### SUPPORTING STATEMENT FOR

EPA INFORMATION COLLECTION REQUEST NUMBER 2002.0 6

“ C ROSS

- 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 TH E INFORMATION COLLEC TION

................................ ....................... 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. NON DUPLICATION, CONSULT ATIONS, AND OTHER CO LLECTION 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 RE SPONDENTS AND THE IN FORMATION REQUESTED

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

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

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

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

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

................................ .............................. 27 6(c) ESTIMATING AGENCY HOUR AND COST BURDEN

................................ .................... 30 6(d) ESTIMATING RESPOND ENT 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

................................ ................................ ......................... 413

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 Repo rting

Rule (Renewal)” EPA ICR Number 2002.0 6 , OMB Control Number 2025

- 0003.

1(b) CHARACTERIZATION OF THE INFORMATION COLLECTION

The U.S. Environmental Protection Agency (EPA) allows regulated entities to report electronically to EPA by allowing the use of electronic 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 s tate, t ribal,

and local government s 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, the se s tate,

t ribal, 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 s tate

, t ribal, or l ocal government receiving system must comply with identity proofing requirements, as applicable. In the remainder of this document, we refer to

s tate, t ribal, and local governme nts as “States/Locals” because, at the current time, EPA is not aware of any t ribal 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 en tity to report electronically to EPA or

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

- based reporting. It does not require State s /Local s to implement electronic reporting; rather, it establi shes 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 electr onic

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 .”

 S tate s /Local s must upgrade existing electronic document receiving systems or develop new electronic document receiving systems to meet 40 CFR 3.2000 requirements. These State s /Local s must apply for EPA program modification approval under 40 CFR 3.1000. Th ey 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 ha rd 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

entitie s 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 si gnature device in reporting electronically to a State/Local electronic document receiving system . In this document, we refer to these entities as “indirect reporting firms.”

 T he LRA must collect and store subscriber agreements from individual s in his/her indirect 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 col lection 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 E PA 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 repor ters 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 registratio n and rep orting 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 specifi cally 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

Regu lated 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 ensur ing 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 ) A pproval of State/Local Electronic Document Receiving System Applications

EPA needs information submitted by State s /Locals in their program modification applications to evaluate the State s /Locals’ upgraded or new electronic document receiving

systems to en sure 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, th e 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

appl ication; 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 g overnment. In the case of

a s tate, this official must be the Attorney General or designee. In the case of a t ribe or local government, this official must be the chief administrative official or officer or designee. As a legal matter, EPA ’s position is t hat Attorneys General or their designees are the only officials capable of certifying with respect to their s tates’ 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 s tate’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

, State s /Locals , and LRAs use the identity proofing informatio n 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 ot her 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. E PA 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 State s /Locals in their program modification applications to evaluate the State s /Locals’ upgraded or new electronic document receiving systems against the criteria at 40 CFR 3.2000(b)(1)

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

the ele ctronic 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 i t 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 establishe s 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 reporti ng 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 e stimates covered in the ICR. The public comment period extended through January 5, 2015

. EPA d id 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 an d cost burden estimates) are

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

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

Table 1 identifies the organizations contacted.

Table 1 Organizations EPA Contacted during the Development of this ICR ( February 2015 )

Organization Contact Name Phone Number

Industry (i.e., Direct/Indirect R eporters )

3M Linda Murray (651) 733

- 34 61

Maersk Line, Limited Larry Bowling ( 757 ) 531

- 7799

OVS Ken Wessels (503) 437

- 1414

Shields Bag and Printing Company Derek LaFramboise ( 509 ) 248

- 75009

Organization Contact Name Phone Number

State/Local Agencies

Arkansas Department of Environmental Quality Letty Hardee (501) 682

- 0672

New Yo rk 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 col lection 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 p re paring 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 disagr eed with the burden

estimate. (One registrant did not provide feedback on this information collection activity.) The registrants contacted s uggested 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 p re paring 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 registran ts contacted

s uggested 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 b e 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 indus try 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

r eport ing a compromised or surrendered electroni c signature device and prepar ing /submit ting

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 minut es or 0.33 hour

. (One registrant did not provide feedback on this information collection activity.) Based on the consultation information, the average burden

for r eport ing a compromised or surrendered electronic signature device and

prepar ing /submit ting 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 c ontact ing the Help Desk for technical suppo rt (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 estima te. (One registrant did not provide feedback on this information collection activity.) The registrants contacted s uggested 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 informa tion, the average burden for c ontact ing the Help Desk for technical

support was estimated to be 7 minutes or 0.1 2 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 send ing 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 ave rage, while one registrant disagreed with the burden estimate. (Two registrants did not provide feedback on this information collection activity.) The registrants contacted

s uggested a revised burden estimate of 30 minutes or 0.50 hour . Based on the con sultation information, the average burden for preparing a subscriber agreement and send ing it to the

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

 Report breach of security or compromise d /surrender ed electronic signature de vice to LRA

. EPA received mixed feedback about the ICR’s original burden for r eport ing a breach of security or a compromise d /surrender ed electronic signature device (i.e., 5 minutes or 0. 08 hour per report ) from the employee registrants contacted

. One re gistrant 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 cont acted s uggested a revised burden

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

burden for r eport ing a breach of security or a compromise d /surrender ed 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 d evelop ing 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 d evelop ing a process or plan to implement the requirement, designate the LRA, and

submit an LRA application to an agency was not revised and thus, remain ed 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 r egister ing the LRA with the electronic document receiving sy stem (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 r egister ing the LR A 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 cont acted that the ICR’s original burden for r e

- designat ing an LRA, due to turnover, and send ing 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

- designat ing an LRA, due to turnover, and send ing application materials was not revised and thus, remained at 1 hour per reporting firm.

 Collect and securely store subscr iber agreements

. EPA was informed by the employee registrants contacted that the ICR’s original burden for an LRA to c ollect 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 c ollect ing 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 I CR’s original burden for preparing an agreement collection certification after securely storing subscriber agreements, and submit ting 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

submit ting 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 I CR’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 pr ovide 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 P roofing Activities

 Receive, process, review, approve and file a subscriber agreement

. EPA was informed by

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

, process ing , review ing, approving and filing a subscriber agr eement (i.e., 10 minutes or 0.17 hour per subscriber agreement ) was a realistic national average

. ( One s tate agency did not provide feedback on this information collection activity.) Based on the consultation information, the average burden for receiving , process ing , review ing, 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 a pprove certifi cation of receipt and secure storage

. EPA was informed by one of the three s tate agencies contacted that the ICR’s original burden for receiving , process ing , review ing, 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 s tate agencies did not provide feedback on this information collection activity.) Based on the consultation information, the average burden for receiving

, process ing , review ing, 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 compromise d /surrender ed electronic signature device

, and ta ke action

. EPA was informed by one of the three s tate agencies

contacted that the ICR’s original burden for receiving a notification of breach of security or compromise d /surrender ed electronic signature device , and taking action (i.e., 1 hour per

notifica tion ) was a realistic national average

. (The remaining two s tate 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

c ompromise d /surrender ed 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 s tate 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 s tate agencies did not provide feedback on this information collection activity.) B ased 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 pr oblems

. EPA was informed by two of the three s tate agencies

contacted that the ICR’s original burden for i dentify ing and resolving problems (i.e., 1 hour per employee registrant ) was a realistic national average

. (One s tate agency did not provide

feedbac k on this information collection activity.) Based on the consultation information, the average burden for i dentify ing and resolving problems was not revised and thus, remained at 1 hour per employee registrant.

 Respond to information requests

. E PA was informed by two of the three s tate agencies

contacted that the ICR’s original burden for r espond ing to information requests (i.e., 1.5 hours per employee registrant ) was a realistic national average

. (One s tate agency did not provide feedback on th is information collection activity.) Based on the consultation information, the average burden for r espond ing to information requests was not revised and thus, remained at 1.5 hours per employee registrant.

(d ) State/Local Electronic Document Rec eiving 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 s tate agencies

contacted

. One s tate agency indicated tha t the ICR’s original burden estimate was a realistic industry average, while one s tate agency disagreed with the burden estimate. (One s tate

agency ’s feedback on the burden estimate included other activities and thus, was excluded from the analysis for co nsistency purposes .) The s tate agencies contacted s uggested a revised burden estimate of 1.5 hour s . Based on the consultation information, the average

burden for reading the regulations was estimated to be 2.26 hour s 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 modificatio n approval under 40 CFR 3.1000 (s tate agency)

. EPA was informed by two of

the three s tate agencies contacted that t he ICR’s original burden for upgrading an existing electronic document receiving system or develop ing a new electronic document receiving system to meet 40 CFR 3.2000 and apply ing for EPA program modification approval (i.e., 331 hours per s tate agency ) was a realistic national average

. (One s tate 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 or14

develop ing a new electronic document receiving system to meet 40 CFR 3.2000 and apply ing for EPA program modification approval was estimated to be 331 hours per s tate agency

.

 Sub mit amendment to original application for EPA program modification approval under

40 CFR 3.1000

. EPA was informed by one of the three s tate agencies contacted that the ICR’s original burden for s ubmit ting an amendment to the original application for EPA

p rogram modification approval under 40 CFR 3.1000 (i.e., 24 hour s per State/Local agency )

was a realistic national average

. (The remaining two s tate agencies did not provide feedback on this information collection activity.) Based on the consultation info rmation, the average

burden for s ubmit ting an amendment to the original application for EPA program modification approval under 40 CFR 3.1000 was not revised and thus, remained at 24 hour s

per State/Local agency

.

 Submit notification to EPA about c hanges 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 s ubmit ting 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 s tate agencies contacted

. One

s tate agency indicated that the ICR’s original burden estimate was a realistic industry average, while one s tate agency disagreed with the burden estimate. ( One s tate agency did not provide feedback on this information collection activity.) The s tate agencies contacted

s uggested a rev ised burden estimate of 22 hours . Based on the consultation information, the average burden for s ubmit ting a notification to EPA about changes to laws, policies, or electronic document receiving systems that have the potential to affect program conformanc e with 40 CFR 3.2000 was estimated to be 11.39 hours per State/Local agency.

 Cost for u

pgrading or developing electro nic document receiving system (s tate agency)

. EPA was informed by one o f the three s tate agencies contacted that the ICR’s original c ost
estimate for u pgrading or developing an electronic document receiving system (i.e., $152,701

per s tate agency ) was a realistic national average

. However, t he remaining two s tate agencies disagreed with the cost estimate. The s tate agencies contacted s uggested revised cost

estimates that ranged from $300,000 to $479,364.06 . Based on the consultation information, the average cost for u pgrading or developing an electronic document receiving system was estimated to be $310,688 per s tate 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 CO LLECTION

(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 i ts 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. I t 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/L ocal.

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

needed submittals. If these reports were not collected, EPA and State s /Locals would not have a way to learn about the signature compromise/surrender or storage bre aches. 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.

State s /L ocal s that did not have an electronic document receiving system in use or substantially developed on or before October 13, 2005 must apply to EPA for program modification approval before receiving electronic documents ( 40 C FR 3.10000(a)(2)) . If this frequ ency were not specified, EPA would not have assurance that State s /Locals are developing and using electronic document receiving systems that comply with CROMERR ’s provisions at 40 CFR 3.2000.

3(e) GENERAL GUIDELINES

This ICR adheres to the guidelines st ated 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 d evice. A five

- year re tention period is necessary to ensure that such records are available in case of an EPA or State/Local enforcement16

action. EPA recognizes that a registrant may use an electronic signature device in signing a range of enforcement

- sensitive reports. Certai n 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 enfor cement 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 procedur es 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 i nformation 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 associa ted 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 i nformation if it changes.

(i) Data Items :

 An on

- line registration application:

 Registrant name

.

 Organization name

.

 Address

.

 Knowledge

- based information (e.g., user

- supplied secret question

- and

answer pair)

.

(ii) Respondent Activities :

Facility employee s 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 firm s, and LRAs must comply with the identity proofing provisions of CDX and CROMERR , as applicable. In addition,

State s/Locals that accept electronic documents to satisfy reporting requirements under authorized or delegated environmental programs that they a dminister 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 3.2 000(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 wh ose name the application is submitted, based on information or objects of indep endent origin, at least one item of which is not subject to change without governmental action or authorization.

 A method of 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 handwr itten 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 com promise; 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

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

been deactivated.

The term “Local Registration Authority” means an individual 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 t o the EPA or State/Local.19

(i) Data Item s :

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

 Identifiers or attributes that are verified by attestation of disinterested individuals to be uniquely tr ue, as specified.

 Other information necessary to determine identity.

 Compliance with s ubscriber agreement provisions :

 Subscriber agreement

.

 Report of compromised or surrendered electronic signature.

 Submission of subscriber agreement to LRA :

 Subscriber a greement

.

 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.

 Certificat ion 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 identity

proofing information.

 Comply with subscriber agreement provisions:

 Prepare and submit a subscriber agreement.

 File subscriber agreement.

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

 Fil e new subscriber agreement, for employee turnover.20

 Contact the Help D esk for technical support.

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

 Submit subscriber a greement to LRA :

 Pre pare subscriber agreement and send to LRA

.

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

turnover.

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

device.

 Prepare and submit new subscriber agreement to LRA subse quent 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:

 D esignating a LRA :

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

 Register the LRA with the electronic document receiving system.

 Redesignate LRA , due to turnover , 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 certificatio n 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

e mployee 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 recei pt 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 iden tifiers

, attributes

, or alternative information :

 Receive, process, rev iew

, 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 t urnover.

 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 a nd 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.

 Condu ct 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

p rovided under 40 CFR 3.1000, a State /Local must submit an application for program revision to EPA that includes the elements specified in Section s 3.1000(b)(1)(i) through (iv).

A State/Local that revises or modifies more than one (1) authorized program f or 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 t he 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/Loca l 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,

p olicies, 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 t o 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 cri teria 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 law fully 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 t ribal or local

g overnment program, by the C hief A dministrative O fficial or O fficer of the governmental entity or designee.

 A listing of all State/Local electronic document receiving systems to accept the electronic documents being addressed by the program

modification or revisions that are covered by the application, together with a description for each such system that specifies how the system meets the applicable criteria in Section 3.2000(b) with respect to those electronic

documents.23

 A schedule of upgrades for electron ic 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 chang es 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

ele ctronic 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 notificat ion 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 MANAGE MENT

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, o perate

, and maintain CDX.

(2) Complia nce with Identity Proofing Requirements

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

include:

 Collect iden tifiers or attributes or other information :

 Receive, process, 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 app rove 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 activit ies associated with the approval of State/Local electronic document receiving systems include :

 Process and file applications submitted by State s /Locals seeking to modify their programs, as required by 40 CFR 3.1000.

 Process and file amendments to program modification applications submitted by

State s /Locals.

 Process and file appraisals of changes to laws, policies, or electronic document receiving systems.25

5(b) COLLECTION METHODOLOGY AND MANAGEMENT

CDX serves as EPA’s primary gateway for electronic docu ments 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 requ ired 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.

 Translati ng
, forwarding , and converting submitted documents into formats that will load to EPA databases, and forwarding them to the appropr iate systems.

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

.

5(c) SMALL ENTITY FLEXIBILITY

CROMERR allows electronic reporting by permitting the use of electronic document receiving systems to rece ive 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 add ition, 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 asso ciated 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 o f 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 compromis e or surrender of electronic signature device promptly, should this occur.26

State s /Local s that did not have an electronic document receiving system in use or substantially developed on or before October 13, 2005 must , 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 fo r 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 re ceiving 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 compl ete 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 aut horized 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 automa tically 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 provide s estima tes of the respondent hourly burden associated with the information collection requirements co vered in this ICR. The exhibit include s burden hours (total and by labor type) per respondent, as well as the overall burden hours for all respondents. The majo rity of the ho ur estimates in Exhibit 1 are based on the Agency’s technical background
document, Cross Media Electronic Reporting Rule Cost Benefit Analysis

, and consultations with industry and s tates

.

6(b) ESTIMATING RESPONDENT COSTS

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

(1) Labor Costs

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

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

(a) Direct Reporters, Indirect Reporters

, Indirect Reporting Firms, and Local Registration Authorities

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

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

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

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

(b) State/Local Age ncies

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

of $41.13 for legal staff, $41.13 for managerial sta ff, $31.15 for technical staff, and $14.78 for clerical staff. These respondent labor costs were obtained fro m the previously approved

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

3 Bu reau 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 2 014 ; 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, c omputers, and other equipment.

(a) Direct Reporters, Indirect Reporters

, Indirect Reporting Firms, and Local Registration Authorities

EPA does not anticipate that direct reporter s, 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 Sta te/Local agencies will incur capital costs in up grading 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 s tate agency will incur a cost of $310,688 and that each l ocal agency will incur a cost of $57,996

. The capital costs for s tate agencies were obtained from consultations (refer to S ection 3 (c) of this document ). The capital costs for l ocal agencies were

obtained from the previously approved CROMERR ICR (i.e., EPA ICR Number 2002.0 5 , dated
June 22, 2011 ), and updated to 201 4 levels using Consumer Pric e Indexes developed by the

Bureau of Labor Statistics. 5 The above capital costs are shown in Exhibit 1 for all a pplicable respondent activities.

EPA notes that c apital costs for l ocal agencies are estimated to be lower than the capital

costs for s tate agencies because l ocal agencies are expected to have simpler electronic document receiving systems that cover fewer programs and fewer electronic reports than s tate systems. For example, EPA has receiv ed only one application from a l ocal agency under CROMERR, and that system only accept s 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

– Ju ne 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 (CPI

U): 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 a ccessed on October 8, 2014. April 2011=224.906 and August

2014=237.852.29

(a) Direct Reporters, Indirect Reporters

, Indirect R eporting Firms, and Local Registration Authorities

O&M costs include :

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

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

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

or first

- class letter postage

, $ 3.30 for the certified

- mail f ee, 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 LR A . This O&M cost was obtained from the previously approved CROMERR ICR (i.e., EPA ICR Number 2002.0 5

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

The above O&M costs are sho wn in Exhibit 1 for all a pplicable 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 pr ogram modification approval under 40 CFR 3.1000 ) will incur a cost of $ 6.09 to mail a nine

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

- class large envelope postage, $ 3.30 for t he

certified

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

, 13

, 14 Thes e O&M cos ts are shown in

Exhibit 1 for all applicable respondent activities.

6 U.S. Postal Service ; “ First

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

- fcm

- r etail.xls , la st accessed on October 8, 2014.

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

- dom

- extra

- services.xls , las t 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 .” Avail able online at: https://www.usps.com/2014/mailing/m

- fcm

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

10 Standard business envelope cost based on current market price, as of October 8, 201 4 (i.e., box of 500 standard business envelopes with gummed closure at $15.59).

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

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

2014=237.852.

12 U.S. Postal 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 i n the exhibit , EPA estimates an average hourly labor cost of $65.58 for legal staff (GS

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

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

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

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

. 15 This publication summarizes the unloaded (base) hourly rate for various labor categories in the Federal g overnment. EPA then applied the standard

government ove rhead 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 cos t is shown in Exhibit 2

.

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

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

6(d) ESTIMATING RESPONDENT UNIVERSE AND TOTAL HOUR AND

COST BURDEN

In this section, EPA first describes the estimated respondent universe. EPA then

estimates the annual bur den to respondents under the information collection requirements

covered in this ICR.

EPA notes that, a s used in this document

, the term “respondent” includes:

 Direct reporters, indirect reporters

, indirect reporting firms, and LRAs complying

with the registration and identity proofing requirements cov ered in this ICR , as applicable . This includes:

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

- fcm

- retail.xls

, la st accessed on October 8, 2014.

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

- dom

- extra

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

14 Catalog envelope cost based on current market price, as of October 8, 2014 (i.e., box of 1 00 6” x 9” brown kraft catalog envelopes with gummed closure at $13.29).

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

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

- data

- oversight/pay

- leave/salaries

- wages/salary

tables/pdf/2014/GS_h.pdf

, last accessed on October 8, 2014

.

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

17 Based on data c urrent as of September 10, 2014.31

 Private sector entities; and

 State/Local agencies that are regulated entities 18

.

 State/ l ocal agencies administering electronic document receiving systems su bject to

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

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

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

(1) Respondent Universe

EPA estimates that, in total, 102,387 respondents will be subject to the information collection requirements covered in this ICR. This includes 77,482 direct reporters, 24,83 4 indirect reporters, 48 State/Local agencies acting as r egulators , and 23 State/Local agencies that are regulated e ntities . The following paragraphs provide additional information on how these respondent universe estimates were derived.

(a) Direct Reporter Employee s

EPA estimates that, each year, 77,482 direct reporters will be 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 expe cted 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 cover ed by the ICR. As shown in the table, EPA estimates that, on average, 55,483 e mployees 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 three

year period covered by this ICR.

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

19 Ibid

.

20 Ibid.32

Ta ble 2

Annual Number of Direct Reporter Employee s Expected to Register with

EPA ’s CDX during the Three

- Year Period Covered by the ICR

Respondent Universe Average Annual Number of New Employee Registrants a

Private Sector Entities 47,772

State /Lo cal Agenc ies 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 su bmitted to EPA during the three

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

covered in this ICR :

 Paper subscriber agreement

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

- ESA).

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

vendor )

. T his eli minates 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 fo rensic evidence through wet

- ink signature, organization information, and audit information tying forensic evidence to CDX credentials in order to allow reuse of the forensic evidence and accept a digitally signed (electronic) signature using the registrant ’s existing CDX credential. This eli minates the requirement to prepare and 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 volu ntary method for real

- time

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

M

- 04

- 04

, while retaining repeatable digital evidence of validation usin g cryptographic hash technology and not retaining the highly sensitive personally

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

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

agreements.

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 Agree ments to Be Submitted to EPA during the Three

- Year Period Covered by the ICR a

Type of Subscriber Agreement Annual Number of Subscriber Agreements b

, c Average

201 5 201 6 201 7

Private Sector Entities

Non

- ESA Registrants 1,696 1,867 1,856 1,806

ESA Re gistrants 8,701 9,693 9,792 9,395 Reuse (Consolidated) ESA Registrants 1,040 506 68 538 Third Party ESA Registrants 6,476 6,872 8,256 7,201

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

Non

- ESA Registrants 274 3 01 300 292 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 Registran ts 10,105 11,258 11,373 10,912 Reuse (Consolidated) ESA Registrants 1,208 588 79 625 Third Party ESA Registrants 7,521 7,981 9,589 8,364

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

a Table includes rounding error.

a Tab le contains data provided by EPA’s Office o f 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 Employee s

Table 4 presents information on the annual numb er 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 f rom 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 f irms (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 Employee s Expected to Register and Comply with Identify Proofing Requirements during the Three

- Year Period Covered by the ICR

Type of Firm Average Annual Number of Employee Registrants a

Private Sector 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

S ubtotal 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 est imates 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 th ree employees 21 , 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 rece iving systems each year. Each medium

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

, for a total of 637 medium

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

(d) State/Local Agencies Acting as Regulators

21 Th is assumption was taken from Cross

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

22 Th is assumption was taken from Cross

- Media Electronic Reporting and Records Rule (CROMERRR) Cost Benefit Analysis, Final , dated November 17, 2004.35

Based on dat a from EPA’s CROMERR Program and Stakeholder Management (PSM) System , EPA estimates that, currently, 48 State/Local agencies administer electronic document receiving systems subject to CROMERR. 23

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

B ased on information currently available to EPA on the submission and 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 s tate agencies and 1 l ocal agency ) w ill upgrade their existing electronic document receiving systems or develop new electronic document receiving system s and submit CROMERR applications each year.

EPA also estimates that, on average, 15 State s/Locals (i.e., 15 s tate agencies and 0 l ocal

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

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

0 l ocal agencies ) will submit notification s to EPA about changes to laws, policies, or electronic document receiving systems each year.

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

will be regulated entities during the three

- year period covered by this ICR.

(2) Annual Respondent Burden (Exhibi t 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 estim ates that, of

the 55,483 employee registrants

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

.

(b ) Compliance with Identity Proofing Requirements

– Direct Reporters

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

.

Comply with Requirements for I dentifier, Attribute, or Alternative Method

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

, or other identity

- proofing information.

23 PSM is a custo m 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 Provision s

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

Non

- ESA Registrants. EPA estimates that, on average, employee registrants from direct reporting facilities will prepare, submit, and file a total of 2,097 paper subscriber agreements each year. EPA also estimates that, of the 2,097 paper subscriber agreements prepared each year, 89 percent ( 1,86 7 ) will be from new and existing em ployee 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 prepa red each year, 89 percent ( 9,712 ) will be from new and existing em ployee 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

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

Reuse (Consolidated) ESA Registrants. EPA estimates that, on average, 625 employee registrants from direct reporting facilities will reuse their ESA each year. EPA also estimates that, of the 625 reuse (co nsolidated) ESAs, 89 percent ( 556 ) will be from existing employee registrants (e.g., existing employee registra nt s 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 ES A 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 tu rnover, 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 th at 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 certif ications each year.

(c ) Compliance with Identity Proofing Requirements

– Indirect Reporters

The following paragraphs discuss the assumptions associated with compliance with the

id entity proofing requirements by indirect reporters.

Comply with Requirements for Identifier, Attribute, or Alternative Method

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

identifiers or attributes

, or other iden tity

- proofing information.

Comply with Subscriber Agreement Provision s

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 i nd irect reporters submit information to 1.3 State/Local electronic document receiving systems, on average; hence, their employees must submit subscriber agreemen ts 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 ind irect 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 percent 25 ( 3,199 ) will be associated with employee turnov er, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent ( 320 ) will be associated with a c ompromised electronic signature, which requires the submittal of a new subscriber agreement

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

24 Ibid.

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

- Media Electronic Reporting and Records Rule (CROMERRR) Cost Benefit Anal ysis, Final , dated November 17, 2004.38

Submit Subscriber Agreements to Lo cal Registration Authorit y

EPA assumes that two percent of medium

- size and large firms will use the LRA

altern ative

. 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 th e s e assumption s
, EPA estimates that, on average, employees from indirect reporting firms will prepare and send to

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

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

EPA estimates that, of the 298 subscriber agreements prepared each year, 89 percent ( 265 ) will be from new employee registrants; 10 percent ( 30 ) will be associated with employee turnover, which requires the submittal of a new subscriber agreeme nt 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 registrant s 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 firm s and LRAs.

Designating a L ocal Registration Authority

As stated above, EPA assumes that two percent of medium

- size and large indirect reporting firms ( 637 x 0.02 = 13 ) will use the LRA 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 requi res 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 agree ments, 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, LRA s will need to prepare an agreement collection ce rtification 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 Al ternative Information

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

identifiers or attributes

, or other identity

- proofing information.

Collect Subscriber Agreements

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

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

, and file all these subscriber agreements

.

Collect Submittals from Local Registration Authority

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

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

new em ployee registrants, 30 subscriber agreements associated with employee turn over
, and 3 subscriber agreements associated with a compromised electronic signature. State/Local agencies

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

.

Collect Applications for Designation of L ocal Registration Authority

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

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

Conduct On

- Going Management

EPA estimates that, each year, State/Local agencies will have to work with 738 employee registrants to resolve problems involving their agreements or certif icatio ns , 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 estim ates that, on average, 23 States/Locals will submit documentation to EPA associated with the approval of State/Local electronic document receiving systems each year. These States/Locals are expected to read the regulations at 40 CFR Part 3.

Submit Electronic Document Receiving System Application

EPA est imates that, on average, 4 States/Locals will upgrade their existing electronic document receiving systems or develop new electronic document receiving system s and submit a CROMERR application eac h year. This includes 3 s tate agencies and 1 l ocal agency

.

Submit Amendment to Original Application

EPA estimates that, on average, 15 s tates will submit amendments to their original CROMERR application each year. E PA does not anticipate that Locals will submit amendments

to their original CROMERR applications during the three

- year period covered by this ICR.

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

EPA estimates that, on average, 4 s tate agencies will submit a notification about changes to laws, policies, or el ectronic document receiving systems t hat have the potential to affect program conformance with 40 CFR 3.2000

. EPA does not anticipate that l ocal 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

Exhibit s 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 res pondent 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 entiti es. 27 As shown in

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

. The bottom lin e 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 t he 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 a gency burden to be 22,393 hours and $1,226,664

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

.

6(f) REASONS FOR CHANGE IN BURDEN

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

ICR (EP A ICR Number 2002.0 6 ) is 49,604 hours. This represents a n in crease 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 s ta te 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

estimate s 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 employee s (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 softw are and hardware capabilities and thus, develop estimates based on actual data instead of the complex calculations

used in the previous ly approved ICR. In particular, EPA was able to obtain actual numbers and growth rates for the annual number of subscrib er agreements submitted to CDX over the past several years. These data wer e used to improve the estimate for the annual number of subscriber agreements submitted by direct reporters. E PA believes that the respondent estimates included

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

A ll 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 a pplication and calling the CDX Help

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

(2) Compliance w ith Identity Proofing Requirement s

– Direct and Indirect Reporters42

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

p repare and submit identifier, attribute, or alternative information

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

The report ing b urden is estimated to range from 1 7 minutes to 2 5 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) Impleme ntation of Local Registration Authority Alternative

– Indirect Reporting Firms and Local Registration Authorities

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

use the LRA alternative , designate the LRA, subm it 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 report ing burden is est imated 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 requiremen t , and as such, there is no recordkeeping burden.

The report ing burden is estimated to be 10 minutes for a LRA to p repare and submit a certification of re ceipt and secure storage after receiving a subscriber agreement . The recordkeeping burden is estima ted 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 w ith Identity Proofing Requirement s

– State/Local Agencies Acting as Regulators

The reporting b urde n is estimated to be 30 minutes for a State/Local agency to r eceive, process, review

, and approve identifier, attribute, or alternative information

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

rec ordkeeping burden.

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

, and approve subscriber agreements

. There are no recordkeeping requirements

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

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

, and approve an LRA application

. There are no recordkeeping requirements

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

The reporting burde n is estimated to be 2.5 hours for a State/Local agency to r esolve problems involving subscriber agreements or certifications, and respond to information requests. There are no recordkeeping requirements a ssociated 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 burde n is estimated to range fr om 210 hours to 331 hours for a State/Local

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

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

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

The reporting burde n is estimated to be about 11 hours for a State/Local agency to notify

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

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

Burden means the tota l 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 technolog y 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 requir ements; 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 t his ICR under

Docket ID Number EPA

– HQ

– OE I

– 2011

– 0096 , which is available for online viewing at www.regulations.go v, or in person viewing at the Office of Environmental Information (OEI)

Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, Washington, D.C. The EPA Docket 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 a re available electronically. When in the system, select “search,” then key in the Docket ID Number44

identified above. Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Wa shington, 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.4546474849505152A

- 1

Appendix A List of North American Industry C lassification 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 B uilding, 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 Manufa cturing

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 Go ods

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 Pe rsonal 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 an d 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 Activ ities 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 Informatio n 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 I nsurance Carriers and Related Activities

525 Funds, Trusts, and Other Financial VehiclesA

- 2

53 Real Estate and Rental and Leasing

531 Real Estate

532 Rental and Leasing Services

533 Lessors of Nonfinancial Intangible Assets (except Copyrighted Works)

5 4 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 Reme diation 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 Nur sing 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 Recre ation

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, C ivic, Professional,

and Similar

814 Private Households

92 Public Administration

921 Executive, Legislative, and Other General Government Support

922 Justice, Public Order, and Safety Activities

923 Administration of H uman Resource Programs 924 Ad ministration 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 AffairB

- 1

Appendix B

Met hodology 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. Ann ual 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 co mpiled historical information on the number of new employee registrants for years

20 11 through 201 3

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

three

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

.

1.2. Detaile d Discussion

EPA took the following steps to carry out the methodology.

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

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

.

Year Number of New

Employee Registrants

2011 45,755

2012 83,701

2013 40,511

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

- year period covered

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

year period covered by the ICR (i.e., years 2015 through 2017) by averaging the number of new employee registrants for years 2011 th rough 2013. That is, we assumed that 56,656 new registrants (i.e., (45,755 + 83,701 + 40,511 ) ÷ 3) will regist er 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 Stat i stics on the number of employees in the U.S. T hese data indicate that 84.32 percent of U.S. employees work for the private sector, 13.61 percent of employees work for States/Locals, and 2.07 percent of employees work for the Federal g overnment. We applie d 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 annua l 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 Re gistrant s a

Private Sector 47,772

States/Locals 7,711

Total 55,483

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

2. Annual Number of S ubscriber Agreements

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

the three

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

Section 2

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

results.

2.1. Overview

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

. We then estimated

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

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

- 3

2.2. Detailed Discussion

EPA took the following steps to carry out the methodology.

Non

- Electronic Subscriber Agreements

A. Compile historical information on number of non

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

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

- ESAs” or paper subscriber agreements

.

To estimate the number of non

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

number of non

- ESAs , by CROMERR data flow, for years 20 12 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 ag reements, by CROMERR data flow, for the three

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

non

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

Numbe r of

Non

- ES As f or Year Y = ([3 x Registrants Y

- 1 ] + [2 x Registrants Y

- 2 ] + [ Registrants Y

- 3 ]) / 6B

- 4

The table below shows the estimated number of non

- ESAs or paper subscriber

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

.

CROMERR

Data Flow Number o f 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 2,2 14 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 f

low, for years 20 12 through 201 4

.

CROMERR Data Flow Number of ESAs

2012 2013 2014 a

ARCS 2 1 0

CEDRI 32 1,731

CEDRI1 5 66 0

CSPP 30 66 35

eSIPS 21

LEAD 377 4,971 5,954

MYRCRAID 11 3

ODS 4 12
OTAQDCFUEL 3 2 110

SSTS 19 109

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

Numbe r of

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

- 1 ] + [2 x Registrants Y

- 2 ] + [Registrants Y

- 3 ]) / 6

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

.

CROMERR Data Flow Number of ESAs a

2015 2016 2017

ARCS 1 1 1

CEDRI 876 1,020 1,091

CEDRI1 23 23 19

CSPP 45 45 43

eS IPS 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 f low, for the three

year period covered in the ICR

. We estimated the number of reuse (consolidated) ESAs

, for participating data flows

, by applying implementation rates derived from data provided by CDX to the number of ESAs obtained in Step D . The implem entation 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%

SS TS 11% 2%

TRIMEweb 24% 1% 1%B

- 6

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

.

CROMERR Data

Flow Number of Reuse (Consolidated) ESAs a

201 5 201 6 201 7

ARCS 0

CEDRI 499 16

CSPP 44 8 13

LEAD 94 14 1

MYRCRAID 0

ODS 5 4 5

OTAQDCFUEL 1 1 5

SSTS 8 1

TRIMEweb 1,089 66 40

Total 1,233 600 81

a Table includes rounding error

.

F. Estimate number of third party ESAs, by CROMERR data flow, for 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 numb er of third party ESAs, by CROMERR data flow, for years 201 5 through 201 7

.

CROMERR Data Flow Implementation Rates for Third Party ESAs a

2012 2013 2014

CEDRI 882

CEDRI1 12 8

CSPP 1 21 20

eSIPS 8

LEAD 4,227 4,456 4,801
OTAQDCFUEL 1 4 35B

- 7

CROMERR Data Flow Implementation Rates for Third Party ESAs a

2012 2013 2014

SST S 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 agr eements obtained in Steps B , D, E, and F

,

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

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

. The results are prese nted in the table below.

Type of Subscriber Agreement Number of Subscriber Agreements a

Year 201 5 Year 201 6 Year 201 7 Average

Non

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

ESA s 10,319 11,496 11,613 11,143
Reuse (Consolidated) ESA s 1, 233 600 81 638 Third Party ESA s 7,680 8,150 9,791 8,540

a Table includes rounding error

.

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

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

b ecause 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

An nual 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, the ir subscriber agreements are not included in the exhibit.C

- 1

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

- Year Period Covered by the ICR

This appendix describes the methodology for estimating the annual number of facility employees expected to register and comply with identity proofing requirements of State/Local

electronic document rece iving 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 s tates with existing and new systems and compiling them into a table (referred to as the “Master Table” in this analysis). 28

, 29 We t hen referred to survey data compiled by EPA in 2002 from s tates that estimated the number of facilities subject to their respective receiving systems by environmental program. We updated these s tate estimates to current (201 4 ) levels based on analysis of respondent universe growth rates in EPA program ICRs. We then extrapolated the updated survey data to the s tates in the Master Table to estimate their number of facilities. The extrapolation was performed by first finding the total number of

commercial e stablishments in each s tate based on U.S. Census data, comparing the number of establishments in the survey s tates to the s tates in the Master Table, and using a scaling factor to extrapolate the number of facilities in the survey s tates to the s tates in t he Master Table based on their respective number of commercial establishments. We performed this extrapolation by environmental program for all s tates 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 s ystem 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 mo dify 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 l ieu 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 documen t 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 s tates with existing and new electronic document receiving systems. T o identify

s ta tes 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 storag e, 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 analys is, 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

 Draf t Received

 EPA Approved

 Incomplete

 TRC Approved  New

 Pending Receipt

 Scoping

EPA used data current as of October 9, 2014.

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

program. Existing and new receiving systems wer e categorized into s tate 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 s tates with existing and new receiving systems, by s tate 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 s tate environmental program, based on CROMERR cost

benefit analysis (CBA ) survey data. To obtain information on the number of facilities by

s tate environmental program, we referred to “Table V

- 2. Existing State Receiving Systems” of Cross

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

- Final ; da ted November 17, 2004. This table contains information on

the number of facilities associated with s tate receiving systems reported in a survey conducted by EPA during the summer of 2002. Attachment C

- 2 shows the number of facilities by s tate environment al program based on CBA survey data.C

- 3

D. Update CBA’s facility estimate for each s tate 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 th e present (201 4 ), we took the following

steps:

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

- 3. For each ICR, we obtained respondent universe estimates for at least two different years (e.g., 200 3 and 20 12 ) to enable us to estimate the annual percent change in the

universe.

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

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

2002

- 201 4 period.

 Applied the 2002

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

Attachment C

- 4 shows the ICR data used to u pdate the CBA’s facility estimates, by s tate 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 s tates. 30 Based on these data, which are presented in At tachment C

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

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

 Number of commercial establishments in s tates in the Master Table w ith 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 s tates in Master Table Number of establishments in survey s tates

F. Extrapolate the CBA’s updated facility estimates to s tates with existing and new receiving

systems. In deriving the total number of facilities in all s tates in the Master Table, we

first estimated the total numb er 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 s tates in the Master Table, by environmental program. We then

add ed up the total number of facilities in s tates in the Master Table across all environmental programs.

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

at: http://www.census.gov/econ/susb/

, last accessed on October 12, 2014 . These are the latest Statistics of U.S. Businesses (SUSB) annual data.C

- 4

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

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

. EPA estimates that 30 per cent 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 pr esented in Attachment C

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

30 percent of establishments have 20 or more employees. We applied these percentages to the annual number of facilities in Step G. Once we estimated the annual number of facilities for each year from 201 5 through 201 7 (i.e., the three

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

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

. In estimating the average annual number of facility employees

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

page 26).

J. Estimate average annual number of f acility employees subject to the ICR requirements by type of ownership (i.e., private sector vs. State/Local) and remove Federal government facilities from this analysis. In estimating the average an nual 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 per cent 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 be cause 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 , Al l Employees ); 20 13 (Annual). Available online at: http://data.bls.gov/pdq/querytool.jsp?survey=en , last accessed on October 12, 2014

.C

- 5

Attachments C

- 6 and C

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

3. Results

Exhibit C

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

Exhibit C

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

d uring 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 Larg e 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/Loc al 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

Ar izona 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

Missis sippi X X X

Missouri b X X X X

Montana X

Nebraska X X

Nevada X X

New Hampshire X

New Jersey X X XC

- 7

Attachment C

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

State Existing Systems New Systems

Air Water Waste Air Water Waste

New Mexic o X

New York X X X

North Carolina X X X X

North Dakota X

Northern Mariana Islands

Ohio X X X

Oklahoma X X X

Oregon X

Pennsylvania

Puerto Rico

Rhode Island X

South Carolina X

South Dakota X X X

Tennessee X X

Tex as 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

,

d ata current as of October 9, 2014

.C

- 8

Attachment C

- 2

Number of Facilities Associated with Existing State Electronic Document Receiving Systems

in the CROMERR Cost

- Benefit Analysis Survey, by Stat e Environmental Program

(Data Current as of Summer 2002)

State Air Water Waste, USTs, Emergency Planning

Air (CEM) Air

Permits Air

( NEI) Air

Title V

E missions Emission

Reports (Non

- Title V) Air

Quality PTO

A pplications Asbestos

Notification EDMR Drinkin g/

Ground

Water Wastewater UIC HW

Annual Report UST Risk

Management

Florida 3

New Jersey 12 1,500 1,000

New Mexico 200

North Dakota 250

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

Pennsylvan ia 125 6,000

Wisconsin 5,200 22 600

a For purposes of this analysis, data for Wisconsin’s “Consolidated (air, haz waste)” program was divided among the “Air” and “ HW Annual Report” categories. Specifically, 90 percent of

the facilitie s were allocated to the “Air” category and the remaining 10 percent were allocated to the “HW Annual Report” category. This allocation was based on Ohio’s data and available information on the number of hazardous waste handlers that reported to the 2007 H azardous Waste Report.

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

- 2. Existing State Receiving Systems” of Cross

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

Acronym s

CEM Continu ous Emissions Monitoring

EDMR Electronic Discharge Monitoring Report

HW Hazardous Waste

NEI National Emission Inventory

PTO Permit to Operate

UIC Underground Injection Control

UST Underground Storage TankC

- 9

Attachment C

- 3

List of ICRs Used in Analysis, by Environmental Program

ICR Numbers ICR Name

Air

1587.06

1587. 12 State Operating Permit Regulations

111.10

111.1 3 NESHAP for Asbestos

1088.10

1088.1 3 NSPS for Industrial

- Commercial

- Institutional Steam Generating Units

Water

2.11

2.1 5 National Pretreat ment Program

270.42

270.4 5 Public Water System Supervision Program

Waste, USTs, Emergency Planning

261.14 Notification of Regulated Waste Activity

976.11 2007 Hazardous Waste Report

976.1 6 2013 Hazardous Waste Report, Notification of Regulated Waste A ctivity, 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), Informa tion Collection Request, Review, and Approval System

(ICRAS) . Data obtained on August 13, 2014

.C

- 10

Attachment C

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

- 11

Attachment C

- 4b ICR Data Used to Update Number of Facilities Obtained from CROMERR CBA Water ProgramsC

- 12

Attachment C

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

Waste, USTs, Emergency Planning ProgramsC

- 13

Attachment C

- 5 Number of Establishments (Facilities) by Employme nt Size, 20 11

STATE Less than 20 Employees 20 or More Employees Total

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

Alabama 63,531 34,212 97,743

Alaska 14,672 5,447 20,119

Arizona 87,427 42,878 130,305

Arkansas 43,523 20,948 64,471

California 620,726 228,590 849,316

Colorado 110,895 39,994 150,889

Connecticut 61,646 26,394 88,040

Delaware 15,928 8,204 24,132

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

Florida 367,662 123,189 490,851

Georgia 146,828 67,807 214,635

Hawaii 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 1 9,088 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

Ok lahoma 62,095 27,654 89,749C

- 14

Attachment C

- 5 (continued)

Number of Establishm ents (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 Bure au, “Number of Firms, Number of Establishments, Employment, and Annual

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

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

- 15

Attachment C

- 6 Application of Methodology to Existing Receiving SystemsC

- 16

Attachment C

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

- 17

Attachment C

- 7 Application of Methodo logy to New Receiving Systems