Document ID: EPA-HQ-OA-2007-0933-0004
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2007-11-28T05:00Z

DRAFT   SEQ CHAPTER \h \r 1 ICR SUPPORTING STATEMENT OUTLINE

Part A

1.  Introduction to Part A  TC \l2 "Introduction to Part A
Identification of the Information Collection

1(a) Title of the Information Collection

Confidential Financial Disclosure Form 3110.48 for Special Government
Employees (SGE) Serving on Federal Advisory Committees at the
Environmental Protection Agency 

1(b) Short Characterization/Abstract

The purpose of this information collection request is to assist the
United States Environmental Protection Agency (EPA or the Agency) in
selecting Federal advisory committee members who will be appointed as
Special Government Employees (SGEs), mostly to EPA’s scientific and
technical committees.  To select SGE members as efficiently and cost
effectively as possible, the  Agency needs to evaluate potential
conflicts of interest before a candidate is hired as an SGE and
appointed as a member to a committee by EPA’s Administrator or Deputy
Administrator. 

 Agency officials developed  the “Confidential Financial Disclosure
Form for Special Government Employees Serving on Federal Advisory
Committees at the U.S. Environmental Protection Agency,” also referred
to as Form 3110-48, for a greater inclusion of information to discover
any potential conflicts of interest as recommended by the Government
Accountability Office.  

2. Need for and use of the Collection

2(a) Need/Authority for the Collection

In June 2001, the Government Accountability Office (GAO) issued a report
entitled “EPA’s Science Advisory Board Panels – Improved Policies
and Procedures Needed to Ensure Independence and Balance.”  GAO
recommended that EPA develop policies and procedures that better
identify and mitigate potential conflicts of interest and support the
development of balanced panels.  Recommendations included gathering the
required conflict of interest information before a member is selected,
specifically:

Determine whether each panel will be reviewing a “particular matter”
before selecting the panel in order to identify the financial
conflict-of-interest requirements, if any, to which the panelists will
be subject.

Obtain and evaluate relevant background information on peer review panel
candidates before appointing panel members.  The evaluation should
include explicitly discussing with potential panelists (1) items not
adequately reported on the confidential financial disclosure form as ell
as items reported that could present conflicts of interest; (2) other
information relevant to assessing impartiality, such as research
conducted and previous public statements or positions on the matter
being reviewed, interest of the employer or clients in the matter,
participation in legal proceedings, work for chemical companies or other
affected industries, and prior or current research grants that could be
affected by the matter; and (3) whether they have any potential
conflicts of interest related to the specific panel being established. 
Further, pertinent information obtained from discussions with panelists
should be documented.”     

As part of that effort to respond to GAO’s recommendations, EPA
developed a new and improved form for all of its scientific and
technical committee’s special government employees. 

	EPA’s Designated Federal Officers (DFOs) who manage EPA Federal
Advisory Committees (FACs) experienced great difficulty trying to use
the OGE Form 450 to identify actual or potential conflicts of interest
of potential candidates for Federal Advisory Committee membership.  The
OGE Form 450 was confusing for the proposed members and they did not
identify all financial interests of possible concern.  In response to
the GAO’s recommendations, EPA developed the Form 3110-48 to ensure
that all relevant financial interests are identified and considered
during the member selection process.   It is important for EPA to have
this information collection in place because we continuously need to
appoint new SGE members as new advisory committees are created or as
members’ terms of appointment expire. 

The Form 3110-48 is completed by candidates for membership as SGEs on
EPA federal advisory committees.  The form is completed as part of the
member selection process and before they are invited to serve as a
member of a FAC at EPA.  The Form 3110-48 is reviewed by the
Committee’s Designated Federal Officer, and the Program Office Deputy
Ethics Official to determine whether there is a financial conflict of
interest between the proposed member’s public responsibilities and
private interests/activities and whether there is any appearance of a
lack of  impartiality.  In some cases, the Alternate Designated Agency
Ethics Official also reviews the form.  As GAO recommended, it is
important to collect this information before the potential member is
appointed to the advisory committee, because if a conflict of interest
is identified after the person is appointed, the Agency may have to
terminate the person’s membership and identify another person who to
serve on the committee.  This is potentially embarrassing to both the
Agency and the appointed member. It is also important to know upfront
that a candidate could serve if appointed, as the appointment process is
time consuming and, as required by the Federal Advisory Committee Act,
the Agency must ensure that the advisory committee is balanced in the
points of view represented.  If a conflict is identified after a person
is appointed to an advisory committee as an SGE, additional time is
needed to select a replacement and the Agency loses valuable time and
expertise in receiving the advice it needs.   Also important is the fact
that finding replacement members creates a burden of additional cost and
staff hours. Using the Form 3110-48 benefits EPA by increasing
efficiency and saving time and money.   

Currently 10 of EPA’s 24 Federal Advisory Committees (FACs) appoint
members as SGEs and have need to use the Form 3110-48.  This number may
increase as new committees are added, or decrease as committees are
terminated.  EPA anticipates having approximately 300 SGEs during the
next 3 years.

Again, it is imperative that Form 3110-48 be approved to satisfy the GAO
recommendations that EPA gather the required Conflict of Interest
information before a member is selected to improve the EPA’s policies
and procedures to better identify and mitigate potential conflicts of
interest and support the development of balanced membership.  EPA must
have this information collection in place so that the EPA doesn’t lose
continuity in appointing new Special Government (SGE) members, as new
advisory committees are created, or as members’ terms of appointment
expire.  If a conflict is identified after an SGE is appointed to an
advisory committee, the SGE and the EPA face embarrassment and
additional time is needed to select a replacement while EPA loses
valuable time and expertise.  Using the Form 3110-48 before member
appointments are made benefits EPA by increasing efficiency, thus saving
time and money.   

Confidentiality of Information provided on the Form 3110-48: 

 Title I of the Ethics in Government Act of 1978 (the Act), 5 USC App.,
Executive Order 12674, and 5 CFR Part 2634, Subpart I, of the Office of
Government Ethics regulations require the reporting of financial
information that is relevant to the administration and application of
the criminal financial conflict of interest laws, administrative
standards of conduct, and agency-specific statutory and program-related
restrictions.  The primary use of the information collected on this form
is to allow EPA to conduct the conflicts reviews in accordance with
applicable Federal laws and regulations.  The information reported on
the Form 3110-48 is “confidential” and required to be withheld from
the public pursuant to Section 107(a) of the Act.  Agency personnel
shall not publicly release the reports on the information contained
therein except that disclosures may be pursuant to (1) a Federal, State
or local law enforcement agency if the disclosing agency becomes aware
of a violation or potential violation of law or regulation; (2) a court
or party in a court or Federal administrative proceeding if the
Government is a party or in order to comply with a judge-issued
subpoena; (3) a source when necessary to obtain information relevant to
a conflict of interest investigation or decision; (4) the National
Archives and Records Administration or the General Services
Administration in records management inspections; (5) the Office of
Management and Budget during legislative coordination on private relief
legislation; and (6) in response to a request for discovery or for the
appearance of a witness in a judicial or administrative proceeding, if
the information is relevant to the subject matter. The  confidential
report will not be disclosed to any requesting person unless authorized
by law.

EPA requires SGEs who are new to a federal advisory committee to
complete parts 2-9 of Form 3110-48 before participating in a Committee
activity.  Subsequently, SGEs must file reports annually to report on
the previous calendar year.  For these annual reports, the SGEs must
complete parts 2-8.  In addition, they must complete Part 1
(“Statement regarding any change since annual submission of the
form”) and Part 9 (“Identification of any other information related
to conflicts of interest or appearance of a lack of impartiality”)
before participating in any new advisory activity.  Filers must provide
sufficient information about outside interests and activities so that
EPA DFOs and ethics officials can make an informed judgment regarding
any conflict of interest or appearance of lack of impartiality. EPA
staff may contact proposed SGEs to obtain additional information if
necessary to determine whether there is a conflict between an SGE’s
public responsibilities and his /her or his/her spouse's private
interests and activities.

EPA seeks to collect the information in “Attachment A,” which is the
Confidential Financial Disclosure for Special Government Employees
Serving on Federal Advisory Committees at the U.S. Environmental
Protection Agency (Form 3110-48).  This information collection request
will be needed on a continual basis.

Again, it is imperative that Form 3110-48 be approved to satisfy the GAO
recommendations that EPA gather the required Conflict of Interest
information before a member is selected to improve the EPA’s policies
and procedures to better identify and mitigate potential conflicts of
interest and support the development of balanced membership.  EPA must
have this information collection in place so that the EPA doesn’t lose
continuity in appointing new Special Government (SGE) members, as new
advisory committees are created, or as members’ terms of appointment
expire.  If a conflict is identified after an SGE is appointed to an
advisory committee, the SGE and the EPA face embarrassment and
additional time is needed to select a replacement while EPA loses
valuable time and expertise.  Using the Form 3110-48 before member
appointments benefits EPA by increasing efficiency, thus saving time and
money.   

2(b) Practical Utility/Users of the Data

Information gathered from Form 3110-48 will continuously help EPA to
evaluate relevant background information on Special Government Employee
candidates before 

appointing members.  By using the form, EPA DFOs are allowed to expedite
the process of selecting viable candidates for membership on EPA’s
federal advisory committees.  

3. Non duplication, Consultations, and Other Collection Criteria

3(a) Non duplication

Almost all information request from respondents under this ICR is
personal in nature and, in most cases, is not available from other
sources. 

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

EPA will conform to the requirement for public notice by publishing a
preliminary and final Federal Register Notice concerning our intent
under this ICR and requesting comment.  On ______________ EPA published
a first Federal Register Notice [Volume. ____, No. ____
EPA-HQ-OA-2007-0933, FRL. – xxxx-xx__. 

3(c) Consultations

In June 2001, GAO the Government Accountability Office (GAO) issued a
report entitled “EPA’s Science Advisory Board Panels – Improved
Policies and Procedures Needed to Ensure Independence and Balance.” 
GAO recommended that EPA develop policies and procedures that better
identify and mitigate potential conflicts of interest and support the
development of balanced panels.  Recommendations included gathering the
required conflict of interest information before a member is selected,
specifically:

Determine whether each panel will be reviewing a “particular matter”
before selecting the panel in order to identify the financial
conflict-of-interest requirements, if any, to which the panelists will
be subject.

Obtain and evaluate relevant background information on peer review panel
candidates before appointing panel members.  The evaluation should
include explicitly discussing with potential panelists (1) items not
adequately reported on the confidential financial disclosure form as ell
as items reported that could present conflicts of interest; (2) other
information relevant to assessing impartiality, such as research
conducted and previous public statements or positions on the matter
being reviewed, interest of the employer or clients in the matter,
participation in legal proceedings, work for chemical companies or other
affected industries, and prior or current research grants that could be
affected by the matter; and (3) whether they have any potential
conflicts of interest related to the specific panel being established. 
Further, pertinent information obtained from discussions with panelists
should be documented.”     

As part of that effort to respond to GAO’s recommendations, EPA
developed a new and improved form for all of its scientific and
technical committee’s special government employees. 

3(d) Effects of Less Frequent Collection

The form can not be updated less frequently than once a year.  The form
allows Government officials to determine whether there is a statutory
conflict between Special Government Employees public responsibilities
and private interests and activities, or the appearance of a lack of
impartiality, as defined by federal regulation.

18 U.S.C. 208: “An employee is prohibited from participating
personally and substantially in an official capacity in any particular
matter in which, to his knowledge, he or any person whose interests are
imputed to him under this statute has a financial interest, if the
particular matter will have a direct and predictable effect on that
interest.” 

5 C.F.R. 2635.502: Appearance of lack of impartiality: “Where an
employee knows that a particular matter involving specific parties is
likely to have a direct and predictable effect on the financial interest
of a member of his household, or knows that a person with whom he has a
covered relationship is or represents a party to such matter, and where
the person determines that the circumstances would cause a reasonable
person with knowledge of the relevant facts to question his impartiality
in the matter, the employee should not participate in the matter unless
he has informed the agency designee of the appearance of a problem and
received authorization from the agency designee". 

3(e) General Guidelines

	

This ICR complies with OMB’s general guidelines for the collection of
information.

3(f) Confidentiality

Confidentiality of Information provided on the Form 3110-48: 

 Title I of the Ethics in Government Act of 1978 (the Act), 5 USC App.,
Executive Order 12674, and 5 CFR Part 2634, Subpart I, of the Office of
Government Ethics regulations require the reporting of financial
information that is relevant to the administration and application of
the criminal financial conflict of interest laws, administrative
standards of conduct, and agency-specific statutory and program-related
restrictions.  The primary use of the information collected on this form
is to allow EPA to conduct the conflicts reviews in accordance with
applicable Federal laws and regulations.  The information reported on
the Form 3110-48 is “confidential” and required to be withheld from
the public pursuant to Section 107(a) of the Act.  Agency personnel
shall not publicly release the reports on the information contained
therein except that disclosures may be pursuant to (1) a Federal, State
or local law enforcement agency if the disclosing agency becomes aware
of a violation or potential violation of law or regulation; (2) a court
or party in a court or Federal administrative proceeding if the
Government is a party or in order to comply with a judge-issued
subpoena; (3) a source when necessary to obtain information relevant to
a conflict of interest investigation or decision; (4) the National
Archives and Records Administration or the General Services
Administration in records management inspections; (5) the Office of
Management and Budget during legislative coordination on private relief
legislation; and (6) in response to a request for discovery or for the
appearance of a witness in a judicial or administrative proceeding, if
the information is relevant to the subject matter. The confidential
report will not be disclosed to any requesting person unless authorized
by law.

EPA requires SGEs who are new to a federal advisory committee to
complete parts 2-9 of Form 3110-48 before participating in a Committee
activity.  Subsequently, SGEs must file reports annually to report on
the previous calendar year.  For these annual reports, the SGEs must
complete parts 2-8.  In addition, they must complete Part 1
(“Statement regarding any change since annual submission of the
form”) and Part 9 (“Identification of any other information related
to conflicts of interest or appearance of a lack of impartiality”)
before participating in any new advisory activity.  Filers must provide
sufficient information about outside interests and activities so that
EPA DFOs and ethics officials can make an informed judgment regarding
any conflict of interest or appearance of lack of impartiality. EPA
staff may contact proposed SGEs to obtain additional information if
necessary to determine whether there is a conflict between an SGE’s
public responsibilities and his /her or his/her spouse's private
interests and activities.

EPA seeks to collect the information in “Attachment A,” which is the
Confidential Financial Disclosure for Special Government Employees
Serving on Federal Advisory Committees at the U.S. Environmental
Protection Agency (Form 3110-48).  This information collection request
will be needed on a continual basis.

Again, it is imperative that Form 3110-48 be approved to satisfy the GAO
recommendations that EPA gather the required Conflict of Interest
information before a member is selected to improve the EPA’s policies
and procedures to better identify and mitigate potential conflicts of
interest and support the development of balanced membership.  EPA must
have this information collection in place so that the EPA doesn’t lose
continuity in appointing new Special Government (SGE) members, as new
advisory committees are created, or as members’ terms of appointment
expire.  If a conflict is identified after an SGE is appointed to an
advisory committee, the SGE and the EPA face embarrassment and
additional time is needed to select a replacement while EPA loses
valuable time and expertise.  Using the Form3110-48 before member
appointments benefits EPA by increasing efficiency, thus saving time and
money.   

3(g) Sensitive Questions

Title I of the Ethics in Government Act of 1978 (the Act), 5 USC App.,
Executive Order 12674, and 5 CFR Part 2634, Subpart I, of the Office of
Government Ethics regulations require the reporting of financial
information that is relevant to the administration and application of
the criminal financial conflict of interest laws, administrative
standards of conduct, and agency-specific statutory and program-related
restrictions.  The primary use of the information collected on this form
is to allow EPA to conduct the conflicts reviews in accordance with
applicable Federal laws and regulations.  The information reported on
the Form 3110-48 is “confidential” and required to be withheld from
the public pursuant to Section 107(a) of the Act.  Agency personnel
shall not publicly release the reports on the information contained
therein except that disclosures may be pursuant to (1) a Federal, State
or local law enforcement agency if the disclosing agency becomes aware
of a violation or potential violation of law or regulation; (2) a court
or party in a court or Federal administrative proceeding if the
Government is a party or in order to comply with a judge-issued
subpoena; (3) a source when necessary to obtain information relevant to
a conflict of interest investigation or decision; (4) the National
Archives and Records Administration or the General Services
Administration in records management inspections; (5) the Office of
Management and Budget during legislative coordination on private relief
legislation; and (6) in response to a request for discovery or for the
appearance of a witness in a judicial or administrative proceeding, if
the information is relevant to the subject matter. The confidential
report will not be disclosed to any requesting person unless authorized
by law.

4. The Respondents and the Information Requested

4(a) Respondents/SIC Codes

A Special Government Employee (SGE) is a person who is retained,
designated, appointed, or employed to perform, with or without
compensation, for a period not to exceed 130 days during any period of
365 consecutive days, temporary duties for the Federal Government either
on a full-time or intermittent basis.  SGEs who provide advice to EPA
are required to file the Form 3110-48 in lieu of the Office of
Government Ethics form 450 to disclose confidential financial
information.  Form 3110-48 has already been reviewed and approved for
use by the Office of Government Ethics.  

4(b) Information Requested

(i)  Data items, including record keeping requirements

 

The Agency will maintain records of the Form 3110-48.  Designated
Federal Officers from Offices sponsoring federal advisory committees
will retain files of the completed form.  The Agency does not anticipate
any record keeping activities on the part of the respondents under this
ICR.  

	

	(ii) Respondent Activities

After being nominated by an outside party or themselves, respondents
will be asked to 

Complete the Form 3110-48.  Forms may be mailed or e-mailed to
candidates.  Although candidates may type their information on the form
on-line, they must then print the form and sign it.  They may return the
form by mail, but may not return the form by e-mail as an original
signature is required.   Each form will involve reading instructions and
completing the form.   The form will require one hour to complete. 
Subsequent forms filed annually should take less time to complete as
respondents gain familiarity with its information requirements and may
only need to make slight changes to information filed previously. 

5. The Information Collected–Agency Activities, Collection
Methodology, 

and Information Management

5(a) Agency Activities

To respond to this ICR, we estimated that Designated Federal Officers
(DFOs) spend one hour reviewing each Form 3110-48 (sometimes calling and
asking for further clarification or to address areas not filled out
completely).  EPA currently pays an estimated labor cost of GS 14 Step
10, which in EPA’s Emergency ICR (2007) was $58.44 per hour, rounded
to $58 per hour.   Anticipating a 2 percent increase for each of the
next 3 years of this ICR (2008, 2009, 2010), the 3 year average
estimated cost for the DFO is $29,280.  

  The Ethics Attorney, Office of Government Ethics in EPA labor cost is
estimated to be a GS-15 Step 7, which in EPA’s Emergency ICR (2007)
was $63.46, rounded to $63 per hour at one hour per form.  Anticipating
a 2 percent increase for each of the next 3 years of this ICR (2008,
2009, 2010), the 3 year average highest estimated cost for the OGE is
$31,680.  

Both DFO and OGE total labor rates include a 1.6 (60%) for overhead
costs.

DFO Cost

EPA estimates that 300 advisory committee members will serve on EPA’s
Federal Advisory Committees (FACs) as SGEs over the next 3 years.  
Multiplying the number of SGE members (300) by the 3 year average dollar
amount paid to EPA’s DFOs ($61), and multiplying the subtotal cost of
$18,300 by 1.6 (60% overhead) to allow for employee overhead costs, we
estimate the subtotal to be $29,280.   

Year 1 @ $60 for 1 hour x 300 = $18,000 x 1.6 = $28,800

Year 2 @ $61 for 1 hour x 300 = $18,300 x 1.6 = $29,280

Year 3 @ $62 for 1 hour x 300 = $18,600 x 1.6 = $29,760

	

	

OGE Cost

Multiplying the number of SGE members (300) by the dollar amount paid to
EPA’s OGE staff with a 3 year average cost ($66), and multiplying the
cost of $19,800 by 1.6 (60% overhead) to allow for employee overhead
costs, we estimate the subtotal to be $31,680.   

Year 1 @ $65 for 1 hour x 300 = $19,500 x 1.6 = $31,200

Year 2 @ $66 for 1 hour x 300 = $19,800 x 1.6 = $31,680

Year 3 @ $67 for 1 hour x 300 = $20,100 x 1.6 = $32,160

Total DFO and OGE Cost Using 3 Year Average

The total 3 year average dollar burden estimate for this ICR (for both
DFOs and OGE staff) is approximately $60,960 each year.

DFO 3 year average $29,280 + OGE 3 year average $31,680 = $60,960

	Agency (EPA) activities associated with the collection of information
include:

Designated Federal Officers (DFOs) for each committee with Special
Government Employees (SGEs), EPA Ethics staff (EPA OGE), EPA Office of
General Counsel staff (EPA OGC).  

-	First internal EPA review and approval of Form 3110-48 (completed
2003)

-	Second internal EPA review and approval of Form 3110-48 (completed
2007)

-	Taking actions to review the form, ascertain improvements, and revise
periodically (approximately 3 year intervals or more if needed) 

Designated Federal Officers (DFOs) for each committee with Special
Government Employees (SGEs)

Providing copies of the mandatory form

-	Answering any respondent questions, follow-up

-	Gathering respondents completed forms

Reviewing and analyzing data

Recordkeeping/storing completed form

Forwarding form to EPA’s Ethics staff for review and analyzing

	

Office of Government Ethics Activities:

-	First review and approval of Form 3110-48 (completed 2003)

-	Second review and approval of Form 3110-48 (completed 2007)

OGE:

-	Review Form 3110-48, follow-up if necessary, and approve or disapprove

5(b) Collection Methodology and Management

	In collecting and analyzing the information associated with this ICR,
EPA will use a telephone system, personal computers, e-mail and websites
from which the respondents can obtain blank forms, as well as using the
mail and committee meetings for distribution of the form. Although
candidates (respondents) may type their information on the form on-line,
they must then print the form and sign it.  They may return the form by
mail, but may not return the form by e-mail as an original signature is
required.     

	Although EPA uses internet websites and e-mail to distribute the blank
forms, this form is not a survey instrument, and no database is
necessary to aggregate results.

This information is not available to the public.

5(c) Small Entity Flexibility

Not applicable

5(d) Collection Schedule

-	After being nominated by an outside party or themselves, respondents
are asked to Complete the Form 3110-48 (No schedule – dates are
variable).  

-	After the initial completion of the Form 3110-48, respondents are
asked to update the form annually (generally during January of each
year).  Respondent’s confidential financial information is not made
public. 			

6. Estimating the Burden and Cost of the Collection

6(a) Estimating Respondent Burden and Costs

	(i) Estimating Burden and Labor Costs

The respondents for this information collection request are candidates
who are willing to serve on EPA Federal Advisory Committees as Special
Government Employees (SGE). An SGE is a person who is retained,
designated, appointed, or employed to perform, with or without
compensation, for a period not to exceed 130 days during any period of
365 consecutive days, temporary duties for the Federal Government either
on a full-time or intermittent basis.  SGEs who are currently members of
EPA advisory committees must file the Form 3110-48 once a year.  In
addition as new candidates who wish to be considered for such service
must file before they are formally appointed by the EPA Administrator or
Deputy Administrator.  

To respond to this ICR, we estimated that each responding SGE candidate
will take one hour to complete the Form 3110-48.  We anticipate that EPA
will pay an estimated 2 percent increase for each successive year of the
ICR.  Thus, an estimated labor cost of $54 for the first year, $55 for
the second year, and $56 for the third year.  The total for year 1 is
$16,200, year 2 is $16, 500 and year 3 is $16,800.  We estimate that EPA
will have an increase to approximately 300 members (from the current 276
advisory committee members who serve on EPA’s Federal Advisory
Committees (FACs) as SGEs).   Multiplying the estimated number of SGE
members (300) by the dollar amounts to be paid to EPA’s SGEs each
successive year, and multiplying the subtotal costs of each successive
year by 2.0 to allow for respondent overhead costs, we estimate that the
total dollar burden estimate for this ICR to be approximately $32,400
for year 1, $33,000 for year 2 and $33,600 for year 3.  The grand total
for all 3 years is estimated at $99,000.  The total average
respondent’s cost over the three years is $33,000, as indicated in the
following annual respondent burden and cost table.

Annual Cost for SGE Respondents 

SGE Respondent 

Activities to Complete Form 3110-48	Burden Hours/

Respondent

	Burden for SGE Candidate

($55 per labor hour plus $55 for overhead equals $110)	Number of
Respondents per Year

	Total

Cost per 

Year

Total per Year	60 minutes 

(1 hour/100%)	$110.00	300	$33,000

     Read Instructions	10 minutes

(0.17%)	(0.17 x $110 =) 

$18.70	($18.70 x 300 =)	$5,610

     Fill Out Form 	48 minutes

(0.80%	(0.80 x $110 =)

$88.00	($88 x 300 =)	$26,400

     Prepare Envelope to Mail                         	2 minutes

(0.03%)	(0.03 x $110 =)

$3.30	($3.30 x 300 =)	$990

	

(ii) Estimating Capital and Operations and Maintenance Costs

Not applicable.	

	

	(iii) Capital/Start-up Operating and Maintenance (O&M) Costs

Not applicable.

	(iv) Annualizing Capital Costs

Not Applicable

	

6(b) Estimating Agency Burden and Cost

Annual Agency Burden and Cost

	Agency

Hours 

	Number of Hours Per Year	Labor Cost Per Year	Overhead Cost Per Year
Subtotal Labor & Overhead Cost 

	Total

Cost/

Year

Form 3110-48

DFO Activities

For 300 Respondents	$61 per hour 

	Distribute form to SGE Nominees (respondents) and answer their
questions	5 minutes

(0.0833)	300	$1,525	$915	$2,440

	Review and analyze data of completed form, and ask follow-up  questions
45 minutes

(0.75)	300	$13,725	$8,235	$21,960

	Recordkeeping/

storing form 	5 minutes

(0.0833)	300	$1,525	$915	$2,440

	Forward form to EPA Ethics Staff	5 minutes

(0.0833	300	$1,525	$915	$2,440

	       DFO Subtotal	60 min./1 hour

(1.00)	300	$18,300	$10,980	$29,280	$29,280

OGE Activities For 300 Respondents	$66 per hour 

	Review, analyze, follow-up, and approve or disapprove	60 min./1 hour

(1.00)	300	$19,800	$11,880	$31,680

	       OGE Subtotal     	60 min./1 hour

(1.00)	300	$19,800	$11,880	$31,680	$31,680

EPA Grand Total

(DFO & OGE)	120 min./ 2 hours

2.00	600	$38,100	$22,860	$60,960	$60,960

To respond to this ICR, we estimated that Designated Federal Officers
(DFOs) spend one hour reviewing each Form 3110-48 (sometimes calling and
asking for further clarification or to address areas not filled out
completely).  EPA currently pays an estimated labor cost of GS 14 Step
10, which in EPA’s Emergency ICR (2007) was $58.44 per hour, rounded
to $58 per hour.   Anticipating a 2 percent increase for each of the
next 3 years of this ICR (2008, 2009, 2010), the 3 year average
estimated cost for the DFO is $29,280.  See chart prior to this page.

  The Ethics Attorney, Office of Government Ethics in EPA labor cost is
estimated to be a GS-15 Step 7, which in EPA’s Emergency ICR (2007)
was $63.46, rounded to $63 per hour at one hour per form.  Anticipating
a 2 percent increase for each of the next 3 years of this ICR (2008,
2009, 2010), the 3 year average highest estimated cost for the OGE is
$31,680.  See chart prior to this page.

Both DFO and OGE total labor rates include a 1.6 (60%) for overhead
costs.

DFO Cost

EPA estimates that 300 advisory committee members will serve on EPA’s
Federal Advisory Committees (FACs) as SGEs over the next 3 years.  
Multiplying the number of SGE members (300) by the 3 year average dollar
amount paid to EPA’s DFOs ($61), and multiplying the subtotal cost of
$18,300 by 1.6 (60% overhead) to allow for employee overhead costs, we
estimate the subtotal to be $29,280.   

Year 1 @ $60 for 1 hour x 300 = $18,000 x 1.6 = $28,800

Year 2 @ $61 for 1 hour x 300 = $18,300 x 1.6 = $29,280

Year 3 @ $62 for 1 hour x 300 = $18,600 x 1.6 = $29,760

OGE Cost

Multiplying the number of SGE members (300) by the dollar amount paid to
EPA’s OGE staff with a 3 year average cost ($66), and multiplying the
cost of $19,800 by 1.6 (60% overhead) to allow for employee overhead
costs, we estimate the subtotal to be $31,680.   

Year 1 @ $65 for 1 hour x 300 = $19,500 x 1.6 = $31,200

Year 2 @ $66 for 1 hour x 300 = $19,800 x 1.6 = $31,680

Year 3 @ $67 for 1 hour x 300 = $20,100 x 1.6 = $32,160

Total DFO and OGE Cost Using 3 Year Average

The total 3 year average dollar burden estimate for this ICR (for both
DFOs and OGE staff) is approximately $60,960 each year.

DFO 3 year average $29,280 + OGE 3 year average $31,680 = $60,960

	Agency (EPA) activities associated with the collection of information
include:

Designated Federal Officers (DFOs) for each committee with Special
Government Employees (SGEs), EPA Ethics staff (EPA OGE), EPA Office of
General Counsel staff (EPA OGC).  

-	First internal EPA review and approval of Form 3110-48 (completed
2003)

-	Second internal EPA review and approval of Form 3110-48 (completed
2007)

-	Taking actions to review the form, ascertain improvements, and revise
periodically (approximately 3 year intervals or more if needed) 

Designated Federal Officers (DFOs) for each committee with Special
Government Employees (SGEs)

Providing copies of the mandatory form

-	Answering any respondent questions, follow-up

-	Gathering respondents completed forms

Reviewing and analyzing data

Recordkeeping/storing completed form

Forwarding form to EPA’s Ethics staff for review and analyzing

	

Office of Government Ethics Activities:

-	First review and approval of Form 3110-48 (completed 2003)

-	Second review and approval of Form 3110-48 (completed 2007)

OGE:

-	Review Form 3110-48, follow-up if necessary, and approve or disapprove

6(c) Bottom Line Burden Hours and Cost Tables

	(i) Respondent Tally

Bottom-Line Annual Burden and Cost for SGE Respondents 

SGE Respondent 

Activities to Complete Form 3110-48	Burden Hours/

 Respondent

	Burden for SGE Candidate

($55 per labor hour plus $55 for overhead equals $110)	Number of
Respondents per Year

	Total

Cost per 

Year

Total per Year	60 minutes 

(1 hour/100%)	$110.00	300	$33,000

	

	(ii) The Agency Tally

Bottom-Line Annual Agency Burden and Cost

	Agency

Hours For Each 

Review	Number of Hours Per Year	Labor Cost Per Year	Overhead Cost Per
Year	Total Agency

Cost per 

Year

Agency Total

(DFO & OGE)

For 300 Respondents	120 min./ 2 hours

2.00	600	$38,100	$22,860	$60,960

	(iii) Variations in the Annual Bottom Line

Burden and Cost variations appear during each fiscal year.  Variations
in the number of respondents and Agency review hours/costs may also
occur.  The information below shows fiscal year variations.

 

DFO Cost

EPA estimates that 300 advisory committee members will serve on EPA’s
Federal Advisory Committees (FACs) as SGEs over the next 3 years.  
Multiplying the number of SGE members (300) by the 3 year average dollar
amount paid to EPA’s DFOs ($61), and multiplying the subtotal cost of
$18,300 by 1.6 (60% overhead) to allow for employee overhead costs, we
estimate the subtotal to be $29,280.   

Year 1 @ $60 for 1 hour x 300 = $18,000 x 1.6 = $28,800

Year 2 @ $61 for 1 hour x 300 = $18,300 x 1.6 = $29,280

Year 3 @ $62 for 1 hour x 300 = $18,600 x 1.6 = $29,760

OGE Cost

Multiplying the number of SGE members (300) by the dollar amount paid to
EPA’s OGE staff with a 3 year average cost ($66), and multiplying the
cost of $19,800 by 1.6 (60% overhead) to allow for employee overhead
costs, we estimate the subtotal to be $31,680.   

Year 1 @ $65 for 1 hour x 300 = $19,500 x 1.6 = $31,200

Year 2 @ $66 for 1 hour x 300 = $19,800 x 1.6 = $31,680

Year 3 @ $67 for 1 hour x 300 = $20,100 x 1.6 = $32,160

6(f) Reasons for Change in Burden

During the 3 year span of this ICR, EPA expects to see some growth in
the number of federal advisory committees and small cost increases due
to EPA staff salary increases.

6(g) Burden Statement

	Burden Statement:  The annual public reporting and recordkeeping burden
for this collection of information is estimated to average one hour 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
EPA-HQ-OA-2007-0933, which is available for online viewing at  
HYPERLINK "http://www.regulations.gov"  www.regulations.gov , or in
person viewing at the Office of Environmental Information Docket in the
EPA Docket Center (EPA/DC), EPA West, Room B102, 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 Office of Environmental
Information Docket is (202) 566-9744. 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-2007-0933 and OMB Control Number
2090-0029 in any correspondence.

Replace all this with a very simple table that shows the total number of
annual responses, the annual hour burden and the annual labor costs.
Also, include the costs to the EPA.