SUPPORTING STATEMENT FOR
               EPA INFORMATION COLLECTION REQUEST NUMBER 2002.07
                 "CROSS-MEDIA ELECTRONIC REPORTING RULE"

                               December 14, 2017

                      Office of Environmental Information
                     U.S. Environmental Protection Agency
                            Washington, D.C. 20460

                               TABLE OF CONTENTS

1.	IDENTIFICATION OF THE INFORMATION COLLECTION	3
1(a)	TITLE AND NUMBER OF THE INFORMATION COLLECTION	3
1(b)	CHARACTERIZATION OF THE INFORMATION COLLECTION	3
2.	NEED FOR AND USE OF THE COLLECTION	5
2(a)	NEED AND AUTHORITY FOR THE COLLECTION	5
2(b)	PRACTICAL UTILITY AND USERS OF THE DATA	6
3.	NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA	8
3(a)	NONDUPLICATION	8
3(b)	PUBLIC NOTICE	8
3(c)	CONSULTATIONS	8
3(d)	EFFECTS OF LESS FREQUENT COLLECTION	9
3(e)	GENERAL GUIDELINES	10
3(f)	CONFIDENTIALITY	10
3(g)	SENSITIVE QUESTIONS	10
4.	THE RESPONDENTS AND THE INFORMATION REQUESTED	11
4(a)	RESPONDENTS AND NAICS CODES	11
4(b)	INFORMATION REQUESTED	11
5.	THE INFORMATION COLLECTED:  AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT	18
5(a)	AGENCY ACTIVITIES	18
5(b)	COLLECTION METHODOLOGY AND MANAGEMENT	19
5(c)	SMALL ENTITY FLEXIBILITY	19
5(d)	COLLECTION SCHEDULE	19
6.	ESTIMATING THE HOUR AND COST BURDEN OF THE COLLECTION	21
6(a)	ESTIMATING RESPONDENT BURDEN HOURS	21
6(c)	ESTIMATING AGENCY HOUR AND COST BURDEN	24
6(d)	ESTIMATING RESPONDENT UNIVERSE AND TOTAL HOUR AND
COST BURDEN	25
6(e)	BOTTOM LINE HOUR AND COST BURDEN	34
6(f)	REASONS FOR CHANGE IN BURDEN	35
6(g)	PUBLIC BURDEN STATEMENT	35
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 2002.07, 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/Tribes/Locals."  At the current time, EPA is aware of one tribal government that is planning to develop such a system during the next three years.

      CROMERR does not require any regulated entity to report electronically to EPA or States/Tribes/Locals.  CROMERR establishes requirements for utilizing electronic reporting as an alternative to paper-based reporting.  It does not require States/Tribes/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/Tribes/Locals must upgrade existing electronic document receiving systems or develop new electronic document receiving systems to meet 40 CFR 3.2000 requirements.  These States/Tribes/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/Tribes/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/Tribe/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/Tribe/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.

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/Tribe/Local Electronic Document Receiving System Applications

      EPA needs information submitted by States/Tribes/Locals in their program modification applications to evaluate the States/Tribes/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/Tribe/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/Tribe/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/Tribes/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/Tribe/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/Tribe/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/Tribe/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/Tribe/Local Electronic Document Receiving System Applications

      EPA uses the information submitted by States/Tribes/Locals in their program modification applications to evaluate the States/Tribes/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/Tribe/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.	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/Tribe/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 existing 40 CFR provisions.

      3(b)	PUBLIC NOTICE

[Note:  This section will be updated after review of public comments received in response to the Federal Register notice.]

	In compliance with the Paperwork Reduction Act of 1995 (PRA), EPA issued a public notice in the Federal Register on [INSERT DATE] ([INSERT FR CITATION]).  The notice indicated that EPA was planning to submit an ICR, "Cross-Media Electronic Reporting Rule" (EPA ICR No. 2002.07, OMB Control No. 2025 - 0003), to the Office of Management and Budget (OMB) for review and approval in accordance with the PRA.  The notice also requested comments on the information collection and burden estimates covered in the ICR.  The public comment period extended through [INSERT DATE].  EPA received [INSERT NUMBER] written comments on the ICR in response to the Federal Register notice.

      3(c)	CONSULTATIONS

[Note:  This section will be updated after consultations are finalized.  EPA plans to finalize consultations during the public comment period.]

      Most of the underlying assumptions in this ICR (e.g., hour and cost burden estimates) are based on EPA consultations with industry and States/Tribes/Locals during the development of CROMERR and renewal of previous CROMERR ICRs.  In developing this current ICR, EPA carefully reviewed all of the ICR's data and assumptions and determined that a few should be strengthened based on additional consultations.

      Table 1 identifies the organizations contacted.

                                    Table 1
Organizations EPA Contacted during the Development of this ICR
([INSERT DATE (MONTH AND YEAR])

                                 Organization
                                 Contact Name
                                 Phone Number

      The following paragraphs summarize the feedback obtained on the burden associated with various information collection activities.

      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/Tribe/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/Tribes/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/Tribe/Local Electronic Document Receiving System Applications

      CROMERR sets forth timeframes for EPA receipt, review, and approval of State/Tribe/Local program modification applications to implement electronic document receiving systems.  States/Tribes/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/Tribes/Locals are developing and using electronic document receiving systems that comply with CROMERR's provisions at 40 CFR 3.2000.

      3(e)	GENERAL GUIDELINES

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

      EPA notes that subscriber agreements must be kept on file until five years after deactivation of the associated electronic signature device.  A five-year retention period is necessary to ensure that such records are available in case of an EPA or State/Tribe/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/Tribe/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/Tribes/Locals that accept electronic documents to satisfy reporting requirements under the 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/Tribe/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/Tribe/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/Tribe/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/Tribe/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/Tribe/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/Tribe/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/Tribe/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/Tribe 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/Tribe/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/Tribe/Local receives a notice from EPA that its application is incomplete or does not satisfy the requirements at 40 CFR 3.2000, the State/Tribe/Local must submit an amendment to the original application that includes the missing information.

	A State/Tribe/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/Tribe/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/Tribe/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/Tribe/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/Tribe/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/Tribe/Local Electronic Document Receiving System Applications

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

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

          Process and file amendments to program modification applications submitted by States/Tribes/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/Tribes/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/Tribe/Local that the application is complete or identifies deficiencies in the application that render the application incomplete.  The State/Tribe/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/Tribe/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/Tribe/Local submitting the application.

      If a State/Tribe/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/Tribe/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, and consultations with industry and states.

	6(b)	ESTIMATING RESPONDENT COSTS

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

(1)	Labor Costs

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

       Direct Reporters, Indirect Reporters, Indirect Reporting Firms, and
Local Registration Authorities

	EPA estimates an average hourly respondent labor cost (including fringe and overhead) of $65.82 for legal staff, $42.19 for managerial staff, $41.83 for technical staff, and $18.40 for clerical staff.  These respondent labor costs were obtained from the previously approved CROMERR ICR (i.e., EPA ICR Number 2002.06, dated February 26, 2015), and adjusted to 2017 levels using Employment Cost Indexes developed by the Bureau of Labor Statistics.

       State/Tribe/Local Agencies

	EPA estimates an average hourly respondent labor cost (including fringe and overhead) of $44.09 for legal staff, $44.09 for managerial staff, $33.39 for technical staff, and $15.84 for clerical staff.  These respondent labor costs were obtained from the previously approved CROMERR ICR (i.e., EPA ICR Number 2002.06, dated February 26, 2015), and adjusted to 2017 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/Tribe/Local Agencies

	EPA anticipates that State/Tribe/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 $168,836, and that each tribal and local agency will incur a cost of $59,736.  The capital costs for state agencies were derived based on Exchange Network grant data submitted by states planning to build their CROMERR-compliant systems.  The capital costs for tribal and local agencies were obtained from the previously approved CROMERR ICR (i.e., EPA ICR Number 2002.06, dated February 26, 2015), and adjusted to 2017 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 tribal and 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/Tribes/Locals will incur a cost of $3.87 to mail a one-ounce letter by certified mail (i.e., $0.49 for first-class letter postage, $3.35 for the certified-mail fee, and $0.03 for standard business envelope)., ,

          EPA estimates that employee registrants that submit subscriber agreements to their LRA will incur a cost of $0.52 to mail a one-ounce letter using first-class mail (i.e., $0.49 for first-class letter postage and $0.03 for standard business envelope).[,]

          EPA estimates that indirect reporting firms will incur a cost of $2.86 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 2002.06, dated February 26, 2015), and adjusted to 2017 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/Tribe/Local Agencies

      For State/Tribe/Local agencies, O&M costs include mailing costs.  In particular, EPA estimates that State/Tribe/Local agencies submitting documentation to EPA (e.g., applications for program modification approval under 40 CFR 3.1000) will incur a cost of $6.15 to mail a nine-ounce large envelope by certified mail ($2.66 for first-class large envelope postage, $3.35 for the certified-mail fee, and $0.14 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 $67.57 for legal staff (GS-14, Step 5), $57.18 for managerial staff (GS-13, Step 1), $48.08 for technical staff (GS-12, Step 1), and $24.40 for clerical staff (GS-06, Step 1).  To derive these hourly estimates, EPA referred to the General Schedule (GS) Salary Table 2017.  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 $212,200 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 $0.72 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/Tribe/Local agencies that are regulated entities.

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

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

(1)	Respondent Universe

      EPA estimates that, in total, 175,047 respondents will be subject to the information collection requirements covered in this ICR.  This includes 152,458 direct reporters, 22,517 indirect reporters, 48 State/Tribe/Local agencies acting as regulators, and 24 State/Tribe/Local agencies that are regulated entities.  The following paragraphs provide additional information on how these respondent universe estimates were derived.

       Direct Reporter Employees

      EPA estimates that, each year, 152,458 direct reporters will be subject to the information collection requirements covered in this ICR.  This includes 83,745 direct reporter employees expected to register with CDX; 15,638 direct reporter employees expected to comply with identifier, attribute, or alternative method requirements; and 53,075 direct reporters expected to submit subscriber agreements.

      Table 2 presents information on the annual number of employee registrants expected to register with CDX during the three-year period covered by the ICR.  As shown in the table, EPA estimates that, on average, 83,745 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 2
Annual Number of Direct Reporter Employees Expected to Register with
EPA's CDX during the Three-Year Period Covered by the ICR

                              Respondent Universe
             Average Annual Number of New Employee Registrants [a]
Private Sector Entities
                                    77,089
State/Tribe/Local Agencies that are Regulated Entities
                                     6,656
                                                                          Total
                                    83,745
        [a]  Federal government employees are not reflected in the table because they are exempt from ICR requirements.

      Table 3 presents information on the estimated annual number of subscriber agreements to be submitted to EPA during the three-year period covered by the ICR.  As shown in the table, direct reporters have various options for complying with the subscriber agreement requirements covered in this ICR:

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

 Electronic subscriber agreement (ESA).  Direct reporters have the option of completing and submitting an ESA to CDX.  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.

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

                                    Table 3
Annual Number of Subscriber Agreements to Be Submitted to EPA
during the Three-Year Period Covered by the ICR [a]

                         Type of Subscriber Agreement
                 Annual Number of
Subscriber Agreements [b, c]
Private Sector Entities
Non-ESA Registrants
                                     3,430
ESA Registrants
                                    40,123
Reuse (Consolidated) ESA Registrants
                                     2,433
                                                                       Subtotal
                                    45,986
State/Tribe/Local Agencies that Are Regulated Entities
Non-ESA Registrants
                                      529
ESA Registrants
                                     6,185
Reuse (Consolidated) ESA Registrants
                                      375
                                                                       Subtotal
                                     7,089
Total
Non-ESA Registrants
                                     3,959
ESA Registrants
                                    46,308
Reuse (Consolidated) ESA Registrants
                                     2,808
                                                                          Total
                                    53,075
    [a]  Table includes rounding error.
    [b]  Table contains data provided by EPA's Office of Information Collection (OIC), and are current as of August 2017.
    [c]  Federal government employees are not reflected in the table because they are exempt from ICR requirements.

       Indirect Reporter Employees

      Table 4 presents information on the annual number of employee registrants expected to register and comply with identify proofing requirements of State/Tribe/Local electronic document receiving systems during the three-year period covered by the ICR.  As shown in the table, EPA estimates that, on average, 22,517 employees from indirect reporting facilities will register and comply with identify proofing requirements of State/Tribe/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 5 presents information on the annual number of employee registrants by type of firm.

      As shown in Table 4, EPA estimates that, on average, 11,860 employees from small firms and 10,657 employees from medium-size and large firms will register and comply with identify proofing requirements of State/Tribe/Local electronic document receiving systems each year.

      Appendix C provides detailed information on the methodology used to estimate the average annual number of indirect reporters for the three-year period covered by this ICR.

                                    Table 4
Annual Number of Indirect Reporter Employees Expected to Register and Comply with
Identify Proofing Requirements during the Three-Year Period Covered by the ICR

                                 Type of Firm
               Average Annual Number of Employee Registrants [a]
Private Sector Entities
Small Firms
                                    10,277
Medium-Size and Large Firms
                                     9,234
                                                                       Subtotal
                                    19,511
State/Tribe/Local Agencies that are Regulated Entities
Small Firms
                                     1,583
Medium-Size and Large Firms
                                     1,423
                                                                       Subtotal
                                     3,006
Total
Small Firms
                                    11,860
Medium-Size and Large Firms
                                    10,657
                                                                          Total
                                    22,517
        [a]  Federal government employees are not reflected in the table because they are exempt from ICR requirements.

       Indirect Reporting Firms

      As shown in Table 4, EPA estimates that, on average, 11,860 employees from small indirect reporting firms will register and comply with identify proofing requirements of State/Tribe/Local electronic document receiving systems each year.  Each small firm is expected to have an average of three employees, for a total of 3.953 small firms (i.e., 11,860 employees / 3 employees/firm).

      EPA also estimates that, on average, 10,657 employees from medium-size and large indirect reporting firms will register with State/Tribe/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 592 medium-size and large firms (i.e., 10,657 employees / 18 employees/firm).

       State/Tribe/Local Agencies Acting as Regulators

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

       States/Tribes/Locals Agencies That Are Regulated Entities

      Based on information currently available to EPA on the submission and approval of program modification applications under 40 CFR 3.1000 (i.e., CROMERR applications), EPA estimates that, on average, five States/Tribes/Locals (i.e., 3 state agencies, 1 tribal agency, and 1 local agency) will upgrade their existing electronic document receiving systems or develop new electronic document receiving systems and submit CROMERR applications each year.

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

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

      Based on the above information, EPA estimates that, each year, 24 State/Tribe/Local agencies will be regulated entities during the three-year period covered by this ICR.

(2)	Annual Respondent Burden

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

      EPA estimates that, on average, 83,745 employees of direct reporting facilities will register with EPA's electronic document receiving system each year.  EPA also estimates that, of the 83,745 employee registrants, approximately 10 percent (or 8,375) 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 estimates that, on average, 15,638 direct reporters will submit information on identifiers or attributes, or other identity-proofing information each year.

      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 3,959 paper subscriber agreements each year.  EPA also estimates that, of the 3,959 paper subscriber agreements prepared each year, 89 percent (3,524) will be from new and existing employee registrants (e.g., employees registering for the first time with a data flow); 10 percent (395) will be associated with employee turnover, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent (40) 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 46,308 ESAs each year.  EPA also estimates that, of the 46,308 ESAs prepared each year, 89 percent (45,137) will be from new and existing employee registrants (e.g., employees registering for the first time with a data flow); 10 percent (4,631) will be associated with employee turnover, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent (463) 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, 2,808 employee registrants from direct reporting facilities will reuse their ESA each year.  EPA also estimates that, of the 2,808 reuse (consolidated) ESAs, 89 percent (2,499) will be from existing employee registrants (e.g., existing employee registrants registering for the first time with a data flow); 10 percent (281) will be associated with employee turnover, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent (28) 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.

      Conduct On-Going Management

      EPA assumes that, of the 53,075 employee registrants from direct reporting facilities, three percent (1,592) 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 (11,860) and 98 percent of employee registrants from medium-size and large firms (10,657 x 0.98 = 10,444) will comply with the subscriber agreement requirements.  In addition, EPA estimates that indirect reporters submit information to 1.3 State/Tribe/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 28,995 subscriber agreements each year (i.e., [11,860 small firm employees + 10,444 medium-size and large firm employees] x 1.3 subscriber agreements/employee).

      EPA also estimates that, of the 28,995 subscriber agreements prepared each year, 89 percent (25,806) will be from new and existing employee registrants (e.g., employees registering for the first time with a data flow); 10 percent (2,900) will be associated with employee turnover, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent (290) 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/Tribe/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 277 subscriber agreements each year (i.e., [10,657 medium-size and large firm employees x 0.02] x 1.3 subscriber agreements/employee).

      EPA estimates that, of the 277 subscriber agreements prepared each year, 89 percent (246) will be from new employee registrants; 10 percent (28) will be associated with employee turnover, which requires the submittal of a new subscriber agreement by the employee replacement; and one percent (3) will be associated with a compromised electronic signature, which requires the submittal of a new subscriber agreement.

      Conduct On-Going Management

      EPA assumes that, of the 22,304 employee registrants from indirect reporting facilities (11,860 + 10,444 = 22,304), three percent (669) will have to work with States/Tribes/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 (592 x 0.02 =12) 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 12 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 277 subscriber agreements each year.  Of these 277 subscriber agreements, 246 will be from new employee registrants, 28 will be associated with employee turnover, and 3 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/Tribe/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 28,996 subscriber agreements each year.  This includes 25,806 subscriber agreements from new employee registrants, 2,900 subscriber agreements associated with employee turnover, and 290 subscriber agreements associated with a compromised electronic signature.  State/Tribe/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 277 subscriber agreements to their LRAs.  This includes 246 subscriber agreements from new employee registrants, 28 subscriber agreements associated with employee turnover, and 3 subscriber agreements associated with a compromised electronic signature.  State/Tribe/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, 12 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/Tribe/Local agencies will need to receive and approve these LRA applications.

      Conduct On-Going Management

      EPA estimates that, each year, State/Tribe/Local agencies will have to work with 669 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/Tribe/Local Agencies that Are Regulated Entities

      Read the Regulations

      EPA estimates that, on average, 24 States/Tribes/Locals will submit documentation to EPA associated with the approval of State/Tribe/Local electronic document receiving systems each year.  These States/Tribes/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/Tribes/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 three state agencies, one local agency, and one tribal agency.

      EPA further estimates that, of the three state agencies upgrading their existing electronic document receiving systems or developing new electronic document receiving systems, 80 percent (i.e., 3 x 0.80 = 2) will use commercial off-the-shelf (COTS) or shared CROMERR services (SCS) solutions.  The remaining 20 percent (i.e., 3 x 0.20 = 1) will develop their own systems.

      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 or Tribes 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 state agencies will submit a notification about changes to laws, policies, or electronic document receiving systems that have the potential to affect program conformance with 40 CFR 3.2000.  EPA does not anticipate that tribal or local agencies will submit this notification during the three-year period covered by this ICR.

	6(e)	BOTTOM LINE HOUR AND COST BURDEN

(1)	Respondent Tally

      Exhibits 3 and 4 summarize the total annual respondent hour and cost burden associated with all the requirements covered in this ICR.  Exhibit 3 presents information on the total estimated respondent hour and cost burden for all respondents.  Exhibit 4 presents information on the total estimated respondent hour and cost burden, by type of respondent.  As used in this document, the term "respondent" includes private sector and State/Tribe/Local entities.  As shown in the exhibits, EPA estimates the annual respondent burden to be 112,717 hours and $5,151,934.  The bottom line burden to respondents over three years is estimated to be 338,151 hours and $15,455,802.

(2)	Agency Tally

      Exhibit 5 summarizes the total annual EPA hour and cost burden associated with all the requirements covered in this ICR.  As shown in the exhibit, EPA estimates the annual agency burden to be 26,579 hours and $1,552,050.  The bottom line burden to the agency over three years is estimated to be 79,737 hours and $4,656,150.
       6(f)	REASONS FOR CHANGE IN BURDEN

      The annual respondent burden estimate in the previously approved CROMERR ICR (EPA ICR Number 2002.06) was 49,604 hours.  The annual respondent burden estimate for this ICR (EPA ICR Number 2002.07) is 112,717 hours.  This represents an increase of 63,113 hours.

      This increase in burden occurred primarily because, in developing this ICR, EPA accounted for the expected burden associated with the implementation of the e-Manifest system.  The e-Manifest system will be used for manifesting both federal and state hazardous waste.  (The e-Manifest Act extends the scope of the federal manifest program to include state hazardous waste, i.e., wastes regulated by a state but not EPA.)  Under the e-Manifest system, all respondents that manifest electronically must first register with the CDX.  In addition, respondents that intend to use a PIN/Password must prepare an electronic subscriber agreement.

      All changes in burden are considered "adjustments," since they resulted from changes in the size of the respondent universe used in the development of the ICR.
       6(g)	PUBLIC BURDEN STATEMENT

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

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

 Compliance with Identity Proofing Requirements  -  Direct and Indirect Reporters

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

      The reporting burden is estimated to range from 17 minutes to 25 minutes for a facility employee to prepare and submit a subscriber agreement.  The recordkeeping burden for the facility employee is estimated to be about 7 minutes to file an agreement on site.

 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/Tribe/Local Agencies Acting as Regulators

      The reporting burden is estimated to be 30 minutes for a State/Tribe/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/Tribe/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/Tribe/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/Tribe/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/Tribe/Local Electronic Document Receiving System
Applications  -  State/Tribe/Local Agencies that Are Regulated Entities

      The reporting burden is estimated to range from 20 hours to 331 hours for a State/Tribe/Local agency to prepare and submit the CROMERR application to EPA, depending on whether the State/Tribe/Local agency is planning to use a commercial off-the-shelf [COTS] or shared CROMERR services [SCS] solution, or develops its own electronic document receiving system).  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/Tribe/Local agency to prepare and submit an amendment to its original CROMERR application to EPA.  The recordkeeping burden is estimated to be 90 minutes to read the regulations.

      The reporting burden is estimated to be about 11 hours for a State/Tribe/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 [INSERT DOCKET NUMBER], 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<PHONE_NUMBER>, and the telephone number for the OEI Docket is<PHONE_NUMBER>.  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 [INSERT DOCKET NUMBER] and OMB Control Number 2025 - 0003 in any correspondence.

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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 (i.e., years 2018 through 2020).

 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 new employee registrants expected to register with CDX, EPA first estimated the annual number of new employee registrants under existing CROMERR data flows.  We then compiled information on the annual number of new employee registrants under the e-Manifest Act for the three-year period covered by the ICR.  Finally, we estimated the total annual number of new employee registrants for the three-year period covered by the ICR.

 Detailed Discussion

      EPA took the following steps to carry out the methodology.

 Estimate annual number of new employee registrants for existing CROMERR data flows.  EPA referred to CDX in order to compile historical information on the number of new employee registrants for years 2014 through 2016, by type of ownership.  We then estimated the annual number of new employee registrants for existing CROMERR data flows by averaging the number of new employee registrants over this time period.  Thus, we estimate that, each year, 36,196 new employee registrants (i.e., [25,524 + 45,286 + 37,780] / 3) will register with CDX for existing CROMERR data flows.

                                     Year
      Number of New Employee Registrants for Existing CROMERR Data Flows

                                Private Sector
                                 States/Locals
                                     Total
                                     2014
                                    25,245
                                      279
                                    25,524
                                     2015
                                    45,017
                                      269
                                    45,286
                                     2016
                                    37,409
                                      371
                                    37,780
                                    Average
                                    35,890
                                      306
                                    36,196

      Note that we excluded Federal Government registrants (employees) from the analysis because they are exempt from ICR requirements.

 Compile information on the annual number of new employee registrants under the e-Manifest Act.  EPA referred to the Manifest ICR to obtain information on the annual number of new employee registrants under the e-Manifest Act.  Based on the Manifest ICR, EPA estimates that, on average, there will be 47,549 new employee registrants per year under the e-Manifest Act over the three-year period covered by this ICR (i.e., 142,646 new employee registrants for years 2018 through 2020 / 3 years).

      For purposes of this analysis, we categorized the annual number of new employee registrants by type of ownership (i.e., private sector vs. State/Tribe/Local).  To do this, we referred to data published by the Bureau of Labor Statistics on the number of employees in the U.S.

        Annual Number of New Employee Registrants under e-Manifest Act
                                Private Sector
                             States/Tribes/Locals
                                     Total
                                    41,199
                                     6,350
                                    47,549

 Estimate total annual number of new employee registrants over the three-year period covered by the ICR.  We estimated the total annual number of new employee registrants over the three-year period covered by the ICR (i.e., years 2018 through 2020) by adding the annual number of new employee registrants for existing CROMERR data flows (i.e., 36,196) and the annual number of new employee registrants under the e-Manifest Act (i.e., 47,549).  As a result, we estimate that, each year, a total of 83,745 new employee registrants will register with CDX over the three-year period covered by this ICR.

 Results

      Exhibit B-1 presents information on the 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[a]

                              Respondent Universe
                               Annual Number of
                           New Employee Registrants

Private Sector
                                    77,089
States/Locals
                                     6,656
                                                                          Total
                                    83,745
              [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 estimated the annual number of subscriber agreements under existing CROMERR data flows.  We then compiled information on the annual number of subscriber agreements under the e-Manifest Act for the three-year period covered by the ICR.  Finally, we estimated the total annual number of subscriber agreements for the three-year period covered by the ICR.

 Detailed Discussion

      EPA took the following steps to carry out the methodology.

 Estimate annual number of subscriber agreements for existing CROMERR data flows.  EPA referred to CDX in order to compile historical information on the number of subscriber agreements for years 2014 through 2016.  We then estimated the annual number of subscriber agreements by averaging the number of subscriber agreements over this time period.

                                     Year
                    Annual Number of Subscriber Agreements

                          Paper
Subscriber Agreements
                       Electronic
Subscriber Agreements
                          Reuse
Subscriber Agreements
                                     Total
                                     2014
                                     2,245
                                    12,423

                                    14,668
                                     2015
                                     4,941
                                     9,462
                                     3,049
                                    17,452
                                     2016
                                     4,929
                                    10,694
                                     5,544
                                    21,167
                                    Average
                                     4,038
                                    10,860
                                     4,297
                                    17,762

      For purposes of this analysis, we categorized the annual number of new employee registrants by type of ownership (i.e., private sector vs. State/Tribe/Local).  To do this, we referred to data published by the Bureau of Labor Statistics on the number of employees in the U.S.  These data indicate that 84.94 percent of U.S. employees work for the private sector, 13.09 percent of employees work for States/Locals, and 1.97 percent of employees work for the Federal government.  We applied these percentages to the average number of subscriber agreements.  We then excluded the subscriber agreements from Federal Government employees from the analysis because Federal government employees are exempt from ICR requirements.

                               Type of
Ownership
                Average Annual Number of Subscriber Agreements

                          Paper
Subscriber Agreements
                       Electronic
Subscriber Agreements
                          Reuse
Subscriber Agreements
                                     Total
                                Private Sector
                                     3,430
                                     9,224
                                     2,433
                                    15,087
                             States/Tribes/Locals
                                      529
                                     1,422
                                      375
                                     2,325
                                                                          Total
                                     3,959
                                    10,646
                                     2,808
                                    17,413

 Compile information on the annual number of subscriber agreements under the e-Manifest Act.  EPA referred to the Manifest ICR to obtain information on the annual number of subscriber agreements under the e-Manifest Act.  Based on the Manifest ICR, EPA estimates that 75 percent of respondents that manifest electronically will use a PIN/Password and thus, will need to submit an electronic subscriber agreement.  Based on this, EPA estimates that, each year, 35,662 subscriber agreements will be submitted under the e-Manifest Act (i.e., 47,549 x 0.75).

    Annual Number of Electronic Subscriber Agreements under e-Manifest Act
                                Private Sector
                             States/Tribes/Locals
                                     Total
                                    30,899
                                     4,763
                                    35,662

 Estimate total annual number of subscriber agreements over the three-year period covered by the ICR.  We estimated the total annual number of subscriber agreements over the three-year period covered by the ICR (i.e., years 2018 through 2020) by adding the annual number of subscriber agreements for existing CROMERR data flows (i.e., 17,413) and the annual number of subscriber agreements under the e-Manifest Act (i.e., 35,662).  As a result, we estimate that a total of 53,075 subscriber agreements will be submitted annually over the three-year period covered by this ICR.

 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 [a]

                               Type of
Ownership
                 Total Annual Number of Subscriber Agreements

                          Paper
Subscriber Agreements
                       Electronic
Subscriber Agreements
                          Reuse
Subscriber Agreements
                                     Total
                                Private Sector
                                     3,430
                                    40,123
                                     2,433
                                    45,986
                                 States/Locals
                                      529
                                     6,185
                                      375
                                     7,089
                                                                          Total
                                     3,959
                                    46,308
                                     2,808
                                    53,075
   [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/Tribe/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/Tribe/Local electronic document receiving systems during the three-year period covered by the Information Collection Request (ICR).  Section 1 provides an overview of the methodology, Section 2 provides a detailed discussion of the methodology, and Section 3 presents the results.

 Overview

      EPA estimated the number of facilities reporting to State/Tribe/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 (2014) levels based on analysis of respondent universe growth rates in EPA program ICRs.  We then extrapolated the updated survey data to the states in the Master Table to estimate their number of facilities.  The extrapolation was performed by first finding the total number of commercial establishments in each state based on U.S. Census data, comparing the number of establishments in the survey states to the states in the Master Table, and using a scaling factor to extrapolate the number of facilities in the survey states to the states in the Master Table based on their respective number of commercial establishments.  We performed this extrapolation by environmental program for all states in the Master Table.  Finally, we estimated the number of employees based on the number of facilities.

 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 and new electronic document receiving systems, we referred to EPA's CROMERR Program and Stakeholder Management (PSM) System.  PSM is a custom implementation of a Salesforce.com platform that integrates database records, online file storage, multiple distinct spreadsheets, and email logs, to support the reduction of Technical Review Committee (TRC) and EPA's Office of Environmental Information (OEI) levels of effort in managing the application approval process.

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

                Existing Electronic
Document Receiving Systems
                   New Electronic
Document Receiving Systems
                                  System Type
                                 System Stage
                                  System Type
                                 System Stage
 Existing
 New
 Approval Review
 Completeness Review
 Draft Received
 EPA Approved
 Incomplete
 TRC Approved
 New
 Pending Receipt
 Scoping

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

Estimate the Number of Facilities, by State Environmental Program

 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 (2017), we took the following steps:
 Obtained data on annual number of respondents in the ICRs listed in Attachment C-3.  For each ICR, we obtained respondent universe estimates for at least two different years to enable us to estimate the annual percent change in the universe.
 Estimated the annual percent change in number of respondents for each ICR.
 Multiplied the annual percent change by 12 to estimate percent change over the 2002-2017 period.
 Applied the 2002-2017 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., 69 percent of establishments have less than 20 employees and 31 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 2018 through 2020 (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/Tribe/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 84.94 percent of U.S. employees work for the private sector, 13.09 percent of employees work for States/Locals, and 1.97 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/Tribe/Local receiving systems.

                                  Exhibit C-1
            Average Annual Number of Facility Employees Expected to
      Register with Existing and New State/Tribe/Local Receiving Systems
              during the Three-Year Period Covered by the ICR [a]

                                 Type of Firm
                Average Annual Number of Facility Employees [b]

                          Existing Receiving Systems
                             New Receiving System
                             All Receiving Systems
                           (i.e., Existing and New)
Private Sector
Small Firms
                                     5,142
                                     5,135
                                    10,277
Medium-Size and Large Firms
                                     4,622
                                     4,612
                                     9,234
                                                                       Subtotal
                                     9,764
                                     9,747
                                    19,511
States/Locals
Small Firms
                                      792
                                      791
                                     1,583
Medium-Size and Large Firms
                                      712
                                      711
                                     1,423
                                                                       Subtotal
                                     1,504
                                     1,502
                                     3,006
All (Private Sector and States/Locals)
Small Firms
                                     5,934
                                     5,926
                                    11,860
Medium-Size and Large Firms
                                     5,334
                                     5,323
                                    10,657
                                                                          Total
                                    11,268
                                    11,249
                                    22,517
[a]  Exhibit includes rounding error.
[b]  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/Tribe/Local Electronic Document
Receiving Systems, by State Environmental Program
(also referred to as the "Master Table")

                                     State
                               Existing Systems
                                  New Systems

                                      Air
                                     Water
                                     Waste
                                      Air
                                     Water
                                     Waste
Alabama

                                       X

Alaska
                                       X
                                       X

American Samoa

Arizona

                                       X

                                       X

Arkansas
                                       X
                                       X
                                       X

California
                                       X
                                       X

                                       X

Colorado

                                       X

Connecticut

                                       X

                                       X

Delaware
                                       X
                                       X
                                       X

District of Columbia
                                       X
                                       X
                                       X
                                       X

Florida
                                       X
                                       X
                                       X

Georgia
                                       X
                                       X

Guam

Hawaii

                                       X

                                       X

Idaho
                                       X

Illinois
                                       X
                                       X

Indiana
                                       X
                                       X
                                       X

Iowa
                                       X
                                       X

Kansas
                                       X
                                       X
                                       X

Kentucky
                                       X
                                       X
                                       X

Louisiana

                                       X

Maine

                                       X

Maryland

                                       X

Massachusetts
                                       X
                                       X
                                       X

                                       X
Michigan
                                       X
                                       X
                                       X

Minnesota
                                       X
                                       X
                                       X

Mississippi
                                       X
                                       X
                                       X

Missouri [b]
                                       X
                                       X
                                       X

                                       X

Montana

                                       X

Nebraska

                                       X
                                       X

Nevada

                                       X
                                       X

New Hampshire

                                       X

New Jersey
                                       X
                                       X
                                       X

New Mexico
                                       X

New York
                                       X
                                       X
                                       X

North Carolina
                                       X
                                       X

                                       X
                                       X

North Dakota

                                       X

Northern Mariana Islands