collect and securely store subscriber agreements, for breach of security/compromise of electronic signature device 0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $0.00 3 Prepare agreement collection certification after securely storing subscriber agreements, and submit certification of receipt and secure storage, for breach of security/compromise of electronic signature device

0.00 0.00 0.17 0.00 0.17 $6.66 $0.00 $2.79 3 

Subtotal Varies Varies Varies Varies Varies Varies Varies Varies Varies 

a Exhibit includes rounding error.

ESTIMATED ANNUAL RESPONDENT HOUR AND COST BURDEN

Hours and Costs Per Respondent Per Activity Tota

Compliance with Identity Proofing Requirements - Indirect ReportersDesignating a Local Registration AuthoritySubmit Subscriber Agreement to Local Registration AuthorityImplementation of Local Registration Authority Alternative - Indirect Reporting Firms and Local Registration AuthoritiesCollect Subscriber Agreements from Reporters
EXHIBIT 1 (CONTINUED)ESTIMATED ANNUAL RESPONDENT HOUR AND COST BURDEN

Leg. Mgr. Tech. Cler. Respon. Labor Capital/ Numbe

 $41.13/ $41.13/ $31.15/ $14.78/ Hours/ Cost/ Startup O&M Respo

INFORMATION COLLECTION ACTIVITY Hour Hour Hour Hour Activity Activity Cost Cost ActivitiReceive, process, review and approve identifier, attribute, or alternative information 0.00 0.00 0.50 0.00 0.50 $15.58 $0.00 $0.00 Receive, process, review, approve and file new subscriber agreements 0.00 0.00 0.17 0.00 0.17 $5.30 $0.00 $0.00 28,

Receive, process, review, approve and file new subscriber agreements, for employee turnover 0.00 0.00 0.17 0.00 0.17 $5.30 $0.00 $0.00 3,Receive, process, review, approve report compromise/surrender electronic signature device 0.00 0.00 0.17 0.00 0.17 $5.30 $0.00 $0.00 Receive, process, review, and approve certification of receipt and secure storage 0.00 0.00 0.17 0.00 0.17 $5.30 $0.00 $0.00 Receive, process, review and approve updated certification of receipt and secure storage, for employee turnover 0.00 0.00 0.17 0.00 0.17 $5.30 $0.00 $0.00 Receive notification of breach of security or compromise/surrender of electronic signature device and take action 0.00 0.00 1.00 0.00 1.00 $31.15 $0.00 $0.00 Receive, process, review and approve certification of receipt and secure storage, for breach of security 0.00 0.00 0.17 0.00 0.17 $5.30 $0.00 $0.00 Receive application to designate first-time LRA 0.00 0.00 0.50 0.00 0.50 $15.58 $0.00 $0.00 Receive application to designate LRA, for LRA turnover 0.00 0.00 0.50 0.00 0.50 $15.58 $0.00 $0.00 Identify and resolve problems 0.00 0.00 1.00 0.00 1.00 $31.15 $0.00 $0.00 Respond to information requests 0.00 0.00 1.50 0.00 1.50 $46.73 $0.00 $0.00 

Subtotal Varies Varies Varies Varies Varies Varies Varies Varies Va

a Exhibit includes rounding error.

CROSS-MEDIA ELECTRONIC REPORTING RULE

Hours and Costs Per Respondent Per Activity 

Collect Identifer, Attribute, or Alternative InformationConduct On-Going ManagementCollect Subscriber AgreementsCollect Applications for Designation of Local Registration AuthorityCompliance with Identity Proofing Requirements - State/Local Agencies Acting as RegulatorsCollect Submittals from Local Registration Authority
EXHIBIT 1 (CONTINUED)CROSS-MEDIA ELECTRONIC REPORTING RULEESTIMATED ANNUAL RESPONDENT HOUR AND COST BURDEN

Leg. Mgr. Tech. Cler. Respon. Labor Capital/ Numbe

 $41.13/ $41.13/ $31.15/ $14.78/ Hours/ Cost/ Startup O&M Respo

INFORMATION COLLECTION ACTIVITY Hour Hour Hour Hour Activity Activity Cost Cost ActivitiRead the regulations 0.00 1.13 1.13 0.00 2.26 $81.68 $0.00 $0.00 Upgrade existing electronic document receiving system or develop new electronic document receiving system to meet 40 CFR 3.2000 and apply for EPA program modification approval under 40 CFR 3.1000 (state agencies)

0.00 31.00 300.00 0.00 331.00 $10,620.03 $310,688.35 $6.09 

Upgrade existing electronic document receiving system or develop new electronic document receiving system to meet 40 CFR 3.2000 and apply for EPA program modification approval under 40 CFR 3.1000 (local agencies)

0.00 20.00 190.00 0.00 210.00 $6,741.10 $57,996.00 $6.09 

Submit amendment to original application for EPA program modification approval under 40 CFR 3.1000 (States/Locals) 0.00 8.00 16.00 0.00 24.00 $827.44 $0.00 $6.09 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 (States/Locals with approved applications)

0.00 3.77 7.62 0.00 11.39 $392.42 $0.00 $6.09 

Subtotal Varies Varies Varies Varies Varies Varies Varies Varies Va

TOTAL Varies Varies Varies Varies Varies Varies Varies Varies Var

a Exhibit includes rounding error.

Submit Amendment to Original ApplicationRead the Regulations

Hours and Costs Per Respondent Per Activity 

Approval of State/Local Electronic Document Receiving System Application - State/Local Agencies that Are Regulated EntitiesSubmit Electronic Document Receiving System ApplicationSubmit Notification on Changes to Laws, Policies, or Electronic Document Receiving System
EXHIBIT 2ESTIMATED ANNUAL EPA HOUR AND COST BURDEN a

Leg. Mgr. Tech. Cler. Respon. Labor Capital/ Numb

 $65.58/ $55.50/ $46.67/ $23.68/ Hours/ Cost/ Startup O&M Resp

INFORMATION COLLECTION ACTIVITY Hour Hour Hour Hour Activity Activity Cost Cost ActiviDevelop, operate, and maintain CDX 0.00 330.00 13,790.00 0.00 14,120.00 $661,894.30 $173,600.00 $0.00 

Subtotal 0.00 330.00 13,790.00 0.00 14,120.00 $661,894.30 $173,600.00 $0.00 

Receive, process, review and approve identifier, attribute, or alternative information 0.00 0.00 0.50 0.00 0.50 $23.34 $0.00 $0.00 Receive, process, review, approve and file new subscriber agreements b 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 $0.00 

Receive, process, review, approve and file new subscriber agreements, for employee turnover b 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 $0.00 Receive, process, review, approve report compromise/surrender electronic signature device 0.00 0.00 0.17 0.00 0.17 $7.93 $0.00 $0.00 Receive, process, review, approve and file new subscriber agreements 0.00 0.00 0.52 0.00 0.52 $24.27 $0.00 $0.00 Receive, process, review, approve and file new subscriber agreements, for employee turnover 0.00 0.00 0.52 0.00 0.52 $24.27 $0.00 $0.00 Receive, process, review, approve report compromise/surrender electronic signature device 0.00 0.00 0.17 0.00 0.17 $7.93 $0.00 $0.00 Receive, process, review, approve and file new subscriber agreements c 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 $0.00 Receive, process, review, approve and file new subscriber agreements, for employee turnover c 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 $0.00 Receive, process, review, approve report compromise/surrender electronic signature device 0.00 0.00 0.17 0.00 0.17 $7.93 $0.00 $0.00 Receive, process, review, approve and file new subscriber agreements d 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 $0.61 Receive, process, review, approve and file new subscriber agreements, for employee turnover d 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 $0.61 Receive, process, review, approve report compromise/surrender electronic signature device 0.00 0.00 0.17 0.00 0.17 $7.93 $0.00 $0.00 Identify and resolve problems 0.00 0.00 1.00 0.00 1.00 $46.67 $0.00 $0.00 Respond to information requests 0.00 0.00 1.50 0.00 1.50 $70.01 $0.00 $0.00 

Subtotal Varies Varies Varies Varies Varies Varies Varies Varies V

a Exhibit includes rounding error.c Labor cost associated with the collection of subscriber agreements from reuse (consolidated) ESA registrants is equal to $0.00 because, under this option, registrants can use their existing CDX credentia

receive, process, review, approve, and file new paper subscriber agreements from these registrants.

d Labor cost associated with the collection of subscriber agreements from third party ESA registrants is equal to $0.00 because, under this option, a third party vendor processes the subscriber agreement

$0.61 per subscriber agreement.Collect Subscriber Agreements - Third Party ESA RegistrantsConduct On-Going ManagementCollect Subscriber Agreements - ESA RegistrantsCollect Subscriber Agreements - Non-ESA RegistrantsCollect Identifer, Attribute, or Alternative InformationCollect Subscriber Agreements - Reuse (Consolidated) ESA Registrants

b Labor cost associated with the collection of subscriber agreements from non-ESA registrants is equal to $0.00 because it is included in the registration costs covered under "Reporting to EPA Electronic 

Registering with EPA Electronic Document Receiving SystemCompliance with Identity Proofing RequirementsCROSS-MEDIA ELECTRONIC REPORTING RULE

Hours and Labor Costs Per Respondent Per Activity 
EXHIBIT 2 (CONTINUED)ESTIMATED ANNUAL EPA HOUR AND COST BURDEN a

Leg. Mgr. Tech. Cler. Respon. Labor Capital/ Numb

 $65.58/ $55.50/ $46.67/ $23.68/ Hours/ Cost/ Startup O&M Res

INFORMATION COLLECTION ACTIVITY Hour Hour Hour Hour Activity Activity Cost Cost ActivProcess and file receiving system documentation submitted by State/Local seeking to modify their programs, as required by 40 CFR 3.1000 (state agencies)

0.00 0.00 160.00 0.00 160.00 $7,467.20 $0.00 $0.00 

Process and file receiving system documentation submitted by State/Local seeking to modify their programs, as required by 40 CFR 3.1000 (local agencies)

0.00 0.00 80.00 0.00 80.00 $3,733.60 $0.00 $0.00 

Process and file amendment to original application for EPA program modification approval under 40 CFR 3.1000 (States/Locals) 0.00 0.00 24.00 0.00 24.00 $1,120.08 $0.00 $0.00 Process and file notifications about changes to laws, policies, or electronic document receiving systems that have the potential to affect program conformance with 40 CFR 3.2000 (States/Locals with approved applications)

0.00 0.00 12.00 0.00 12.00 $560.04 $0.00 $0.00 

Subtotal Varies Varies Varies Varies Varies Varies Varies Varies 

TOTAL 0.00 Varies Varies Varies Varies Varies Varies Varies V

a Exhibit includes rounding error.

CROSS-MEDIA ELECTRONIC REPORTING RULE

Hours and Labor Costs Per Respondent Per Activity 

Approval of State/Local Electronic Document Receiving System Applications
EXHIBIT 3CROSS-MEDIA ELECTRONIC REPORTINGTOTAL ESTIMATED RESPONDENT HOUR AND COST BURDEN SUMMARY a

Annual Burden 

Hours

Annual Labor 

Cost

Annual Capita

Startup Cost

Registering with EPA Electronic Document Receiving System - Direct Reporters 8,433.41 $330,567.48 $0Compliance with Identity Proofing Requirements - Direct Reporters 11,461.32 $448,968.84 $0Compliance with Identity Proofing Requirements - Indirect Reporters 20,705.63 $811,265.84 $0Compliance with Identity Proofing Requirements - State/Local Agencies Acting as Regulators 7,343.45 $228,897.51 $0Approval of State/Local Electronic Document Receiving System Application - State/Local Agencies that Are Regulated Entities 1,660.54 $54,461.11 $990,061

Total 49,604 $1,874,161 $990,0

3-year Total 148,812 $5,622,483 $2,970,1

a Exhibit includes rounding error.EXHIBIT 4CROSS-MEDIA ELECTRONIC REPORTINGTOTAL ESTIMATED RESPONDENT HOUR AND COST BURDEN SUMMARY, BY TYPE OF RESPONDENT a

Annual Burden 

Hours

Annual Labor 

Cost

Annual Capita

Startup Cost

Registering with EPA Electronic Document Receiving System - Direct Reporters 7,261.34 $284,625.42 $0Compliance with Identity Proofing Requirements - Direct Reporters 9,870.63 $386,657.49 $0Compliance with Identity Proofing Requirements - Indirect Reporters 17,827.07 $698,476.85 $0

Subtotal for Private Sector Respondents 34,959.04 $1,369,759.76 $0.

Reporting to EPA Electronic Document Receiving System - Direct Reporters 1,172.07 $45,942.06 $0Compliance with Identity Proofing Requirements - Direct Reporters 1,590.69 $62,311.35 $0Compliance with Identity Proofing Requirements - Indirect Reporters 2,878.56 $112,788.99 $0Compliance with Identity Proofing Requirements - State/Local Agencies Acting as Regulators 7,343.45 $228,897.51 $0Approval of State/Local Electronic Document Receiving System Application - State/Local Agencies that Are Regulated Entities 1,660.54 $54,461.11 $990,061

Subtotal for State/Local Respondents 14,645.31 $504,401.02 $990,061.

Total for All Respondents (i.e., Private Sector and State/Local) 49,604 $1,874,161 $990,0

a Exhibit includes rounding error.

Private Sector RespondentsState/Local Respondents
EXHIBIT 5CROSS-MEDIA ELECTRONIC REPORTINGTOTAL ESTIMATED EPA HOUR AND COST BURDEN SUMMARY a

Annual Burden 

Hours

Annual Labor 

Cost

Annual Capita

Startup Cost

Registering with EPA Electronic Document Receiving System 14,120.00 $661,894.30 $173,600Compliance with Identity Proofing Requirements 7,304.96 $340,942.21 $0Approval of State/Local Electronic Document Receiving System Applications 968.00 $45,176.56 $0

Total 22,393 $1,048,013 $173,6

3-year Total 67,179 $3,144,039 $520,8

a Exhibit includes rounding error.
A-1 

Appendix A 

List of 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 Production 

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 Utilities 

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 Product 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 Manufacturing 

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 Wholesale 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 Beverage 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 Retailers 

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 Transportation 

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 Telecommunications 

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 and Related Activities 

524 Insurance Carriers and Related Activities 

525 Funds, Trusts, and Other Financial Vehicles 
A-2 

53 Real Estate and Rental and Leasing 

531 Real Estate 

532 Rental and Leasing Services 

533 Lessors of Nonfinancial Intangible Assets 

(except 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 and 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 Services 

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 Amusement, 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 

813 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 Human 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 International Affair 
B-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 employee 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 register with CDX, 

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

2011 through 2013. We then estimated the annual number of new employee registrants for the 

three-year period covered by the ICR (i.e., years 2015 through 2017). 

1.2. Detailed Discussion 

EPA took the following steps to carry out the methodology. 

A. Compile historical information on number of new employee registrants. EPA referred to 

CDX in order to compile historical information on the number of new registrants for 

years 2011 through 2013. 

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 threeyear period covered by the ICR (i.e., years 2015 through 2017) by averaging the number 

of new employee registrants for years 2011 through 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 by the Bureau of Labor Statistics on the number of 

employees in the U.S. These 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 government. 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 information 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 Annual Number of 

New Employee Registrants 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 Subscriber 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 overview 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 2012 through 2014. 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 threeyear period covered by the ICR (i.e., years 2015 through 2017) 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 2015 

through 2017, we referred to CDX in order to compile historical information on the 

number of non-ESAs, by CROMERR data flow, for years 2012 through 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 

TRIMEweb 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. We estimated the total number of 

non-ESAs or paper subscriber agreements, by CROMERR data flow, for years 2015 

through 2017 by using the following equations: 

Number of 

Non-ESAs 

for Year Y

= ([3 x RegistrantsY-1] + [2 x RegistrantsY-2] + [RegistrantsY-3]) / 6
B-4 

The table below shows the estimated number of non-ESAs or paper subscriber 

agreements, by CROMERR data flow, for years 2015 through 2017. 

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 2012 through 2014. 

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. Estimate number of ESAs, by CROMERR data flow, for the three-year period covered in 

the ICR. We estimated the number of ESAs, by CROMERR data flow, for years 2015 

through 2017 by using the following equation: 

Number of 

ESAs 

for Year Y

= ([3 x RegistrantsY-1] + [2 x RegistrantsY-2] + [RegistrantsY-3]) / 6

The table below shows the estimated number of ESAs, by CROMERR data flow, for 

years 2015 through 2017. 

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 (consolidated) ESAs, by CROMERR data flow, for the threeyear 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 obtained 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% 67% 

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 2015 through 2017. 

CROMERR Data 

Flow 

Number of Reuse (Consolidated) ESAs a

2015 2016 2017 

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 the 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 provided 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 below shows the estimated number of third party ESAs, by CROMERR data 

flow, for years 2015 through 2017. 

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 35 
B-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 the number of subscriber agreements obtained in Steps B, D, E, and F, 

we 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 2015 through 2017. The results are presented in the table below. 

Type of Subscriber Agreement 

Number of Subscriber Agreements a

Year 2015 Year 2016 Year 2017 Average 

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

ESAs 10,319 11,496 11,613 11,143 

Reuse (Consolidated) ESAs 1,233 600 81 638 

Third Party ESAs 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 

Statistics on the number of employees in the U.S. These 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 government. We 

applied these percentages to the number of ESAs obtained in Step G. We then excluded 

the subscriber agreements from Federal Government employees 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 by 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 Subscriber 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 requirements. As a result, their subscriber 

agreements are not included in the exhibit. 
C-1 

Appendix C 

Methodology for Estimating the Annual Number of Facility Employees Expected to 

Register and Comply with Identity Proofing Requirements of State/Local Electronic 

Document Receiving Systems 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 identity proofing requirements of State/Local 

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 presents 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” in 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 (2014) levels 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 total 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 survey 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 document 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 evidenced 

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 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, that had not been substantially developed on or before that date. 

Pursuant to 40 CFR 3.1000(a)(2), States/Locals 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 receiving systems. To 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 Review 

 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 number of existing and new state receiving systems, by environmental 

program. Existing and 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 costbenefit 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 (CROMERRR) Cost 

Benefit 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 

facilities 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 to bring these numbers to the present (2014), we took the following 

steps: 

 Obtained 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., 2003 and 2012) 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 

2002-2014 period. 

 Applied the 2002-2014 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 update the CBA’s facility estimates, by state 

environmental program. 

Extrapolate 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 states 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 in 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 

first 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 reporting to the 

receiving systems of states in the Master Table, by environmental program. We then 

added up the total number of facilities in states in the Master Table across all 

environmental programs. 

 30 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: 2011,” 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-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, we 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 three-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 electronic 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 2015 through 2017 (i.e., the three-year period covered by the 

ICR), we obtained the average over three years. 

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

In estimating the average annual number of facility employees, we assumed that small 

firm facilities have three employees and that medium/large firm facilities have six 

employees. These estimates were taken from the CBA (Section 2.3.3, “Facilities;” 

page 26). 

J. Estimate average annual number of facility 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. In 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 the 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 employees 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 Industries, All Establishment Sizes, All Employees); 2013 (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 methodology to 

existing and new receiving systems, respectively. 

3. Results 

Exhibit C-1 presents 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 Systems 

during 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 

Medium-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 13,655 

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 

American 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 

Hawaii 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 

Minnesota 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 X 
C-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 Mexico 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. Environmental Protection Agency (USEPA), CROMERR Program and Stakeholder Management (PSM) System, 

data current as of October 9, 2014. 
Attachment C-2 

Number of Facilities Associated with Existing State Electronic Document Receiving Syste

in the CROMERR Cost-Benefit Analysis Survey, by State Environmental Program 

(Data Current as of Summer 2002) 

State 

Air Water 

Air 

(CEM) 

Air 

Permits 

Air 

(NEI) 

Air 

Title V 

Emissions 

Emission 

Reports 

(Non-Title V) 

Air 

Quality 

PTO 

Applications 

Asbestos 

Notification EDMR 

Drinking/ 

Ground 

Water 

Wastewater 

Florida 3 New Jersey 12 1,500 New Mexico 200 North Dakota Ohio 200 780 2,400 780 5,700 1,550 Pennsylvania 125 6,000 Wisconsin 5,200 22 

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. 

the facilities were allocated to the “Air” category and the remaining 10 percent were allocated to the “HW Annual Report” category. This allocation was based on 

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 Rul

Benefit Analysis, Final; November 17, 2004. 

Acronyms 

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 Tank 
C-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 

111.13 NESHAP for Asbestos 

1088.10 

1088.13 NSPS for Industrial-Commercial-Institutional Steam Generating Units 

Water 

2.11 

2.15 National Pretreatment Program 

270.42 

270.45 Public Water System Supervision Program 

Waste, USTs, Emergency Planning 

261.14 Notification of Regulated Waste Activity 

976.11 2007 Hazardous Waste Report 

976.16 2013 Hazardous Waste Report, Notification 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 Protection Agency (USEPA), Information Collection Request, Review, and Approval System 

(ICRAS). Data obtained on August 13, 2014. 
Attachment C-4a 

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

Air Programs 

State Operating Permit Regulations

EPA ICR Number

1587.06

EPA ICR Number

1587.12

2004 2011

Permitting Authorities and Sources Subject to Permitting under 40 CFR Part 70 17,738 16,052 ‐9.5% 7 ‐1.4% 0.59 ‐0

NESHAP for Asbestos

EPA ICR Number

111.10

EPA ICR Number

111.13

2003 2011

Respondents 9,848 9,517 ‐3.4% 8 ‐0.4% 0.35 ‐0

NSPS for Industrial‐Commercial‐Institutional Steam Generating Units

EPA ICR Number

1088.10

EPA ICR Number

1088.13

2003 2012

Respondents 1,230 1,727 40.4% 9 4.5% 0.06 0

Total Number Respondentsfor All ICRs 27,296

WeightWeightWeight

Weight

Percent 

Num

Respo

Weight

Percent 

Num

Respo

Weight

Percent 

Num

Respo

Respondent UniverseRespondent UniverseRespondent Universe

Annual Number of Respondents

Annual Number of Respondents

Number

of Years

Percent Change

in Number of

Respondents

Annual Percent

Change in Number

of Respondents

Number

of Years

Number

of Years

Annual Number of Respondents Percent Change

in Number of

Respondents

Annual Percent

Change in Number

of Respondents

Percent Change

in Number of

Respondents

Annual Percent

Change in Number

of Respondents
Attachment C-4b 

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

Water Programs 

National Pretreatment Program

EPA ICR Number

2.11

EPA ICR Number

2.15

2004 2011

Industrial users (IUs), POTWs, and States 28,285 24,411 ‐13.7% 7 ‐2.0% 0.14 ‐0.3% 

Public Water System Supervision Program

EPA ICR Number

270.42

EPA ICR Number

270.45

2004 2011

Existing PWSs, Primary Agencies, and Laboratories 161,682 154,938 ‐4.2% 7 ‐0.6% 0.86 ‐0.5%

Total Number Respondentsfor All ICRs 179,349

Percent Change

in Number ofRespondents

Annual Percent

Change in Number

of Respondents

Weight

Weighted A

Percent Cha

Number 

Responde

Respondent Universe

Annual Number of Respondents

Respondent Universe

Annual Number of Respondents

Weighted A

Percent Cha

Number 

Responde

Percent Change

in Number ofRespondents

Number

of Years

Number

of Years Weight

Annual Percent

Change in Number

of Respondents
Attachment C-4c 

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

Waste, USTs, Emergency Planning Programs 

Notification of Regulated Waste Activity

EPA ICR Number

261.14

EPA ICRNumber

976.16

2003 2012

Initial and Subsequent Notifications under RCRA Section 3010; 40 CFR Part 273, Subpart C; and 40 CFR Part 279 31,125 46,035 47.9% 9 5.3% 0.17 0

Hazardous Waste Report

EPA ICR Number

976.11

EPA ICRNumber

976.16

2003 2012

Respondents to the Hazardous Waste Report 10,178 10,533 3.5% 9 0.4% 0.04 0

Underground Storage Tanks: Technical and Financial Requirements, and State Program Approval Procedures

EPA ICR Number

1360.07

EPA ICRNumber

1360.12

2004 2011

Private and Governments 254,705 211,040 ‐17.1% 7 ‐2.4% 0.79 ‐

Total Number Respondents for All ICRs 267,608

Weight

Weight

Percent 

Num

Resp

Number

of Years

Annual Percent

Change in Number

of Respondents

Weight

Weight

Percent 

Num

Resp

Annual Percent

Change in Number

of Respondents

Respondent Universe

Annual Number of Respondents

Respondent Universe

Annual Number of Respondents

Respondent Universe

Annual Number of Respondents

Note: The "Notification of Regulated Waste Activity," "Hazardous Waste Report," and "Part A Hazardous Waste Permit Application and Modification,” ICRs were consolidated into a single ICR. For purposes of this analysis, EPA rev

information on the annual number of respondents associated with the notification and Hazardous Waste Report information collection requirements.

Percent Change

in Number of

Respondents

Percent Change

in Number of

Respondents

Percent Change

in Number of

Respondents

Number

of Years

Annual Percent

Change in Number

of Respondents

Weight

Weight

Percent 

Num

Resp

Number

of Years
C-13 

Attachment C-5 

Number of Establishments (Facilities) by Employment Size, 2011 

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 21,295 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 89,749 
C-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 20,329 

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: 2011,” 

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. 
Attachment C-6 

Application of Methodology to Existing Receiving Systems 

Environmental Program States with Facility Data in CBA Total Number of Facilitiesin CBA

Average Annual

Percent Change for

Environmental

Program

2002‐2014 Perc

Change for

Environment

Program

Air NJ, NM, OH, PA, WI 17,197 ‐0.6% ‐7.2% 

Water FL, ND, OH, WI 7,525 ‐0.8% ‐9.6% 

Waste, USTs, Emergency Planning NJ, OH, WI 2,580 ‐1.0% ‐12.0% 

Environmental Program

Number of

Establishmentsfor

States with Facility

Data in CBA

Number of

Establishmentsfor

States with Existing

Receiving Systems

Scaling Factor

Air 954,979 5,415,429 5.67Water 901,742 6,883,480 7.63Waste, USTs, Emergency Planning 615,399 3,696,214 6.01

Environmental Program Updated Total Number of Faciltiesin CBA Scaling Factor

Total Number of

Facilitiesfor States

with Existing

Receiving Systems

Air 15,959 5.67 90,488Water 6,803 7.63 51,907Waste, USTs, Emergency Planning 2,270 6.01 13,643

Total Number of Facilities for All Environmental Programs 156,038
Attachment C-6 (continued) 

Application of Methodology to Existing Receiving Systems 

Year Number of Facilities2005 46,8112006 10,9232007 9,8302008 8,8472009 7,963 Legend:2010 7,1662011 6,4502012 5,8052013 5,2242014 4,7022015 4,2322016 3,8092017 3,4282018 3,0852019 2,7762020 2,499

Year 1 Year 2 Year 3

Small Firms 2,962 2,666 2,400 2,676 Medium‐Size and Large Firms 1,270 1,143 1,028 1,147 

Total 4,232 3,809 3,428 3,823 

Type of Firm

Number of Facilities per Year Average Annua

Number of

Facilities

Years Covered in the ICR
Attachment C-7 

Application of Methodology to New Receiving Systems 

Environmental Program States with Facility Data in CBA Total Number of Facilitiesin CBA

Average Annual

Percent Change for

Environmental

Program

2002‐2014 Percent

Change for

Environmental

Program

Updated To

Number o

Facilitiesin 

Air NJ, NM, OH, PA, WI 17,197 ‐0.6% ‐7.2% 15,959

Water FL, ND, OH, WI 7,525 ‐0.8% ‐9.6% 6,803

Waste, USTs, Emergency Planning NJ, OH, WI 2,580 ‐1.0% ‐12.0% 2,270

Environmental Program

Number of

Establishmentsfor

States with Facility

Data in CBA

Number of

Establishmentsfor

States with New

Receiving Systems

Scaling Factor

Air 954,979 585,036 0.61Water 901,742 1,573,831 1.75Waste, USTs, Emergency Planning 615,399 360,209 0.59

Environmental Program Updated Total Number of Facilties in CBA Scaling Factor

Total Number of

Facilitiesfor States

with New Receiving

Systems

Air 15,959 0.61 9,735Water 6,803 1.75 11,905Waste, USTs, Emergency Planning 2,270 0.59 1,339

22,979

7,660

Year 1 Year 2 Year 3

Year 1 2,298 536 483Year 2 0 2,298 536Year 3 0 0 2,298

Total 2,298 2,834 3,317

Year 1 Year 2 Year 3

Small Firms 1,609 1,984 2,322 1,972 5,916

Medium‐Size and Large Firms 689 850 995 845 5,070

Total 2,298 2,834 3,317 2,817 10,986

Annual Number of Facilitiesthat Will Come Online

Total Number of Facilitiesfor All Environmental Programs

Type of Firm

Number of Facilities per Year

Year System Will Come Online Number of Facilities per Year

Average Annual

Number of

Facilities

Average Ann

Number o

Facility

Employee