**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 currentl y requires an entity to be certified in order to be considered a Minority Busin ess Enterprise ( MBE ) or Woman Business Enterprise ( WBE ) under EPA’s Disadvantaged Business Enterprise ( DBE ) Program for its financial assistance programs. EPA currentl y requires an entity to first try

to become certified b y a federal agency ( e.g. , the Smal l Business Administration (SBA), or the Department of Transportation (DOT)), or b y 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 certif ies 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 o r WBE under EPA’s programs an entity must establish that it is owned and/or controlled by sociall y and economically disadvantaged individuals who are of good character and are citizens of the United States. EPA also requires that financial assistance agr eement recipient s 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 b y the prime contractor. DBE subcontractors may sen d 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 Busi ness 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 Certificati on 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 b y Native Hawaiian Organ izations), 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 20 90 - 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 Agre ements for all EPA financial assistance programs, Form 5700 - 52A. That I CR is not superseded b y 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 I CR 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

I CR control number 2040 - 018 5 ; and MBE/WBE reporting and recordkeeping requirements for EPA ’ s Superfund Program regulations are covered by I CR control number 2050 - 0179 . Those I CRs are not superseded by this ICR and will remain in effect. This I CR examines the respondent reporting requirements, associated hour, and cost burden of the current rule for the certification and related contract administration requirements. In creases in burden for existing I CRs resulting from the existing rule that are not certification or contract admini stration - related (e.g. reporting and recordkeeping) will be addressed in renewals for the existing I CRs. **1(c) Reinstatement Justification** The following forms have been modified: EPA Forms 6100

–2, 6100 - 3, and 6100 - 4 . These forms were revi sed 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 rem ains the same. **2. NEED/AUTHORITY FOR THE COLLECTION (2)(a) Need/Authority for this Collection**  This I CR 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 L aw 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 an d contracts for wastewater treatment and leaking underground storage tanks grants, be made available to business concerns or other organizations owned or controlled by

sociall y and economicall y 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 L aw 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 dis advantaged 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 adversel y affect DBEs . The forms are to be completed b y 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, CONSU LTATIONS, 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 b y 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 publ ic through the Federal Register notice on the renewal of this I CR (See 774

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 n o comments received. **3( c**  **) Consultations** OSBP consulted with the EPA DBE Regional Coordinators and solicited comments in Jun e 2011 to revise the EPA Fo rms 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" Brown Perry brown perry.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 M etropolitan 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 b y 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 rep orting and recordkeeping are renewed. The certification information collection activities are activity5

based. No lower frequency of filing an affidavit regarding an entity ’ s status under section 33.210(a) is possible. The requirement under section 33.30 2(e) for a recipie nt 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 subcontra ctors complete EPA Form 6100 - 3 DBE Subcontractor Performanc e Form is activity based. The requirement under section 33.302(g) for a recipient to require its prime contractor to compl ete 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 O MB ’ s General Guidelines. 3( f ) Confidentiality In formation 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 NAI CS Code Architectural, engineering and other related services 54136

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 sy stems design programming services 541511 Computer sy stems design services 541512 Highway and street construction (Includes roadwork) 234110 All other heav y 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 sy stems (water filtration) 2213107

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 In formation 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 currentl y 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 - own ed 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 b y 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

sociall y and economicall y disadvantaged individuals. (as does EPA ’ s 10% statute)); and 5. Entitie s 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 sociall y and economical ly 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 currentl y use s 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 61 00 - 1g for private and voluntary organizations owned by individuals who are socially and economicall y disadvantaged, EPA Form 6100 - 1h for concerns owned b y Native Hawaiian organizations, and EPA Form 6100 - 1i for concerns owned b y8

community

development corpo rations). This approach is consistent with the approach taken b y 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, un der section 33.302(e), gives a subcontractor the opportunity t o 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 b y the prime contractor. The information is used to evaluate whether prime contractors have tried to game the s ys tem by

using “bait and switch ” tactics in representing they would use MBE/WBE subcontractors without actual ly 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 un der 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 EP A Private Certifier collect s and manage s 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 o r an EPA Private Certifier advise s each applicant, within 15 day s, whenever practicable, after receipt of an application, whether the application is complete and suitabl e for evaluation, and if not, what additional information or clarification is required, in accordance with Section 33.205(b). EPA make s its certification decision within 30 day s of receipt of a complete application package, whenever practicable, in accord ance 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 ev aluate 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 and9

economicall y disadvantaged because they are a separatel y de signated 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 res ponses. **5(c) Small Entity Flexibility** EPA ’ s DBE Program is aimed at providing contracting opportunities for small businesses owned and/or controlled by sociall y and economically disadvantaged individuals, among others ( e.g. , historicall y 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 recipient s solicit bids/offers from a substantially similar geographi c market as that State Agency . Accordingl y, EPA believes the e conomic 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 ty pes of small entities. In the preamble t o the rule, EPA stated that the agency continues to be interested in the po tential 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 b y EPA, an entity will generally remain on EPA ’ s list of certified MBEs and WBEs for a period of three ye ars from the date of its certification. To remain on EPA ’ s list after three ye ars, 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 n umber of respondents as10 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 A greements ” , 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 . Inthe absence of more complete information, this anal ys is assumes that th e 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 anal ys is 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 wou ld have already met the requirements under a separate procurement. Therefore, for purposes of calculating the total costs for the three - ye ar period covered b y the IC R, we assume that the cost estimated for the past three years is a suitable estimate for th e total cost to MBEs/WBEs required to certify over the next three ye ar period of the ICR . The average annual burden and costs are estimated b y s preading the first ye ar cost over the three - ye ar 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 f or certification in its analy sis 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 Fo rms (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 . Itis 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 considerabl y 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 I CR of the rule, the analy sis uses the 25 hour and $1,300 cost estimate derived from the DOT anal ys is.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 b y 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 estimat e 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 c osts to all EPA grant and loan recipients that will have to perform an availability anal ys is 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 ye ars. We used data from Fiscal Year 1999 for affected governments and non governmental entities receiving grants, and Fiscal Year 2000 for affected governmental and non governmental entities receiving loans . Using burden and cost data provided on sample availability anal ys es prepared b y State government agencies, we estimated the median cost of an availability anal ys is 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. W e assume that States, Tribes and Insular governments will develop their availability anal ys es once over the next three - year period of the ICR . Hence, there are n o affected recipients in years two and three . For non - governmental grant recipients affected b y this rule, we believe 325 will need to prepare an availability

analy sis in the first ye ar . Howev er , we expect that in the second and third ye ars onl y half as many will need to prepare one. We expect the number of loan recipients needing to prepare an availability anal ys is 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, 8 00 over the next three - ye ar period of the ICR. The total labor burden and cost estimates for preparing an availability anal ysis for grant and loan recipients are 836,137 hours and $16,722,749 over the next three - ye ar p eriod of the IC R. In addition to the availability anal ys is, 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 e xpected to take approximately 1 0 mi nutes 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 maint ained b y 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 approximately 15 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 con servatively estimate that the additional two hours would be necessary for each grant and loan recipient each ye ar of the IC R. 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 **Sub**   ** Total** **161 42,665**  **$853,300** Grants Recipients: Non Government 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 **Sub**   ** Total** **488 129,320**  **$2,586,400** Loan Recipients: SRF drinking & 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 **Sub**   ** Total** **2466 653,490**  **$13,069,800**14

All recipients

– other activities Years

1 - 3 2293 10,662

(2293* 1.55 hrs*3y rs) $ 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) ye ar.  Average annual labor burden per availability anal ysis: 155 hours  Average annual cost per availability analy sis: $ 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 analy ses [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 ye ars 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 ty pe 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 - ye ar period the ICR is in effect . The average annual burden is 8,320 hours and th e 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 334,80 4 hours and cost $ 8,491,01 6 , estimated annually , with all costs attributed to labor hours required to meet the requirements of the rule , since there are no start up/operation and maintenance costs . We estimate the average annual labor burden for an availability anal ys is to be 265 hours and the wage rate to be $20 an hour based on Virginia ’ s estimated wage rate for preparing an availabil ity anal ys is . 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 anal ys es both are designed to have a three - ye ar useful lif e, they can be reused b y 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 anal ys is , 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, 3 00 2,244 56,092 $2,916,767 Grant and Loan Recipients 5,408 836,137 $ 16,722, 74 9 1,803 278,71 2 $ 5,574, 250 **TOTAL** 12,139 1,004,412 $ 25,473,049 4,04 6 334,80 4 $ 8,491 ,01 6 **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 ye ar Annual Costs: $8,491,01 6 per year (ii) The Agency

Tall y 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 Cost s 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. I CR 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 - ye ar period for all recipients - other activities due to the changes made to the contract administration forms. The total cost also decreased in the same c ategory from $275,160 to $213,24 9 .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 - ye ar 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 - ye ar 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 thi s 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 sy stems for the purposes of collecting, validating, and verifyinginformation, processing and maintaining information, and disclosing and providing information; adjust the existing way s 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 currentl y 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 automate d collection techniques, EPA has established a public docket for this I CR under Docket ID Number EPA HQ - OA - 2006 - 0278 , which is available for online viewing at www.regulations.gov , or in person viewing at the OEI Doc ket 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 numbe r 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 in dex listing of the contents of the public docket, and to access those documents in the public docket that are available electronically . When in the sy stem, select “search,” then key in the Docket ID Number identified above. Also, you can send comments to the Office of In formation 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.