SECTION I: PART A OF THE SUPPORTING STATEMENT

1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title and Number of the Information Collection

Participation by Disadvantaged Business Enterprises in Procurement under EPA 

Financial Assistance Agreements (Reinstatement)

ICR Number 2047.04, OMB Number 2090-0030

1(b) Short Characterization

EPA currently requires an entity to be certified in order to be considered a Minority

Business Enterprise (MBE) or Woman Business Enterprise (WBE) under EPA’s Disadvantaged 

Business Enterprise (DBE) Program for its financial assistance programs. EPA currently requires an 

entity to first try to become certified by a federal agency (e.g., the Small Business Administration 

(SBA), or the Department of Transportation (DOT)), or by a State, locality, Indian Tribe or 

independent private organization so long as their applicable criteria match those under Section 

8(a)(5) and (6) of the Small Business Act and applicable implementing regulations. EPA only

certifies firms that cannot get certified by one of these entities. Accordingly, EPA, working through 

Contractors (“EPA Private Certifiers”), may certify some MBE and WBE contractors. To qualify as 

an MBE or WBE under EPA’s programs an entity must establish that it is owned and/or controlled 

by socially and economically disadvantaged individuals who are of good character and are citizens 

of the United States. 

EPA also requires that financial assistance agreement recipients require its prime contractor 

to provide EPA Form 6100– 2—DBE Program Subcontractor Participation Form to all of its DBE 

subcontractors. EPA Form 6100–2 gives a DBE subcontractor the opportunity to describe the work 

the DBE subcontractor received from the prime contractor, how much the DBE subcontractor was 

paid and any other concerns the DBE subcontractor might have, for example reasons why the DBE 

subcontractor believes it was terminated by the prime contractor. DBE subcontractors may send 

completed copies of EPA Form 6100–2 directly to the appropriate EPA DBE Coordinator. The 

requirements to complete these forms are intended to prevent any ‘‘bait and switch’’ tactics at the 

subcontract level by prime contractors which may circumvent the spirit of the DBE Program

EPA is revising the contract administration forms associated with the Disadvantaged 

Business Enterprise (DBE) Program: EPA Form 6100–2–DBE Program Subcontractor Participation 

Form, 6100–3–DBE Program Subcontractor Performance Form, and 6100–4–DBE Program 

Subcontractor Utilization Form. 

Since the EPA DBE Rule was codified on May 27, 2008, EPA has only certified two firms. 

Consequently, there are no proposed changes to the current EPA DBE Certification Applications: 

the EPA DBE Certification Application (EPA Form 6100–1a) (Sole Proprietorship), the EPA DBE 

Certification Application (EPA Form 6100–1b) (Limited Liability Company), the EPA DBE 

Certification Application (EPA 6100–1c) (Partnerships), the EPA DBE Certification Application 

(EPA Form 6100–1d) (Corporations), the EPA DBE Certification Application (EPA Form 6100–
2

1e) (Alaska Native Corporations), the EPA DBE Certification Application (EPA Form 6100–1f) 

(Tribally Owned Businesses), the EPA DBE Certification Application (EPA Form 6100–1g) 

(Private and Voluntary Organizations), the EPA DBE Certification Application (EPA Form 6100–

1h) (Concerns owned by Native Hawaiian Organizations), and the EPA DBE Certification 

Application (EPA Form 6100–1i) (Concerns Owned by Community Development Corporations), as 

they are rarely used.

Reporting and recordkeeping requirements for EPA’s existing MBE and WBE specific 

provisions in 40 CFR Parts 30 and 31 are covered by existing ICR control number 2090-0030, with 

an expiration date of December 22, 2013. That ICR encompasses EPA’s MBE/WBE Reporting 

Form for MBE/WBE Utilization under Federal Grants, Cooperative Agreements, and Interagency

Agreements for all EPA financial assistance programs, Form 5700-52A. That ICR is not 

superseded by this ICR and will remain in effect.

MBE/WBE reporting and recordkeeping requirements for EPA’s Clean Water State 

Revolving Fund (CWSRF) Program codified in 40 CFR 35.3145(d) and (e) are covered by ICR 

control number 2040-0118; MBE and WBE reporting and recordkeeping requirements for EPA’s 

Drinking Water State Revolving Fund (DWSRF) Program, codified in 40 CFR 35.3575(d) are 

covered by ICR control number 2040-0185; and MBE/WBE reporting and recordkeeping 

requirements for EPA’s Superfund Program regulations are covered by ICR control number 2050-

0179. Those ICRs are not superseded by this ICR and will remain in effect.

 This ICR examines the respondent reporting requirements, associated hour, and cost 

burden of the current rule for the certification and related contract administration requirements. 

Increases in burden for existing ICRs resulting from the existing rule that are not certification or 

contract administration-related (e.g. reporting and recordkeeping) will be addressed in renewals for 

the existing ICRs.

1(c) Reinstatement Justification

The following forms have been modified: EPA Forms 6100–2, 6100-3, and 6100-4.

These forms were revised to mitigate any confusion regarding who should fill out the forms 

and how they should be completed. Instructions were added to each form and minor changes were 

made to the body of each form to make them more easily understood. The information captured on 

each form remains the same.

 

2. NEED/AUTHORITY FOR THE COLLECTION

(2)(a) Need/Authority for this Collection

This ICR is for the purpose of ensuring that EPA’s statutory DBE procurement goal 

requirements are implemented in harmony with the United States Supreme Court’s decision 

in Adarand Constructors, Inc. v. Pena, 115 S. Ct. 2097 (1995).

EPA’s legal authorities for its DBE Program are:
3

Public Law 102-389, a 1993 appropriations act (42 U.S.C. §4370d) (EPA’s 8% statute), which 

provides in pertinent part:

“The Administrator of the Environmental Protection Agency shall, hereafter, to the 

fullest extent possible, ensure that at least 8 per centum of Federal funding for prime 

and subcontracts awarded in support of authorized programs, including grants, loans 

and contracts for wastewater treatment and leaking underground storage tanks 

grants, be made available to business concerns or other organizations owned or 

controlled by socially and economically disadvantaged individuals (within the 

meaning of Section 8(a)(5) and (6) of the Small Business Act (15 U.S.C. § 637 

(a)(5) and(6)), including historically black colleges and universities. For purposes of 

this section, economically and socially disadvantaged individuals shall be deemed to 

include women.”

Public Law 101-549, Title X of the Clean Air Act Amendments of 1990 (42 U.S.C. §7601 note) 

(EPA’s 10% statute), which provides in pertinent part:

“In providing for any research relating to the requirements of the amendments made 

by the Clean Air Act Amendments which use funds of the Environmental Protection 

Agency, the Administrator of the Environmental Protection Agency shall, to the 

extent practicable, require that not less than 10 percent of the total Federal funding 

for such research will be made available to disadvantaged business concerns.”

2(b) Practical Utility/Users of the Data

The contract administration forms associated with the Disadvantaged Business 

Enterprise (DBE) Program are designed to prevent unfair practices that adversely 

affect DBEs. The forms are to be completed by the prime contractor and submitted 

to either the EPA DBE Coordinator or the financial assistance agreement recipient. 

The data that is collected will allow EPA to monitor the contractor’s DBE 

utilization. 

3. NON DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

3(a) Non Duplication

All of the information collected pursuant to this ICR is specific to the associated 

rulemaking. To the extent MBEs and/or WBEs are certified by another Federal agency, there is no 

duplication of effort involved for them to become certified under this rulemaking since they are not 

required to obtain EPA certification under those circumstances. 

3(b) Public Notice Required Prior to ICR submission to OMB

In compliance with the Paperwork Reduction Act (PRA) (44 U.S.C. 3501 et seq.), 

EPA has notified the public through the Federal Register notice on the renewal of this ICR (See 77 
4

FR 32087, May 31, 2012). The Docket ID No. for the notice is EPA-HQ-OA-2006-0278, and can 

be accessed at www.regulations.gov. There were no comments received.

3(c) Consultations

OSBP consulted with the EPA DBE Regional Coordinators and solicited comments in June 2011 to 

revise the EPA Forms 6100–2, 6100-3, and 6100-4. The Coordinators who provided comments are 

as follows:

1 (CT, ME, RI, MA, NH, VT) Larry Wells wells.larry@epa.gov

2 (NJ, NY, PR, VI) Michele Junker

Peggy DeLuca

junker.michele@epa.gov

deluca.peggy@epa.gov

3 (DE, VA, MD, PA, DC, WV) Kinshasa "Shasa" BrownPerry

brownperry.kinshasa@epa.gov

4 (AL, FL, GA, KY, MS, NC, SC, 

TN) Charles Hayes hayes.charles@epa.gov

5 (IL, IN, MI, MN, OH, WI) Adrianne Callahan callahan.adrianne@epa.gov

6 (AR, LA, NM, OK, TX) Debora Bradford bradford.debora@epa.gov

7 ( MO, NE, IA, KS) Chester Stovall stovall.chester@epa.gov

8 (CO, MT, WY, SD, ND, UT) Marshell Pullman pullman.marshell@epa.gov

9 (AZ, HI,CA, NV) Tiffanie Pang

Joe Ochab

pang.tiffanie@epa.gov

ochab.joe@epa.gov

10 (AK, ID, OR, WA) Greg Luchey luchey.greg@epa.gov

EPA Headquarters Al Demarcki demarcki.al@epa.gov

Research Triangle Park, NC Jerry Dodson dodson.jerry@epa.gov

Cincinnati Billy Oden oden.billy@epa.gov

OSBP also consulted with Wendy Waskins (wendy.waskin@des.nh.gov) at the New 

Hampshire Department of Environmental Services and Jan Bevins (jan.bevins@metc.state.mn.us) 

at the Metropolitan Council (Minnesota) and their feedback was considered as the revised forms 

were created.

EPA also consulted with the EPA DBE Coordinators on the DBE Certification Applications 

(6100-1a, -1b, -1c, -1d, -1e, -1f, -1g, -1h-, -1i) in July 2011. There were no suggested changes 

relates to these forms.

3(d) Effects of Less Frequent Collection 

 

This rule does not impose any additional reporting and recordkeeping requirements on 

MBE/WBE achievements that are not already covered by existing ICR 2030-0020 which covers 

“MBE/WBE Utilization under Federal Grants, Cooperative Agreements, and Interagency

Agreements,” EPA Form 5700-52A. To the extent additional burden is imposed, EPA will adjust 

the burden hours when its existing Grants, Cooperative Agreements and Interagency Agreements 

ICR 2030-0020 is renewed as well as when the other ICRs which encompass MBE/WBE reporting 

and recordkeeping are renewed. The certification information collection activities are activity 
5

based. No lower frequency of filing an affidavit regarding an entity’s status under section 

33.210(a) is possible.

The requirement under section 33.302(e) for a recipient to provide EPA Form 6100-2 DBE 

Program Subcontractor Participation Form to all DBE subcontractors giving them the opportunity

to describe the work they received from the prime contractor, how much the DBE subcontractor 

was paid, and any other concerns the DBE Subcontractor might have, is activity based.

The requirement under section 33.302(f) for a recipient to require its prime contractor to 

have any anticipated DBE subcontractors complete EPA Form 6100-3 DBE Subcontractor 

Performance Form is activity based.

The requirement under section 33.302(g) for a recipient to require its prime contractor to 

complete and submit EPA Form 6100-4 DBE Program Subcontractor Utilization Form as part of 

the prime contractor’s bid or proposal package is activity based.

The requirement under section 33.201 for an EPA financial assistance recipients’ MBE or 

WBE prime or subcontractor to be certified under EPA’s DBE Program is activity based.

3(e) General Guidelines

This rulemaking is consistent with OMB’s General Guidelines.

3(f) Confidentiality

Information gathered as part of the certification process that may reasonably be regarded as 

proprietary or other confidential business information will be safeguarded from disclosure to 

unauthorized persons, consistent with applicable Federal, State and local law. EPA has regulations 

concerning confidential business information. See 40 CFR Part 2 Subpart B.

3(g) Sensitive Questions

The requirements do not involve information of a sensitive nature.

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a) Respondents/NAICS Codes

The respondents to this collection are entities in the fields of construction, equipment, 

services and supplies, who are intend on being prime contractors or subcontractors on EPA funded 

projects. The respondents include:

Category of respondents NAICS Code

Architectural, engineering and 

other related services 5413 
6

Architectural services (designing

and planning the development of land) 541320

Remediation services and 

other waste management services 56291

Hazardous waste treatment and disposal 562211

 

Testing laboratories 541380

Wastewater remediation 562211

Construction equipment

(wholesale) 421810

Construction engineering 

services 541330

Computer peripheral equipment 421430

Computer systems design

programming services 541511

Computer systems design services 541512

Highway and street construction

(Includes roadwork) 234110

All other heavy construction 234990

Water sewer and pipeline

construction 234910

Water treatment equipment

(wholesale) 421850

Environmental consulting 541620

Management consulting services 541618

Soil testing 562910

Water, supply and irrigation

systems (water filtration) 221310
7

Sewage treatment facilities 221320

Hazardous waste treatment and

disposal 562211

Long distance trucking of waste 56211

Office supplies 453210

Office machinery and equipment

rental or leasing 532420

4(b) Information Requested

(i) Data Items, Including Recordkeeping Requirements

Information requested as a result of this revision relate to the forms which are required if 

there are DBE subcontractors involved in a procurement under sections 33.302(e), (f) and (g). 

EPA currently certifies the following types of: 1. disabled American-owned firms under 

EPA’s 10% statute; 2. private and voluntary organizations controlled by individuals who are 

socially and economically disadvantaged under EPA’s 10% statute; 3. women-owned businesses 

under EPA’s 8% and 10% statutes who cannot get certified under DOT or SBA size criteria (EPA 

does not have size criteria) or by a State Government, Indian Tribal Government or independent 

private organization consistent with EPA’s 8% or 10% statute as applicable; 4. DBE owned or

controlled businesses under EPA’s 8% statute (note-SBA and DOT require a DBE to be owned and 

controlled by socially and economically disadvantaged individuals. (as does EPA’s 10% statute)); 

and 5. Entities which are certified under criteria which are inconsistent with EPA’s DBE program 

criteria. It is important to note that to qualify as an MBE or WBE under EPA programs an entity 

must establish that it is owned and/or controlled by socially and economically disadvantaged 

individuals who are of good character and citizens of the United States.

An entity may apply directly to EPA, or through an EPA Private Certifier, to be certified as 

an MBE or WBE. EPA’s Regional Offices will provide further information and required 

application forms to any entity interested in becoming certified by EPA.

(ii) Respondent Activities

EPA currently uses separate “EPA DBE Certification Application” forms depending on the 

entity seeking to be certified (EPA Form 6100-1a for sole proprietorships, EPA Form 6100-1b for 

limited liability companies, EPA Form 6100-1c for partnerships, EPA Form 6100-1d for 

corporations, EPA Form 6100-1e for Alaska Native Corporations (ANCs), EPA Form 6100-1f for 

Tribally owned concerns, EPA Form 6100-1g for private and voluntary organizations owned by

individuals who are socially and economically disadvantaged, EPA Form 6100-1h for concerns 

owned by Native Hawaiian organizations, and EPA Form 6100-1i for concerns owned by 
8

community development corporations). This approach is consistent with the approach taken by 

SBA in its SDB certification program. The information will be used to evaluate the MBE and/or 

WBE status of applicants. 

EPA Form 6100-2 - DBE Program Subcontractor Participation Form, under section 

33.302(e), gives a subcontractor the opportunity to describe the work the subcontractor received 

from the prime contractor, how much the subcontractor was paid and other concerns the 

subcontractor might have, for example reasons why the subcontractor believes it was terminated by 

the prime contractor. The information is used to evaluate whether prime contractors have tried to 

game the system by using “bait and switch” tactics in representing they would use MBE/WBE 

subcontractors without actually doing so; the information will also be used to determine whether 

any changes in EPA oversight are needed.

EPA Form 6100-3 - DBE Subcontractor Performance Form, under section 33.302(f), and 

EPA Form 6100-4 - DBE Program Subcontractor Utilization Form under section 33.302(g), are 

intended to prevent any “bait and switch’ tactics at the subcontract level by prime contractors which 

may circumvent the spirit of the DBE Program.

5. THE INFORMATION COLLECTED-AGENCY ACTIVITIES, COLLECTION, 

METHODOLOGY, AND INFORMATION MANAGEMENT 

The following section discusses how EPA or an EPA Private Certifier collects and manages

the information received from respondents.

5(a) Agency Activities

EPA reviews certification applications to determine whether an entity is owned and/or 

controlled by one or more individuals claiming disadvantaged status. EPA or an EPA Private 

Certifier advises each applicant, within 15 days, whenever practicable, after receipt of an 

application, whether the application is complete and suitable for evaluation, and if not, what 

additional information or clarification is required, in accordance with Section 33.205(b). EPA 

makes its certification decision within 30 days of receipt of a complete application package, 

whenever practicable, in accordance with Section 33.205(b).

EPA will safeguard confidential business information in accordance with 40 CFR Part 2, 

Subpart B, “Confidentiality of Business Information.”

5(b) Collection Methodology and Management

EPA uses the forms to evaluate MBE/WBE certifications. Similar forms, consisting of 

separate forms for corporations, partnerships, limited liability corporations, sole proprietorships, 

Alaska Native Corporation (ANC) owned concerns, and Tribally owned concerns, were approved 

by OMB, ICR control Number 3245-0317, for SBA’s SDB certification program. EPA also uses a 

separate form for private and voluntary organizations owned by individuals who are socially and 
9

economically disadvantaged because they are a separately designated group under EPA’s 10% 

statute whose structure as organizations is different from the other types of entities being certified. 

EPA is also uses separate forms for concerns owned by Native Hawaiian Organizations and 

Community Development Corporation-owned concerns because these entities may be certified 

under SBA’s 8(a) Business Development Program. EPA’s 8% statute is tied to Section 8(a)(5) and 

(6) of the Small Business Act. These EPA forms are patterned along the lines of the other EPA 

certification forms being submitted. EPA will store the data in OSDBU’s office space. This 

collection of information does not involve the use of automated, electronic, mechanical or other 

forms of technological collection which permits electronic submission of responses.

5(c) Small Entity Flexibility

EPA’s DBE Program is aimed at providing contracting opportunities for small businesses 

owned and/or controlled by socially and economically disadvantaged individuals, among others 

(e.g., historically black colleges and universities) (HBCUs). EPA believes that the effect of the rule 

on small entities, including small government jurisdictions, is minimal. Additionally, under this 

rule, small entity recipients use State Agency negotiated MBE/WBE goals if such recipients solicit 

bids/offers from a substantially similar geographic market as that State Agency. Accordingly, EPA 

believes the economic impact of this rule on small entities is minimal.

In EPA’s view, this rule does not affect the total funds or business opportunities available to 

small businesses that seek to work under EPA financial assistance programs. 

EPA is unaware of any data which would enable the Agency at this time to measure the 

distributive effects of the rulemaking proposal on various types of small entities. In the preamble to 

the rule, EPA stated that the agency continues to be interested in the potential impacts of the rule on 

small entities and welcomes comments on issues related to such impacts, including comments 

related to the financial and time burden associated with the requirements (including actual hours 

and dollars). 

5(d) Collection Schedule

Once certified by EPA, an entity will generally remain on EPA’s list of certified MBEs and 

WBEs for a period of three years from the date of its certification. To remain on EPA’s list after 

three years, an entity would have to submit a new application and receive a new certification.

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6(a) Estimating Respondent Burden for Affected MBEs/WBEs

Table 6-1 presents the estimated respondent burden and costs for the information collection 

activities associated with this rule.

A conservative (high cost) scenario estimate is presented for the number of respondents as 
10

well as their burdens and costs. Each of EPA’s 12 grant-making offices (10 regions, headquarters, 

and Cincinnati) reported on their 5700-52A forms, “MBE/WBE Utilization under Federal Grants, 

Cooperative Agreements, and Interagency Agreements”, the number of MBEs/WBEs utilized in 

procurement under these agreements. The total number of tribal MBEs/WBEs is unknown since 

fewer than 10% of tribes submitted reports. In the absence of more complete information, this 

analysis assumes that the total number of tribal MBEs/WBEs is equal to the total number of 

MBEs/WBEs reported by all grant and loan recipients. The number of MBEs/WBEs needing to be 

certified under affected tribal programs is likely to be smaller than the 3,208 reported by grant and 

loan recipients. Likewise, information on the number of affected MBEs/WBEs in the five Insular 

areas is not available. The analysis assumes the number of affected MBEs/WBEs for each Insular 

area is equal to the average number of affected MBEs/WBEs per State, which is 63 MBEs/WBEs. 

As seen in Table 6-1, the total number of affected MBEs/WBEs expected to incur costs to 

certify is 6,731 in the next three years of the program. This is believed to be a conservative number, 

because many of these same MBEs/WBEs will already be certified, e.g., by Small Business 

Administration (SBA) or Department of Transportation (DOT) programs, and would therefore not 

be required to incur additional expenses to be certified under this rule. In addition, it is expected that 

a substantial number of MBEs/WBEs participate in more than one procurement issued under the 

variety of related government grant and loan programs. In these cases, the MBEs/WBEs would not 

be required to incur the same costs to be recertified, since they would have already met the 

requirements under a separate procurement. Therefore, for purposes of calculating the total costs for 

the three-year period covered by the ICR, we assume that the cost estimated for the past three years

is a suitable estimate for the total cost to MBEs/WBEs required to certify over the next three yearperiod of the ICR. The average annual burden and costs are estimated by spreading the first year cost 

over the three-year period of the ICR, yielding a total annual average burden of 56,092 hours and 

$2,916,767 in costs.

The burden hours and costs of filling out MBE/WBE certification forms for this rule are also 

likely to be lower than these estimates because the numbers are derived from information provided 

by the DOT’s ICR estimates for certification in its analysis of burden hours (25 hours per 

certification) and costs ($1,300 per certification) under 49 CFR Part 26. EPA’s certification forms 

are more similar to the SBA’s Small Disadvantaged Business (SDB) Certification Application 

Forms (OMB control number 3245-0317). The SBA forms were expected to take three hours to 

complete. Also, a certified MBE/WBE would have to file an annual affidavit affirming that no 

changes in circumstances had occurred which would have affected the entity’s status as an MBE or 

WBE. It is estimated that this would take about 30 minutes to complete. Therefore, allowing for the 

three hours for the EPA certification application forms, and the half-hour to complete the annual 

affidavit, the total time that might be required to complete the information collection activities 

associated with this rule will be considerably less than the 25 hours necessary to complete the DOT 

certification requirements. Nevertheless, in order to provide a conservative estimate of the burden in 

the ICR of the rule, the analysis uses the 25 hour and $1,300 cost estimate derived from the DOT 

analysis.
11

Table 6-1. Total Labor Burden and Costs to MBE/WBE for Certification under State, Tribal 

and Insular Funding Programs

Activities Total Estimated Burden and Cost for the 

Three Year Period ICR is Effective

Average Annual Estimated Burden 

and Cost

Number of 

Affected 

MBE & 

WBE 

entities

Number of 

Hours

Dollars Number 

of 

Affecte

d MBE/ 

WBE 

entities

Number 

of Hours

Dollars

MBE & 

WBEs

under grant 

& loan 

programs

3208 80,200

(25*3208)

$4,170,000

(3208*$1,300)

1,069 26,733 $1,390,133

MBE & 

WBE 

under 

Tribal 

funded 

programs

3208

(same as 

State total; 

~ 6 per 

tribal 

govt.)

80,200

(25*3208)

$4,170,400

(3208*$1,300)

1,069 26,733 $1,390,133

MBE & 

WBE 

under 

Insular 

funded 

Programs

315

(5*63)

7,875

(25*315)

 $409,500

(315*$1,300)

105 2,625 $136,500

Total 

Labor 

Burden 

and Costs 

for MBE & 

WBE

6,731 168,275 $8,750,300 2,244 56,092 $2,916,767

Average Annual Labor Burden and Cost per MBE & WBE 25 hours $1,300

Key Assumptions:

· All affected MBEs/WBEs have not already been certified by another eligible institution 

[likely to result in an overestimate of burden and cost].
12

· No additional MBEs/WBEs seek certification within the next three year period for the ICR 

[likely to result in an underestimate of burden and cost].

· Number of burden hours to complete certification forms (25 hours) is significantly greater 

than the estimate developed for SBA form (3 hours) [likely to result in an overestimate of 

burden and cost].

6(b) Estimating all Grant Recipient Burden and Costs and Loan Recipient Burden and Costs

The Agency has used a conservative set of assumptions to calculate the costs to all EPA 

grant and loan recipients that will have to perform an availability analysis to meet the requirements 

of the rule. To estimate the number of affected recipients, the Agency used information assembled 

for the total number of grant and loan recipients receiving $250,000 or more from EPA over recent 

representative years. We used data from Fiscal Year 1999 for affected governments and nongovernmental entities receiving grants, and Fiscal Year 2000 for affected governmental and nongovernmental entities receiving loans. Using burden and cost data provided on sample availability

analyses prepared by State government agencies, we estimated the median cost of an availability 

analysis used to comply with the rule would require 265 burden hours at a cost of $5,300 (using an 

average labor cost of $20 per hour).

Table 6-2 provides the burden and cost estimates for affected grant and loan recipients. We 

assume that States, Tribes and Insular governments will develop their availability analyses once over 

the next three-year period of the ICR. Hence, there are no affected recipients in years two and three. 

For non-governmental grant recipients affected by this rule, we believe 325 will need to prepare an 

availability analysis in the first year. However, we expect that in the second and third years only half 

as many will need to prepare one. 

We expect the number of loan recipients needing to prepare an availability analysis in the 

third year (822) to remain at that level in years two and three, for a combined total of 2,466 and 

$13,069,800 over the next three-year period of the ICR.

The total labor burden and cost estimates for preparing an availability analysis for grant and 

loan recipients are 836,137 hours and $16,722,749 over the next three-year period of the ICR.

In addition to the availability analysis, recipients also have contract administration 

requirements under the rule. The forms listed below have been modified to include instructions 

which should mitigate confusion and decrease the amount of time it takes to complete each form. 

Consequently, each contract administration form is now expected to take approximately 10 minutes 

to complete. 

1) DBE Program Subcontractor Participation Form,

2) DBE Program Subcontractor Performance Form, and

3) DBE Program Subcontractor Utilization Form.
13

In addition, a recipient has to review the existing list of HUBZone contractors maintained by 

the SBA and attempt to solicit such companies as part of the recipient’s good faith efforts. It is 

estimated that this process will take 30 minutes to complete. A recipient is also required to create 

and maintain a bidders list. This requirement would take approximately15 minutes to complete. 

Recordkeeping requirements of the rule take approximately 30 minutes. Therefore approximately

one hour and fifty-five minutes would be required to complete these information collection 

activities. We conservatively estimate that the additional two hours would be necessary for each 

grant and loan recipient each year of the ICR. The annual average burden and cost of the rule are 

estimated to be 278,713 hours and $5,574,250 as a consequence of the rule. 

Table 6-2. Total Labor Burden and Costs to Affected Grant and Loan Recipients

Activities Total Estimated Burden and Cost for the

Three Year Period ICR is Effective

Average Annual Burden and Cost

Number of 

Affected 

Recipients

Number of 

Hours

Dollars Number 

of 

Affected 

Recipien

ts

Number 

of Hours

Dollars

Grants 

Recipients:

States, 

Tribes, & 

Insular govt

Year 

1

161 42,665 

(265*161)

$853,300 54 14,222 $284,433

Years 

2+3

0 0 0

SubTotal

161 42,665 $853,300

Grants 

Recipients: 

NonGovernment

Year 

1

325 86,125 

(265*325)

$1,722,500 163 43,107 $862,133

Years 

2+3

163 43,195

(265*163)

$863,900

SubTotal

488 129,320 $2,586,400

Loan 

Recipients: 

SRFdrinking & 

wastewater; 

Brownfields

Year 

1

822 217,830 

(265*822)

$4,356,600

822 217,830 $4,356,600

Years 

2+3

1644 435,660

(265*1644)

$8,713,200

SubTotal

2466 653,490 $13,069,800
14

All 

recipients–

other 

activities

Years 

1-3

2293 10,662

(2293*1.55

hrs*3yrs)

$213,249 764 3554 $71,080

Total Labor 

Burden and 

Cost for 

Grant and 

Loan 

Recipients

Year 

1

1308 346,620 $6,932,400

1,803 278,713 $5,574,250

Years 

2+3

1807 478,855 $9,577,100

Total 5408 836,137 $16,722,749

 Scenario if all affected Governments bear these burdens and costs in the same (i.e., first) year.

 Average annual labor burden per availability analysis: 155 hours

 Average annual cost per availability analysis: $3,092

Key Assumptions:

· Some percent of government entities will already have a suitable availability analysis [likely 

to result in an overestimate of burden and cost].

· Some percent of non-governmental entities will use States’ availability analyses [likely to 

result in an overestimate of burden and cost].

· The number of new non-governmental grant recipients and all loan recipients seeking aid in 

the second and third years is assumed to be the same as in the first year.

6(c) Estimating Agency Burden and Cost

An estimate of the annual EPA burden and costs associated with the rule is provided in Table 

6-3. We have developed an estimate of the number and type of staff necessary to administer the 

monitoring and reporting requirements in the rule. Program management and administrative support 

staff will be required to administer the program at EPA. The total estimated cost of all labor, benefits 

and overhead for the Agency is 24,960 hours and $970,551 for the next three-year period the ICR is 

in effect. The average annual burden is 8,320 hours and the cost is $323,517.
15

Activities Total Estimated Burden and 

Cost for the Three Year Period 

ICR is Effective

Average Annual Burden and Cost

Number of 

Hours

Dollars Hours Dollars

Staff; wages and 

benefits; and 

overhead

24,960 $970,551

2,080 (1 Program Manager)

6,240 (1 SEE L-II 

 Support)

+ benefits (0.6* wages)

+ overhead (0.2*staff cost)

$104,852

$74,880

$107,839

$35,946

Total 8,320 $323,517

Total Labor 

Burden and Cost 

for Agency

24,960 $970,551 8,320 $323,517

Key Assumptions:

· Total number of EPA employees and SEE program enrollees required is constant over time.

· No extra enforcement costs estimated.

6(d) Total Burden and Costs

Table 6-4 summarizes the total estimated annual burden and cost of the rule. We estimate 

that the rule will require 334,804 hours and cost $8,491,016, estimated annually, with all costs 

attributed to labor hours required to meet the requirements of the rule, since there are no startup/operation and maintenance costs. We estimate the average annual labor burden for an availability 

analysis to be 265 hours and the wage rate to be $20 an hour based on Virginia’s estimated wage 

rate for preparing an availability analysis. Over the next three years of the rule, the total number of 

labor burden is estimated to be 1,004,412 hours with total costs of $25,473,049. Since the 

certifications and availability analyses both are designed to have a three-year useful life, they can be 

reused by these institutions without having to incur new costs to participate in the grant and loan 

programs covered under the rule. Because of the many other conservative assumptions used to 

generate the information underlying the analysis, we believe that these total burden and cost 

estimates will be higher than those that will be actually incurred as a result of the rule.
16

Table 6-4. Total Labor Burden and Costs for DBE Program

Respondents

Total Estimated Burden and Cost for 

Three Year Period ICR is Effective

Average Annual Burden and Cost

Number of 

Respondents

Total 

Burden 

Hours

Total Cost Number of 

Respondents

Total 

Burden 

Hours

Total Cost

MBE/WBE 6,731 168,275 $8,750,300 2,244 56,092 $2,916,767

Grant and 

Loan 

Recipients

5,408 836,137 $16,722,749 1,803 278,712 $5,574,250

TOTAL 12,139 1,004,412 $25,473,049 4,046 334,804 $8,491,016

Agency Costs

EPA 1 24,960 $970,551 1 8,320 $323,517

6(e) Bottom Line Burden Hours and Cost Tables

(i) Respondent Tally

Annual Burden: 334,804 hours per year

Annual Costs: $8,491,016 per year

(ii) The Agency Tally

Annual Burden: 8,320 hours per year

Annual Costs: $323,517 per year

6(f) Reasons for Change in Burden

Changes in Total Labor Burden and Costs to Affected Grant and Loan Recipients: The total 

number of affected recipients, total number of hours and total cost have increased from ICR 2047.02. 

There was an increase of 10,662 total estimated burden hours and an increase of $213,249 in cost.

This change was due to a new burden estimate for the revised forms (EPA Forms 6100–2, 6100-3, and 

6100-4) and a finding of a previous miscalculations. These new burden estimates do not reflect an actual 

increase in any of the above-mentioned categories. ICR 2047.02 failed to include the number of affected 

recipients, burden hours and cost from the “All recipients-other activities” category in the total burden 

calculations. For this category, the total number of burden hours actually decreased from 13,758 to 

10,662 hours over a three-year period for all recipients-other activities due to the changes made to the 

contract administration forms. The total cost also decreased in the same category from $275,160 to 

$213,249.
17

Changes in Agency Burden and Cost: The total estimated cost of all labor, benefits and overhead for 

the Agency decreased from 36,192 hours to 24,960 hours for the next three-year period the ICR is in 

effect. This results in a decrease in Agency cost from $1,884,320 to $970,551 for the same three-year 

period. This is due to a decrease in the number of staff needed to administer the program.

6(g) Burden Statement

The annual public reporting and recordkeeping burden for this collection of information is estimated to 

average about 83 hours per response. 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 EPAHQ-OA-2006-0278, which is available for online viewing at www.regulations.gov, or in person viewing 

at the OEI Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution 

Avenue, NW, Washington, D.C. The EPA Docket Center Public Reading Room is open from 8:30 a.m. 

to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the Reading 

Room is (202) 566-1744, and the telephone number for the OEI Docket is (202) 566-1752. An electronic 

version of the public docket is available at www.regulations.gov. This site can be used to submit or 

view public comments, access the index listing of the contents of the public docket, and to access those 

documents in the public docket that are available electronically. When in the system, select “search,” 

then key in the Docket ID Number identified above. Also, you can send comments to the Office of 

Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, 

Washington, D.C. 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID Number 

EPA-HQ-OA-2006-0278 and OMB Control Number 2090-0030 in any correspondence.