Document ID: EPA-HQ-OPPT-2011-0380-0055
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2013-06-10T04:00Z

SUPPORTING STATEMENT FOR

EPA INFORMATION COLLECTION REQUEST NUMBER 2002.05

“CROSS-MEDIA ELECTRONIC REPORTING RULE” 

June 22, 2011

Office of Environmental Information

U.S. Environmental Protection Agency

Washington, D.C. 20460

TABLE OF CONTENTS

  TOC \o "1-2" \h \z \u    HYPERLINK \l "_Toc296521689"  1.
IDENTIFICATION OF THE INFORMATION COLLECTION	  PAGEREF _Toc296521689 \h 
1  

  HYPERLINK \l "_Toc296521690"  1(a)	TITLE AND NUMBER OF THE INFORMATION
COLLECTION	  PAGEREF _Toc296521690 \h  1  

  HYPERLINK \l "_Toc296521691"  1(b)	CHARACTERIZATION OF THE INFORMATION
COLLECTION	  PAGEREF _Toc296521691 \h  1  

  HYPERLINK \l "_Toc296521692"  2.	NEED FOR AND USE OF THE COLLECTION	 
PAGEREF _Toc296521692 \h  6  

  HYPERLINK \l "_Toc296521693"  2(a)	NEED AND AUTHORITY FOR THE
COLLECTION	  PAGEREF _Toc296521693 \h  6  

  HYPERLINK \l "_Toc296521694"  2(b)	PRACTICAL UTILITY AND USERS OF THE
DATA	  PAGEREF _Toc296521694 \h  7  

  HYPERLINK \l "_Toc296521695"  3.	NONDUPLICATION, CONSULTATIONS, AND
OTHER COLLECTION CRITERIA	  PAGEREF _Toc296521695 \h  9  

  HYPERLINK \l "_Toc296521696"  3(a)	NONDUPLICATION	  PAGEREF
_Toc296521696 \h  9  

  HYPERLINK \l "_Toc296521697"  3(b)	PUBLIC NOTICE	  PAGEREF
_Toc296521697 \h  9  

  HYPERLINK \l "_Toc296521698"  3(c)	CONSULTATIONS	  PAGEREF
_Toc296521698 \h  9  

  HYPERLINK \l "_Toc296521699"  3(d)	EFFECTS OF LESS FREQUENT COLLECTION
  PAGEREF _Toc296521699 \h  9  

  HYPERLINK \l "_Toc296521700"  3(e)	GENERAL GUIDELINES	  PAGEREF
_Toc296521700 \h  10  

  HYPERLINK \l "_Toc296521701"  3(f)	CONFIDENTIALITY	  PAGEREF
_Toc296521701 \h  10  

  HYPERLINK \l "_Toc296521702"  3(g)	SENSITIVE QUESTIONS	  PAGEREF
_Toc296521702 \h  11  

  HYPERLINK \l "_Toc296521703"  4.	THE RESPONDENTS AND THE INFORMATION
REQUESTED	  PAGEREF _Toc296521703 \h  12  

  HYPERLINK \l "_Toc296521704"  4(a)	RESPONDENTS AND NAICS CODES	 
PAGEREF _Toc296521704 \h  12  

  HYPERLINK \l "_Toc296521705"  4(b)	INFORMATION REQUESTED	  PAGEREF
_Toc296521705 \h  12  

  HYPERLINK \l "_Toc296521706"  5.	THE INFORMATION COLLECTED:  AGENCY
ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT	  PAGEREF
_Toc296521706 \h  19  

  HYPERLINK \l "_Toc296521707"  5(a)	AGENCY ACTIVITIES	  PAGEREF
_Toc296521707 \h  19  

  HYPERLINK \l "_Toc296521708"  5(b)	COLLECTION METHODOLOGY AND
MANAGEMENT	  PAGEREF _Toc296521708 \h  20  

  HYPERLINK \l "_Toc296521709"  5(c)	SMALL ENTITY FLEXIBILITY	  PAGEREF
_Toc296521709 \h  20  

  HYPERLINK \l "_Toc296521710"  5(d)	COLLECTION SCHEDULE	  PAGEREF
_Toc296521710 \h  20  

  HYPERLINK \l "_Toc296521711"  6.	ESTIMATING THE HOUR AND COST BURDEN
OF THE COLLECTION	  PAGEREF _Toc296521711 \h  22  

  HYPERLINK \l "_Toc296521712"  6(a)	ESTIMATING RESPONDENT BURDEN HOURS	
 PAGEREF _Toc296521712 \h  22  

  HYPERLINK \l "_Toc296521713"  6(c)	ESTIMATING AGENCY HOUR AND COST
BURDEN	  PAGEREF _Toc296521713 \h  25  

  HYPERLINK \l "_Toc296521714"  6(d)	ESTIMATING RESPONDENT UNIVERSE AND
TOTAL HOUR AND

COST BURDEN	  PAGEREF _Toc296521714 \h  26  

  HYPERLINK \l "_Toc296521715"  6(e)	BOTTOM LINE HOUR AND COST BURDEN	 
PAGEREF _Toc296521715 \h  35  

  HYPERLINK \l "_Toc296521716"  6(f)	REASONS FOR CHANGE IN BURDEN	 
PAGEREF _Toc296521716 \h  35  

  HYPERLINK \l "_Toc296521717"  6(g)	PUBLIC BURDEN STATEMENT	  PAGEREF
_Toc296521717 \h  39  

 

1.	IDENTIFICATION OF THE INFORMATION COLLECTION

	1(a)	TITLE AND NUMBER OF THE INFORMATION COLLECTION

This Information Collection Request (ICR) is entitled “Cross-Media
Electronic Reporting Rule,” EPA ICR Number 2002.05, 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.  The Cross-Media Electronic Reporting Rule (CROMERR) also
allows State, Tribal, and local governments to seek EPA approval, as
provided under 40 Code of Federal Regulations (CFR) 3.1000, to accept
electronic documents to satisfy reporting requirements under authorized
or delegated environmental programs that they administer.  In seeking
EPA approval, these State, Tribal, and local governments must upgrade
existing electronic document receiving systems or develop new electronic
document receiving systems to satisfy the criteria laid out at 40 CFR
3.2000.  Regulated entities that use an electronic signature device in
submitting electronic documents to the EPA or a State, Tribal, or local
government receiving system must comply with identity proofing
requirements, as applicable.  In the remainder of this document, we
refer to State, Tribal, and local governments as “States/Locals”
because, at the current time, EPA is not aware of any Tribal governments
that have electronic document receiving systems or are planning to
develop such systems during the next three years. 

CROMERR does not require any regulated entity to report electronically
to EPA or States/Locals.  CROMERR establishes requirements for utilizing
electronic reporting as an alternative to paper-based reporting.  It
does not require States/Locals to implement electronic reporting;
rather, it establishes the framework for implementing the electronic
reporting alternative for Federal laws that they administer.  In this
regard, regulated entities are affected only as follows:

Entities that report electronically to EPA have to register with EPA’s
electronic document receiving system (e.g., log on to the EPA Web site
and enter requested information), comply with the identity proofing
provisions, and then commence electronic reporting.  In this document,
we refer to these entities as “direct reporters.”

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

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

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

The LRA must collect and store subscriber agreements from individuals in
his/her indirect reporting firm.  The LRA also must prepare an agreement
collection certification and submit a certification of receipt and
secure storage to the corresponding State/Local agency.

Sections 1 through 5 of this document describe the information
collection requirements covered in this ICR (e.g., in regard to need and
use of the information collected).  Section 6 estimates the annual
burden to respondents.  This ICR does not address the burden savings to
respondents in reporting electronically under EPA programs.  EPA’s
programs will amend their program-specific ICRs to address these
impacts. 

CROMERR establishes requirements applicable to electronic reporting and
receiving systems, as specified.  Many of the activities to be conducted
by direct reporters will be determined by the instructions associated
with EPA’s electronic document receiving system.  Specifically, EPA
has developed an Agency-wide receiving system, the Central Data Exchange
(CDX), which guides direct reporters through the registration and
reporting procedures.  In developing this ICR, EPA referred to the
regulatory text, as well as CDX, in describing direct reporters’
activities and associated burden.

The following paragraphs describe the respondent activities examined in
this ICR.  NOTE:  As used in this document, the term “respondent”
includes:

Direct reporters, indirect reporters, indirect reporting firms, and LRAs
complying with the registration and identity proofing requirements
covered in this ICR, as applicable.  This includes:

Private sector entities; and

State/Local agencies that are regulated entities.

State/Local agencies administering electronic document receiving systems
subject to CROMERR.  In this document, we refer to these respondents as
“State/Local agencies acting as regulators.”

State/Local agencies seeking EPA approval to allow electronic reporting
under CROMERR.  In this document, we refer to these respondents as
“State/Local agencies that are regulated entities.”  

Registering with EPA Electronic Document Receiving System

40 CFR 3.10(a) and (b) establish Federal environmental reporting
requirements that facilities must satisfy to submit electronic documents
to EPA.  Among other things, Section 3.10(a) provides that a person may
use an electronic document to satisfy a Federal reporting requirement,
or otherwise substitute for a paper document or submission permitted or
required under other provisions of 40 CFR only if the person submits the
electronic document to EPA’s CDX, or to another EPA electronic
document receiving system that the Administrator may designate for the
receipt of specified submissions, complying with the system’s
requirements for submission.  The electronic document must bear all
valid electronic signatures as required under 40 CFR to sign the paper
document for which the electronic document substitutes, unless EPA
announces special provisions to accept the signature on separate paper
submission. 

In accordance with the above requirements, as well as the requirements
of CDX, direct reporters must register initially with CDX.  They also
must update their registration information as needed.

Compliance with Identity Proofing Requirements

Direct and indirect reporters must comply with the identity proofing
provisions of CDX and CROMERR, as applicable.  As provided by CDX and 40
CFR 3.2000(a)(2), any electronic document must bear the valid electronic
signature of a signatory if that signatory would be required under the
EPA or State/Local environmental program to sign the paper document for
which the electronic document substitutes, unless the program makes
special provisions to accept a handwritten signature on a separate paper
submission, as specified. 

In the case of an electronic document that must bear electronic
signatures of individuals, as provided by CDX or 40 CFR 3.2000(a)(2),
each signatory must sign either an electronic signature agreement or a
subscriber agreement with respect to the electronic signature device
used to create their electronic signature on the electronic document. 

CDX and 40 CFR 3.2000(b)(5)(vii) require that, for each electronic
signature device used to create an electronic signature on the document,
the identity of the individual uniquely entitled to use the device and
their relation to any entity for which they will sign electronic
documents must be determined with legal certainty by EPA or
States/Locals, as applicable.  In the case of priority reports, this
determination must be made before the electronic document is received,
by means of:

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

A method of determining identity no less stringent than the one above.

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

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

States/Locals that receive, or wish to begin receiving, electronic
documents in lieu of paper documents to satisfy requirements under
authorized programs must revise or modify the EPA-approved State/Local
environmental program to ensure that it meets the requirements of
40 CFR Part 3.  In making these program revisions or modifications,
States/Locals must submit an application that complies with 40 CFR
3.1000(b)(1), and use either the applicable procedures for revision or
modification of such programs in other parts of 40 CFR; or, at their
option, the procedures provided in 40 CFR 3.1000(b) through (e).  The
procedures provided in Sections 3.1000(b) through (e) may only be used
for revising or modifying an authorized program to provide for
electronic reporting and for subsequent revisions or modifications to
the electronic reporting elements of the authorized program as provided
under 40 CFR 3.1000(a)(4).  (40 CFR 3.1000(a)(1))

States/Locals that accept 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
3.1000(a)(1), must keep EPA apprised of those changes to laws, policies,
or the electronic document receiving systems that have the potential to
affect program conformance with 40 CFR 3.2000.  Where the Administrator
determines that such changes require EPA review and approval, EPA may
request that States/Locals submit an application for program revision or
modification.  Additionally, States/Locals may submit applications on
their own initiative for program revision or modification respecting
their receipt of electronic documents.  (40 CFR 3.1000(a)(4))

To obtain EPA approval of program revisions or modifications using
procedures provided under 40 CFR 3.1000, States/Locals must submit an
application to the Administrator that includes the elements in Section
3.1000(b)(1)(i)-(iv).  (40 CFR 3.1000(b)(1))

States/Locals that revise or modify more than one (1) authorized program
for receipt of electronic documents, in lieu of paper documents, may
submit a consolidated application covering more than one (1) authorized
program, provided the consolidated application complies with Section
3.1000(b)(1) for each authorized program.  (40 CFR 3.1000(b)(2))

State/Local programs must satisfy the requirements at 40 CFR 3.2000. 
Pursuant to Section 3.2000(a), 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 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 unless the
program makes special provisions to accept a handwritten signature on a
separate paper submission, where such provisions are addressed in the
application submitted under Section 3.1000(b)(1) and ensure that the
paper submission contains references to the electronic document
sufficient for legal certainty that the signature was executed with the
intention to certify to, attest to, or agree to the content of that
electronic document.

As provided at 40 CFR 3.2000(b), an electronic document receiving system
that receives electronic documents, submitted in lieu of paper
documents, to satisfy requirements under an authorized program must be
able to generate data with respect to any such electronic document, as
needed and in a timely manner, including a copy of record for the
electronic document, that meets the criteria specified in Sections
3.2000(b)(1) through (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).  GPEA requires that Federal
agencies be prepared, by October 21, 2003, to allow persons who are
required to maintain, submit, or disclose information, the option of
doing so electronically, when practicable, as a substitute for paper;
and to use electronic authentication (electronic signature) methods to
verify the identity of the sender and the integrity of electronic
content.  GPEA specifically provides that electronic records, and their
related electronic signatures, are not to be denied legal effect,
validity, or enforceability merely because they are in electronic form.

(1)	Registering with EPA Electronic Document Receiving System

Regulated entities must initially register with the EPA electronic
document receiving system to establish a user account.  EPA needs the
registration information to identify the registrant, contact
information, and registrant’s organization.  Registrants also select a
password and user name during registration.  This information is needed
to ensure that only the registrant has access to his/her account.

Compliance with Identity Proofing Requirements

The identity proofing provisions in 40 CFR 3.2000(b)(5) are needed to
strengthen the non-repudiation provisions of CROMERR.  The electronic
signature agreement, required in Section 3.2000(b)(5)(v), establishes
that the signatory was informed of their obligation to keep the
signature device from compromise, by ensuring that it is not made
available to anyone else.  These provisions are intended to ensure that
the Federal laws regarding the falsification of information submitted to
the government still apply to any and all electronic transactions, and
that fraudulent electronic submissions will be prosecuted to the fullest
extent of the law.  In establishing clear requirements for electronic
reporting systems, CROMERR helps to minimize fraud by assuring that the
responsible individuals can be readily identified.

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

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

EPA also needs the information to evaluate whether the State/Local’s
modified program has been satisfactorily revised or modified in regard
to their electronic document receiving system.  In particular, the
application must include a certification that the State/Local has
sufficient legal authority provided by lawfully enacted or promulgated
statutes or regulations to implement the electronic reporting component
of its authorized program covered by the application; and to enforce the
affected programs using electronic documents collected under these
programs.  The certification must be signed by the governmental official
who is legally competent to certify with respect to legal authority on
behalf of their government.  In the case of a State, this official must
be the Attorney General or designee.  In the case of a Tribe or local
government, this official must be the chief administrative official or
officer or designee.  As a legal matter, EPA’s position is that
Attorneys General or their designees are the only officials capable of
certifying with respect to their States’ legal authority.  Where there
are substantial administrative obstacles involving the Attorney General
in such certifications, EPA urges the State Attorney General to provide
for a legally competent designee who is available to participate in the
submission of the State’s application.  

2(b)	PRACTICAL UTILITY AND USERS OF THE DATA

(1)	Registering with EPA Electronic Document Receiving System

Regulated entities must initially register with the EPA electronic
document receiving system to establish a user account and create a
password.  EPA uses the information to identify the registrant (e.g., by
name and/or organization), establish the account, and contact the
registrant if needed.  Regulated entities use the password to access
their account and to protect it from unauthorized use.

Compliance with Identity Proofing Requirements

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

When EPA or State/Local agency receives a subscriber agreement,
certification of receipt and secure storage, or other identity-proofing
information, the agency will review, process, and file the submittal. 
EPA or State/Local agency would then provide the registrant with access
to the electronic document receiving system (e.g., open its account) so
that it may begin using the electronic signature device in reporting
electronically.

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

EPA uses the information submitted by States/Locals in their program
modification applications to evaluate the States/Locals’ upgraded or
new electronic document receiving systems against the criteria at
40 CFR 3.2000(b)(1)-(5).  For example, EPA will review the application
to determine if the systems are able to generate data as needed, and in
a timely manner, including copy of record for each electronic document
received, sufficient to prove that the electronic document was not
altered without detection during transmission or at any time after
receipt.

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

3.	  SEQ CHAPTER \h \r 1 NONDUPLICATION, CONSULTATIONS, AND OTHER
COLLECTION CRITERIA

3(a)	NONDUPLICATION

CROMERR establishes uniform, Agency-wide criteria for electronic
document receiving systems, thereby minimizing the potential for
duplication or redundancy across EPA or State/Local programs.  In
addition, electronic reporting is voluntary, and will likely be used by
facilities only if cost-effective and non-duplicative with their other
compliance activities.  CROMERR does not alter the reporting
requirements under existing regulations and statutes, and does not
affect whether a document must be created, submitted, or retained under
the existing provisions 40 CFR.

3(b)	PUBLIC NOTICE

	In compliance with the Paperwork Reduction Act of 1995, EPA issued a
public notice in the Federal Register on February 2, 2011 (76 FR 5802). 
The public comment period extended through April 4, 2011.  EPA did not
receive any written comments on the ICR in response to the Federal
Register notice.

3(c)	CONSULTATIONS

Most of the underlying assumptions in this ICR (e.g., hour and cost
burden estimates) are based on EPA consultations with industry and
States/Locals during the development of CROMERR and renewal of previous
CROMERR ICRs.  For example, EPA analyzed State feedback on the number of
electronic document receiving systems and reporting facilities, and
reflected updated input in the supporting statement.  No additional
consultations were conducted in the development of this ICR.  

3(d)	EFFECTS OF LESS FREQUENT COLLECTION

(1)	Registering with EPA Electronic Document Receiving System

Facilities must initially register with the EPA electronic document
receiving system to establish a user account.  Registration information
is collected at the time of registration (i.e., a one-time event) and
updated if needed.  Because it is a one-time activity, the information
cannot be collected less frequently.  If this information were not
collected, EPA would not have a way to learn the identity of the
registrant and establish its account.

Compliance with Identity Proofing Requirements

Facilities must comply with the identity proofing provisions of CDX and
40 CFR 3.2000(b)(5), as applicable.  These provisions provide that, in
the case of priority reports for which an electronic signature device
was used to create an electronic signature, a determination of identity
must be made before the electronic document is received.  It is critical
that registrants submit the identity proofing paperwork in advance of
their priority reports so that the Agency can establish a link between
each registrant and its electronic signature device to hold them
accountable for their submittals.  Facilities also must report any
compromise or surrender of its electronic signature device to EPA or
State/Local.  

LRAs must report any breach of storage of its subscriber agreements. 
These are as-needed submittals.  If these reports were not collected,
EPA and States/Locals would not have a way to learn about the signature
compromise/surrender or storage breaches.  Hence, they would not be in a
position to take follow up action as needed (e.g., to temporarily
prevent access to an account whose signature device has been
compromised).  This could result in the unauthorized use an electronic
signature device.

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

CROMERR sets forth timeframes for EPA receipt, review, and approval of
State/Local program modification applications to implement electronic
document receiving systems.  States/Locals that did not have an
electronic document receiving system in use or substantially developed
on or before October 13, 2005 must apply to EPA for program modification
approval before receiving electronic documents (40 CFR 3.10000(a)(2)). 
If this frequency were not specified, EPA would not have assurance that
States/Locals are developing and using electronic document receiving
systems that comply with CROMERR’s provisions at 40 CFR 3.2000. 

3(e)	GENERAL GUIDELINES

This ICR adheres to the guidelines stated in the Paperwork Reduction Act
(PRA), Office of Management and Budget’s (OMB’s) implementing
regulations, applicable OMB guidance, and EPA’s ICR Handbook. 

EPA notes that subscriber agreements must be kept on file until five
years after deactivation of the associated electronic signature device. 
A five-year retention period is necessary to ensure that such records
are available in case of an EPA or State/Local enforcement action.  EPA
recognizes that a registrant may use an electronic signature device in
signing a range of enforcement-sensitive reports.  Certain reports may
have relevance to an enforcement action long after it is submitted to
EPA or State/Local.  Because of this, EPA needed to establish a
sufficiently long retention period for the subscriber agreements so that
they would available for such enforcement actions.

3(f)	CONFIDENTIALITY

If a confidentiality claim were asserted, EPA would treat the
information in accordance with the confidentiality regulations at 40 CFR
Part 2, Subpart B.  EPA also would ensure that the information
collection procedures comply with the Privacy Act of 1974 and the OMB
Circular 108.

3(g)	SENSITIVE QUESTIONS

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

4.	THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a)	RESPONDENTS AND NAICS CODES

	The information collection requirements covered in this ICR will likely
have broad applicability across industries.  Refer to Appendix A for a
list of the North American Industry Classification System (NAICS) codes
associated with industries most likely affected by these requirements.

4(b)	INFORMATION REQUESTED

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

(1)	Registering with EPA Electronic Document Receiving System

Facilities must register their employees with CDX before reporting
electronically to EPA.  The employees must update their registration
information if it changes.

(i)	Data Items:

An on-line registration application:

Registrant name.

Organization name.

Address.

Knowledge-based information (e.g., user-supplied secret
question-and-answer pair).

(ii)	Respondent Activities:

Facility employees must perform the following activities:

Log on to receiving system site and enter requested information.

Update the information, as needed.

(2)	Compliance with Identity Proofing Requirements

Direct reporters, indirect reporters, indirect reporting firms, and LRAs
must comply with the identity proofing provisions of CDX and CROMERR, as
applicable.  In addition, States/Locals that accept electronic documents
to satisfy reporting requirements under authorized or delegated
environmental programs that they administer must process, review, and
approve the identity proofing information submitted by indirect
reporters.

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

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

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

A method of determining identity no less stringent than the one above.

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

The term “subscriber agreement” means an electronic signature
agreement signed by an individual with a handwritten signature.  The
agreement must be signed by an individual with respect to an electronic
signature device that the individual will use to create his/her
electronic signature requiring such individual to protect the electronic
signature device from compromise; to promptly report to the agency or
agencies relying on the electronic signatures created any evidence
discovered that the device has been compromised; and to be held as
legally bound, obligated, or responsible by the electronic signatures
created as by a handwritten signature.  This agreement must be stored
until five years after the associated electronic signature device has
been deactivated.

The term “Local Registration Authority” means an individual who is
authorized by a State/Local to issue an agreement collection
certification, whose identity has been established by notarized
affidavit, and who is authorized in writing by a regulated entity to
issue agreement collection certifications on its behalf.  Once approved
by EPA or State/Local, the LRA would collect subscriber agreements from
each individual in the regulated entity that intends to use an
electronic signature device in reporting electronically to EPA or
State/Local electronic document receiving system.  The LRA would collect
and store the subscriber agreements in a manner that prevents authorized
or unauthorized access to these agreements by anyone other than the LRA.
 The LRA would prepare an agreement collection certification and submit
a certification of receipt and secure storage to the EPA or State/Local.

(i)	Data Items:

Compliance with identity proofing requirements by means of identifiers,
attributes, or alternative method:

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

Other information necessary to determine identity.

Compliance with subscriber agreement provisions:

Subscriber agreement.

Report of compromised or surrendered electronic signature.

Submission of subscriber agreement to LRA:

Subscriber agreement.

Report of breach of security.

Report of compromised or surrendered electronic signature.

Designation of LRA:

Application to designate a LRA, including notarized affidavit and a
written authorization from the regulated entity to issue collection
agreement certifications on its behalf.

Collection of subscriber agreements by LRA:

Agreement collection certification.  This is a signed statement by which
a LRA certifies that a subscriber agreement has been received from a
registrant; the agreement has been stored in a manner that prevents
authorized or unauthorized access to these agreements by anyone other
than the LRA; and the LRA has no basis to believe that any of the
collected agreements have been tampered with or prematurely destroyed.

Certification of receipt and secure storage. 

(ii)	Respondent Activities:

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

Comply with requirements for identifier, attribute, or alternative
method:

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

File new subscriber agreement, for employee turnover.

Contact the Help Desk for technical support.

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

Submit subscriber agreement to LRA:

Prepare subscriber agreement and send to LRA.

Prepare and submit new subscriber agreement to LRA, for employee
turnover.

Report breach of security or compromise/surrender of electronic
signature device.

Prepare and submit new subscriber agreement to LRA subsequent to breach
of security or compromise of electronic signature device, if necessary.

Conduct ongoing management:

Identify and resolve problems.

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

Designating a LRA:

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

Register the LRA with the electronic document receiving system.

Redesignate LRA, due to turnover, and send application materials.

Register new LRA with electronic document receiving system.

Collect subscriber agreements from reporters:

Collect and securely store subscriber agreements

Prepare agreement collection certification after securely storing
subscriber agreements, and submit certification of receipt and secure
storage.

Collect and securely store subscriber agreements, for employee turnover.

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

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

Prepare agreement collection certification after securely storing
subscriber agreements, and submit certification of receipt and secure
storage, for breach of security/compromise of electronic signature
device.

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

Collect identifiers, attributes, or alternative information:

Receive, process, review, and approve identifier, attribute, or
alternative information.

Collect subscriber agreements:

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

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

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

Collect submittals from LRAs:

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

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

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

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

Collect applications for designation of LRAs:

Receive application to designate first-time LRA.

Receive application to designate LRA, for LRA turnover.

Conduct ongoing management:

Identify and resolve problems.

Respond to information requests.

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

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

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

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

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

	The State/Local program must satisfy the requirements at 40 CFR 3.2000.
 Pursuant to Section 3.2000, authorized programs that receive electronic
documents, in lieu of paper documents, to satisfy requirements under
such programs must use an acceptable electronic document receiving
system as specified and require that any electronic document must bear
valid electronic signatures to the same extent that the paper submission
for which it substitutes would bear handwritten signatures under the
authorized program, unless otherwise specified.  An electronic document
receiving system that receives electronic documents, submitted in lieu
of paper documents, to satisfy requirements under an authorized program
must be able to generate data with respect to any such electronic
document, as needed and in a timely manner, including a copy of record
for the electronic document, that meets the criteria specified at
Sections 3.2000(b)(1) through (5).

(i)	Data Items:

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

A certification that the State/Local has sufficient legal authority
provided by lawfully enacted or promulgated statutes or regulations that
are in full force and effect on the date of certification to implement
the electronic reporting component of its authorized programs covered by
the application in conformance with Section 3.2000 and to enforce the
affected programs using electronic documents collected under these
programs,  together with copies of the relevant statutes and
regulations, signed by the State Attorney General or designee, or in the
case of an authorized Tribal or local government program, by the Chief
Administrative Official or Officer of the governmental entity or
designee.

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

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

Other such information as the Administrator may request to fully
evaluate the application.

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

	(ii)	Respondent Activities:

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

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

Submit amendment to original application for EPA program modification
approval under 40 CFR 3.1000.

Submit notification to EPA about changes to laws, policies, or
electronic document receiving systems that have the potential to affect
program conformance with 40 CFR 3.2000.

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

5(a)	AGENCY ACTIVITIES

(1)	Registering with EPA Electronic Document Receiving System

	EPA activities associated with facility reporting to EPA’s electronic
document receiving system (i.e., CDX) include:

Develop, operate, and maintain CDX.

Compliance with Identity Proofing Requirements

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

Collect identifiers or attributes or other information:

Receive, process, review, and approve identifier, attribute, or
alternative information.

Collect subscriber agreements:

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

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

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

Conduct ongoing management:

Identify and resolve problems.

Respond to information requests.

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

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

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

Process and file amendments to program modification applications
submitted by States/Locals.

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

5(b)	COLLECTION METHODOLOGY AND MANAGEMENT

CDX serves as EPA’s primary gateway for electronic documents received
by EPA.  CDX functions include:

Access management allowing or denying an entity access to CDX.

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

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

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

Transaction logging providing date, time, and source information for
data received to establish “chain of custody.”

Acknowledgment and provision of copy of record providing the submitter
with confirmations of the data received.

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

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

Translating, forwarding, and converting submitted documents into formats
that will load to EPA databases, and forwarding them to the appropriate
systems. 

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

5(c)	SMALL ENTITY FLEXIBILITY

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

5(d)	COLLECTION SCHEDULE

The collection frequencies associated with CDX include the following:

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

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

Registrants must submit a notice of compromise or surrender of
electronic signature device promptly, should this occur.

States/Locals that did not have an electronic document receiving system
in use or substantially developed on or before October 13, 2005 must,
using specified procedures, apply for and receive EPA approval of
revisions or modifications to the authorized program before the program
may receive electronic documents in lieu of paper documents to satisfy
requirements of such program.

Within 75 calendar days of receiving an application for program revision
or modification, the Administrator will respond with a letter that
either notifies the State/Local that the application is complete or
identifies deficiencies in the application that render the application
incomplete.  The State/Local receiving a notice of deficiencies may
amend the application and resubmit it.  Within 30 calendar days of
receiving the amended application, the Administrator will respond with a
letter that either notifies the applicant that the amended application
is complete or identifies remaining deficiencies that render the
application incomplete.

Except where an opportunity for public hearing is required, if the
Administrator does not take any action on a specific request for
revision or modification of a specific authorized program addressed by
an application submitted within 180 calendar days of notifying the
State/Local that the application is complete, the specific request for
program revision or modification for the specific authorized program is
considered automatically approved by EPA at the end of the 180 calendar
days unless the review period is extended at the request of the
State/Local submitting the application.

If a State/Local submits material to amend its application after the
date that the Administrator sends notification that the application is
complete, this new submission will constitute withdrawal of the pending
application and submission of a new, amended application for program
revision or modification, and the 180-day time period will begin again
only when the Administrator makes a new determination and notifies the
State/Local under that the amended application is complete.

6.	ESTIMATING THE HOUR AND COST BURDEN OF THE COLLECTION

6(a)	ESTIMATING RESPONDENT BURDEN HOURS

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

	6(b)	ESTIMATING RESPONDENT COSTS

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

(1)	Labor Costs

	Using the total burden hours discussed in Section 6(a) and the hourly
respondent labor costs outlined in this section, Exhibit 1 illustrates
the labor costs associated with the information collection requirements
covered in this ICR.

Direct Reporters, Indirect Reporters, Indirect Reporting Firms, and

Local Registration Authorities

	EPA estimates an average hourly respondent labor cost (including fringe
and overhead) of $57.87 for legal staff, $37.09 for managerial staff,
$36.78 for technical staff, and $16.18 for clerical staff.  These
respondent labor costs were obtained from the previously approved
CROMERR ICR (i.e., EPA ICR Number 2002.04, dated February 15, 2008),
and updated to 2011 levels using Employment Cost Indexes developed by
the Bureau of Labor Statistics.

State/Local Agencies

	EPA estimates an average hourly respondent labor cost (including fringe
and overhead) of $38.95 for legal staff, $38.95 for managerial staff,
$29.50 for technical staff, and $14.00 for clerical staff.  These
respondent labor costs were obtained from the previously approved
CROMERR ICR (i.e., EPA ICR Number 2002.04, dated February 15, 2008),
and updated to 2011 levels using Employment Cost Indexes developed by
the Bureau of Labor Statistics.

(2)	Capital Costs

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

Direct Reporters, Indirect Reporters, Indirect Reporting Firms, and

Local Registration Authorities

	EPA does not anticipate that direct reporters, indirect reporters,
indirect reporting firms, and LRAs will incur capital costs in carrying
out the information collection requirements covered in this ICR.

State/Local Agencies

	EPA anticipates that State/Local agencies will incur capital costs in
upgrading their existing electronic document receiving systems or
developing new electronic document receiving systems to satisfy CROMERR
standards at 40 CFR 3.2000 (e.g., copy of record, Secure Sockets Layer
(SSL), e-mail notification, electronic signature, electronic signature
agreement).  In particular, EPA estimates that each State agency will
incur a cost of $144,330 and that each Local agency will incur a cost of
$54,817.  These capital costs were obtained from the previously approved
CROMERR ICR (i.e., EPA ICR Number 2002.04, dated February 15, 2008),
and updated to 2011 levels using Consumer Price Indexes developed by the
Bureau of Labor Statistics.  The above capital costs are shown in
Exhibit 1 for all applicable respondent activities.  

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

(3)	Operation and Maintenance Costs

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

Direct Reporters, Indirect Reporters, Indirect Reporting Firms, and

Local Registration Authorities

O&M costs include:

EPA estimates that employee registrants that submit subscriber
agreements to EPA or States/Locals will incur a cost of $3.31 to mail a
one-ounce letter by certified mail (i.e., $0.44 for first-class letter
postage, $2.85 for the certified-mail fee, and $0.02 for standard
business envelope)., , 

EPA estimates that employee registrants that submit subscriber
agreements to their LRA will incur a cost of $0.46 to mail a one-ounce
letter using first-class mail (i.e., $0.44 for first-class letter
postage and $0.02 for standard business envelope)., 

EPA estimates that indirect reporting firms will incur a cost of $2.63
for obtaining a notarized affidavit to establish the identity of a LRA. 
This O&M cost was obtained from the previously approved CROMERR ICR
(i.e., EPA ICR Number 2002.04, dated February 15, 2008), and updated to
2011 levels using Consumer Price Indexes developed by the Bureau of
Labor Statistics.

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

State/Local Agencies

For State/Local agencies, O&M costs include mailing costs.  In
particular, EPA estimates that State/Local agencies submitting
documentation to EPA (e.g., applications for program modification
approval under 40 CFR 3.1000) will incur a cost of $5.42 to mail a
nine-ounce large envelope by certified mail ($2.48 for first-class large
envelope postage, $2.85 for the certified-mail fee, and $0.09 for
catalog envelope)., ,   These O&M costs are shown in Exhibit 1 for all
applicable respondent activities.

6(c)	ESTIMATING AGENCY HOUR AND COST BURDEN

EPA estimates the Agency hour and cost burden associated with the
information collection requirements covered in this ICR in Exhibit 2. 
As shown in the exhibit, EPA estimates an average hourly labor cost of
$64.93 for legal staff (GS-14, Step 5), $54.94 for managerial staff
(GS-13, Step 1), $46.21 for technical staff (GS-12, Step 1), and $23.44
for clerical staff (GS-06, Step 1).  To derive these hourly estimates,
EPA referred to the General Schedule (GS) Salary Table 2011.  This
publication summarizes the unloaded (base) hourly rate for various labor
categories in the Federal government.  EPA then applied the standard
government overhead factor of 1.6 to the unloaded rate to derive loaded
hourly rates. 

EPA estimates that, each year, the Agency will incur a capital cost of
$159,360 in CDX development, operation, and maintenance activities. 
This capital cost is shown in Exhibit 2.

O&M costs include electronic transaction fees associated with the
processing of electronic subscriber agreements (ESA) by a third party
vendor.  In particular, EPA estimates that the Agency will incur an
electronic transaction cost of $1.20 per subscriber agreement.  This O&M
cost is shown in Exhibit 2 for all applicable activities.

6(d)	ESTIMATING RESPONDENT UNIVERSE AND TOTAL HOUR AND COST BURDEN

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

EPA notes that, as used in this document, the term “respondent”
includes:

Direct reporters, indirect reporters, indirect reporting firms, and LRAs
complying with the registration and identity proofing requirements
covered in this ICR, as applicable.  This includes:

Private sector entities; and

State/Local agencies that are regulated entities.

State/Local agencies administering electronic document receiving systems
subject to CROMERR.  In this document, we refer to these respondents as
“State/Local agencies acting as regulators.”

State/Local agencies seeking EPA approval to allow electronic reporting
under CROMERR.  In this document, we refer to these respondents as
“State/Local agencies that are regulated entities.”  

(1)	Respondent Universe

Direct Reporters

Table 1 presents information on the annual number of employee
registrants expected to register with CDX during the three-year period
covered by the ICR.  As shown in the table, EPA estimates that, on
average, 28,084 employees will register with CDX each year.  

Appendix B provides detailed information on the methodology used to
estimate the average annual number of direct reporters expected to
register with the CDX during the three-year period covered by this ICR.

Table 1

Annual Number of Direct Reporters 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	23,880

State/Local Agencies that are Regulated Entities	4,204

Total	28,084

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

Table 2 presents information on the estimated annual number of
subscriber agreements to be submitted to EPA during the three-year
period covered by the ICR.  As shown in the table, direct reporters have
various options for complying with the subscriber agreement requirements
covered in this ICR:

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

Electronic subscriber agreement (ESA).  Direct reporters have the option
of completing and submitting an ESA directly to CDX (i.e., without using
a third party vendor).  This eliminates the requirement to prepare and
mail new paper subscriber agreements.

Reuse (Consolidated) ESA.  Direct reporters now have the option of
“reusing” an ESA.  CDX has the ability to recognize when a
registrant has already provided sufficient forensic evidence through
wet-ink signature, organization information, and audit information tying
forensic evidence to CDX credentials in order to allow reuse of the
forensic evidence and accept a digitally signed (electronic) signature
using the registrant’s existing CDX credential.  This eliminates the
requirement to prepare and mail new paper subscriber agreements.

Third Party ESA.  Direct reporters now have the option of completing and
submitting an ESA through a third party vendor.  CDX provides a
voluntary method for real-time identity proofing using a third party
vendor to validate government identification (ID) and additional
personal information in compliance with OMB Memorandum M-04-04, while
retaining repeatable digital evidence of validation using cryptographic
hash technology and not retaining the highly sensitive personally
identifying information.  The third party process validates both
identity and business affiliation.  This eliminates the requirement to
prepare and mail new paper subscriber agreements.

Appendix B provides detailed information on the methodology used to
estimate the average annual number of subscriber agreements to be
submitted to EPA during the three-year period covered by this ICR.

Table 2

Annual Number of Subscriber Agreements to Be Submitted to EPA

during the Three-Year Period Covered by the ICR

Type of Subscriber Agreement	Annual Number of

Subscriber Agreements a, b	Average

	2011	2012	2013

	Private Sector Entities

Non-ESA Registrants	7,684	6,690	6,990	7,121

ESA Registrants	17,444	14,232	14,027	15,234

Reuse (Consolidated) ESA Registrants	4,077	5,301	5,317	4,898

Third Party ESA Registrants	496	1,060	1,047	868

Subtotal	29,701	27,283	27,381	28,122

State/Local Agencies that Are Regulated Entities

Non-ESA Registrants	1,353	1,178	1,230	1,254

ESA Registrants	3,071	2,505	2,469	2,682

Reuse (Consolidated) ESA Registrants	718	933	936	862

Third Party ESA Registrants	87	187	184	153

Subtotal	5,229	4,803	4,819	4,950

Total

Non-ESA Registrants	9,037	7,868	8,220	8,375

ESA Registrants	20,515	16,737	16,496	17,916

Reuse (Consolidated) ESA Registrants	4,795	6,234	6,253	5,761

Third Party ESA Registrants	583	1,247	1,231	1,020

Total	34,930	32,086	32,200	33,072

a  Table contains data provided by EPA’s Office of Information
Collection (OIC), and are current as of May 26, 2011.

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

Indirect Reporters

Table 3 presents information on the annual number of employee
registrants expected to register and comply with identify proofing
requirements of State/Local electronic document receiving systems during
the three-year period covered by the ICR.  As shown in the table, EPA
estimates that, on average, 25,924 employees from indirect reporting
facilities will register and comply with identify proofing requirements
of State/Local electronic document receiving systems each year.

For indirect reporters, EPA assumes that only a portion of employee
registrants from medium-size and large firms will use the LRA
alternative.  The remaining facility employees will comply with the
subscriber agreement provisions.  Thus, in order to perform the
analysis, EPA categorized employee registrants based on the size of
their firms (i.e., small firm or medium-size and large firm).  Table 3
presents information on the annual number of employee registrants by
type of firm.

As shown in Table 3, EPA estimates that, on average, 13,960 employees
from small firms and 11,964 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 3

Annual Number of Indirect Reporters 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	11,870

Medium-Size and Large Firms	10,173

Subtotal	22,043

State/Local Agencies that are Regulated Entities

Small Firms	2,090

Medium-Size and Large Firms	1,791

Subtotal	3,881

Total

Small Firms	13,960

Medium-Size and Large Firms	11,964

Total	25,924

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

Indirect Reporting Firms

As shown in Table 3, EPA estimates that, on average, 13,960 employees
from small indirect reporting firms will register and comply with
identify proofing requirements of State/Local electronic document
receiving systems each year.  Each small firm is expected to have an
average of three employees, for a total of 4,654 small firms
(i.e., 13,960 employees ÷ 3 employees/firm).

EPA also estimates that, on average, 11,964 employees from medium-size
and large indirect reporting firms will register with State/Local
electronic document receiving systems each year.  Each medium-size and
large firm is expected to have an average of 18 employees, for a total
of 665 medium-size and large firms (i.e., 11,964 employees ÷ 18
employees/firm).

States/Locals Submitting Electronic Document Receiving System
Applications to EPA

Based on information currently available to EPA on the submission and
approval of program modification applications under 40 CFR 3.1000 (i.e.,
CROMERR applications), EPA estimates that, on average,
five States/Locals (i.e., 4 States and 1 Local) will upgrade their
existing electronic document receiving systems or develop new electronic
document receiving systems and submit CROMERR applications each year.  

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

In addition, EPA estimates that, on average, 4 States/Locals (i.e., 4
States and 0 Locals) will submit notifications to EPA about changes to
laws, policies, or electronic document receiving systems each year. 

(2)	Annual Respondent Burden (Exhibit 1)

(a)	Registering with EPA Electronic Document Receiving System – Direct
Reporters

EPA estimates that, on average, 28,084 employees of direct reporting
facilities will register with EPA’s electronic document receiving
system each year.  EPA also estimates that, of the 28,084 employee
registrants, approximately 10 percent (or 2,808) will need to update
their registration information each year.  

(b)	Compliance with Identity Proofing Requirements – Direct Reporters

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

Comply with Requirements for Identifier, Attribute, or Alternative
Method

EPA does not anticipate that direct reporters will prepare and submit
information on identifiers or attributes, or other identity-proofing
information.

Comply with Subscriber Agreement Provisions

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

Non-ESA Registrants.  EPA estimates that, on average, employee
registrants from direct reporting facilities will prepare, submit, and
file a total of 8,375 paper subscriber agreements each year.  EPA also
estimates that, of the 8,375 paper subscriber agreements prepared each
year, 89 percent (7,454) will be from new and existing employee
registrants (e.g., employees registering for the first time with a data
flow); 10 percent (837) will be associated with employee turnover, which
requires the submittal of a new subscriber agreement by the employee
replacement; and one percent (84) will be associated with a compromised
electronic signature, which requires the submittal of a new subscriber
agreement.  EPA anticipates that all employee registrants preparing a
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 17,916 ESAs each year.  EPA also estimates that, of the 17,916 ESAs
prepared each year, 89 percent (15,945) will be from new and existing
employee registrants (e.g., employees registering for the first time
with a data flow); 10 percent (1,792) will be associated with employee
turnover, which requires the submittal of a new subscriber agreement by
the employee replacement; and one percent (179) will be associated with
a compromised electronic signature, which requires the submittal of a
new subscriber agreement.  EPA anticipates that all employee registrants
preparing an ESA will contact the Help Desk for technical support.  

Reuse (Consolidated) ESA Registrants.  EPA estimates that, on average,
5,761 employee registrants from direct reporting facilities will reuse
their ESA each year.  EPA also estimates that, of the 5,761 reuse
(consolidated) ESAs, 89 percent (5,127) will be from existing employee
registrants (e.g., existing employee registrants registering for the
first time with a data flow); 10 percent (576) will be associated with
employee turnover, which requires the submittal of a new subscriber
agreement by the employee replacement; and one percent (58) will be
associated with a compromised electronic signature, which requires the
submittal of a new subscriber agreement.  EPA anticipates that all
employee registrants reusing an ESA will contact the Help Desk for
technical support.  

Third Party ESA Registrants.  EPA estimates that, on average, employee
registrants from direct reporting facilities will prepare, submit, and
file a total of 1,020 third party ESAs each year.  EPA also estimates
that, of the 1,020 third party ESAs prepared each year, 89 percent (908)
will be from new and existing employee registrants (e.g., employees
registering for the first time with a data flow); 10 percent (102) will
be associated with employee turnover, which requires the submittal of a
new subscriber agreement by the employee replacement; and one percent
(10) will be associated with a compromised electronic signature, which
requires the submittal of a new subscriber agreement.  EPA anticipates
that all employee registrants preparing a third party ESA will contact
the Help Desk for technical support.  

Conduct On-Going Management 

EPA assumes that, of the 33,072 employee registrants from direct
reporting facilities, three percent (992) will have to work with EPA to
resolve problems involving their agreements or certifications each year.
 

(c)	Compliance with Identity Proofing Requirements – Indirect
Reporters

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

 

Comply with Requirements for Identifier, Attribute, or Alternative
Method

EPA does not anticipate that indirect reporters will prepare and submit
information on identifiers or attributes, or other identity-proofing
information.

Comply with Subscriber Agreement Provisions

For indirect reporters, EPA assumes that all employee registrants from
small firms (13,960) and 98 percent of employee registrants from
medium-size and large firms (11,964 x 0.98 = 11,725) will comply with
the subscriber agreement requirements.  In addition, EPA estimates that
indirect reporters submit information to 1.3 State/Local electronic
document receiving systems, on average; hence, their employees must
submit subscriber agreements for 1.3 receiving systems, on average.  EPA
assumes that all employee registrants from indirect reporting facilities
will submit paper subscriber agreements.

Based on the above assumptions, EPA estimates that, on average, employee
registrants from indirect reporting facilities will prepare, submit, and
file a total of 33,391subscriber agreements each year (i.e., [13,960
small firm employees + 11,725 medium-size and large firm employees] x
1.3 subscriber agreements/employee).

EPA also estimates that, of the 33,391subscriber agreements prepared
each year, 89 percent (29,718) will be from new and existing employee
registrants (e.g., employees registering for the first time with a data
flow); 10 percent (3,339) will be associated with employee turnover,
which requires the submittal of a new subscriber agreement by the
employee replacement; and one percent (334) will be associated with a
compromised electronic signature, which requires the submittal of a new
subscriber agreement

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

Submit Subscriber Agreements to Local Registration Authority 

EPA assumes that two percent of medium-size and large firms will use the
LRA alternative.  EPA also assumes that indirect reporting firms submit
information to 1.3 State/Local electronic document receiving systems, on
average; hence, their employees must submit subscriber agreements for
1.3 receiving systems, on average.  Based on these assumptions, EPA
estimates that, on average, employees from indirect reporting firms will
prepare and send to their LRA a total of 239 subscriber agreements each
year (i.e., [11,964 medium-size and large firm employees x 0.02] x 1.3
subscriber agreements/employee).

EPA estimates that, of the 239 subscriber agreements prepared each year,
89 percent (213) will be from new employee registrants; 10 percent (24)
will be associated with employee turnover, which requires the submittal
of a new subscriber agreement by the employee replacement; and one
percent (2) 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 25,685 employee registrants from indirect
reporting facilities (13,960 + 11,725 = 25,685), three percent (771)
will have to work with States/Locals to resolve problems involving their
agreements each year.  

(c)	Implementation of Local Registration Authority Alternative –
Indirect Reporting Firms and Local Registration Authorities

The following paragraphs discuss the assumptions associated with
implementation of the LRA alternative by indirect reporting firms and
LRAs.

Designating a Local Registration Authority

As stated above, EPA assumes that two percent of medium-size and large
indirect reporting firms (665 x 0.02 = 14) 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 14 medium-size and large indirect reporting firms that will use
the LRA alternative, two percent (1) will need to redesignate the LRA
annually due to turnover, which requires registration of the new LRA
with the electronic document receiving system.  

Collect Subscriber Agreements from Reporters

EPA estimates that, on average, LRAs will collect a total of 239
subscriber agreements each year.  Of these 239 subscriber agreements,
213 will be from new employee registrants, 24 will be associated with
employee turnover, and 2 will be associated with a compromised
electronic signature.  For each of these subscriber agreements, LRAs
will need to prepare an agreement collection certification after
securely storing the subscriber agreements, and submit a certification
of receipt and secure storage.   

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

Collect Identifier, Attribute, or Alternative Information

EPA does not anticipate that indirect reporters will prepare and submit
information on identifiers or attributes, or other identity-proofing
information.

Collect Subscriber Agreements

EPA estimates that, on average, employee registrants from indirect
reporting facilities will prepare, submit, and file a total of
33,391subscriber agreements each year.  This includes 29,718 subscriber
agreements from new employee registrants, 3,339 subscriber agreements
associated with employee turnover, and 334 subscriber agreements
associated with a compromised electronic signature.  State/Local
agencies will receive, process, review, approve, and file all these
subscriber agreements.

Collect Submittals from Local Registration Authority 

EPA estimates that, each year, employee registrants from indirect
reporting facilities will submit 239 subscriber agreements to their
LRAs.  This includes 213 subscriber agreements from new employee
registrants, 24 subscriber agreements associated with employee turnover,
and 2 subscriber agreements associated with a compromised electronic
signature.  State/Local agencies will need to receive, process, review,
and approve the certification of receipt and secure storage submitted by
the LRAs.

Collect Applications for Designation of Local Registration Authority

EPA estimates that, each year, 14 indirect reporting firms will use the
LRA alternative.  EPA also estimates that, each year, one of these firms
will need to redesignate the LRA due to turnover.  State/Local agencies
will need to receive and approve these LRA applications.

Conduct On-Going Management 

EPA estimates that, each year, State/Local agencies will have to work
with 771 employee registrants to resolve problems involving their
agreements or certifications, and respond to information requests.  

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

Applications – State/Local Agencies that Are Regulated Entities

Read the Regulations

EPA estimates that, on average, 24 States/Locals will submit
documentation to EPA associated with the approval of State/Local
electronic document receiving systems each year.  These States/Locals
are expected to read the regulations at 40 CFR Part 3.

Submit Electronic Document Receiving System Application

EPA estimates that, on average, five States/Locals will upgrade their
existing electronic document receiving systems or develop new electronic
document receiving systems and submit a CROMERR application each year. 
This includes four States and one Local.

Submit Amendment to Original Application

EPA estimates that, on average, 15 States will submit amendments to
their original CROMERR application each year.  EPA does not anticipate
that Locals will submit amendments to their original CROMERR
applications during the three-year period covered by this ICR.

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

EPA estimates that, on average, four States will submit a notification
about changes to laws, policies, or electronic document receiving
systems that have the potential to affect program conformance with 40
CFR 3.2000.  EPA does not anticipate that Locals will submit this
notification during the three-year period covered by this ICR.

  SEQ CHAPTER \h \r 1 	6(e)	BOTTOM LINE HOUR AND COST BURDEN

(1)	Respondent Tally

Exhibit 3 summarizes the total annual respondent hour and cost burden
associated with all the requirements covered in this ICR.  As used in
this document, the term “respondent” includes private sector and
State/Local entities.  As shown in the exhibit, EPA estimates the annual
respondent burden to be 39,763 hours and $2,167,446.  The bottom line
burden to respondents over three years is estimated to be 119,289 hours
and $6,502,338.

(2)	Agency Tally

Exhibit 4 summarizes the total annual EPA hour and cost burden
associated with all the requirements covered in this ICR.  As shown in
the exhibit, EPA estimates the annual agency burden to be 21,771 hours
and $1,169,096.  The bottom line burden to the agency over three years
is estimated to be 65,313 hours and $3,507,288.

6(f)	REASONS FOR CHANGE IN BURDEN

The annual respondent burden estimate in the previously approved CROMERR
ICR (EPA ICR Number 2002.04) was 78,035 hours.  The annual respondent
burden estimate for this ICR (EPA ICR Number 2002.05) is 39,763 hours. 
This represents a decrease of 38,272 hours.

This decrease occurred for two primary reasons.  First, there was a
decrease in the annualized number of respondents.  The total number of
employees registering with EPA’s electronic document receiving system
and/or complying with CROMERR’s identity proofing requirements
decreased from 93,325 in the previously approved ICR to 87,080 in this
ICR.  In addition, the total number of State/Local authorized programs
upgrading their existing electronic document receiving systems or
developing new electronic document receiving systems, and submitting
documentation associated with the approval of CROMERR applications
decreased from 61 in the previously approved ICR to 24 in this ICR.  EPA
conducted a thorough examination of available information (e.g., number
of application received over the past three years) in estimating the
number of respondents subject to the requirements of this ICR.  EPA
thinks that the number of respondents included in this ICR is a
reasonable approximation of the actual respondent universe. 

Second, in developing this ICR, EPA carefully reviewed the respondent
activities associated with compliance with identify proofing
requirements.  EPA made a few changes to the assumptions associated with
subscriber agreement and LRA alternatives to be consistent with actual
compliance of respondents with these requirements.  For example, EPA
reduced the proportion of respondents that use the LRA alternative while
increasing the proportion of respondents that comply with subscriber
agreement requirements.  This resulted in a burden decrease because the
burden associated with subscriber agreements is less than the LRA
burden.  EPA notes that few, if any, respondents opted to use the LRA
alternative over the past three years.

Table 4 provides information on changes in burden.  As shown in Table 4,
all changes 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.

Table 4

Reasons for Change in Respondent Burden Hours from EPA ICR Number
2002.04 to EPA ICR Number 2002.05 a

Changes in EPA ICR Number 2002.05	Type of Change	Burden Hours in EPA ICR
Number 2002.04	Burden Hours in EPA ICR Number 2002.05	Change in Total
Annual Burden Hours in EPA ICR Number 2002.05

Registering with EPA Electronic Document Receiving System - Direct
Reporters

Increase in the number of employees that will register with EPA's
electronic document receiving system (CDX)	Adjustment	1,477	4,269	2,792 

Compliance with Identity Proofing Requirements - Direct and Indirect
Reporters

Comply with Subscriber Agreement Provisions

Decrease in the number of first-time subscriber agreements	Adjustment
23,583	17,762	(5,821)

Decrease in the number of subscriber agreements, due to employee
turnover	Adjustment	2,359	1,996	(363)

Decrease in the number of subscriber agreements, due to compromised
electronic signature	Adjustment	76	53	(23)

Decrease in the number of employee registrants that contact the Help
Desk for technical support	Adjustment	7,439	3,988	(3,451)

Submit Subscriber Agreement to Local Registration Authority

Decrease in the number of new employee registrants that prepare
subscriber agreements	Adjustment	5,830	70	(5,760)

Decrease in the number of subscriber agreements, due to employee
turnover	Adjustment	593	8	(585)

Decrease in the number of subscriber agreements, due to compromised
electronic signature	Adjustment	1,173	1	(1,172)

Conduct On-Going Management

Decrease in the number of employee registrants that will have to work
with EPA or State/Locals to resolve problems involving their agreements
or certifications	Adjustment	5,770	1,763	(4,007)

Implementation of Local Registration Authority Alternative - Indirect
Reporting Firms and Local Registration Authorities

Designating a Local Registration Authority

Decrease in the number of firms that opt to use the LRA alternative
Adjustment	13,652	184	(13,468)

Decrease in the number of redesignated LRAs, due to turnover	Adjustment
157	1	(156)

Collect Subscriber Agreements from Reporters

Decrease in the number of new employee registrants that prepare
subscriber agreements	Adjustment	1,016	72	(944)

Decrease in the number of subscriber agreements, due to employee
turnover	Adjustment	190	8	(182)

Decrease in the number of subscriber agreements, due to compromised
electronic signature	Adjustment	2	1	(1)

Compliance with Identity Proofing Requirements - State/Local Agencies
Acting as Regulators

Inclusion of State/Local burden associated with compliance with
subscriber agreement provisions as "respondent burden"	Adjustment	0
5,676	5,676 

Inclusion of State/Local burden associated with the LRA alternative as
"respondent burden"	Adjustment	0	43	43 

Inclusion of State/Local burden associated with designating a LRA as
"respondent burden"	Adjustment	0	8	8 

Inclusion of State/Local burden associated with on-going management as
"respondent burden"	Adjustment	0	1,928	1,928 

Approval of State/Local Electronic Document Receiving System Application
- State/Local Agencies as Regulated Entities

Decrease in the number of States/Locals reading the regulations
Adjustment	92	36	(56)

Decrease in the number of States/Locals upgrading their existing
electronic document receiving systems or developing new electronic
document receiving systems and submitting CROMERR applications to EPA
Adjustment	14,625	1,534	(13,091)

Addition of new activity under which States/Locals submit amendment to
original CROMERR application to EPA	Adjustment	0	360	360 

Increase in number of States/Locals submitting 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
Adjustment	0	3	3 

Total Change in Burden Hours	 	 	(38,272)

a  Exhibit includes rounding error.

6(g)	PUBLIC BURDEN STATEMENT

(1)	Registering with EPA Electronic Document Receiving System – Direct
Reporters

The reporting burden is estimated to be 10 minutes for a facility
employee to register with CDX.  This includes time for preparing the
on-line application and calling the CDX Help Desk.  There are no
recordkeeping requirements associated with registering with the CDX
application.  

Compliance with Identity Proofing Requirements – Direct and Indirect
Reporters

The reporting burden is estimated to be 80 minutes for a facility
employee to prepare and submit identifier, attribute, or alternative
information.  There are no recordkeeping requirements associated with
this requirement, and as such, there is no recordkeeping burden.

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

	

Implementation of Local Registration Authority Alternative – Indirect
Reporting Firms and Local Registration Authorities

	The reporting burden is estimated to be 13 hours for a firm to develop
a process or plan to use the LRA alternative, designate the LRA, submit
the LRA application to the agency, and register the LRA with the
electronic document receiving system.  There are no recordkeeping
requirements associated with this requirement, and as such, there is no
recordkeeping burden.

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

	The reporting burden is estimated to be 10 minutes for a LRA to prepare
and submit a certification of receipt and secure storage after receiving
a subscriber agreement.  The recordkeeping burden is estimated to be 10
minutes for a LRA to compile subscriber agreements from employee
registrants within the LRA’s firm and place them in secure storage.  

Compliance with Identity Proofing Requirements – State/Local Agencies
Acting as Regulators

The reporting burden is estimated to be 30 minutes for a State/Local
agency to receive, process, review, and approve identifier, attribute,
or alternative information.  There are no recordkeeping requirements
associated with this requirement, and as such, there is no recordkeeping
burden.

The reporting burden is estimated to be 10 minutes for a State/Local
agency to receive, process, review, and approve subscriber agreements. 
There are no recordkeeping requirements associated with this
requirement, and as such, there is no recordkeeping burden.

The reporting burden is estimated to be 30 minutes for a State/Local
agency to receive, process, review, and approve an LRA application. 
There are no recordkeeping requirements associated with this
requirement, and as such, there is no recordkeeping burden.

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

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

Applications – State/Local Agencies that Are Regulated Entities

The reporting burden is estimated to range from 210 hours to 331 hours
for a State/Local agency to prepare and submit the CROMERR application
to EPA.  The recordkeeping burden is estimated to be 90 minutes to read
the regulations.

The reporting burden is estimated to be 24 hours for a State/Local
agency to prepare and submit an amendment to its original CROMERR
application to EPA.  The recordkeeping burden is estimated to be 90
minutes to read the regulations.

The reporting burden is estimated to be 45 minutes for a State/Local
agency to notify EPA about changes to laws, policies, or electronic
document receiving systems that have the potential to affect program
conformance with 40 CFR 3.2000.  The recordkeeping burden is estimated
to be 90 minutes to read the regulations.

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

	To comment on the Agency's need for this information, the accuracy of
the provided burden estimates, and any suggested methods for minimizing
respondent burden, including the use of automated collection techniques,
EPA has established a public docket for this ICR under Docket ID Number
EPA–HQ–OEI–2011–0096, which is available for online viewing at
www.regulations.gov, or in person viewing at the Office of Environmental
Information (OEI) Docket in the EPA Docket Center (EPA/DC), EPA West,
Room 3334, 1301 Constitution Avenue, NW, Washington, D.C.  The EPA
Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m.,
Monday through Friday, excluding legal holidays.  The telephone number
for the Reading Room is (202) 566-1744, and the telephone number for the
OEI Docket is (202) 566-1752.  An electronic version of the public
docket is available at www.regulations.gov.  This site can be used to
submit or view public comments, access the index listing of the contents
of the public docket, and to access those documents in the public docket
that are available electronically.  When in the system, select
“search,” then key in the Docket ID Number identified above.  Also,
you can send comments to the Office of Information and Regulatory
Affairs, Office of Management and Budget, 725 17th Street, NW,
Washington, D.C. 20503, Attention: Desk Officer for EPA.  Please include
the EPA Docket ID Number EPA–HQ–OEI–2011–0096 and OMB Control
Number 2025–0003 in any correspondence.



 

 

 

 

 

Note:	The exhibit presents hour and cost burden for private sector and
State/Local respondents.  Information is needed in this format for
submission of the ICR into EPA’s Information Collection Request,
Review, and Approval System (ICRAS), the electronic system that EPA uses
to transmit ICRs to OMB for approval.    

 



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Appendix A

List of North American Industry Classification System (NAICS)

Codes Associated with Industries Most Likely Affected by the

Information Collection Requirements Covered in this ICR

11	Agriculture, Forestry, Fishing and Hunting 

111	Crop Production 

112	Animal Production 

113	Forestry and Logging 

114	Fishing, Hunting and Trapping 

115	Support Activities for Agriculture and Forestry 

21	Mining

211	Oil and Gas Extraction 

212	Mining (except Oil and Gas) 

213	Support Activities for Mining 

22	Utilities

221	Utilities 

23	Construction 

233	Building, Developing, and General Contracting 

234	Heavy Construction 

235	Special Trade Contractors 

31	Manufacturing 

311	Food Manufacturing 

312	Beverage and Tobacco Product Manufacturing 

313	Textile Mills 

314	Textile Product Mills 

315	Apparel Manufacturing 

316	Leather and Allied Product Manufacturing 

321	Wood Product Manufacturing 

322	Paper Manufacturing 

323	Printing and Related Support Activities 

324	Petroleum and Coal Products Manufacturing 

325	Chemical Manufacturing 

326	Plastics and Rubber Products Manufacturing 

327	Nonmetallic Mineral Product Manufacturing 

331	Primary Metal Manufacturing 

332	Fabricated Metal Product Manufacturing 

333	Machinery Manufacturing 

334	Computer and Electronic Product Manufacturing 

335	Electrical Equipment, Appliance, and Component Manufacturing 

336	Transportation Equipment Manufacturing 

337	Furniture and Related Product Manufacturing 

339	Miscellaneous Manufacturing 

42	Wholesale Trade 

421	Wholesale Trade, Durable Goods 

422	Wholesale Trade, Nondurable Goods 

44-45	Retail Trade 

441	Motor Vehicle and Parts Dealers 

442	Furniture and Home Furnishings Stores 

443	Electronics and Appliance Stores 

444	Building Material and Garden Equipment and Supplies Dealers 

445	Food and Beverage Stores 

446	Health and Personal Care Stores 

447	Gasoline Stations 

448	Clothing and Clothing Accessories Stores 

451	Sporting Goods, Hobby, Book, and Music Stores 

452	General Merchandise Stores 

453	Miscellaneous Store Retailers 

454	Nonstore Retailers 

48-49	Transportation and Warehousing 

481	Air Transportation 

482	Rail Transportation 

483	Water Transportation 

484	Truck Transportation 

485	Transit and Ground Passenger 

	Transportation 

486	Pipeline Transportation 

487	Scenic and Sightseeing Transportation 

488	Support Activities for Transportation 

491	Postal Service 

492	Couriers and Messengers 

493	Warehousing and Storage 

51	Information 

511	Publishing Industries 

512	Motion Picture and Sound Recording 

	Industries 

513	Broadcasting and Telecommunications 

514	Information Services and Data Processing Services 

52	Finance and Insurance 

521	Monetary Authorities   Central Bank 

522	Credit Intermediation and Related Activities 

523	Securities, Commodity Contracts, and Other Financial Investments and
Related Activities

524	Insurance Carriers and Related Activities 

525	Funds, Trusts, and Other Financial Vehicles 

53	Real Estate and Rental and Leasing 

531	Real Estate 

532	Rental and Leasing Services 

533	Lessors of Nonfinancial Intangible Assets (except Copyrighted Works)

54	Professional, Scientific, and Technical Services 

541	Professional, Scientific, and Technical Services 

55	Management of Companies and Enterprises 

551	Management of Companies and Enterprises 

56	Administrative and Support and Waste Management and Remediation
Services 

561	Administrative and Support Services 

562	Waste Management and Remediation Services 

61	Educational Services 

611	Educational Services 

62	Health Care and Social Assistance 

621	Ambulatory Health Care Services 

622	Hospitals 

623	Nursing and Residential Care Facilities 

624	Social Assistance 

71	Arts, Entertainment, and Recreation 

711	Performing Arts, Spectator Sports, and Related Industries 

712	Museums, Historical Sites, and Similar Institutions 

713	Amusement, Gambling, and Recreation Industries 

72	Accommodation and Food Services 

721	Accommodation 

722	Food Services and Drinking Places 

81	Other Services (except Public Administration) 

811	Repair and Maintenance 

812	Personal and Laundry Services 

813	Religious, Grantmaking, Civic, Professional, and Similar 

814	Private Households 

92	Public Administration 

921	Executive, Legislative, and Other General Government Support 

922  	Justice, Public Order, and Safety Activities 

923  	Administration of Human Resource Programs

924	Administration of Environmental Quality Programs 

925	Administration of Housing Programs, Urban Planning, and C 

926  	Administration of Economic Programs 

927  	Space Research and Technology 

928  	National Security and International Affair

Appendix B

Methodology for Estimating the Annual Number of Facility Employees
Expected

to Register and Comply with the Identity Proofing Requirements of
EPA’s Electronic Document Receiving System during the Three-Year
Period Covered by the ICR

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

Annual Number of New Employee Registrants

This section describes the methodology for estimating the annual number
of facility employees expected to register with CDX during the
three-year period covered by the ICR (i.e., new employee registrants). 
Section 1.1 provides an overview of the methodology, Section 1.2
provides a detailed discussion of the methodology, and Section 1.3
presents the results.  

Overview 

In estimating the annual number of facility employees expected to
register with CDX, EPA first compiled historical information on the
cumulative number of employee registrants for years 2007 through 2010. 
We then estimated the annual number of new employee registrants for the
three-year period covered by the ICR (i.e., years 2011 through 2013)
based on analysis of new registrant growth rates.    

Detailed Discussion

EPA took the following steps to carry out the methodology.

Compile historical information on cumulative number of employee
registrants.  EPA referred to CDX in order to compile historical
information on the cumulative number of registrants for years 2007
through 2010.

Year	Cumulative Number of

Employee Registrants

2007	70,669

2008	91,761

2009	120,653

2010	150,820

Estimate cumulative number of employee registrants for years 2011
through 2013 (i.e., the three-year period covered in the ICR).  We
estimated the cumulative number of registrants for years 2011 through
2013 by using the following equation:  

Cumulative Number of

Registrants

for Year Y	=	RegistrantsY-1	+	([3 x (RegistrantsY-1 – RegistrantsY-2)]
+ [2 x (RegistrantsY-2 – RegistrantsY-3)] + [RegistrantsY-3 -
RegistrantsY-4]) / 6

The table below shows the results of using the above equation for years
2011 through 2013:

Year	Calculation	Cumulative Number of Employee Registrants a

2011	150,820 + ([3 x (150,820 - 120,653)] + [2 x (120,653 - 91,761)] +
[91,761 - 70,669]) / 6	179,050

2012	179,050 + ([3 x (179,050 - 150,820)] + [2 x (150,820 - 120,653)] +
[120,653 - 91,761]) / 6	208,036

2013	208,036 + ([3 x (208,036 - 179,050)] + [2 x (179,050 - 150,820)] +
[150,820 - 120,653]) / 6	236,967

a  Includes rounding error.

Estimate total number of new employee registrants for years 2011 through
2013.  We estimated the total number of new registrants for years 2011
through 2013 by using the following equation:

Number

New Registrants

For Year Y	=	RegistrantsY – RegistrantsY-1

The table below shows the results of using the above equation for years
2011 through 2013:

Year	Calculation	Number of

New Employee Registrants a

2011	179,050 - 150,820	28,230

2012	208,036 - 179,050	28986

2013	236,967 - 208,036	28931

Total for Years 2011 through 2013	86,147

a  Includes rounding error.

Estimate annual number of new employee registrants over the three-year
period covered in the ICR.  We assumed that one third of the total
three-year projection will register with CDX in each year of the ICR. 
That is, we assumed that 28,716 new registrants (i.e., 86,147 ÷ 3)
will register with CDX each year.

Estimate annual number of new registrants by type of ownership (i.e.,
private sector vs. State/Local) and remove Federal government employee
registrants from this analysis.  We referred to data published by the
Bureau of Labor Statistics on the number of employees in the U.S.  These
data indicate that 83.16 percent of U.S. employees work for the private
sector, 14.64 percent of employees work for States/Locals, and 2.20
percent of employees work for the Federal government.  We applied these
percentages to the annual number of new employee registrants in Step D. 
We then excluded Federal Government employees from the analysis because
they are exempt from ICR requirements.

Results

	

Exhibit B-1 presents information on the average annual number of
facility employees expected to register with CDX.

Exhibit B-1

Annual Number of Facility Employees Expected to Register with

EPA’s CDX during the Three-Year Period Covered by the ICR

Respondent Universe	Average Annual Number of

New Employee Registrants a

Private Sector	23,881

States/Locals	4,205

Total	28,086

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

Annual Number of Subscriber Agreements

This section describes the methodology for estimating the annual number
of subscriber agreements submitted to EPA to comply with the identity
proofing requirements of CDX during the three-year period covered by the
ICR.  Section 2.1 provides an overview of the methodology, Section 2.2
provides a detailed discussion of the methodology, and Section 2.3
presents the results.  

Overview 

In estimating the annual number of subscriber agreements submitted to
CDX, EPA first compiled information on the number of ESAs for years 2007
through 2010.  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 2011 through
2013) based on analysis of growth rates and implementation rates.

Detailed Discussion

EPA took the following steps to carry out the methodology.

Non-Electronic Subscriber Agreements

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 paper subscriber agreements for years 2011
through 2013, we referred to CDX in order to compile historical
information on the number of non-ESAs, by CROMERR data flow, for years
2007 through 2010.  

CROMERR

Data Flow	Number of Paper Subscriber Agreements

	2007	2008	2009	2010

e-GGRT	552	1,072	1,924	4,442

EMTS	157	288	550	1,319

SDWIS	235	225	200	196

UCMR2	3,525	3,276	2,919	1,861

Total	4,469	4,861	5,593	7,818

Estimate total number of paper subscriber agreements, by CROMERR data
flow, for years 2011 through 2013 (i.e., the three-year period covered
in the ICR).  We estimated the total number of paper subscriber
agreements, by CROMERR data flow, for years 2011 through 2013 by using
the following equations:  

For year 2011:

Total Number

of Subscriber Agreements

for Year Y	=	Subscriber AgreementsY-1	+	([3 x (Subscriber AgreementsY-1
- Subscriber AgreementsY-2)] + [2 x (Subscriber AgreementsY-2 -
Subscriber AgreementsY-3] + [Subscriber AgreementsY-4]) / 6

For years 2012 and 2013:

Total Number

of Subscriber Agreements

for Year Y	=	([3 x Subscriber AgreementsY-1] + [2 x Subscriber
AgreementsY-2] +

[Subscriber AgreementsY-3]) / 6

The table below shows the estimated number of paper subscriber
agreements, by CROMERR data flow, for years 2011 through 2013.  Note
that, for certain data flows, we revised the estimated number of
subscriber agreements based on available program information.  

CROMERR

Data Flow	Number of Paper Subscriber Agreements a

	2011	2012	2013

e-GGRT	6,072	4,837	5,183

EMTS	1,813	1,319 b	1,484

SDWIS	184	196 b	192

UCMR2	1,172	1,693	1,547

Total	9,240	8,045	8,405

a  Table includes rounding error.

b  Estimate is based on available program information, not on use of
equation.

Electronic Subscriber Agreements

Compile historical information on number of ESAs, by CROMERR data flow. 
EPA referred to CDX in order to compile historical information on the
number of ESAs, by CROMERR data flow, for years 2008 through 2010.  

CROMERR

Data Flow	Number of ESAs a

	2008	2009	2010

OTAQ	387	367	610

ODS-CBI	35	23	13

TRIMEWeb	10,043	11,779	8,994

RMPeSubmit	694	5,483	1,976

eTSCA	19	34	293

eTSCA-PDS b

	eIUR	94	145	32

eIUR2 b

	Total	11,272	17,831	11,918

a  Table includes rounding error.

b  New CROMERR data flow for years 2011 through 2013.  Data flow is
included in this table to facilitate discussion in subsequent steps.

Estimate number of ESAs, by CROMERR data flow, for years 2011 through
2013 (i.e., the three-year period covered in the ICR).  We estimated
the number of ESAs, by CROMERR data flow, for years 2011 through 2013 by
using the following equation:  

Number of ESAs

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

The table below shows the estimated number of ESAs, by CROMERR data
flow, for years 2011 through 2013.  Note that, for certain data flows,
we revised the estimated number of ESAs based on available program
information.  

CROMERR

Data Flow	Number of ESAs a

	2011	2012	2013

OTAQ	1,719 c	1,124	1,236

ODS-CBI	20	18	18

TRIMEWeb	10,097	10,010	9,870

RMPeSubmit	2,931	3,038	2,826

eTSCA	161	184	194

eTSCA-PDS	5,000 c	2,500 c	2,500 c

eIUR b	80

eIUR2	968 c	240 c	225 c

Total	20,976	17,114	16,868

a  Table includes rounding error.

b  eIUR was discontinued and replaced by eIUR2.

c  Estimate is based on available program information, not on use of
equation.

Estimate number of reuse (consolidated) ESAs, by CROMERR data flow, for
years 2011 through 2013.  We estimated the number of reuse
(consolidated) ESAs, for participating data flows, by applying
implementation rates provided by CDX to the number of ESAs obtained in
Step D.  The implementation rates are presented in the table below:

CROMERR

Data Flow	Implementation Rates for

Reuse (Consolidated) ESAs

	2011	2012	2013

OTAQ	100%

ODS-CBI

	TRIMEWeb

50%	50%

RMPeSubmit

	eTSCA

	50%

eTSCA-PDS	50%	50%	50%

eIUR

	eIUR2	70.7%	50%	50%

The table below shows the estimated number of reuse (consolidated) ESAs,
by CROMERR data flow, for years 2011 through 2013.  

CROMERR

Data Flow	Number of Reuse (Consolidated) ESAs a

	2011	2012	2013

OTAQ	1,719

ODS-CBI

	TRIMEWeb

5,005	4,935

RMPeSubmit

	eTSCA

	97

eTSCA-PDS	2,500	1,250	1,250

eIUR

	eIUR2	684	120	112

Total	4,903	6,375	6,394

a  Table includes rounding error.

Estimate number of third party ESAs, by CROMERR data flow, for years
2011 through 2013.  We estimated the number of third party ESAs for
participating data flows by applying implementation rates provided by
CDX to the number of ESAs obtained in Step D.  Specifically, we
estimated that third party ESAs are 10 percent of the estimated ESAs for
the following data flows:  

For year 2011:  eTSCA-PDS and eIUR2.

For years 2012 and 2013:  eTSCA-PDS, eIUR2, and TRIMEWeb.

The table below shows the estimated number of third party ESAs, by
CROMERR data flow, for years 2011 through 2013.  

CROMERR

Data Flow	Number of Third Party ESAs a

	2011	2012	2013

OTAQ

	ODS-CBI

	TRIMEWeb

1,001	987

RMPeSubmit

	eTSCA

	eTSCA-PDS	500	250	250

eIUR

	eIUR2	97	24	22

Total	597	1,275	1,259

a  Table includes rounding error.

All Subscriber Agreements

Estimate annual number of subscriber agreements for the three-year
period covered by the ICR.  Using the number of subscriber agreements
obtained in Steps B, D, E, and F, we estimated the annual number of
subscriber agreements for the three-year period covered by the ICR.  To
do this, we averaged the number of subscriber agreements for years 2011
through 2013.  The results are presented in the table below.

Type of Subscriber Agreement	Number of Subscriber Agreements

	Year 2011	Year 2012	Year 2013	Average

Non-ESAs (Paper Subscriber Agreements)	9,240	8,045	8,405	8,563

ESAs	20,976	17,114	16,868	18,319

Reuse (Consolidated) ESAs	4,903	6,375	6,394	5,891

Third Party ESAs	597	1,275	1,259	1,044

Estimate number of subscriber agreements by type of ownership (i.e.,
private sector vs. State/Local) and remove subscriber agreements from
Federal government employee registrants from this analysis.  We referred
to data published by the Bureau of Labor Statistics on the number of
employees in the U.S.  These data indicate that 83.16 percent of U.S.
employees work for the private sector, 14.64 percent of employees work
for States/Locals, and 2.20 percent of employees work for the Federal
government.  We applied these percentages to the number of ESAs obtained
in Step G.  We then excluded the subscriber agreements from Federal
Government employees from the analysis because Federal government
employees are exempt from ICR requirements.

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.

Exhibit B-2

Annual Number Subscriber Agreements to be Submitted to 

EPA’s CDX during the Three-Year Period Covered by the ICR

Type of Subscriber Agreement	Average Annual Number

of Subscriber Agreements a

Private Sector

Non-ESAs (Paper Subscriber Agreements)	7,121

ESAs	15,234

Reuse (Consolidated) ESAs	4,898

Third Party ESAs	868

Subtotal	28,122

States/Locals

Non-ESAs (Paper Subscriber Agreements)	1,254

ESAs	2,682

Reuse (Consolidated) ESAs	862

Third Party ESAs	153

Subtotal	4,950

All (Private Sector and States/Locals)

Non-ESAs (Paper Subscriber Agreements)	8,375

ESAs	17,916

Reuse (Consolidated) ESAs	5,761

Third Party ESAs	1,020

Total	33,072

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



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Appendix C

Methodology for Estimating the Annual Number of Facility Employees
Expected to Register and Comply with Identity Proofing Requirements of
State/Local Electronic Document Receiving Systems during the Three-Year
Period Covered by the ICR

This appendix describes the methodology for estimating the annual number
of facility employees expected to register and comply with identity
proofing requirements of State/Local electronic document receiving
systems during the three-year period covered by the ICR.  Section 1
provides an overview of the methodology, Section 2 provides a detailed
discussion of the methodology, and Section 3 presents the results.

Overview 

EPA estimated the number of facilities reporting to State/Local
electronic document receiving systems by first identifying States with
existing and new systems and compiling them into a table (referred to as
the “Master Table” in this analysis).,   We then referred to survey
data compiled by EPA in 2002 from States that estimated the number of
facilities subject to their respective receiving systems by
environmental program.  We updated these State estimates to current
(2011) levels based on analysis of respondent universe growth rates in
EPA program ICRs.  We then extrapolated the updated survey data to the
States in the Master Table to estimate their number of facilities.  The
extrapolation was performed by first finding the total number of
commercial establishments in each State based on U.S. Census data,
comparing the number of establishments in the survey States to the
States in the Master Table, and using a scaling factor to extrapolate
the number of facilities in the survey States to the States in the
Master Table based on their respective number of commercial
establishments.  We performed this extrapolation by environmental
program for all States in the Master Table.  Finally, we estimated the
number of employees based on the number of facilities.

Detailed Discussion

EPA took the following steps to carry out the methodology.

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

Identify States with existing and new electronic document receiving
systems.  To identify States with existing electronic document receiving
systems, we referred to EPA’s “Status of CROMERR Applications from
States” Web site (  HYPERLINK
"http://www.epa.gov/cromerr/application_status.html" 
http://www.epa.gov/cromerr/application_status.html ), which contains
data current as of December 2010.  

To identify States with new electronic document receiving systems, we
referred to EPA’s CROMERR universe tracking spreadsheet, which
contains data current as of September 14, 2010.  For purposes of this
analysis, “new electronic document receiving systems” are those that
meet the following criteria, as indicated in the spreadsheet:

Name of the system is available;

System is subject to CROMERR; and

System is categorized as “planned.”

Estimate the number of existing and new State receiving systems, by
environmental program.  Existing and new receiving systems were
categorized into State environmental programs based on the statute
associated with the authorized program (e.g., Clean Air Act (CAA), Clean
Water Act (CWA)).  Attachment C-1 presents a table of the States with
existing and new receiving systems, by State environmental program. 
This table is called the “Master Table” in this memorandum.

Estimate the Number of Facilities, by State Environmental Program

Estimate number of facilities by State environmental program, based on
CROMERR cost-benefit analysis (CBA) survey data.  To obtain information
on the number of facilities by State environmental program, we referred
to “Table V-2. Existing State Receiving Systems” of Cross-Media
Electronic Reporting and Records Rule (CROMERRR) Cost Benefit Analysis -
Final; dated November 17, 2004.  This table contains information on the
number of facilities associated with State receiving systems reported in
a survey conducted by EPA during the summer of 2002.  Attachment C-2
shows the number of facilities by State environmental program based on
CBA survey data.

Update CBA’s facility estimate for each State environmental program,
based on ICR respondent data.  The data on number of facilities
developed under Step C are based on 2002 data.  In order to bring these
numbers to the present (2011), we took the following steps:

Referred to the Information Collection Request, Review, and Approval
System (ICRAS) to obtain 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., 2002 and
2008) 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 9 to estimate percent change
over the 2002-2011 period.

Applied the 2002-2011 percent change to facility estimates in order to
update the number of facilities for each environmental program.

Attachment C-4 shows the ICR data used to update the CBA’s facility
estimates, by State environmental program.

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

 

Develop a scaling factor for use in extrapolation.  We referred to U.S. 
Census Bureau data on number of establishments by employment size for
States.  Based on these data, which are presented in Attachment C-5, we
obtained the following information for each environmental program:  

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

Number of commercial establishments in States in the Master Table with
existing and/or planned receiving systems.  

We then used these data to derive a scaling factor to be used in Step F.
 This scaling factor was derived using the following equation:

Scaling Factor =	Number of establishments in States in Master Table

	Number of establishments in survey States

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

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

Existing receiving systems:  For purposes of this analysis, we assume
that existing systems have been in operation since 2005.  EPA estimates
that 30 percent of facilities began to use the receiving system in the
first year (i.e., 2005) and 10 percent in each subsequent year.

New receiving systems:  We assume that one third of facilities will
begin reporting in each year of the three-year period covered by the
ICR.  In each year of the ICR, EPA estimates that 30 percent of
facilities will begin to use the receiving system in the first year and
10 percent in each subsequent year.  

The above implementation rates for use of an electronic receiving system
were taken from the CBA (Exhibit 2-5).  

Estimate average annual number of facilities subject to the ICR
requirements, by employment size.  In estimating the average annual
number of facilities by employment size, we referred to the U.S.  Census
Bureau data presented in Attachment C-5.  Based on these data, in the
U.S., 70 percent of establishments have less than 20 employees and 30
percent of establishments have 20 or more employees.  We applied these
percentages to the annual number of facilities in Step G.  Once we
estimated the annual number of facilities for each year from 2011
through 2013 (i.e., the three-year period covered by the ICR), we
obtained the average over three years.

Estimate average annual number of facility employees subject to the ICR
requirements.  In estimating the average annual number of facility
employees, we assumed that small firm facilities have three employees
and that medium/large firm facilities have six employees.  These
estimates were taken from the CBA (Section 2.3.3, “Facilities;”
page 26).    

Estimate average annual number of facility employees subject to the ICR
requirements by type of ownership (i.e., private sector vs. State/Local)
and remove Federal government facilities from this analysis.  In
estimating the average annual number of facility employees by type of
ownership, we referred to data published by the Bureau of Labor
Statistics on the number of employees in the U.S.  These data indicate
that 83.16 percent of U.S. employees work for the private sector, 14.64
percent of employees work for States/Locals, and 2.20 percent of
employees work for the Federal government.  We applied these percentages
to the annual number of facility employees in Step I.  We then excluded
Federal government employees from the analysis because they are exempt
from ICR requirements.

Attachments C-6 and C-7 present details on the application of the above
methodology to existing and new receiving systems, respectively.

Results

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

Exhibit C-1

Average Annual Number of Facility Employees Expected to

Register with Existing and New State/Local Receiving Systems

during the Three-Year Period Covered by the ICR

Type of Firm	Average Annual Number of Facility Employees

	Existing Receiving Systems	New Receiving System	All Receiving Systems

(i.e., Existing and New)

Private Sector

Small Firms	8,714	3,156	11,870

Medium-Size and Large Firms	7,469	2,704	10,173

Subtotal	16,183	5,860	22,043

States/Locals

Small Firms	1,534	556	2,090

Medium-Size and Large Firms	1,315	476	1,791

Subtotal	2,849	1,032	3,881

All (Private Sector and States/Locals)

Small Firms	10,248	3,712	13,960

Medium-Size and Large Firms	8,784	3,180	11,964

Total	19,032	6,892	25,924

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



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Attachment C-1

Number of Existing and New State/Local Electronic Document

Receiving Systems, by State Environmental Program

(also referred to as the “Master Table”)

State	Existing Systems	New Systems

	Air	Water	Waste	Air	Water	Waste

Alabama	 	X	X	 	 	 

Alaska	X	X	 	 	X	 

American Samoa	 	 	 	 	 	 

Arizona	 	X	 	 	 	 

Arkansas	 	X	X	 	 	 

California	 	X	 	 	 	 

Colorado	 	X	 	X	 	 

Connecticut	 	X	 	 	 	 

Delaware	X	X	X	 	 	 

District of Columbia	 	 	 	 	 	 

Florida	X	X	X	 	 	 

Georgia	X	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	X	 	 	 	 

Maryland	 	X	 	 	X	 

Massachusetts	X	X	X	 	 	X

Michigan	X	X	X	 	 	 

Minnesota	X	X	X	 	 	 

Mississippi	X	X	X	 	 	 

Missouri b	X	X	X	 	X	 

Montana	 	 	 	X	X	X

Nebraska	 	 	 	 	X	 

Nevada	 	X	X	 	 	 

New Hampshire	 	X	 	 	X	 

New Jersey	X	X	X	 	 	 

New Mexico	X	 	 	 	 	 

New York	X	 	X	 	X	 

North Carolina	X	X	 	 	X	 

North Dakota	 	X	 	 	 	 

Northern Mariana Islands	 	 	 	 	 	 

Ohio	X	X	X	 	 	 

Oklahoma	X	X	X	 	 	 

Oregon	 	X	 	 	 	X

Pennsylvania	X	X	X	 	 	 

Puerto Rico	 	 	 	 	 	 

Rhode Island	 	X	 	 	X	 

South Carolina	X	X	 	 	 	 

South Dakota	X	X	X	 	X	 

Tennessee	 	X	 	X	 	 

Texas	X	X	X	 	 	 

U.S. Virgin Islands	 	 	 	 	 	 

Utah	 	X	 	 	 	 

Vermont	X	X	X	 	 	 

Virginia	 	X	 	 	 	 

Washington	X	X	X	 	 	 

West Virginia	 	X	 	 	 	 

Wisconsin	X	X	X	 	 	 

Wyoming	X	X	X	 	 	 

Sources:	(1)	U.S. Environmental Protection Agency (USEPA), “Status of
CROMERR Applications from States” Web site (  HYPERLINK
"http://www.epa.gov/cromerr/application_status.html" 
http://www.epa.gov/cromerr/application_status.html ), data current as of
December 2010.

U.S. Environmental Protection Agency (USEPA),  “Master Sprdsht with
EPA sprdsht” worksheet of the “Summary CROMERR Universe 20100914
Draft V1.xls” Excel file, dated September 14, 2010.  

Attachment C-2

Number of Facilities Associated with Existing State Electronic Document
Receiving Systems

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

(Data Current as of Summer 2002)

State	Air	Water	Waste, USTs, Emergency Planning

	Air

(CEM)	Air

Permits	Air

(NEI)	Air

Title V

Emissions	Emission

Reports

(Non-Title V)	Air

Quality	PTO

Applications	Asbestos

Notification	EDMR	Drinking/

Ground

Water	Wastewater	UIC	HW

Annual

Report	UST	Risk

Management

Florida

	3

New Jersey	12	1,500

1,000

	New Mexico

	200

North Dakota

250

	Ohio

200

780	2,400

780

	5,700	1,550

480

500

Pennsylvania

125

6,000

	Wisconsin	5,200	22

600

a  For purposes of this analysis, data for Wisconsin’s “Consolidated
(air, haz waste)” program was divided among the “Air” and “HW
Annual Report” categories.  Specifically, 90 percent of the facilities
were allocated to the “Air” category and the remaining 10 percent
were allocated to the “HW Annual Report” category.  This allocation
was based on Ohio’s data and available information on the number of
hazardous waste handlers that reported to the 2007 Hazardous Waste
Report.

Source:  U.S. Environmental Protection Agency (USEPA), “Table V-2.
Existing State Receiving Systems” of Cross-Media Electronic Reporting
and Records Rule (CROMERRR) Cost Benefit Analysis, Final; November 17,
2004.

Acronyms

CEM	Continuous Emissions Monitoring

EDMR	Electronic Discharge Monitoring Report

HW	Hazardous Waste

NEI	National Emission Inventory

PTO	Permit to Operate

UIC	Underground Injection Control

UST	Underground Storage Tank

Attachment C-3

List of ICRs Used in Analysis, by Environmental Program

ICR Numbers	ICR Name

Air

916.12

916.13	Consolidated Emissions Reporting (NEI)

1587.06

1587.07	State Operating Permit Regulations

111.10

111.12	NESHAP for Asbestos

1088.10

1088.12	NSPS for Industrial-Commercial-Institutional Steam Generating
Units

Water

229.15

229.16	NPDES and Sewage Sludge Monitoring Reports (DMR)

1842.04

1842.05	Notice of Intent for Storm Water Discharges Associated with
Construction Activity Under a NPDES General Permit

2.11

2.14	National Pretreatment Program

270.42

270.43	Public Water System Supervision Program

Waste, USTs, Emergency Planning

261.14	Notification of Regulated Waste Activity

976.11	2007 Hazardous Waste Report

976.14	Notification of Regulated Waste Activity and 2009 Hazardous Waste
Report

1380.07

1380.08	Underground Storage Tanks: Technical and Financial Requirements,
and State Program Approval Procedures

Source:  U.S. Environmental Protection Agency (USEPA), Information
Collection Request, Review, and Approval System (ICRAS).  Data obtained
on February 22-28, 2011.

Attachment C-4a

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

Air Programs

Attachment C-4b

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

Water Programs

Attachment C-4c

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

Waste, USTs, Emergency Planning Programs

Attachment C-5

Number of Establishments (Facilities) by Employment Size, 2008

STATE	Less than 20 Employees	20 or More Employees	Total

United States	5,349,024	2,252,145	7,601,169

Alabama	68,196	35,679	103,875

Alaska	14,718	5,216	19,934

Arizona	94,436	45,645	140,081

Arkansas	45,595	21,073	66,668

California	638,535	240,490	879,025

Colorado	115,392	41,292	156,684

Connecticut	65,132	27,465	92,597

Delaware	16,475	8,699	25,174

District of Columbia	12,554	8,527	21,081

Florida	379,105	127,922	507,027

Georgia	156,600	70,993	227,593

Hawaii	22,584	10,320	32,904

Idaho	34,635	11,611	46,246

Illinois	226,845	95,097	321,942

Indiana	98,736	51,365	150,101

Iowa	56,204	26,149	82,353

Kansas	52,079	24,017	76,096

Kentucky	60,675	31,912	92,587

Louisiana	70,230	33,777	104,007

Maine	30,944	10,811	41,755

Maryland	96,416	42,191	138,607

Massachusetts	123,065	51,225	174,290

Michigan	160,153	69,157	229,310

Minnesota	104,812	44,033	148,845

Mississippi	40,811	20,107	60,918

Missouri	103,753	48,687	152,440

Montana	29,247	8,071	37,318

Nebraska	36,457	15,695	52,152

Nevada	41,596	20,230	61,826

New Hampshire	27,520	11,386	38,906

New Jersey	179,269	59,171	238,440

New Mexico	31,797	14,403	46,200

New York	399,765	118,867	518,632

North Carolina	153,708	71,450	225,158

North Dakota	15,221	6,337	21,558

Ohio	171,583	92,178	263,761

Oklahoma	63,606	27,776	91,382

Oregon	81,131	30,419	111,550

Pennsylvania	205,633	97,482	303,115

Rhode Island	22,096	7,663	29,759

South Carolina	72,043	34,635	106,678

South Dakota	18,839	6,850	25,689

Tennessee	86,991	49,594	136,585

Texas	346,045	176,291	522,336

Utah	52,244	19,189	71,433

Vermont	16,829	5,292	22,121

Virginia	134,612	63,104	197,716

Washington	133,446	48,761	182,207

West Virginia	26,362	13,279	39,641

Wisconsin	98,516	45,565	144,081

Wyoming	15,788	4,997	20,785

Source:  U.S. Census Bureau, “Number of Firms, Number of
Establishments, Employment, and Annual Payroll by Enterprise Employment
Size for the United States and States, Totals:  2008,” February 15,
2011.  Available online at:  http://www.census.gov/econ/susb/, last
accessed on February 23, 2011.  These are the latest Statistics of U.S.
Businesses (SUSB) annual data.

Attachment C-6

Application of Methodology to Existing Receiving Systems



Attachment C-7

Application of Methodology to New Receiving Systems

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

  Addressing State/Local agencies as “respondents” is consistent
with EPA’s interpretation of the definition of respondent in the
Paperwork Reduction Act (PRA).

  Ibid.

  Ibid.

  Title XVII of Pub. L. 105 277.

  Bureau of Labor Statistics; “Table 4. Employment Cost Index for
total compensation, for civilian workers, by occupational and
industry;” Employment Cost Index, Historical Listing, Continuous
Occupational and Industry Series, September 1975 – March 2011; April
29, 2011.  Available online at:   HYPERLINK
"http://www.bls.gov/web/eci/ecicois.pdf" 
http://www.bls.gov/web/eci/ecicois.pdf , last accessed on June 8, 2011. 
Civilian Workers, All Workers, March 2008=107.6 and March 2011=114.0.

  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, Continuous
Occupational and Industry Series, September 1975 – March 2011; April
29, 2011.  Available online at:   HYPERLINK
"http://www.bls.gov/web/eci/ecicois.pdf" 
http://www.bls.gov/web/eci/ecicois.pdf , last accessed on June 8, 2011. 
State and Local Government Workers, All Workers, March 2008=108.9 and
March 2011=116.6.

  Bureau of Labor Statistics, Table Containing History of CPI-U U.S. All
Items Indexes and Annual Percent Changes From 1913 to Present, May 13,
2011.  Available online at:    HYPERLINK
"ftp://ftp.bls.gov/pub/special.requests/cpi/cpiai.txt" 
ftp://ftp.bls.gov/pub/special.requests/cpi/cpiai.txt , last accessed on
June 8, 2011.  All items, March 2008=213.528 and April 2011=224.906.

  U.S. Postal Service; “First-Class Mail Prices.”  Available online
at:    HYPERLINK
"http://www.usps.com/prices/first-class-mail-prices.htm" 
http://www.usps.com/prices/first-class-mail-prices.htm , last accessed
on June 8, 2011.

  U.S. Postal Service; “Extra Services Prices.”  Available online
at:    HYPERLINK "http://www.usps.com/prices/extra-services-prices.htm" 
http://www.usps.com/prices/extra-services-prices.htm , last accessed on
June 8, 2011.

  Standard business envelope cost based on current market price, as of
March 7, 2011 (i.e., box of 500 standard business envelopes with gummed
closure at $8.99). 

  U.S. Postal Service; “First-Class Mail Prices.”  Available online
at:    HYPERLINK
"http://www.usps.com/prices/first-class-mail-prices.htm" 
http://www.usps.com/prices/first-class-mail-prices.htm , last accessed
on June 8, 2011.

  Standard business envelope cost based on current market price, as of
March 7, 2011 (i.e., box of 500 standard business envelopes with gummed
closure at $8.99). 

  Bureau of Labor Statistics, Table Containing History of CPI-U U.S. All
Items Indexes and Annual Percent Changes From 1913 to Present, May 13,
2011.  Available online at:    HYPERLINK
"ftp://ftp.bls.gov/pub/special.requests/cpi/cpiai.txt" 
ftp://ftp.bls.gov/pub/special.requests/cpi/cpiai.txt , last accessed on
June 8, 2011.  All items, March 2008=213.528 and April 2011=224.906.

  U.S. Postal Service; “First-Class Mail Prices.”  Available online
at:    HYPERLINK
"http://www.usps.com/prices/first-class-mail-prices.htm" 
http://www.usps.com/prices/first-class-mail-prices.htm , last accessed
on June 8, 2011.

  U.S. Postal Service; “Extra Services Prices.”  Available online
at:    HYPERLINK "http://www.usps.com/prices/extra-services-prices.htm" 
http://www.usps.com/prices/extra-services-prices.htm , last accessed on
June 8, 2011.

  Catalog envelope cost based on current market price, as of March 7,
2011 (i.e., box of 100 6” x 9” brown kraft catalog envelopes with
gummed closure at $8.79). 

  US Office of Personnel Management, “Base Hourly Rate,” 2011
General Schedule (Base), January 2011.  Available online at:   
HYPERLINK "http://opm.gov/oca/11tables/indexgs.asp" 
http://opm.gov/oca/11tables/indexgs.asp , last accessed on June 8, 2011.

  Based on EPA’s Capital Planning and Investment Control (CPIC) for
CDX.  Data current as of May 26, 2011.

  Based on data current as of May 26, 2011.

  Addressing State/Local agencies as “respondents” is consistent
with EPA’s interpretation of the definition of respondent in the
Paperwork Reduction Act (PRA).

  Ibid.

  Ibid.

  This assumption was taken from Cross-Media Electronic Reporting and
Records Rule (CROMERRR) Cost Benefit Analysis, Final, dated November 17,
2004.    

  This assumption was taken from Cross-Media Electronic Reporting and
Records Rule (CROMERRR) Cost Benefit Analysis, Final, dated November 17,
2004.    

  Ibid.

  This assumption was taken from Section 2.3.4.2 (page 29) of
Cross-Media Electronic Reporting and Records Rule (CROMERRR) Cost
Benefit Analysis, Final, dated November 17, 2004.

  Ibid.

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

  “Existing electronic document receiving system” means an
electronic document receiving system that is being used to receive
electronic documents in lieu of paper to satisfy requirements under an
authorized program on October 13, 2005 or the system, if not in use, has
been substantially developed on or before that date as evidenced by the
establishment of system services or specifications by contract or other
binding agreement (40 CFR 3.3).  Pursuant to 40 CFR 3.1000(a)(3),
States/Locals with an existing electronic document receiving system for
an authorized program must submit an application to revise or modify
such authorized program in compliance with 40 CFR 3.1000(a)(1) no later
than January 13, 2010.

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

  U.S. Census Bureau, “Number of Firms, Number of Establishments,
Employment, and Annual Payroll by Enterprise Employment Size for the
United States and States, Totals:  2008,” February 15, 2011. 
Available online at:  http://www.census.gov/econ/susb/, last accessed on
February 23, 2011.  These are the latest Statistics of U.S. Businesses
(SUSB) annual data.

  Bureau of Labor Statistics; Quarterly Census of Employment and Wages;
Number of Employees (US Total, All Industries, All Establishment Sizes);
2009 (Annual).  Available online at:    HYPERLINK
"http://data.bls.gov/pdq/querytool.jsp?survey=en" 
http://data.bls.gov/pdq/querytool.jsp?survey=en , last accessed on April
27, 2011.  

 PAGE   

 PAGE  1 

 PAGE  38 

Table 4 (continued)

Reasons for Change in Respondent Burden Hours from EPA ICR Number
2002.04 to EPA ICR Number 2002.05 a

 PAGE  37 

 PAGE  50 

A-  PAGE   \* MERGEFORMAT  2 

B-  PAGE   \* MERGEFORMAT  10 

 PAGE   

C-  PAGE   \* MERGEFORMAT  6 

C-  PAGE   \* MERGEFORMAT  1 

C-  PAGE   \* MERGEFORMAT  8 

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”)

C-  PAGE   \* MERGEFORMAT  16 

C-  PAGE   \* MERGEFORMAT  11 

C-  PAGE   \* MERGEFORMAT  13 

C-  PAGE   \* MERGEFORMAT  15 

Attachment C-5 (continued)

Number of Establishments (Facilities) by Employment Size, 2008

C-  PAGE   \* MERGEFORMAT  17 

Attachment C-6 (continued)

Application of Methodology to Existing Receiving Systems

C-  PAGE   \* MERGEFORMAT  18