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vo Membership Package Submission
I Instruction Guide
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Membership Package Submission
Instruction Guide
FACA
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U.S. Environmental Protection Agency
Office of Cooperative Environmental Management
Program Manager for EPA Federal Advisory Committees
October 2003
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Acknowledgements
As the national program manager, OCEM strives to ensure operational
effectiveness and excellence for EPA's advisory committees. EPA's DFOs are
vital to OCEM's mission and to the successful selection and appointment of
advisory committee members. In October 2002, OCEM formed a Task Force to
standardize the membership process with input from the DFO community,
program offices, and offices under the Office of the Administrator. OCEM is
excited to share this process and extends its sincere appreciation to the DFO
community, and EPA staff who worked diligently to develop a consistent process.
Partners and task force members included: Joanne Berman,
Vanessa Bowie, Myrta Christian, Deborah Dalton, Vicki Ellis, Wanda Ford,
Mark Joyce, Marva King, Steven Knott, Marilyn Kuray, Barbara McLeod,
Carolyn Osborne, Bettyjo Overton, Ginger Potter, Paul Rasmussen, Toni Rousey,
Tim Sherer, Kelly Sinclair, Jane Smith, and Gladys Stroman.
October 2003
U.S. Environmental Protection Agency. Office of Cooperative Environmental
Management. (MC-1601E) 1200 Pennsylvania Avenue, N.W., Washington D.C.
20460. Khanna Johnston and Toni Rousey were the project managers for this
effort.
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Membership Package Submission instruction Guide
Membership Package Submission
Instruction Guide
Overview
The Office of Cooperative Environmental Management (OCEM) is pleased to provide
Agency guidance for Designated Federal Officers (DFOs) and program staff assisting
in the committee membership process. This guide highlights the process for
submitting membership packages and establishes consistent criteria to be used by all
EPA committees. By discussing how to prepare the official submission folder
necessary to appoint members to EPA's advisory committees, providing detailed
descriptions of the contents that should be included, and explaining the concurrence
and approval process, this Guide establishes the Agency's new Membership Package
Process.
Introduction
As the national program manager, OCEM strives to ensure operational effectiveness
and excellence for EPA's advisory committees. However, it can sometimes prove
challenging to reappoint existing members, invite new nominees on board, and ensure
recognition for commendable service is expressed in a timely fashion. Several DFOs
voiced a need for a stapdardized process. The Office of the Administrator's review
staff agreed, indicating consistent key criteria would be helpful for processing
packages in a timely fashion, thereby, reducing stress for the DFO and the reviewers.
EPA's DFOs are vital to the successful selection and appointment of committee
members. In October 2002, OCEM formed a Task Force to standardize the process
with input from the DFO community, program offices, and offices under the Office of
the Administrator. OCEM is excited to share this process and extends its appreciation
to the Membership Task Force for their hard work and dedication.
There are two types of advisory committee members: Representative and Special
Government Employees. General Services Administration (GSA) Regulation allows
an Agency to accept "gratuitous services of an advisory committee member, staff, or
consultant who agrees in advance to serve without compensation." The majority of
EPA's advisory committees are representative committees, meaning members
represent the views of a group or an entity, and are not compensated.
Sometimes, individuals are invited for their personal or individual expertise, and are
recruited as such for temporary service to the government. They are appointed as
Special Government Employees or SGEs. SGEs are considered temporary EPA
employees, and may serve 130 days out of 365 consecutive days. SGEs may or may
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Membership Package Submission Instruction Guide
not be compensated. SGE's are subject to conflict-of-interest laws, unless they are
specifically exempted by the statute creating the advisory committee. SGEs comply
with the Agency's standard of conduct regulations, financial disclosure requirements,
ethics laws, and conflict of interest regulations. Program office personnel team
leaders or designees provide advice and assistance regarding forms required from an
SGE upon acceptance to a federal advisory committee. This means that for SGEs the
membership process is slightly different than that for a representative committee.
This guidance will cover requirements for both.
Navigation
This guidance formalizes a process to establish consistency among all of EPA's
advisory committees. The Instruction Guide is divided into two sections, containing
examples specific to Representative Committees and Special Government Employee
(SGE) Committees.
Examples are designed to serve as tools to assist DFOs with preparing and assembling
membership packages. Examples include:
Action Memos,
Invitational Letters,
Reappointment Letters,
Thank you Letters,
Guidance on format, content, and enclosures.
DFOs are essential to the effectiveness of their committee. By evaluating committee
objectives, needs, size, and requirements, DFOs strive to maintain balanced
membership. To simplify these steps, this guidance divides the membership package
process into 5 steps:
Step 1.
Identifying and soliciting candidates;
Step 2.
Ensuring a balanced representation;
Step 3.
Selecting candidates;
Step 4.
Obtaining White House Liaison and OGC Approval;
Step 5.
Preparing and Submitting the Membership Package.
While the Task Force has worked diligently to incorporate comments, edits, and the
criteria suggested, this is a fluid document which may change based on the needs of
the current Administration, evaluative efforts, and your comments.
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Membership Package Submission Instruction Guide
On behalf of the Office of the Administrator, OCEM extends its sincere appreciation
to the DFO community and EPA staff who worked diligently to develop a consistent
process, provide comment, input, and suggestions. If you have any questions,
concerns, require additional assistance, or have suggestions to improve this document,
do not hesitate to contact the Office of Cooperative Environmental Management's
Committee, Policy, and Oversight Staff. We look forward to speaking with you on
this new membership package process.
Tim Sherer, Associate Director 202.233.0077
Vicki Ellis, Committee Management Officer 202.233.0065
Toni Rousey, Membership Package Co-Lead 202.233.0075
Khanna Johnston, Membership Package Co-Lead 202.233.0082
Step 1. Identifying and Soliciting Candidates
The Federal Advisory Committee Act (FACA) requires advisory committee
membership be balanced in terms of the points of view represented and the functions
performed by the committee. Advisory groups utilize professional associations,
industry and business representatives, non-governmental organizations, interest
groups, academia, state, local, Tribal, and federal government officials, health
professionals, and others to
provide advice that is relevant,
objective, and independent.
Selecting knowledgeable
individuals who represent key
interests ensures advice provided
to EPA represents diverse
stakeholder perspectives. It is
important to fill vacancies as
quickly as possible in order to
maintain balance, membership,
momentum and continued
success.
FACA requires Agencies ensure balanced membership and fair representation. To
maintain balance EPA policy ensues members be appointed for no more than 6 years.
In addition, DFOs are encouraged to solicit new membership as terms expire in order
to preserve a fresh perspective and ensure impartiality with respect to points of view
represented. It is a good idea to contact the Office of General Counsel (OGC) or
OCEM early on in the process with any questions.
Identify Resources
Solicit Candidates
V
Gather Resumes/Bios
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Membership Package Submission Instruction Guide
Armed with an understanding of the objectives, issues, concerns, disputes, and
relationships impacting issues within their committee, DFOs are able to draft a list of
skills needed by the committee. There are several best practices instituted by EPA's
DFOs. Many DFOs are well-connected and able to list potential candidates which
fulfill the expertise, perspective, interests, and representation needed on their
committee. Many DFOs identify potential candidates by consulting with
Resources for Soliciting Candidates
Program Office
White House Liaison
EPA Employees
Federal Agencies
Professional Associations
FR Notice
Current/Former Advisory
Committee Members
Stakeholders
Bulletin Boards/E-mail Forums
Colleges/Universities
EPA staff (i.e., your program office, the White House Liaison, other DFOs, etc.,),
other federal agencies, professional associations, current and former advisory
committee members, stakeholders, or the general public, etc. Some professional
associations have bulletin boards, listservs, or e-mail forums where solicitations can
be posted. In addition, DFOs may wish to solicit resumes through a Federal Register
notice to broaden the pool of qualified candidates.
Solicitation for nominees, gathering of resumes/bios, and discussions to obtain
recommendations should begin four to six months prior to when the new member
needs to be m place.
Step 2. Ensuring Balanced Representation
After the solicitation process, the DFO has a number of resumes to consider. Several
criteria can be used to evaluate potential nominees:
Expertise the candidate brings to the table;
Legislative requirements as noted in the committee's charter;
Geographic, ethnic, social, economic, or scientific points of view needed to
achieve balance;
Specific perspectives required, (i.e., consumers, technical experts, the public,
academia, business, or other sectors to meet the needs of the committee);
Diversity, environmental justice, regional considerations, and consideration of
the points of view on issues before the committee;
Relevance of local, state, or Tribal governmental perspectives;
Candidate communication skills/style and other attributes or experiences;
Number of individuals needed;
Variety of perspectives or points of view needed to achieve balance.
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Membership Package Submission Instruction Guide
There are many best practices to
review candidates initiated by EPA's
DFOs. DFOs establish criteria to
evaluate nominees. Some DFOs use
two levels of evaluation. They weed
out applicants that are not suitable or
do not meet the needs of the
committee, and use a panel to
evaluate the remaining candidates
based on their individual skills and
expertise. DFOs state interviews are
especially useful. A list of interview
questions and additional guidance are available in EPA's Federal Advisory
Committee Handbook, which may be obtained through OCEM. A handful of
committees use contractors to help sort through applications. As a best practice,
DFOs are advised to have at least one or two alternates or back ups ready in each
category or affiliation they are seeking to fill. This is a good idea and allows for
backups, in case, any potential nominees have conflicts, are unable to accept, or do
not meet balance requirements which will be discussed in Step 3.
Establish Criteria
Review
V
Select Nominees and Backups
Step 3. Selecting Candidates
Based on the nominee's ability to meet criteria established by the DFO, committee,
charter, interviews, and the DFO's evaluation, the DFO selects candidates for
nomination. The DFO identifies the best qualified candidates to nominate. For clarity,
these names can be thought of as the DFO's wish list. The DFO should also draft a
list of backups-one or two candidates per category or affiliation. The DFO gathers
resumes for both the wish list and the list of backup nominees. This allows the DFO
to pull another qualified candidate in case the nominee refuses the invitation or does
not meet balance requirements.
Using this draft list of candidates, DFOs should organize the nominees into a grid or
table showing:
current members, former
members, and proposed (new)
members,
affiliation (e.g., federal agencies,
states, Tribes, local
governments, private sector,
academia, non-govemmental
organizations, etc.,),
Gather Resumes/Bios
Prepare Membership Grid
Draft Candidate Lists
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Membership Package Submission instruction Guide
the attributes or interests represented, such as the nominee's area of expertise
or their geographic perspective.
The membership grid helps OGC identify gaps and ensure balance. The grid identifies
proposed, current, and terminating members. This may be done by using asterisks,
highlighting, holding, italicizing, etc., to show membership status and affiliation.
Step 4. Obtaining White House and OGC Approval
DFOs should work with the Agency's White House Liaison and the Office of General
Counsel's FACA Attorney to nominate prospective committee members. The White
House Liaison works with the DFO to consider the composition of the committee, the
interests represented, and the knowledge and experience of candidate members as
stated in their resumes or full bios. OGC assists the DFO by reviewing the functions
to be performed by the advisory committee and ensuring balance, committee makeup,
and points of view are taken into consideration.
DFOs are encouraged to solicit new members as terms expire. EPA policy ensues
members be appointed for no more than 6 years. Soliciting new members helps
assure a fresh perspective and impartiality. If the DFO finds it necessary to deviate
from current EPA policy, and would like to reappoint a current member past 6 years,
it is important to coordinate with the Committee Management Officer. The DFO will
provide a justification explaining the benefit to the Agency and why extending the
member's term is necessary. The justification should be included in the folder and the
Action Memo (discussed in Step 5) in order to obtain Deputy Administrator approval.
Approved
and Returned
to DFO
DFO
Prepares
Folder
Folder to
White House
Liaison
Folder to
OGC
Approved
and Returned
to DFO
DFO Saves Routing
Slip to include in
package
After gathering resumes, drafting the list of proposed nominees and backup names,
preparing a membership grid and routing slip, DFOs should prepare a folder for
review of committee composition and balance. An example of a routing slip is
available under the Enclosures Tab. Name and contact information is available under
the Additional Resources Tab. DFOs may wish to include a fact sheet on their
committee and any explanations that may be helpful to the White House Liaison and
OGC in their review of membership composition and balance.
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Membership Package Submission Instruction Guide
The folder containing the draft list, membership grid, resumes, and routing slip
should be forwarded to the White House Liaison's office.
Allow ten calendar days for review. The White House Liaison will sign off on
the routing slip and return the package to the DFO.
The folder should then be forwarded to the Office of General Counsel.
Allow ten calendar days for review. The Office of General Counsel will sign
the same routing slip indicating initial approval.
If further discussions are warranted, a meeting will be requested with the DFO.
Obtaining initial approval occurs early in the process, before preparing the official
membership package submission folder. This original routing slip will accompany
your membership folder to provide verification to the Administrator's Office that the
White House Liaison and OGC have approved the proposed nominees.
As a best practice, DFOs may wish to discuss their nominations with their supervisors
before submitting the folder to the White House Liaison's Office and OGC. This
keeps management in the loop. However, at this point, it is not necessary to obtain
management's sign off unless the DFOs office protocol requires it. If changes are
made to the nominations after the White House Liaison and OGC have reviewed and
signed off on the folder, a follow up meeting or conference call should be scheduled
to reevaluate balance and membership. Both the Liaison and OGC will sign off on
the original routing slip again. Do not hesitate to contact OCEM, OGC, or the White
House Liaison early on in the process if you have any questions. Contact information
for key players is available under the Additional Resources Tab at the back of this
guide.
Step 5. Preparing and Submitting the Membership Package
The membership package is submitted in an official membership package submission
foldera double pocket green folder with additional documents in a matching green
expandable folder. In order to submit nominees to the Office of the Administrator,
the DFO prepares the necessary documents for approval. The package allows the
Office of the Administrator's staff an opportunity to review candidate qualifications
and expertise brought to the table. DFOs may obtain official green membership
package submission folders from OCEM. Exhibit 1 provides a representation of the
contents of the membership package.
Left Side of Double Pocket Folder (refer to Exhibit 1)
On the left side of the official submission folder, include a one-pager which lists
names and addresses of multiple identical letters (invitational, reappointment, and
Introduction
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Membership Package Submission Instruction Guide
thank you letters) included in the package. This allows the Office of the Executive
Correspondence (OEX) to proof names, addresses, and personal information. This
also alerts OEX as to how many letters require signature. Behind this page, the DFO
should insert a diskette with saved electronic files of the Action Memorandum and the
letters included in the package. It is best to use Word Perfect, Times New Roman,
12pt font to create a form document (or template letter) that allows for a mail merge
with an address list (or data source). For assistance with mail merge contact OEX or
program administrative staff. Using mail merge saves time as it allows OEX to make
corrections rather than return the package to the DFO.
Right Side of Double Pocket Folder (refer to Exhibit 1)
Standard contents are provided on the right side of the official membership package
submission folder and include (in order):
Action Memorandum, prepared by the program office to the Office of the
Administrator to formally request the approval of candidates for membership to the
committee. The Action Memo is attached to the right side of the double pocket folder
and will be the first document facing the reader. Action memos should be consistent
and contain, at a minimum, the following elements:
A brief sentence listing former members and a simple explanation detailing
why these members are coming off the committee (e.g., term has expired,
member had conflicts, other engagements, etc.).
A brief paragraph describing your solicitation process/selection criteria and a
listing of new members with an explanation of why you are nominating these
individuals (e.g., expertise in field, 25 years of experience, recommended by
Chemical Manufacturing Association because of...., etc.).
Membership Grid, showing current members, former members, and new
nominees, affiliations, and terms. This grid may be the same one you prepared
for OGC to demonstrate balance.
A brief biographical summary or paragraph for each nominee.
A sentence acknowledging diversity has been considered and balance
requirements have been met.
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Membership Package Submission Instruction Guide
Exhibit 1
QUICK GUIDE TO ASSEMBLING YOUR OFFICIAL
MEMBERSHIP PACKAGE SUBMISSION FOLDER
This is a representation of the documents contained inthe GREEN Double PocketFolder.
OFFICIAL FOLDER--Left Side
Include One-Pager and Disk:
OFFICIAL FOLDER-Right side
Content should include:
THE LEFT SIDE LISTS ALL LETTERS : The
One-Pager lists all letters in the folder. It serves as
a quick guide to let the reviewer know how many
letters need to be signed, double check names,
addresses, and spelling. STANDARD
INFORMATION TO BE INCLUDED:
The attached package has (2) identical
invitation letters to the following:
Mr. J.C. Goodman
J.C. Penny Company, Inc.
11122 Penny Road
New York, NY 22112
Dr. James Johns
Johns and Johnson Law Firm
99 Good Hope Drive
Glen Bumie, MD 88123
The attached package has (2) identical
reappointment letters to the following:
Mr. Susan Workman
222 Second Street
Berkeley, CA 97799
Mr. Donald St. Johns
1212 Local Street
Lawrence, KS 66604
The attached package has (1) Thank you Letter
to the following:
Dr. Patrick Trainer
P.O. Box 444
Albany, NY 33300
(If possible, create a "mail merge" for multiple
letters. Include mail merge on disk. This allows
OEX to make corrections rather than return
the package to the DFO and saves time.)
NOTE: PLEASE DO NOT FORGET TO
INCLUDE DISKETTE WITH SAVED
ACTION MEMO AND TEMPLATE
LETTERS PLACE DISK IN POUCH.
THE RIGHT SIDE INCLUDES: Documents
arranged in the following order allows for
continuity and enables reviewers to find things
quickly, making concurrence easier and faster.
STANDARD DOCUMENTS ARE TO BE
INCLUDED IN THE FOLLOWING ORDER:
Please attach:
1. Action Memo (Request for approval
of potential candidates)
2. Membership Grid (Chart showing
current and former members, new
nominees, and affiliations)
3. Brief Bios or Resume Summary
(Short background of new
members)
4. External Correspondence
Invitational Letters (New Members)
Reappointment Letters (Members to
serve another term)
» Thank you Letters (Members leaving
the committee)
5. Yellow Concurrence Sheet
6. Federal Advisory Committee Act or
Pamphlet
7. Membership Acceptance Form
(w/pre-addressed envelope)
8. Office of Government Ethics
Confidential Form (if
appropriate)
9. Personnel Forms (if appropriate)
NOTE. IF AN\ OF THESE
DOCUMENTS ARE NOT INCLUDED IN
THE OFFICIAL MEMBERSHIP
PACKAGE SUBMISSION FOi DER, THE
r -TOSF: ULD1NCLUI : AN EXFLANATI
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Membership Package Submission Instruction Guide
Invitational Letters, prepared for each new member being appointed to the
committee. Invitational letters are prepared for each appointed member and are
signed by either the Administrator or the Deputy Administrator. Invitational letters
should immediately follow your Action Memo. The letters follow a standard
template, and include:
A brief sentence stating the purpose of the letter, name of the committee, and
the scope of the committee in the opening paragraph.
Membership term START and END dates listed in the opening paragraph.
Reference to enclosed "Federal Advisory Committee Act" or pamphlet.
Reference to enclosed membership acceptance form.
Note: A copy of the FACA law or FACA pamphlet and a membership acceptance
form should accompany appropriate correspondence documents. Copies of the FACA
law or pamphlet may be obtained from OCEM. For examples please refer to the
Enclosures Tab. For Special Government Employees (SGEs): a copy of the FACA
law or pamphlet, a membership acceptance form, Office of Government Ethics
Confidentiality Form (OGE 450) or EPA Form 3110-48, and any other required
personnel forms should be included immediately following the letters. If any of these
attachments are not included in the package, an explanation should be provided. This
will save time, alerting the reviewer allowing the reviewer to call the DFO directly
without returning the package.
Reappointment Letters, prepared for those committee members who are invited to
continue to serve on the committee for another term. Reappointment letters should
immediately follow your invitational letters. The letters are signed by either the
Administrator or the Deputy Administrator and follow a standard template, which
must at a minimum, include:
A brief sentence stating the purpose of the letter in the opening paragraph.
Membership term START and END dates in the opening paragraph.
Reference to enclosed "Federal Advisory Committee Act" or pamphlet.
Reference to enclosed membership confirmation form.
Note: A copy of the FACA law or FACA pamphlet and a membership acceptance
form should accompany appropriate correspondence documents. Copies of the FACA
law or pamphlet may be obtained from OCEM. For examples please refer to the
Enclosures Tab. For Special Government Employees (SGEs) include: a copy of the
FACA law or pamphlet, a membership acceptance form, Office of Government Ethics
Confidentiality Form (OGE 450) or EPA Form 3110-48, and any other required
personnel forms. If any of these attachments are not included in the package, an
explanation should be provided alerting the reviewer. This will save time, allowing
the reviewer to call the DFO directly without returning the package.
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Membership Package Submission Instruction Guide
Thank You Letters, prepared for current committee members who have completed
their terms. These letters are signed by the Administrator or the Deputy
Administrator and should, at a minimum, include a statement indicating the purpose
of the letter and an expression of appreciation for their service on the committee.
Thank you letters should immediately follow your reappointment letters.
Concurrence Sheets/Routing Slip, the yellow concurrence sheet or file copy to
accompany the appropriate correspondence document and initial routing slip with the
appropriate signatures from your program office, OGC, OCEM, and the Office of the
Administrator should be included.
Examples of all these documents are included in the tabs of this guide. Helpful hints
designed to help the DFO meet EPA formatting guidelines are included in the
Additional Resources Tab. DFOs may wish to contact OCEM to obtain additional
examples. If any of the elements listed above are not included in the official
submission package, DFOs should provide an explanation to inform the reviewer.
Providing an explanation saves time, allowing the reviewer to call the DFO directly, if
necessary, without returning the package and stopping the concurrence process.
Additional Documents Folder
In the green expandable folder, the DFO may provide any additional supporting
documents, such as fact sheets, previous year reports or annual reports, the committee
Charter, resumes, or committee bylaws. The DFO has the flexibility to decide what
important and additional information to include in this section. DFOs should mark
the checklist on the front of the folder before submitting their package to OCEM.
A checklist designed to assist the DFO with completing the membership package
is located in the Additional Resources Tab at the back of this guide.
The DFO completes the membership package and obtains approval from their
program correspondence control manager and internal management. Once a complete
official submission folder is submitted to OCEM's Committee Policy and Oversight
(CPO) Staff, the package is entered into an internal tracking system and the 30-
business day approval process begins.
Timeline
DFO
Completes
Package
Submits
Package to
OCEM
Obtains
Management
Signatures
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Membership Package Submission Instruction Guide
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Membership Package Timeline
4- 6 Month Process
Designated Federal
Officer Process
I
Solicit candidates,
gather resumes, and
prepare membership
grid.
Prepare folder for
White House Liaison
(10 days for review)
Prepare folder for
OGC
(10 days for review)
/ Prepare and submit
\ membership package
\ for program approval
Obtain internal
approval
Submit membership
package to OCEM's
CPO Staff
30 Day Process
Committee Management
Program Process
1
OCEM receives package
(10 business-day process
NOW)
CPO staff enter package Into
internal tracking system,
review for standard content &
format
Package reviewed and verified
complete
CPO staff logs the package out
and sends to OEX
CPO staff sends courtesy email
to DFO, package is forwarded
to OEX
Office of Executive Secretariat
(OEX)
OEX will log packages into
tracking system and review
OEX submits packages to 3rd
Floor Control
Correspondence Manager
Office of the Administrator's &
Deputy Administrator's Process
Correspondence Manager
gives package to Associate
Deputy Administrator (ADA)
ADA distributes package to
Special Assistants, review for
completeness,
concurrences, and
environmental issues.
Packages for DA's signature
concurred by ADA
Packages for the
Administrator's Signature will
also be reviewed by
Administrator's Chief of Staff
Designated Special Assistant
logs package out of Tracking
System and returns to OEX
for Signature (Autopen)
OEX will distribute letters or
return packages to DFO for
mailing
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Membership Package Submission Instruction Guide
OCEM Process
Verify
Consistent
Review
Content
Forward to
OEX
OCEM
. Within five days of receiving the membership package, OCEM staff will:
Enter the package into an internal tracking system;
Review content and format;
Verify the package is complete;
Prepare necessary documents to forward the package;
Log the package out of the tracking system and send it to OEX; and
Send a courtesy e-mail to inform the DFO and Office of the Administrator
(OA) that package has been forwarded to OEX.
OEX Process
Within four days of receiving the membership package, OEX will:
Log the package in the Agency's official tracking system;
Review the package for format and language;
If complete, submit the package to the Office of the Administrator and
Deputy Administrator; and
Update the tracking system.
Office of Administrator's & Deputy Administrator's Process
Review
Format,
Language
Forward
to OA
Return to
OEX
Approval
Review
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Membership Package Submission Instruction Guide
Within 14 days, the Office of the Administrator and Deputy Administrator will:
review, concur and obtain the signatures of the Administrator or Deputy
Administrator:
The Correspondence Manager receives the package and provides it to the
Associate Deputy Administrator (ADA).
The ADA distributes the package to Special Assistants for review of
completeness, concurrences, and environmental issues.
Packages authorized for the Deputy Administrator's signature are concurred by
the Associate Deputy Administrator and returned to the Special Assistant.
Packages authorized for the Administrator's signature are reviewed and also
concurred by the Administrator's Chief of Staff and returned to the Special
Assistant.
The Special Assistant logs the package out of the Tracking System and returns
it to OEX for signature (autopen).
If addressed envelopes and copies of all attachments are included, OEX
distributes the packages. If copies and envelopes are not included, OEX
returns the package to the DFO for mailing. (See Enclosures Tab for
additional information.)
Package
Distributed
or Returned
to DFO
Autopen
OEX
Examples
The Instruction Guide is divided into two sections, containing examples specific to
Representative Committees and Special Government Employee (SGE) Committees.
The following examples are designed to serve as tools. Examples behind the
appropriately marked tabs include:
Action Memos,
Invitational Letters,
Reappointment Letters,
Thank you Letters,
Enclosures; and
Additional Resources
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Membership Package Submission Instruction Guide
Contact Us!
OCEM's Committee, Policy and Oversight Staffs mission is to better serve EPA's
DFOs, to be a resource and expert in the Agency's advisory process, and to help our
program offices become a catalyst for public participation. If you have any questions,
suggestions for improvement, or feedback, please do not hesitate to contact OCEM's
CPO Staff. We look forward to hearing from you!
Tim Sherer, Associate Director 202.233.0077
Vicki Ellis, Committee Management Officer 202.233.0065
Toni Rousey, Membership Package Lead Co-Lead 202.233.0075
Khanna Johnston, Membership Package Co-Lead 202.233.0082
'¦3^Ah:
introduction 15
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ACTION MEMO
Representative
Example
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Membership Package Submission Instruction Guide
Sample Action Memo
for Representative Membership Packages
The Action Memo will be the first document facing the
reader, attached to the right side of your Green Pocket
Folder.
Two examples of Action Memos that have been used by Representative
Committees in their Membership Packages and approved by the Third
Floor are included. These examples are intended to assist you with your
Representative Membership Packages.
Example #1-Appointment to Good Neighbor Environmental Board
Example #2-Appointment to Clean Air Act Advisory Committee
Action Memos should be consistent and contain the following:
A brief sentence listing former members and a simple explanation detailing
why these members are coming off the committee (i.e., term has expired,
member had conflicts and other engagements, etc.).
A brief paragraph describing your solicitation process/selection criteria, a
listing of new members, and an explanation of why you are nominating these
individuals (i.e., expertise in field, recommended by NGO, etc.).
Summary or brief biographies of nominees included in the body of the memo
with brief biographical sketches for all members attached.
Membership Grid, showing current members, former members, and new
nominees, affiliations, and terms. The Grid may be the same one you
prepared for the White House Liaison and OGC to review Balance and
committee composition. Proposed nominees, current and former members
should be identified in some way so there is some type of visual distinction
between the nominees and current members (i.e., bold, highlight, asterisks,
etc.)
Sentence acknowledging diversity has been considered and Balance
requirements have been met.
For your convenience, these criteria are HHHH 'n the attached
examples.
Action Memo
Representative Example
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(Example #1: Action Memo for a Representative Membership Package)
Note: Use your Program Letterhead
OFFICE OF
THE ADMINISTRATOR
January 23,2003
MEMORANDUM
SUBJECT: Appointment/Reappointment of Members to the Good Neighbor Environmental
Board
FROM: Daiva Balkus, Director
Office of Cooperative Environmental Management
THRU:
Tom Gibson
Chief of Staff
TO:
The Administrator
The Good Neighbor Environmental Board (GNEB) currently has seven non-federal
membership slots under consideration. Four members have completed two terms; one member
has completed one term; and two additional slots are under consideration.
| (Federal members, by contrast, are appointed by the heads of their agencies and
serve until a new representative is appointed.)
Summary of Recommendations
is recommended that the terms of three of these members be allowed to expire at the end of their
second terms, which will be the end of this month. mm||lrasema Coronado of
the University of Texas, El Paso; Judith Espinosa of the University of New Mexico; and Susan
Kunz, a tribal and health consultant based in Tucson, Arizona
Their |^mmmm|the following individuals: Amanda Aguirre of the
Binational Health Commission, based in Yuma, Arizona; Dora Alcala, Mayor of Del Rio, Texas;
and Professor Paul Ganster of San Diego State University.
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For the fourth slot, in a departure from custom (but not law), it is recommended that two-
term member Diana Borja of the Texas Commission for Environmental Quality (TCEQ) be
appointed to serve a third term Ms. Borja has been nominated for a third term by TCEQ
Commissioner Ralph Marquez (Attachment A).
Of the three remaining membership slots under discussion, one is occupied by Jerry Paz,
Vice-President of Molzen-Corbin & Associates, an engineering firm in Las Cruces, New Mexico.
It is recommended that Mr. Paz be appointed to serve a second term.
For the sixth, currently vacant, it is recommended that Douglas Smith, Director of
Corporate Environment, Safety, and Health for Sony Electronics, based in San Diego, be
appointed. And for the final slot, it is recommended that the nomination of Kenneth Ramirez of
Bracewell and Patterson in Austin, Texas, be accepted.
Criteria
we recommend be appointed or re-appointed:
Have professional knowledge of, and experience with, the particular issues that the Board
examines (i.e., environmental infrastructure along the U.S.-Mexico border, bearing in
mind the unique cultural features that characterize the region).
Bring senior level-experience that will fill a need of the Board either through filling an
existing gap or bringing a new and relevant dimension to its deliberations.
Represent a sector or group that is involved in the issues that the Board discusses.
Possess a demonstrated ability to work in a consensus-building process with a wide range
of representatives from diverse constituencies.
For any existing members being considered for reappointment, have demonstrated active
and constructive involvement in the work of the Board.
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1) Amanda Aguirre
Board member of the U.S.-Mexieo Border Health Foundation as well as
the U.S.-Mexico Border Health Association. Has been involved in public
health for more than 20 years, with emphasis on education and U.S.-
Mexico border issues. Also is a member of the Yuma County Chamber of
Commerce. Lives in Yuma, Arizona.
IRecommend
her appointment as a new member.
2) Dora Alcala
Mayor of Del Rio, Texas, a small town along the border. Recipient of the
Yellow Rose of Texas Award from Governor George W. Bush in 1998.
Also former recipient of the National Council of Hispanic Woman of the
Year Award.
Recommend her
appointment as a new member.
3) Paul Ganster
Director for Regional Studies of the Californias and Professor of History at
San Diego University. Author of more than 50 articles, book chapters, and
edited works on policy questions of the U.S.-Mexico border region.
Member of the Southwest Center for Environmental Research and Policy
(SCERP), a consortium of universities along both sides of the border.
4) Diana Boija
5) Jerry Paz
6) Douglas Smith
Recommend his appointment as a new member.
Director of Border Affairs for the Texas Commission on Environmental
Quality (TCEQ). Responsibilities include work with each of the four
Mexican states bordering Texas and with New Mexico. Serves alongside
her counterparts from the state environmental agencies of New Mexico,
Arizona, and California. |
Attachment A). Recommend her
re-appointment for a third term.
Vice-President of Molzen-Corbin & Associates, an engineering firm in Las
Cruces, New Mexico. Inducted as Civil Engineering Ingenerio Eminente in
1996.1
Recommend his appointment to serve a second term.
Director of Corporate Environment, Safety, and Health for Sony
Electronics. Lives in San Diego, California. Experience includes design,
construction, and installation of wastewater treatment systems as well as
current position directing the corporate environmental affairs for Sony's
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member.
Recommend that he be appointed as a new
7) Kenneth Ramirez Partner with Bracewell & Patterson, Austin, Texas, wit
| Formerly Deputy Director of the Texas Natural Resources
Conservation Commission (TNRCC), now TCEQ. Also formerly served
as Management Attorney with the EPA Region 9 Office. We recommend
that he be appointed as a new member.
Supplemental Information
Attachment C contains brief biographical statements describing the other non-federal
members of the Board. They are included in order for you to assess how the recommended
candidates described above would fit into the existing membership body. (Note that as mentioned
above, the Board also includes representatives from federal agencies listed in attachment D.)
Next Meeting
The next meeting of the Board will take place in Washington, D.C. on February 18-19,
2003. If possible, it would be appreciated if appointments could be determined and announced in
time for new members to be invited to this session, which will include a Strategic Planning
component.
Thank you for your consideration of this matter.
Approve Date
Disapprove Date
cc: Judith Ayers
Laura Yoshii
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ATTACHMENT A NOT INCLUDED
Note to the Reader:
Attachment A includes correspondence from the Texas Commission for
Environmental Quality nominating Ms. Diana Borja to be reappointed to the
Board. Under this Board's bylaws, members are appointed for a two-year term.
Historically, on this committee, members serve no more than two terms unless
there are special circumstances. Because Ms. Borja is being nominated for a
third term, the DFO has provided a justification explaining the benefit of
reappointing Ms. Borja. Attachment A is not included due to inclusion of
personal information and content.
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ATTACHMENT B
GOOD NEIGHBOR ENVIRONMENTAL BOARD NON-FEDERAL MEMBERSHIP GRID
(Note: Proposed members are highlighted and indicated in italics; continuing members
are in bold, and members coming off (terms have expired) are shown in ALL CAPS.)
Private Sector
Academic
Sector
State
Government
Local
Government
California
Nancy Sutley
5/00 -7/04
CAL EPA,
Sacramento
Diane Rose
10/01 -10/03
Mayor, Imperial
Beach
Arizona
Ed Ranger
5/00 - 7/04
LexRadar, Inc.
Phoenix
New Mexico
~
Texas
Tribal
William Fry
10/01 -10/03
H-E-B Grocery,
San Antonio
Placldo'dos
Santos
9/98 -7/03
(Chair)
ADEQ,
Tucson
JUDITH
ESPINOSA
8/98 -11/03
University of New
Mexico
IRASEMA
CORONADO,
9/98 -1/03
Un iverslty of T exas
Gedl Clbas
10/01 -10-03
NM Dpt. ofEnv.,
Santa Fe
Non-
Governmental
Organization/
Health Sector
Valecia Gavin
7/02 - 7/04
Community Activist,
Fairacres
Karen Chapman
5/00 -7/04
Environmental
Defense,
Austin
SUSAN KUNZ,
7/98-12/02
Tribal Health
Consultant,
Tucson
Larry Allen
10/01 -10/03
Malpai
Borderlands
Conserv. Grp.,
Oro Valley
Tribal Sector
Dale Phillips
10/01 -10/03
Cocopah Tribe
Somerton
, " ennsy/i,^
-.as fores*
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ATTACHMENT C
Brief Biographical Sketches of Non-Federal Good Neighbor Environmental Board Members
Larry Allen Board Member, Malpai Borderlands Group. The Malpai Borderlands
Group is a border-region conservation group whose membership is
comprised of representatives from the ranching and grazing sectors. His
participation enables the Board to benefit from the views of someone who
has extensive experience with conflict resolution among grazing permittees,
timber industry, environmentalists, federal and state agencies.
Gedi Cibas Border Affairs Coordinator for the State of New Mexico. Dr. Cibas brings
the New Mexico state-level environmental agency's perspective to the
Board's deliberations. His special area of interest includes the application
of market instruments to environmental infrastructure border-region issues.
Karen Chapman Staff member of the Austin, Texas chapter of Environmental Defense, a
national environmental group that focuses on sustainable development,
natural resource conservation, environmental policy and public
involvement. She is the former Director of the Sabal Palm Grove
Sanctuary, where she concentrated on cross-border environmental
education and exchange, local water supply issues, water quality
monitoring, and community outreach.
Placido dos Santos Current Chair of the Board. Border Environmental Manager, Arizona
Department of Environmental Quality. Supervises and coordinates the
Department's border activities among state agencies and with border
communities. Former positions in the Arizona Water Resources
Department and as a geologist in the U.S. and in Chile.
William Fry Vice President of Quality Assurance and Environmental Affairs at H-E-B
Grocery of San Antonio, Texas. In addition to his senior-level private
sector experience, he serves on the Air Improvement Resources Committee
of the Alamo Area Council of Governments.
Valecia Gavin Member of the non-profit group called the Border Environmental Health
Coalition. Coalition has carried out projects including assistance to 200
households with inadequate drinking water facilities and building
community capacity to identify and address local environmental justice
concerns. Ms. Gavin also is a member of the Dona Ana County (New
Mexico) Planning and Zoning Commission.
-------
Dale Phillips
Vice Chair, Cocopah Tribe. The Cocopah Tribe is a border-region tribe
whose population lives on both sides of the border. Mr. Phillips continues
to bring a much-valued tribal perspective to the Board's discussion,
especially in the area of valuation of natural resources.
Ed Ranger
Diane Rose
Nancy Sutley
President, LexRadar, Inc. Also Counsel to Baker & McKenzie. Member of
the Arizona and Mexican Bar Associations. Works with the Border Trade
Alliance, the U.S.-Mexico Chamber of Commerce, and the U.S. Chamber
of Commerce. Concentrates in the areas of environmental, health and
safety compliance, and international commerce.
Mayor, City of Imperial Beach. As Mayor of a border community,
Ms. Rose has first-hand experience of partnering with EPA, IBWC. and the
City of Tijuana to curb renegade sewage flows from Tijuana into her
community. She is the only local government representative on the Board.
Deputy Secretary for Policy and Intergovernmental Relations and Special
Advisor to the Secretary of the California Environmental Protection
Agency. California's U.S.-Mexico border program fells within her portfolio
of responsibilities. Formerly held semor positions within the U.S. EPA.
-------
ATTACHMENT D
FEDERAL MEMBERS
M.J. Fiocco
John Klein
Office of Intermodalism
U.S. Department of Transportation
Washington, DC
Assistant Regional Hydrologist
U. S. Geological Survey, Department of Interior
Tucson, AZ
Dennis Linskey
Carlos M. Ramirez
Office of Mexico Aflairs
U.S. Department of State
Washington, D.C.
U.S. Commissioner
International Boundary and Water Commission
El Paso, TX
Shannon H. Sorzano Deputy Asst. Sec. for International Affairs
U.S. Department of Housing and Urban Development
Washington, D.C.
Rosendo Trevino III
Richard Walling
State Conservationist
Natural Resources Conservation Service
U.S. Department of Agriculture
Albuquerque, NM
Director
Office of the Americas and the Middle East
Office of Global Health Aflairs
U.S. Department of Health and Human Services
Rockvifle, MD
Laura Yoshii Deputy Regional Administrator
US EPA, Region 9
San Francisco, CA
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(Example #2: Action Memo for a Representative Membership Package)
Note: Use your Program Letterhead
OFFICE OF
AIR AND RADIATION
February 4, 2003
MEMORANDUM
SUBJECT: Nominations for the Clean Air Act Advisory Committee
FROM: Jeffrey R. Holmstead
Assistant Administrator
TO:
Linda J. Fisher
Deputy Administrator
The Clean Air Act Advisory Committee (CAAAC) was established in November 1990, to
provide high level policy advice to EPA on issues associated with the implementation of the Clean
Air Act of 1990. The Committee has functioned very effectively for the past twelve years and
has been renewed for another two-year period extending to November 2004. A copy of the
CAAAC's r enewed charter is attached. This office feels that the reappointment of many of the
Committee's current membership and the nomination of several new members will continue to
provide the substantial assistance needed in our on-going deliberations on various policy issues
related to the Clean Air Act.
Attached for your review and approval is a list of the current members of the CAAAC
who have agreed to continue their service to the Committee and proposed new members who
would replace retiring or outgoing members. It is our understanding that the members on this list
are willing to accept reappointment or a new appointment to the rechartered Committee.
Our membership recommendations are made with a concern for minority group, gender
and Native American concerns. In this regard, we are recommending the appointment of ¦
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| In addition,
we propose reappointing!
These former
members are: the Honorable Tony Earl, former Governor of Wisconsin and retired partner in
Quarles and Brady LLP; Steve Gerritson, Executive Director, Pacific Rim Enterprise Center;
Jeffrey Keeler, Director, Environmental Strategies, Enron Corporation; Jane Nishida, Secretary,
Maryland Department of the Environment; Mr. G. Alex Johnson, environmental consultant;
Robert Perciasepe, Senior Vice President, Audubon Society; Mike Kenny, Executive Officer,
California Air Resources Board; and George Davidson, Jr., Chairman and CEO, Consolidated
Natural Gas Company.
In addition,!
\ Senator Brian Frosh, Maryland State Senate; William Shapiro, Director,
Regulatory Compliance and Environmental Affairs, Volvo Cars of North America; Dr. Edward
Wolynic, Vice President, Engelhard Corporation; Dr. Peter Jonker, Global Energy Systems, LLC;
Donald Schregardus, Deputy Assistant Secretary of the Navy; Michel Gelobter, Executive
Director, Redefining Progress; and Dean Pusch, Director, Environmental Assurance, Anheuser-
Bush Companies. These former members' good advice and support will be missed.
TheHII^HHiHIIII^I identifies the proposed new members with an asterisk. We
have replaced outgoing members with senior environmental officials and managers in the same
basic categories of "stateholders" in order to help insure the current membership balance within
the sectors of the economy and among regions of the country. We have attached professional
resumes of these proposed new appointments.
All the members being nominated for reappointment have made very important
contributions to the work of the CAAAC which we feel is critical in maintaining the high level of
advice and assistance that we have received from the committee over the years!
to have such a!
caliber list of ind
lg to continue
/e Jeel fortunate
leir service to this Committee.
We have made arrangements for our first meeting of the rechartered Committee for March
20 and 21,2003, at the Mayflower Hotel in Washington, D.C. and consequently will need to send
these confirmation letters as soon as possible. We would be pleased to provide you with any
additional information or brief you on this request if you so desire. Questions can be directed to
the CAAAC Designated Federal Officer, Paul Rasmussen, in my office at 564-1306. We have
attached letters of membership confirmation and letters of appreciation for outgoing members for
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your signature.
Thank you for your attention and assistance in this matter.
Attachments*:
CAAAC Charter
Proposed Membership List
Resumes of Proposed New Members
Letters of Confirmation (Invitation Letters) with Attachments
Letters of Appreciation (Thank you Letters) for Outgoing Members
*Note to the Reader
In an effort to save space and minimize this document, the Attachments listed
above are not included. Please see Example #1, Attachment B for a sample
membership grid/list. Example #1, Attachment C is a sample of Brief
Biographical Sketches. Full resumes and charters may be included in the
Additional Information Folder, but are not required components of the
membership package.
(DFOs should include full resumes of nominees and "backup or alternate nominees" in
the folder you forward to OGC and the White House Liaison for initial approval.
However, you do not have to include full resumes in the Official Membership Package
Submission Folder. Having resumes for your back up names available is
recommended, in case, any nominees do not make the final list of candidates.)
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INVITATIONAL
Representative Example
-------
Membership Package Submission Instruction Guide
Sample Invitational Letter
for Representative Membership Packages
Invitational Letters immediately follow your Action Memo
and should be attached to the right side of your Green
Pocket Folder.
Two examples of Invitational Letters that have been used by
Representative Committees in their Membership Packages and
approved by the Third Floor are included. These examples are
designed to assist you with your Representative Membership Packages.
Example #1-Invitation for two-year term on the Environmental Financial
Advisory Board
Example #2-lnvitation for a two-year term on the National Advisory Council
for Environmental Policy and Technology
Invitational Letters should be consistent and contain the following:
An introductory sentence in the opening paragraph briefly listing purpose of
letter and name of committee.
Membership term START and END DATES in the opening paragraph.
Brief explanation of what the committee does.
Reference to enclosed "Federal Advisory Committee Act" or pamphlet.
Reference to enclosed membership confirmation form.
For your convenience, these criteria are HBHH in the attached
examples.
Invitational Letters
Representative Example
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(Example #1: Invitational Letter for a Representative Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
OFFICE OF
THE ADMINISTRATOR
July 14, 2003
Mr. John Meyers
Executive Director
Natural Heritage Institute
Berkeley, California 94704
Dear Mr. Meyers:
As you know, funding environmental programs presents a major challenge at all levels of
government and in the private sector. |
(its
membership includes senior officials from all levels of government; the finance, banking, and legal
sectors; business and industry; and national organizations, including public interest groups.
| Although we are not able to offer you compensation
for your services, you will be entitled to receive travel and per diem allowances, if needed.
For further information, you can contact Ms. Bowie at
(202) 564-5186.
Along with Acting Administrator Horinko, I hope that you will accept this appointment
and that the EPA will benefit from your expertise and perspectives.
Sincerely yours,
Stephen L. Johnson
Acting Deputy Administrator
Enclosures
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(Example #2: Invitational Letter for a Representative Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
THE ADMINISTRATOR
August 1,2003
Dr. John Clark
Florida State University
Department of Economics
500 East 9th Street
Panama City, Florida 32401-6400
Dear Dr. Clark:
NACEPT members represent a wide range of interests and provide advice to EPA on a
variety of programs and policies.
I have asked NACEPT to
continue its strategic and visionary role in examining emerging trends and issues for EPA's
consideration, and I expect additional projects to be developed in conjunction with the Agency's
program offices.
| Although we are not able to offer you honoraria or
compensation for your services, you will be entitled to receive travel and per diem allowances, if
needed, according to applicable federal travel regulations.
| For further information, please contact Sonia Altieri by telephone at
(202) 233-0061, or by e-mail at altierLsonia@epa.gov.
I hope you will accept this appointment and that EPA will benefit from your expertise and
perspectives.
Sincerely yours,
Marianne Lamont Horinko
Acting Administrator
Enclosures
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REAPPOINTMENT
Representative
Example
-------
Membership Package Submission Instruction Guide
Sample Reappointment Letter
for Representative Membership Packages
Reappointment Letters should immediately follow your
Invitational Letters and be attached to the right side of
your Green Pocket Folder.
Two examples of Reappointment Letters that have been used by
Representative Committees in their Membership Packages and
approved by the Third Floor are included. These examples are
designed to assist you with your Representative Membership Packages.
Example #1-Invitation for two-year reappointment to the National Advisory
Council for Environmental Policy and Technology
Example #2-lnvitation for two-year reappointment to the Good Neighbor
Environmental Board
Reappointment Letters should be consistent and contain the
following:
An introductory sentence briefly listing purpose of letter and name of
committee in the opening paragraph.
Membership term START and END DATES in the opening paragraph.
Reference to enclosed "Federal Advisory Committee Act" or pamphlet.
Reference to enclosed membership confirmation form.
For your convenience, these criteria areflHHH >n the attached
examples.
Reappointment Letters
Representative Example
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-------
(Example #1: Reappointment Letter for a Representative Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
THE ADMINISTRATOR
August 10, 2003
Mr. Chuck Jones
Commissioner
Navarre County
501 Ohio Street
Gulf Breeze, Florida 32044
Dear Mr. Jones:
Thank you for your personal commitment and for the valuable advice that you have
provided as a member of the U.S. Environmental Protection Ag ency's Nat ional Advisory Council
for Environmental Policy and Technology. I am pleased to invite you to continue to serve on the
Council for an additional term of two years beginning October 31, 2003, and ending on October
As you know, I was very impressed by NACEPT's most recent report, The
Environmental Future: Emerging Trends and Opportunities for the U.S. EPA. Over the next
year, I hope the Council will continue to play a strategic and visionary role working with EPA to
examine these emerging trends and issues. I also expect NACEPT to become engaged in other
projects currently being developed by several of the Agency's progr am offices.
Although we are unable to provide honoraria or compensation for your services, you are
entitled to receive travel and per diem allowances, if needed, according to applicable federal travel
regulations.
Enclosed are copies offhe federal Advisory Committee Act" and a^conflrmation fonn for
your convenience. To accept, this invitation, please return the confirmatipn form using the
enclosed, pre-addressed envelope^ For further information, please contact Sonia Altieri by
telephone at (202) 233-0061, or by e-mail at altieri.sonia@epa.gov.
I hope you will accept this appointment and that EPA will continue to benefit from your
expertise and perspectives.
Sincerely yours,
Enclosures
Marianne Lamont Horinko
Acting Administrator
n_. -nUartsrs Libicr-
^ code3201
- -r>">sy!vania Ave"- «-
-------
(Example #2: Reappointment Letter for a Representative Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
OFFICE OF
THE ADMINISTRATOR
July 31, 2003
Ms. Nancy Sutley
California Environmental Protection Agency
1001-I Street, 25th Floor
Sacramento, California 95814
Dear Ms. Sutley:
Your service on the GNEB to date has been extremely valuable in helping to craft policies
and programs that strengthen the environmental infrastructure along the United States-Mexico
border.
I hope that you will accept this reappointment so that the GNEB will continue to benefit from
your experience and expertise.
Sincerely yours,
Stephen L. Johnson
Acting Deputy Administrator
Enclosures
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THANK YOU
Representative
Example
-------
Membership Package Submission Instruction Guide
Sample Thank vou Letter
for Representative Membership Packages
Thank you Letters should immediately follow your
Reappointment Letters and be attached to the right side of
your Green Pocket Folder.
Two examples of Thank you Letters that have been used by
Representative Committees in their Membership Packages and
approved by the Third Floor are included. These examples are
designed to assist you with your Representative Membership Packages.
Example #1-Thank you letter from the Environmental Financial Advisory
Board
Example #2-Thank you letter from the Office of Cooperative Environmental
Management for serving on the National Advisory Council for Environmental
Policy and Technology
Thank you Letters should be consistent and contain the following:
A brief sentence stating the purpose of the letter.
Acknowledgement thanking members for their service.
Thank You Letters
Representative Example
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-------
(Example #1: Thank you Letter for a Representative Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
OFFICE OF
THE ADMINISTRATOR
September 1,2003
Mr. Michael Finne
Managing Associate
J.P. Morgan Securities
New York, New York 10077
Dear Mr. Finne:
Thank you for your service with the Environmental Protection Agency's Environmental
Financial Advisory Board.
The Agency greatly appreciates your contributions to its success during your appointment.
You can indeed take great pride in the acclaim that the Board's accomplishments have generated
throughout EPA and in both the public and private sectors. The body of work produced by the
Board has helped make a significant contribution toward our goal of leveraging greater public and
private resources to help meet the environmental protection needs of our diverse nation.
Acting Administrator Horinko joins me in offering sincere thanks for the time and energy
you have dedicated to the Board's work. We wish you success in all your future endeavors.
Sincerely yours,
Stephen L. Johnson
Acting Deputy Administrator
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(Example #2: Thank you Letter for a Representative Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
THE ADMINISTRATOR
July 31,2003
Mr. David Marsha
Chairman
Marsh Plating Corporation
103 North Grove Street
Ypsilanti, Minnesota 48897
Dear Mr. Marsha:
I am writing to express my sincere thanks for your participation on the National Advisory
Council for Environmental Policy and Technology.
As a Council member, you helped EPA reach beyond traditional boundaries to build new
relationships with representatives of non-federal interests concerned about the environment.
During your tenure, NACEPT encouraged environmental innovation, analyzed EPA's key human
resource needs, and peered into our environmental future. Your active participation, and the
Council's expert advice, has helped EPA remain a world leader in environmental protection and
management.
Again, thank you for the time, talent, and energy you have devoted to NACEPT's work.
Best wishes for success in all your future endeavors.
Sincerely yours,
Marianne Lamont Horinko
Acting Administrator
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ENCLOSURES
Representative
Example
-------
Membership Package Submission Instruction Guide
Sample Enclosures
Concurrence Sheets/Routing Slip, the yellow concurrence sheet or file copy to
accompany the appropriate correspondence document and initial routing slip with
the appropriate signatures from your program office, OGC, OCEM, and the Office of
the Administrator should be included. The original routing slip accompanies your
membership package to provide verification that you have reviewed balance
requirements.
Acceptance Forms should be included as enclosures to your invitational
Letters/Reappointment Letters, with a pre-addressed envelope.
Federal Advisory Committee Act (FACA) or the FACA pamphlet should be
included as an enclosure to your Invitational Letters/Reappointment Letters.
Examples of these documents are provided behind this tab of this guide. If any of
these elements are not included in the package, DFOs should provide an
explanation to inform the reviewer. Providing an explanation saves time, allowing
the reviewer to call the DFO directly, if necessary, without returning the package and
stopping the concurrence process. DFOs may wish to contact OCEM to obtain
additional examples. In order to mail out the signed letters, OEX will need
addressed envelopes and copies of all the enclosures. Including envelopes and all
attachments in the Submission Folder, alerts OEX to mail out the signed letters.
Many DFQs prefer to mail out the invitation, reappointment, and thank you letters on
their own, if this is the case, DO NOT include envelopes, and only include ONE
COMPLETE SET of attachments. This alerts OEX that the package should be
returned to the DFO for mailing.
Enclosures
Representative Example
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Membership Package Submission Instruction Guide
Sample Concurrence Slip
Concurrence (Yellow File Copy) slips should be attached
behind Official Correspondence Documents in your
membership package according to your program office's
guidelines.
Attached is an example of Form 1320-1 A, or the form generally used for
concurrence copies. Provided is an example from the Office of
Cooperative Environmental Management to provide you with a reference
of what a slip may look like. This may not be the format your program
office follows.
The concurrence slip accompanies your membership folder to provide verification
that management has signed off on the correspondence documents.
Concurrence slips also document changes made to the original version for your files.
If you have multiple letters going to different addressees but with the same
body/text, check with your program office, many offices allow one yellow file copy
with a list of names and addressees attached to document multiple recipients. This
is fine and conserves paper.
The Office of the Administrator will be looking at your signature line and the
concurrence line to verify your program management has signed off on the outgoing
letters.
Please check with your program office for the appropriate format for the Signature
Line. Generally it should include:
Originator's initials/typist's initials/office symbol/office
mail-code/date/and telephone number of originator.
There are 7 boxes/signature slots on Form 1320-1 A. Please check with your
individual program office, and follow office protocol. The boxes are designed for the
person concurring to fill in their Office Symbol/Last Name/Date. Usually, the
concurrence line follows your internal office hierarchy, beginning in Box #1 with:
1.) Originator/ 2.) Immediate Supervisor/ 3.) Division Director/4.)
Office Director/ 5.) Correspondence Control Person/ 6.) AfiJ and 7.)
OCEM.
Enclosures
Representative Example
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
Mr. Dennis J. Aigner, Ph.D.
Dean
Donald Bren School of Environmental Science and Management
University of California
2410 Bren Hall
Santa Barbara, California 93106
Dear Dr. Aigner:
I am pleased to invite you to serve a two-year term on the National Advisory Committee
(NAC) t<, the U.S. Representative to the Commission for Environmental Cooperation, beginning
April 21, 2003, through March 21, 2005.
The NAC is composed of representatives from environmental, business, professional, and
academic organizations. It was chartered in 1994, and has played a significant role in
implementation of the Environmental Supplemental Agreement to the North American Free
Trade Agreement. As a member of the committee, you will be asked to consider and offer policy
recommendations on a wide range of issues related to trade and the environment in North
America.
Oscar Carrillo, the Committee's Designated Federal Officer, will provide background
materials to you under separate cover and will contact you to discuss your availability for the
next committee meeting. To accept this invitation, please return the enclosed confirmation form
For further information, please contact Mr. Oscar Carrillo, at 202 233-0076.
II s my pleasure to welcome you to the Committee and I look forward to receiving your
advice and counsel.
Sincerely yours,
Marianne Lamont Horinko
Acting Administrator
SAMPLE COPY
KJ/nb/OA-OCEM/1601 E(202)23 3-0090/3-17-03
CONCURRENCES
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1320-HA (l/90)
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Membership Package Submission Instruction Guide
Sample Routing Slip
Routing slips are attached to the FRONT (OUTSIDE) of
your double pocket official membership package
submission folder. The White House Liaison and Office of
General Counsel will sign your routing slip when you
share your draft list to review Balance. This initial sign off
should take place before you begin preparing your
membership package folder. The White House Liaison will
be interested in the membership grid and resumes. The
Office of General Counsel Attorney will be looking at your
membership grid, which includes both current and former
members, nominees, and affiliations to ensure that the
make up of the committee is balanced.
The original routing slip will accompany your membership folder to provide
verification to the Third Floor that you have met balance and/or diversity
requirements.
Attached are two examples of a routing slip. The first of which is used by
OCEM to provide you with a reference of what your program office's routing
slip may look like. The second is Optional Form 41, a standard form used by
many program offices. The format does not matter.
Reviewers will be looking for signatures obtained from:
White House Liaison AR3315 MC-1101A 564.4693
Office of General Counsel AR7502A MC-2322A 564.3449
Your Program Correspondence Control Manager
Your Program Management Officials
Office of Cooperative
Environmental Management MB800 MC1601E 233.0077
(Please note Key Contactscurrent as of September 12, 2003, are listed for
your convenience in the Additional Resources Tab found at the back of this
guide.)
Enclosures
Representative Example
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ROUTING AND TRANSMITTAL SLIP
Date:
To: (Name, office symbol, room number,
building, Agency /Post)
1.
Initials
Date
2.
3.
4.
5.
6.
Action
File
Note and Return
Approval
For Clearance
Per Conversation
As Requested
For Correction
Prepare Reply
Circulate
For Your Information
See Me
Comment
Investigate
X
Signature
Coordination
Justify
REMARKS
Thank you
Return to:
Room No. Bldg
Phone No.
-------
Oat*
ROUTING AND TRANSMITTAL SUP
TO: (Ham«. office symbol, room number,
nIMing, Agency/Post)
1.
Initials
Oate
Action
File
Note and Return
Approval
For Clearance
Per Conversation
As Requested
For Correction
Prepare Reply
Circulate
For Your Infonnatton
See Me
Comment
Investigate
Signature
Coordination
Justify
REMARKS
00 NOT uie this form as a RECORD of approvals, concurrences, disposals,
clearances, and similar actions
FROM: (Name, org. symbol, Agency/Post)
Room No.Bldg.
Ptione No.
5041-103
¦US GPO 1996-404-763/40015
OPTIONAL FORM 41 (Rev 1-94)
Prescribed by GSA
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Membership Package Submission Instruction Guide
Sample Acceptance Form
Membership Acceptance Forms should be included as
enclosures to your Invitational Letters/Reappointment Letters
with a pre-addressed envelope.
Attached is an example of a Membership Acceptance Form that is used by the
Office of Environmental Justice's, National Environmental Justice Advisory
Committee.
Some committees choose to use a letter format where the nominee submits a letter
back to the Agency accepting the nomination. Whichever format you wish to use is
fine. The important thing is to obtain a signature indicating acceptance to the
membership term in order to document your official committee files.
Enclosures
Representative Example
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(Example: Enclosure Acceptance Form for a Representative Membership Package
Enclosure to accompany Invitational Letter/Reappointment Letter)
NATIONAL ENVIRONMENTAL JUSTICE
ADVISORY COUNCIL
Membership Acceptance Form
TO: Marva King
U.S. Environmental Protection Agency
Mailcode: 2201A
1200 Pennsylvania Avenue, NW
Washington, DC 20460
In response to the invitation for membership on the National Environmental
Justice Advisory Council (NEJAC) and/or one of the Subcommittees, I am pleased
to accept this position for the term, January 15, 2003-January 15, 2005.
Sincerely,
Name
Date
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Membership Package Submission Instruction Guide
Sample Federal Advisory
Committee Act
The Federal Advisory Committee Act (FACA) or pamphlet
should be included as an enclosure to your Invitational
Letters/Reappointment Letters.
Attached is the Federal Advisory Committee Act (FACA). You are welcome to
highlight areas you want to draw attention to.
Enclosures
Representative Example
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Federal Advisory Committee Act
The Federal Advisory Committee Act became law in 1972
and is the legal foundation defining how federal advisory
committees operate. The law has special emphasis on
open meetings, chartering, public involvement, and
reporting.
§ 1. Short title
this Act may be cited as the "Federal Advisory Committee Act."
§ 2. Findings and purpose
(a) The Congress finds that there are numerous committees, boards, commissions,
councils, and similar groups which have been established to advise ofiBcers and agencies in
the executive branch of the Federal Government and that they are frequently a useful and
beneficial means of furnishing expert advice, ideas, and diverse opinions to the Federal
Government.
(b) The Congress further finds and declares that-
(1) the need for many existing advisory committees has not been adequately reviewed;
(2) new advisory committees should be established only when they are determined to
be essential and their number should be kept to the minimum necessary;
(3) advisory committees should be terminated when they are no longer carrying out
the purposes for which they were established;
(4) standards and uniform procedures should govern the establishment, operation,
administration, and duration of advisory committees;
(5) the Congress and the public should be kept informed with respect to the number,
purpose, membership, activities, and cost of advisory committees; and
(6) the function of advisory committees should be advisory only, and that all matters
under their consideration should be determined, in accordance with law, by the official,
agency, or officer involved.
§ 3. Definitions
For the purpose of this Act~
(1) The term "Administrator" means the Administrator of General Services.
(2) The term "advisory committee" means any committee, board, commission, council,
conference, panel, task force, or other similar group, or any subcommittee or other
subgroup thereof (hereafter in this paragraph referred to as "committee"), which is
FCTfRAL jmrtSOOY
coui' iWMi iji'immi
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(A) established by statute or reorganization plan, or
(B) established or utilized by the President, or
(C) established or utilized by one or more agencies, in the interest of obtaining
advice or recommendations for the President or one or more agencies or officer
the Federal Government, except that such term excludes (1) the Advisory
Commission on Intergovernmental Relations, (ii) the Commission on Government
Procurement, and (lii) any committee which is composed wholly of full-time
officers or employees of the Federal Government.
(3) The term "agency" has the same meaning as in section 551(1) of Title 5.
(4) The term "Presidential advisory committee" means an advisory committee which
advises the President.
§ 4. Applicability; restrictions
(a) The provisions of this Act or of any rule, order, or regulation promulgated under this
Act shall apply to each advisory committee except to the extent that any Act of Congress
establishing any such advisory committee specifically provides otherwise.
(b) Nothing in this Act shall be construed to apply to any advisory committee established
or utilized by~
(1) the Central Intelligence Agency, or
(2) the Federal Reserve System.
(c) Nothing in this Act shall be construed to apply to any local civic group whose primary
function is that of rendering a public service with respect to a Federal program, or any
State or local committee, council, board, commission, or similar group established to
advise or make recommendations to State or local officials or agencies.
§ 5. Responsibilities of Congressional committees; review; guidelines
(a) In the exercise of its legislative review function, each standing committee of the Senate
and the House of Representatives shall make a continuing review of the activities of each
advisory committee under its jurisdiction to determine whether such advisory committee
should be abolished or merged with any other advisory committee, whether the
responsibilities of such advisory committee should be revised, and whether such advisory
committee performs a necessary function not already being performed. Each such standing
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committee shall take appropriate action to obtain the enactment of legislation necessary to
carry out the purpose of this subsection.
(b) In considering legislation establishing, or authorizing the establishment of any advisory
committee, each standing committee of the Senate and of the House of Representatives
shall determine, and report such determination to the Senate or to the House of
Representatives, as the case may be, whether the functions of the proposed advisory
committee are being or could be performed by one or more agencies or by an advisory
committee already in existence, or by enlarging the mandate of an existing advisory
committee. Any such legislation shall--
(1) contain a clearly defined purpose for the advisory committee;
(2) require the membership of the advisory committee to be fairly balanced in tains of
the points of view represented and the functions to be performed by the advisory
committee;
(3) contain appropriate provisions to assure that the advice and recommendations of
the advisory committee will not be inappropriately influenced by the appointing
authority or by any special interest, but will instead be the result of the advisory
committee's independent judgment;
(4) contain provisions dealing with authorization of appropriations, the date for
submission of reports (if any), the duration of the advisory committee, and the
publication of reports and other materials, to the extent that the standing committee
determines the provisions of section 10 of this Act to be inadequate; and
(5) contain provisions which will assure that the advisory committee will have
adequate staff (either supplied by an agency or employed by it), will be provided
adequate quarters, and will have funds available to meet its other necessary
expenses.
(c) To the extent they are applicable, the guidelines set out in subsection (b) of this
section shall be followed by the President, agency heads, or other Federal officials in
creating an advisory committee.
§ 6. Responsibilities of the President; report to Congress; annual report to Congress;
exclusion
(a) The President may delegate responsibility for evaluating and taking action, where
appropriate, with respect to all public recommendations made to him by Presidential
advisory committees.
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(b) Within one year after a Presidential advisory committee has submitted a public report
to the President, the President or his delegate shall make a report to the Congress stating
either his proposals for action or his reasons for inaction, with respect to the
recommendations contained in the public report.
(c) The President shall, not later than December 31 of each year, make an annual report to
the Congress on the activities, status, and changes in the composition of advisory
committees in existence during the preceding fiscal year. The report shall contain the name
of every advisory committee, the date of and authority for its creation, its termination date
or the date it is to make a report, its functions, a reference to the reports it has submitted,
a statement of whether it is an ad hoc or continuing body, the dates of its meetings, the
names and occupations of its current members, and the total estimated annual cost to the
United States to fund, service, supply, and maintain such committee. Such report shall
include a list of those advisory committees abolished by the President, and in the case of
advisory committees established by statute, a list of those advisory committees which the
President recommends be abolished together with his reasons therefore. The President
shall exclude from this report any information which, in his judgment, should be withheld
for reasons of national security, and he shall include in such report a statement that such
information is excluded.
§ 7. Responsibilities of the Administrator of General Services; Committee Management
Secretariat, establishment; review; recommendations to President and Congress;
agency cooperation; performance guidelines; uniform pay guidelines; travel expenses;
expense recommendations
(a) The Administrator shall establish and maintain within the General Services
Administration a Committee Management Secretariat, which shall be responsible for all
matters relating to advisory committees.
(b) The Administrator shall, immediately after October 6,1972, institute a comprehensive
review of the activities and responsibilities of each advisory committee to determine-
(1) whether such committee is carrying out its purpose;
(2) whether, consistent with the provisions of applicable statutes, the responsibilities
assigned to it should be revised;
(3) whether it should be merged with other advisory committees; or
(4) whether is should be abolished.
The Administrator may from time to time request such information as he deems necessary
to cany out his functions under this subsection. Upon the completion of the
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Administrator's review he shall make recommendations to the President and to either the
agency head or the Congress with respect to action he believes should be taken.
Thereafter, the Administrator shall carry out a similar review annually. Agency heads shall
cooperate with the Administrator in making the reviews required by this subsection.
(c) The Administrator shall prescribe administrative guidelines and management controls
applicable to advisory committees, and, to the maximum extent feasible, provide advice,
assistance, and guidance to advisory committees to improve their performance. In carrying
out his functions under this subsection, the Administrator shall consider the
recommendations of each agency head with respect to means of improving the
performance of advisory committees whose duties are related to such agency.
(d) (1) The Administrator after study and consultation with the Director of the Office of
Personnel Management, shall establish guidelines with respect to uniform fair rates of pay
for comparable services of members, staSs, and consultants of advisory committees in a
manner which gives appropriate recognition to the responsibilities and qualifications
required and other relevant factors. Such regulations shall provide that-
(A) no member of any advisory committee or of the staff of any advisory
committee shall receive compensation at a rate in excess of the rate specified for
GS-18 of the General Schedule under section 5332 of title 5, United States Code;
(B) such members, while engaged in the performance of their duties away from
their homes or regular places of business, may be allowed travel expenses,
including per diem in lieu of subsistence, as authorized by section 5703 of title 5,
United States Code, for persons employed intermittently in the Government
service; and
(C) such members-
(i) who are blind or deaf or who otherwise qualify as handicapped individuals
(within the meaning of section 501 of the Rehabilitation Act of 1973 (29 U.S.C.
794)), and
(ii) who do not otherwise qualify for assistance under section 3102 of Title 5, by
reason of being an employee of an agency (within the meaning of section
3102(a)(1) of such Title 5), may be provided services pursuant to section 3102 of
such Title 5 while in performance of their advisory committee duties.
(2) Nothing in this subsection shall prevent-
(A) an individual who (without regard to his service with an advisory committee)
is a full-time employee of the United States, or
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(B) an individual who immediately before his service with an advisory committee
was such an employee, from receiving compensation at the rate at which he
otherwise would be compensated (or was compensated) as a full-time employee of
the United States.
(e) The Administrator shall include m budget recommendations a summary of the amounts
he deems necessary for the expenses of advisory committees, including the expenses for
publication of reports where appropriate.
§ 8. Responsibilities of agency heads; Advisory Committee Management Officer,
designation
(a) Each agency head shall establish uniform administrative guidelines and management
controls for advisory committees established by that agency, which shall be consistent with
directives of the Administrator under section 7 and section 10. Each agency shall maintain
systematic information on the nature, functions, and operations of each advisory
committee within its jurisdiction.
(b) The head of each agency which has an advisory committee shall designate an Advisory
Committee Management Officer who shall--
(1) exercise control and supervision over the establishment, procedures, and
accomplishments of advisory committees established by that agency;
(2) assemble and maintain the reports, records, and other papers of any such
committee during its existence; and
(3) carry out, on behalf of that agency, the provisions of section 552 of title 5, United
States Code, with respect to such reports, records, and other papers.
§ 9. Establishment and purpose of advisory committees; publication in Federal
Register; charter: filing, contents, copy
(a) No advisory committee shall be established unless such establishment is--
(1) specifically authorized by statute or by the President; or
(2) determined as a matter of formal record, by the head of the agency involved after
consultation with the Administrator with timely notice published in the Federal
Register, to be in the public interest in connection with the performance of duties
imposed on that agency by law.
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(b) Unless otherwise specifically provided by statute or Presidential directive, advisory
committees shall be utilized solely for advisory functions. Determinations of action to be
taken and policy to be expressed with respect to matters upon which an advisory
committee reports or makes recommendations shall be made solely by the President or an
officer of the Federal Government.
(c) No advisory committee shall meet or take any action until an advisory committee
charter has been filed with (1) the Administrator, in the case of Presidential advisory
committees, or (2) with the head of the agency to whom any advisory committee reports
and with the standing committees of the Senate and of the House of Representatives
having legislative jurisdiction of such agency. Such charter shall contain the following
information:
(A) the committee's official designation;
(B) the committee's objectives and the scope of its activity;
(C) the period of time necessary for the committee to carry out its purposes;
(D) the agency or official to whom the committee reports;
(E) the agency responsible for providing the necessary support for the committee;
(F) a description of the duties for which the committee is responsible, and, if such
duties are not solely advisory, a specification of the authority for such functions;
(G) the estimated annual operating costs in dollars and man-years for such
committee;
(H) the estimated number and frequency of committee meetings;
(I) the committee's termination date, if less than two years from the date of the
committee's establishment; and
(J) the date the charter is filed.
A copy of any such charter shall also be furnished to the Library of Congress.
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§ 10. Advisory committee procedures; meetings; notice, publication in Federal Register;
regulations; minutes; certification; annual report; Federal officer or employee, attendance
(a) (1) Each advisory committee meeting shall be open to the public.
(2) Except when the President determines otherwise for reasons of national security,
timely notice of each such meeting shall be published in the Federal Register, and the
Administrator shall prescribe regulations to provide for other types of public notice to
insure that all interested persons are notified of such meeting prior thereto.
(3) Interested persons shall be permitted to attend, appear before, or file statements
with any advisory committee, subject to such reasonable rules or regulations as the
Administrator may prescribe.
(b) Subject to section 552 of title 5, United States Code, the records, reports, transcripts,
minutes, appendixes, working papers, drafts, studies, agenda, or other documents which
were made available to or prepared for or by each advisory committee shall be available
for public inspection and copying at a single location in the offices of the advisory
committee or the agency to which the advisory committee reports until the advisory
committee ceases to exist.
(c) Detailed minutes of each meeting of each advisory committee shall be kept and shall
contain a record of the persons present, a complete and accurate description of matters
discussed and conclusions reached, and copies of all reports received, issued, or approved
by the advisory committee. The accuracy of all minutes shall be certified to by the
chairman of the advisory committee.
(d) Subsections (a)(1) and (a)(3) of this section shall not apply to any portion of an
advisory committee meeting where the President, or the head of the agency to which the
advisory committee reports, determines that such portion of such meeting may be closed
to the public in accordance with subsection (c) of section 552b of title 5, United States
Code. Any such determination shall be in writing and shall contain the reasons for such
determination If such a determination is made, the advisory committee shall issue a report
at least annually setting forth a summary of its activities and such related matters as would
be informative to the public consistent with the policy of section 552(b) of title 5, United
States Code.
(e) There shall be designated an officer or employee of the Federal Government to chair or
attend each meeting of each advisory committee. The officer or employee so designated is
authorized, whenever he determines it to be in the public interest, to adjourn any such
meeting. No advisory committee shall conduct any meeting m the absence of that officer
or employee.
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(f) Advisory committees shall not hold any meetings except at the call of, or with the
advance approval of, a designated officer or employee of the Federal Government, and in
the case of advisory committees (other than Presidential advisory committees), with an
agenda approved by such officer or employee.
§11. Availability of transcripts; "agency proceeding"
(a) Except where prohibited by contractual agreements entered into prior to the effective
date of this Act, agencies and advisory committees shall make available to any person, at
actual cost of duplication, copies of transcripts of agency proceedings or advisory
committee meetings.
(b) As used in this section "agency proceeding" means any proceeding as defined in
section 551(12) of title 5, United States Code.
§ 12. Fiscal and administrative provisions; record keeping; audit; agency support
services
(a) Each agency shall keep records as will fully disclose the disposition of any funds which
may be at the disposal of its advisory committees and the nature and extent of their
activities. The General Services Administration, or such other agency as the President may
designate, shall maintain financial records with respect to Presidential advisory
committees. The Comptroller General of the United States, or any of his authorized
representatives, shall have access, for the purpose of audit and examination, to any such
records.
(b) Each agency shall be responsible for providing support services for each advisory
committee established by or reporting to it unless the establishing authority provides
otherwise. Where any such advisory committee reports to more than one agency, only one
agency shall be responsible for support services at any one time. In the case of Presidential
advisory committees, such services may be provided by the General Services
Administration.
§ 13. Responsibilities of Library of Congress; reports and background papers;
depository
Subject to section 552 of title 5, United States Code, the Administrator shall provide for
the filing with the Library of Congress of at least eight copies of each report made by
every advisory committee and, where appropriate, background papers prepared by
consultants. The Librarian of Congress shall establish a depository for such reports and
papers where they shall be available to public inspection and use.
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§ 14. Termination of advisory committees; renewal; continuation
(a) (1) Each advisory committee which is in existence on the effective date of this Act
shall terminate not later than the expiration of the two-year period following such effective
date unless--
(A) in the case of an advisory committee established by the President or an officer
of the Federal Government, such advisory committee is renewed by the President
or that officer by appropriate action prior to the expiration of such two-year
period; or
(B) in the case of an advisory committee established by an Act of Congress, its
duration is otherwise provided for by law.
(2) Each advisory committee established after such effective date shall terminate not
later than the expiration of the two-year period beginning on the date of its
establishment unless-
(A) in the case of an advisory committee established by the President or an officer
of the Federal Government such advisory committee is renewed by the President
or such officer by appropriate action prior to the end of such period; or
(B) in the case of an advisory committee established by an Act of Congress, its
duration is otherwise provided for by law.
(b) (1) Upon the renewal of any advisory committee, such advisory committee shall file a
charter m accordance with section 9(c).
(2) Any advisory committee established by an Act of Congress shall file a charter in
accordance with such section upon the expiration of each successive two-year period
following the date of enactment of the Act establishing such advisory committee.
(3) No advisory committee required under this subsection to file a charter shall take
any action (other than preparation and filing of such charter) prior to the date on
which such charter is filed.
(c) Any advisory committee which is renewed by the President or any officer of the
Federal Government may be continued only for successive two-year periods by
appropriate action taken by the President ot such officer prior to the date on which such
advisory committee would otherwise terminate.
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§15. Effective date
Except as provided in section 7(b), this Act shall become effective upon the expiration of
ninety days fbltowing October 6,1972.
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ACTION MEMO
'^SGEExample'r.
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Membership Package Submission Instruction Guide
Sample Action Memo
for SGE Membership Packages
The Action Memo will be the first document facing the
reader, attached to the right side of your Double Pocket
Folder.
Two examples of Action Memos that have been used by SGE
Committees in their Membership Packages and approved by the Third
Floor are included. These examples are designed to assist you with
your SGE Committee Packages.
Example #1-Appointment to National Drinking Water Advisory Council
Example #2-Appointment to Federal Insecticide, Fungicide, and Rodenticide
Act Science Advisory Panel
Action Memos should be consistent and contain the following:
t
A brief sentence listing former members and a simple explanation detailing
why these members are coming off the committee (i.e., term has expired,
member had conflicts and other engagements, etc.).
A brief paragraph describing your solicitation process/selection criteria, a
listing of new members, and an explanation of why you are nominating these
individuals (i.e., expertise in field, recommended by NGO, etc.).
Summary or brief biographies of nominees included in the body of the memo
with brief biographical sketches for all members attached.
Membership Grid, showing current members, former members, and new
nominees, affiliations, and terms. The Grid may be the same one you
prepared for the White House Liaison and OGC to review Balance and
committee composition. Proposed nominees, current and former members
should be identified in some way so there is some type of visual distinction
between the nominees and current members (i.e., bold, highlight, asterisks,
etc.)
Sentence acknowledging diversity has been considered and balance
requirements have been met.
If your committee obtains confidential financial disclosure information prior to
sending out the Invitation/Appointment Letter, then include: a brief description
regarding the information that was sent and the results of the screening for
financial conflicts of interest. Please see Example #2.
For your convenience, these criteria areMflkWM! in the attached
examples for SGE Membership Packages.
Action Memo
SGE Example
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(Example #1: Action Memo for a SGE Membership Package)
Note: Use your Program Letterhead
OFFICE OF WATER
February 20, 2003
MEMORANDUM
SUBJECT: Proposed Nominees for Appointment to the National Drinking Water
Advisory Council
FROM: G. Tracy Mehan, III
Assistant Administrator
TO:
Linda J. Fisher
Deputy Administrator
The Office of Water is requesting your approval of the proposed members for the National
Drinking Water Advisory Council (NDWAC). The NDWAC is a federal advisory committee
whose purpose is to advise the Agency on matters relating to activities, functions and policies of
the Safe Drinking Water Act (SDWA).
and a map showing the geographical distribution of the current and proposed new members.
Your signature of the attached appointment letters will enable us to invite the new members to the
upcoming NDWAC meeting scheduled for'May 13-15, 2003.
Background
The NDWAC supports EPA in performing its duties and responsibilities in administering
the national drinking water program, and was established by the Safe Drinking Water Act of
| As we reviewed the qualifications
of the candidates, we considered whether nominees had the background, expertise, and skills
necessary to provide meaningful advice concerning the Agency's implementation responsibilities
as mandated by the SDWA |~
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Attachments
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(ATTACHMENT 1 to Example #1: Action Memo for a SGE Membership Package-Brief Biographies for
Proposed and Alternate MembersParagraph Bios or Summary Bios for proposed new
members/nominees should be included with the Action Memo. Bios for Alternates may be included at the
program office's discretion, but are not necessary.)
2003 NATIONAL DRINKING WATER ADVISORY COUNCIL:
PROPOSED AND ALTERNATE MEMBERS
Proposed New Members
After reviewing the list of over 72 nominees, I am proposing the appointment of five new
members, and one reappointment whose terms will end December 15, 2005.
The proposed new members are:
State & Local
Jeff Taylor, Deputy Director, Public Utilities Division, Houston Department of Public
Works and Engineering, Texas. As Director with overall responsibility for the division, Mr.
Taylor is in charge of managing the maintenance and repair of the city's approximately 14,000
miles of sewer and water pipes, the production of water on a regional basis and the city's 197
groundwater wells and five water treatment plants. Mr. Taylor is also responsible for ensuring
that Houston and much of the surrounding area is able to meet its future water supply needs. His
previous experience included managing the long-term water supply plan development for the 15
county Houston Metropolitan region. |
Interest Group
Dennis Schwartz, (Reappointment) General Manager, Rural Water District, Tecumseh,
Kansas. Mr. Schwartz is active in the National Rural Water Association, serving as a Board
Member for the Kansas affiliate. He manages a small surface water system serving 8,000 people
operating over three water districts. Mr. Schwartz recently completed his first term on the
Council, and was also an active participant on two workgroups. |
John Betkoski, Commissioner of the Connecticut Department of Public Utility Control.
I He is currently on the National Association of Regulatory
Utility Commissioner (NARUC) Board of Directors, and serves as the Chairman of the
Committee on Water. Mr. Betkoski's previous experience also includes 10 years of service as a
representative in the Connecticut State Legislature.
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General Public
Rebecca Head, Director, Department of Environment and Infrastructure Services,
Washtenaw County, Michigan. Ms. Head has directed this multi-functional agency with 4
divisions and 75 employees for the past ten years. Responsibilities of the department include
| Ms. Head is the Chair of the County Department Heads Group and
the twelve agency member Environmental Issues Group.
Lynn Thorp, serves as the National Programs Coordinator for the Clean Water Fund,
Washington, D.C. The Clean Water Fund is a national organization that conducts public
education and outreach on environmental and public health issues. Ms. Thorp also served for
three years as Coordinator for the Campaign for Safe and Affordable Drinking Water, a
nationwide coalition of organizations working to protect our Nation's drinking water resources
and also serves as a Campaign Coordinator for Clean Water Fund's sister organization, Clean
Water Action |
| Ms. Thorp currently serves as an active participant on the NDWAC
Contaminant Candidate List Workgroup:
Possible Alternates
General Public
Eric D. Olson, is a Senior Attorney with the Natural Resources Defense Council (NRDC)
in Washington, DC specializing in public health issues including drinking water, pesticides, toxics,
and food safety. Mr. Olson is the national Coordinator of the Campaign for Safe and Affordable
Drinking Water, a coalition of over 300 public health, environmental, consumer, and other groups
dedicated to improved drinking water protection. He is a past member of the NDWAC and
currently serves on the NDWAC Affordability Workgroup.
Regu Regunathan, Ph.D, is President and owner of his own company providing
technically oriented consulting services to different companies and organizations, including the
Water Quality Association (WQA) and the National Sanitation Foundation (NSF).
Dr. Regunathan has held several positions of increasing responsibility with Everpure, Inc., a
subsidiary of Culligan International, including an appointment as the Senior Vice President of
Science & Technology at Culligan Water Technologies, Inc. He has also been and is an active
participant in NSF Joint Committee involved toward developing standards for the Drinking
Water Treatment Units for this industry. Mr. Regunathan also served on the NDWAC's Arsenic
Cost Workgroup, and was recommended by the Water Quality Association (WQA).
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Interest Group
David Denig-Chakroff, is the General Manager of the Madison Water Utility in Madison,
Wisconsin. He has worked on drinking water issues at both the state and local levels as a
geologist/planner in a SDWA primacy agency (Ohio) and as a Director and General Manager for
public water systems (Alaska and Wisconsin). He has managed both surface water and ground
water sources and has also worked closely with Native groups and communities. He wrote UIC
regulations in Ohio which resulted in primacy designation. Mr. Denig-Chakroff actively
participates in state and national drinking water organizations and federal stakeholder groups and
advisory councils.
State & Local
Lorraine F. Reynolds, is the Manager of Klickitat Public Utility District No.l,
Washington. She is responsible for managing eight water systems and five wastewater treatment
plants. Ms. Reynolds has a great deal of experience in small rural water systems and she
specializes in public potable water system management and regulations of water system quality
and monitoring procedures and records. She is cunently a member of the WA Department of
Health Water Works Operator Advisory Committee.
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(ATTACHMENT 2 to Example #1: Action Memo for a SGE Membership Package.
Biographical Sketches not included. Please see Representative Package, Example #1, Att. C)
ATTACHMENT 2 NOT INCLUDED
Note to the Reader:
Attachment 2 includes Biographical sketches of all members. Attachment 2 is
not included due to space. Please see Representative Package Example #1,
Attachment C for a sample of Brief Biographical Sketches for all members. Full
resumes, charters, and other documents may be included in the Additional
Information (expandable folder) of your Official Membership Package Submission
Folder, but are not required components of the membership package. Discretion
is left to the DFO. Full resumes are requested during your initial sharing of the
draft list with the White House Liaison's Office and OGC.
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(ATTACHMENT 3 to Example #1: Action Memo for a SGE Membership Package
Membership Grid. This can be the same document you prepare for Marilyn Kuray, OGC)
2002 National Drinking Water Advisory Council
PROPOSED MEMBERSHIP 2/20/03
CATEGORY REOUIRED REPS.
GENERAL PUBLIC
5
STATE & LOCAL
5
INTEREST GROUP
5 (2 reps, small systems)
EXISTING MEMBERS
Jeffrey Griffiths, MA (03)
Tufts University School of Medicine
G. Ramirez-Toro, PR (03)
Environmental Information Center,
International University of Puerto Rico
Blanca Surgeon, NM (04)
Rural Community Assistance
Corporation
state:
Jay Rutherford, KY (03)
KY Natural Resources and
Environmental Protection Cabinet
David Spath, CA (03)
CA Dept. of Health Services/Drinking
Water and Environmental Management
Michael G. Baker, Ohio (04)
EPA, Columbus Ohio
local:
Brian Ramaley, VA (04)
Newport News Department of Public
Utilities
Bradford McLane, AL (03)
Alabama Rivers Alliance
Bruce Florquist, WY (ss) (04)
Rawlins Public Works
John Young, NJ (04)
American Water Works Service
Company
RECOMMENDED ADDITIONS
Lynn Thorp, DC (05)
Clean Water Action
Rebecca A. Head, MI (05)
Washtenaw County Public Health
John W. Betkoski, IE, CT (05)
Connecticut Public Utility
local:
Jeff Taylor, TX (05)
Houston Public Utilities
Dennis Schwartz, KS (ss) (05)
Rural Water District #8
POSSIBLE ALTERNATES
Regu Regunathan, IL
Regunathan & Associates
Eric Olson, DC
NRDC
David Denig-Chakroff, WI
Madison Water Utility
Lorraine Reynolds,WA
Klickitat Public Utility District
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(ATTACHMENT 4 to Example #1: Action Memo for a SGE Membership Package
Additional Information Attachments not included.)
ATTACHMENTS NOT INCLUDED
Note to the Reader:
NDWAC includes a Short Fact Sheet arid a map showing the geographical
distribution of current and proposed new members. You may include additional
information you think is necessary and beneficial to your package in the
Additional Documents (Expandable Folder) of your Official Membership Package
Submission Folder. Discretion is left to the DFO. However, the fact sheet and
map are not included with this example due to space, content, and consistency.
C'Library
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(Example #2: Action Memo for a SGE Membership Package)
Note: Use your Program Letterhead
OFFICE OF PREVENTION,
PESTICIDES AND TOXIC SUBSTANCES
April 1,2003
MEMORANDUM
SUBJECT: Proposed Nominations for Appointment to the Federal Insecticide,
Fungicide, and Rodenticide Act Scientific Advisory Panel
FROM: Stephen L. Johnson
Assistant Administrator
TO: Linda J. Fisher
Deputy Administrator
The Office of Prevention, Pesticides and Toxic Substances is requesting your approval of
three proposed members for the Federal Insecticide, Fungicide, and Rodenticide Act Scientific
Advisory Panel (FIFRA/SAP). The FIFRA/SAP is a federal advisory committee whose purpose
is to provide independent scientific advice, information, and recommendations on pesticides and
pesticide-related issues as to the impact on health and the environment of regulatory actions.
In addition, I have provided Curriculum Vitae for
each of the proposed members.
Attached for your signature are three letters of invitation for the proposed members.
Thank you for your attention and assistance in this matter.
Attachments
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(ATTACHMENT 1 to Example #2: Action Memo for a SGE Membership Package)
ATTACHMENT 1
NOMINATION AND RECOMMENDATION OF FEDERAL INSECTICIDE
FUNGICIDE RODENTICIDE ACT/SCIENCE ADVISORY PANEL MEMBERS
Regulatory Authority
The nomination process and fields of expertise for FIFRA/SAP members are defined by
the provisions of the Federal Insecticide, Fungicide, and Rodentieide Act. Pursuant to section
25(d) of the Act, the SAP "...shall consist of 7 members appointed by the Administrator from a
list of 12 nominees, 6 nominated by the National Institutes of Health and 6 by the National
Science Foundation,"
Nomination Process
|NIH and
NSF responded with 6 nominations each. The 12 nominees were distributed across the requested
scientific expertise as follows: 7 toxicology/veterinary medicine experts, 3 biostatistics experts,
and 2 clinical pediatric researchers. Five of the nominees withdrew from consideration because
they believed their existing responsibilities would preclude active participation in the FIFRA/SAP.
| In response, comments were
received from the Dean of Agriculture, Purdue University, the Natural Resources Defense
Council, and CropLife America. In addition, comments on the nominees were received from the
current chartered members of the FIFRA/SAP.
Conflict of Interest
Chartered members of the FIFRA/SAP serve as Special Government Employees. As such,
they are subject to applicable ethics regulations and must file confidential financial disclosures
with the Agency. I
-------
Recommendations
Of the individuals nominated and available to serve on the Panel,
The existing expertise on the FIFRA/S AP includes toxicology (specifically endocrine
pathology, environmental toxicology, and human toxicolog
y), environmental science, pediatrics,
statistics, and veterinary medicine. |
1 A profile of the current and proposed panels is
presented in the following table.
-------
MEMBERSHIP TABLE
PROFILE OF THE CURRENT AND PROPOSED FIFRA/SAP
CURRENT PANEL.
PROPOSED PANEL
Committee Member
Principal Expertise
Committee Member
Principal Expertise
Dr. Charles Capen
Ohio State University
Columbus, OH
5/1995-TERMENDING
Toxicology - Endocrine
Pathology
Dr. Gary Isom*
Purdue University
West Lafayette, IN
12/2002 -12/2006
Toxicology
Dr. Ronald Kendall
(Current SAP Chair)
Texas Tech University
Lubbock, TX
12/1996 - TERM ENDING
Toxicology - Aquatic
and Terrestrial Biology
Dr. Steven Heeringa
University of Michigan
Ann Arbor, MI
12/2002 -12/2006
Biostatistics
Dr. fiimio Matsumura
University of California
Davis, CA
6/1998 - 8/2003
Environmental
Toxicology
Dr. Fumio Matsumura
University of California
Davis, CA
6/1998 - 8/2003
Environmental
Toxicology
Dr. Herbert Needleman
University of Pittsburgh
Pittsburgh, PA
3/1998 - TERM ENDING
Pediatrician
Dr. Stuart Handwerger
University of Cincinnati
Cincinnati, OH
12/2002 -12/2006
Clinical Pediatric
Research
Dr. Christopher Portier
National Institute of
Environm. Health Sciences
Research Triangle Park,
NC
3/1998 - 3/2003
Biostatistics
Dr. Christopher Portier
National Institute of
Environm. Health
Sciences
Research Trianele Park.
NC
3/1998 - 3/2003
Biostatistics
Dr. Stephen Roberts
University of Florida
Gainesville, FL
7/1999 - 9/2003
Human Toxicology
Dr. Stenhen Roberts
(Future SAP Chair)
University of Florida
Gainesville. FL
7/1999 - 9/2003
Human Toxicology
Dr. Mary Anna Thrall
Colorado State University
Fort Collins, CO
9/1994 - 10/2003
Veterinary Medicine
Dr. Marv Anna Thrall
Colorado State Universitv
Fort Collins. CO
9/1994 -10/2003
Veterinary Medicine
* Proposed new members are shown in Bold. Those members nominated for
reappointment are identified in BOI.D and underlined text.
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(ATTACHMENT 2 to Example #2: Action Memo for a SGE Membership Package
Additbnal Information Attachments not included.)
ATTACHMENT 2 NOT INCLUDED
Note to the Reader:
FIFRA/SAP includes Curriculum Vitae for its proposed members. The
document is similar to a detailed resume, but includes personal information
(i.e., home address, social security numbers, date of birth, publications, etc.,)
for proposed new members. Detailed resumes, Charters, bylaws and other
documents may be included in the Additional Information (expandable folder)
of your Official Membership Package Submission Folder, but are not required
components of the membership package. Discretion is left to the DFO. The
curriculum vitae are not included with this example due to space, consistency,
content, and issues of confidentiality.
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INVITATIONAL
SGE Example
-------
Membership Package Submission Instruction Guide
Sample Invitational Letter
for SGE Membership Packages
Invitational Letters should immediately follow your Action
Memo and be attached to the right side of your Green
Pocket Folder.
Two examples of Invitational Letters that have been used by SGE
Committees in their Membership Packages and approved by the Third
Floor are included. These examples are designed to assist you with
your SGE Committee Packages.
Example #1-Invitation for a four-year term on the Federal Insecticide,
Fungicide, and Rodenticide Act Scientific Advisory Panel.
Example #2-lnvitation for a one-year term on the Board of Scientific
Counselors
Invitational Letters should be consistent and contain the following:
An introductory sentence in the opening paragraph briefly listing purpose of
letter and name of committee.
Membership term START and END DATES in the opening paragraph.
Brief explanation of what the committee does.
Reference to enclosed "Federal Advisory Committee Act" or pamphlet.
Reference to enclosed membership confirmation form.
Reference to enclosed Ethics and Confidential Financial Disclosure Forms
(EPA Form 3110-48 for SGE or OGE 450 for federal employees), any ethics
training documents or CD if included, and any applicable Personnel Forms.*
For your convenience, these criteria areBMSM in the attached
examples for SGE Membership Packages.
* PLEASE NOTE: SGE advisory committee members are requested to
serve as government employees. Therefore, they are required to
complete paperwork as required by Personnel.
Invitational Letters
SGE Example
-------
Membership Package Submission Instruction Guide
SGE DFOs should check with their program office for proper procedures
and protocol. If these documents are mailed with the
invitation/appointment letter, reference should be made to any forms
included with the invitation letter.
Some SGE Committees require the EPA Form 3110-48, Confidential
Financial Disclosure Form for Special Government Employees, and EPA
ethics training be completed prior to the nomination process. Personnel
forms are usually completed after appointment. If your committee
obtains confidential financial disclosure information prior to sending out
the Invitation/Appointment Letter, then include: a brief description
regarding the information that was sent, the results of the screening for
financial conflicts of interest in the ACTION MEMO, and a simple
sentence acknowledging the Agency's receipt of completed forms in the
INVITATIONAL LETTER. This alerts the reviewer that forms will not be
enclosed with your invitational letter.
DFOs please check with your appropriate program staff to determine
which documents you need to include with the invitation letter, and
protocol for documents handled through the HR/Personnel/or Front
Office Staff.
These are some documents you may need for SGE employees:
EPA Form, 3110-48, Confidential Financial Disclosure Form
EPA Ethics Advisory 97-15
EPA Form 3110-45, Expert or Consultant Certificate
EPA Form 3110-15, Supplemental Information accompanies 3110-45
Standard Form 81-Appointment Affidavits
Personnel Forms which may include:
Optional Form 306-Declaration for Federal Employment
Standard Form 181-Race and National Origin Identification
Taxes and Witholdings
Pay/Direct Deposit
Selective Service Verification
Social Security Verification
Statement of Current Salary
Additional Documents NOT provided at Orientation
SGE DFO's should contact their program staff for appropriate
advice and assistance.
Invitational Letters
SGE Example
-------
(Example #1: Invitational Letter for a SGE Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
OFFICE OF
THE ADMINISTRATOR
August 25,2003
Stuart Handwerger, M.D.
Director, Division of Endocrinology
Cincinnati Children's Hospital Medical Center
3333 Burnet Avenue
Cincinnati, Ohio 45229
Dear Dr. Handwerger:
| As a Panel member, you would be responsible for chairing and
facilitating meetings and reviewing meeting minutes to ensure their accuracy and completeness.
Its major objectives are to examine the impact on public
health and the environment of matters arising under Sections 6(b), 6(c), and 25(a) of FIFRA; offer
comments, evaluations, and recommendations for operating guidelines to improve the
effectiveness and quality of scientific analyses made by EPA scientists; and provide independent
peer review of major scientific studies and related issues.
The Panel is organized under the Federal Advisory Committee Act, which regulates and
joverns its operation, including public participation and access to documents.
As a member, you would serve as a Special
Government Employee. |
I It is important that
you understand the applicable ethics regulations and that you alert the Agency to any potential
conflict between your public responsibilities and your private interests and activities, or the
appearance of lack of impartiality as defined by these regulations.
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have any questions or need additional information, please contact Larry Dorsey, the FIFRA/SAP
Executive Secretary, at (202) 564-8450 or at dorsey.larry@epa.gov.
Along with Acting Administrator Horinko, I hope that you will accept this appointment so
that EPA may benefit from your expertise and perspectives.
Sincerely yours,
Enclosures
Stephen L. Johnson
Acting Deputy Administrator
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(Example #2: Invitational Letter for a SGE Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
THE ADMINISTRATOR
September 10, 2003
Dr. David Leslie
Distinguished Professor of Genetics
Department of Botany and Plant Sciences
University of Texas
1 University Station C0400
Austin, Texas 78712
Dear Dr. Leslie:
I hope you will accept this invitation and give EPA the
benefit of your expertise and experience.
(a) evaluate science and engineering research, programs and plans, laboratories, and
research-management practices of ORD and recommend actions to improve their
quality and/or strengthen their relevance to EPA's mission; and
(b) evaluate and provide advice concerning the utilization of peer review within ORD
to sustain and enhance the quality of science in EPA
Please read and complete the form and return it in the enclosed envelope immediately
upon your acceptance of this document. You may wish to keep a copy in your files.
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| and return it in
the envelope provided to Ms. Shirley R. Hamilton. Ms. Hamilton is the Designated Federal
Officer (DFO) for the BOSC and can be reached at (202) 564-6853. This is formal
documentation of your acceptance to serve on this committee. Upon receiving your acceptance,
you will be sent information related to upcoming BOSC activities. Thank you for your
consideration and I look forward to your acceptance.
Sincerely yours,
Marianne Lamont Horinko
Acting Administrator
Enclosures:
«. --Quarters uv
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¦Xon rc
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REAPPOINTMENT
SGE Example
-------
Membership Package Submission Instruction Guide
Sample Reappointment Letter
for SGE Membership Packages
Reappointment Letters should immediately follow your
Invitational Letters and be attached to the right side of
your Double Pocket Folder.
Two examples of Reappointment Letters that have been used by SGE
Committees in their Membership Packages and approved by the Third
Floor are included. These examples are designed to assist you with
your SGE Committee Packages.
Example #1-Invitation for two-year reappointment to the Science Advisory
Board
Example #2-lnvitation for two-year reappointment to the Children's Health
Protection Advisory Committee
Reappointment Letters should be consistent and contain the
following:
An introductory sentence in the opening paragraph briefly stating purpose of
letter.
Membership term START and END DATES in the opening paragraph.
Reference to enclosed "Federal Advisory Committee Act" or pamphlet.
Reference to enclosed membership confirmation form.
Reference to enclosed Ethics and Confidential Financial Disclosure Forms
(EPA Form 3110-48 for SGE or OGE 450 for employees of other federal
agencies), any ethics training documents or CD, if included, and any
applicable Personnel Forms.
For your convenience, these criteria 'n the attached
examples for SGE Membership Packages.
Reappointment Letters
SGE Example
-------
Membership Package Submission Instruction Guide
SGE DFOs should check with their program office for proper procedures
and protocol. If these documents are mailed with the
invitation/appointment letter, reference should be made to any forms
included with the invitation letter.
Some SGE Committees require the EPA Form 3110-48, Confidential
Financial Disclosure Form for Special Government Employees, and EPA
ethics training be completed prior to the nomination process. Personnel
forms are usually completed after appointment. If your committee
obtains confidential financial disclosure information prior to sending out
the Invitation/Appointment Letter, then include: a brief description
regarding the information that was sent, the results of the screening for
financial conflicts of interest in the ACTION MEMO, and a simple
sentence acknowledging the Agency's receipt of completed forms in the
REAPPOINTMENT LETTER. This alerts the reviewer that forms will not
be enclosed with your reappointment letter.
DFOs please check with your appropriate program staff to determine
which documents you need to include with the reappointment letter and
protocol for documents handled through the HR/Personnel/or Front
Office Staff.
These are some documents you may need for SGE employees:
EPA Form, 3110-48, Confidential Financial Disclosure Form
EPA Ethics Advisory 97-15
EPA Form 3110-45, Expert or Consultant Certificate
EPA Form 3110-15, Supplemental Information accompanies 3110-45
Standard Form 81-Appointment Affidavits
Personnel Forms which may include:
Optional Form 306-Declaration for Federal Employment
Standard Form 181-Race and National Origin Identification
Taxes and Witholdings
Pay/Direct Deposit
Selective Service Verification
Social Security Verification
Statement of Current Salary
Additional Documents NOT provided at Orientation
SGE DFO's should contact their program staff for appropriate
advice and assistance.
Reappointment Letters
SGE Example
-------
(Example #1: Reappointment Letter for a SGE Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
THE ADMINISTRATOR
September 6, 2003
Dr. Gregory Biddinger
Environmental Issues Advisor
Exxon Mobil Refining and Supply
3225 Gallows Rd., 8B-914
Fairfax, Virginia 22037
Dear Dr. Biddinger:
On behalf of the U.S. Environmental Protection
President Bush and I are committed to employing sound science and good sense to pursue
the resolution of a broad range of vital environmental issues. Clearly, the knowledge, innovation,
and scientific and technical expertise of those who serve on the SAB and its advisory committees
will play a big part in the success of this prudent approach to effective environmental protection.
Complementing the work of dedicated EPA scientists, the objective peer review and independent
activities of the SAB will help enable the Agency to make continued progress in safeguarding
public health and in protecting our country's air, water, and land.
I hope to benefit from your continuing
contributions to this vital effort.
Sincerely yours,
Marianne Lamont Horinko
Acting Administrator
Enclosures
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(Example #2: Reappointment Letter for a SGE Membership Package)
Note: Use Administrator Program Letterhead for Administrator's Signature, Office of the Administrator for
Deputy Administrator's Signature.
THE ADMINISTRATOR
September 13, 2003
Mr. Chuck Jones
Commissioner
Bay County
1504 Inverness
Panama City, Florida 32444
Dear Mr. Jones:
I appreciate your willingness to commit your time and attention for participation on the
CHPAC. As you know, children's environmental health issues are extremely important to me and
I am proud of the excellent accomplishments that the CHPAC has achieved over the past three
years. This committee has provided thoughtful, insightful, and achievable advice and guidance to
me and the Agency. Changes in EPA policies and procedures have been instituted based on
CHPAC recommendations.
Thank you again for helping me make progress in the arena
of children's environmental health at EPA. I wish the CHPAC much continued success.
Sincerely yours,
Marianne Lamont Horinko
Acting Administrator
Enclosures
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THANK YOU
SGE Example
-------
Membership Package Submission Instruction Guide
Sample Thank vou Letter
Thank you Letters should immediately follow your
Reappointment Letters and be attached to the right side of
your Green Pocket Folder.
Two examples of Thank you Letters that have been used by SGE
Committees and approved by the Third Floor are included. These
examples are designed to assist you with vour SGE Committee
Packages.
Example #1-Thank you letter from the Children's Health Protection Advisory
Committee (CHPAC)
Example #2-Thank you letter from the Science Advisory Board (SAB)
Thank you Letters should be consistent and contain the following:
A brief sentence stating purpose of letter.
Thank members for their service.
- .3. a
n/u.'f'Lib--
1 cod
5y'vaniaAver
dc £(.'
Thank You Letters ^ SGE Example
ani3Aven'.»* -
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(Example #1: Thank you Letter for a SGE Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
THE ADMINISTRATOR
July 18,2003
Dr. Belinda Butler
Food Issues Advisor
Metromedia Restaurant Group
6500 International Parkway
Piano, Texas 75074
Dear Dr. Butler:
Thank you so much for your efforts to promote children's health, and for the time,
experience, and energy you have given as a member of the Children's Health Protection Advisory
Committee (CHPAC). You have been instrumental in providing advice to EPA on key issues
regarding children's environmental health, and your work on the CHPAC has made a significant
impact on the way the Agency does business.
Based on the CHPAC's recommendations, EPA is reevaluating standards and regulations
that have an impact on children's health, and increasing investments in the science that is needed
to assess risks. The CHPAC's advice is contributing to EPA's development of materials to
promote and protect children, such as the Children's Health Valuation Handbook and the "Tips to
Protect Children from Environmental Threats." I am confident that the CHPAC will make great
strides forward based on the CHPAC's recommendations.
The EPA has greatly benefitted from your expertise and advice, and more importantly,
future generations benefit from your dedication in your work and life to promoting the health of
our children. Thank you again for serving.
Sincerely yours,
Marianne Lamont Horinko
Acting Administrator
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(Example #2: Thank you Letter for a SGE Membership Package)
Note: Use Administrator Letterhead for Administrator's Signature, Office of the Administrator for Deputy
Administrator's Signature.
THE ADMINISTRATOR
September 26,2003
Dr. David L. Johnson
Department of Chemical Engineering
University of Texas
1 University Station C0400
Austin, Texas 78712
Dear Dr. Johnson:
As you end your distinguished service as a member of the U.S. Environmental Protection
Agency Science Advisory Board's Drinking Water Committee, please accept my sincere thanks
for your valuable contributions to the success of the Science Advisory Board (SAB).
You can indeed take great pride in your determined efforts to help EPA address many
challenging environmental issues. Clearly, the knowledge, innovation, and scientific and technical
expertise of those who serve on the SAB go a long way in complementing the work of dedicated
EPA scientists. The objective peer review and independent activities of the SAB have helped the
Agency vigorously pursue its vital mission and make important progress in safeguarding public
health and in protecting our country's air, water, and land.
Again, I thank you, and I wish you all the best in your future endeavors.
Sincerely yours,
Marianne Lament Horinko
Acting Administrator
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ENCLOSURES
^ ' SGE Example
-------
Membership Package Submission Instruction Guide
Sample Enclosures
for SGE Membership Packages
Concurrence Sheets/Routing Slip, the yellow concurrence sheet or file copy to
accompany the appropriate correspondence document and initial routing slip with
the appropriate signatures from your program office, OGC, OCEM, and the Office of
the Administrator should be included. The original routing slip accompanies your
membership package to provide verification that you have reviewed balance
requirements.
Acceptance Forms should be included as enclosures to your Invitational
Letters/Reappointment Letters, with a pre-addressed envelope.
Federal Advisory Committee Act (FACA) or the FACA pamphlet should be
included as an enclosure to your Invitational Letters/Reappointment Letters.
SGE Forms/Personnel Forms, as needed. SGE DFOs should check with their
program office for proper procedures and protocol. If personnel documents are
mailed with the invitation/reappointment letter, appropriate references should be
made to any forms included within the invitation letter.
Examples of some of these documents are provided behind this tab. If any of these
elements are not included in the package, DFOs should provide an explanation to
inform the reviewer. Providing an explanation saves time, allowing the reviewer to
call the DFO directly, if necessary, without returning the package and stopping the
concurrence process. DFOs may wish to contact OCEM to obtain additional
examples.
In order to mail out the signed letters, OEX will need addressed envelopes and
copies of all the enclosures. Including envelopes and enclosures in the Submission
Folder, acts as an alert to OEX to mail out the signed letters. Many DFOs prefer to
mail out the invitation, reappointment, and thank you letters on their own. If this is
the case, DO NOT include envelopes, and only include ONE COMPLETE SET of
attachments. This alerts OEX that the package should be returned to the DFO for
mailing.
SGE Enclosures
SGE Example
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Membership Package Submission Instruction Guide
Sample Concurrence Slip
Concurrence (Yellow File Copy) slips should be attached
behind Official Correspondence Documents in your
membership package according to your program office's
guidelines.
Attached is an example of Form 1320-1 A, or the form generally used for
concurrence copies. Provided is an example from the Office of
Cooperative Environmental Management to provide you with a reference
of what a slip may look like. This may not be the format your program
office follows.
The concurrence slip accompanies your membership folder to provide verification
that management has signed off on the correspondence documents.
Concurrence slips also document changes made to the original version for your files.
If you have multiple letters going to different addressees but with the same
body/text, check with your program office, many offices allow one yellow file copy
with a list of names and addressees attached to document multiple recipients. This
is fine and conserves paper.
The Office of the Administrator will be looking at your signature line and the
concurrence line to verify your program management has signed off on the outgoing
letters.
Please check with your program office for the appropriate format for the Signature
Line. Generally it should include:
Originator's initials/typist's initials/office symbol/office
mail-code/date/and telephone number of originator.
There are 7 boxes/signature slots on Form 1320-1A. Please check with your
individual program office, and follow office protocol. The boxes are designed for the
person concurring to fill in their Office Symbol/Last Name/Date. Usually, the
concurrence line follows your internal office hierarchy, beginning in Box #1 with:
1.) Originator/ 2.) Immediate Supervisor/ 3.) Division Director/ 4.)
Office Director/ 5.) Correspondence Control Person/6.) AA/and 7.)
OCEM.
SGE Enclosures
SGE Example
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
Mr. Dennis J. Aigner, Ph.D.
Dean
Donald Bren School of Environmental Science and Management
University of California
2410 Bren Hall
Santa Barbara, California 93106
Dear Dr. Aigner:
I am pleased to invite you to serve a two-year term on the National Advisory Committee
(NAC) to the U.S. Representative to the Commission for Environmental Cooperation, beginning
April 21, 2003, through March 21, 2005.
The NAC is composed of representatives from environmental, business, professional, and
academic organizations. It was chartered in 1994, and has played a significant role in
implementation of the Environmental Supplemental Agreement to the North American Free
Trade Agreement. As a member of the committee, you will be asked to consider and offer policy
recommendations on a wide range of issues related to trade and the environment in North
America.
Oscar Carrillo, the Committee's Designated Federal Officer, will provide background
materials to you under separate cover and will contact you to discuss your availability for the
next committee meeting. To accept this invitation, please return the enclosed confirmation form
For further information, please contact Mr. Oscar Carrillo, at 202 233-0076.
II s my pleasure to welcome you to the Committee and 1 look forward to receiving your
advice and counsel.
Sincerely yours,
Marianne Lamont Horinko
Acting Administrator
SAMPLE COPY
KJ/nb/OA-OCEM/1601E(202)23 3-0090/3-17-03
CONCURRENCES
)
S
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Membership Package Submission Instruction Guide
Sample Routing Slip
Routing slips are attached to the FRONT (OUTSIDE) of
your double pocket official membership package
submission folder. The White House Liaison and Office of
General Counsel will sign your routing slip when you
share your draft list to review Balance. This initial sign off
should take place before you begin preparing your
membership package folder. The White House Liaison will
be interested in the membership grid and resumes. The
Office of General Counsel Attorney will be looking at your
membership grid, which includes both current and former
members, nominees, and affiliations to ensure that the
make up of the committee is balanced.
The original routing slip will accompany your membership folder to provide
verification to the Third Floor that you have met balance and/or diversity
requirements.
Attached are two examples of a routing slip. The first of which is used by
OCEM to provide you with a reference of what your program office's routing
slip may look like. The second is Optional Form 41, a standard form used by
many program offices. The format does not matter.
Reviewers will be looking for signatures obtained from:
White House Liaison AR3315 MC-1101A 564.4693
Office of General Counsel AR7502A MC-2322A 564.3449
Your Program Correspondence Control Manager
Your Program Management Officials
Office of Cooperative
Environmental Management MB800 MC1601E 233.0077
(Please note Key Contactscurrent as of September 12, 2003, are listed for
your convenience in the Additional Resources Tab found at the back of this
guide.)
SGE Enclosures
SGE Example
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ROUTING AND TRANSMITTAL SLIP
Date:
To:
1.
(Name, office symbol, room number,
building, Agency /Post)
Initials
Date
5.
6.
Action
File
Note and Return
Approval
For Clearance
Per Conversation
As Requested
Circulate
For Correction
For Your Information
Prepare Reply
See Me
Comment
Investigate
Signature
Coordination
Justify
REMARKS
Thank you
Return to:
Room No. Bldg
Phone No.
-------
Date
ROUTING AND TRANSMITTAL SUP
TO: (N»m«. office symbol, room number,
building, Agency/Post)
1.
Initials
Date
Action
FUe
Note and Return
Approval
For Clearance
Per Conversation
As Requested
For Correction
Prepare Reply
Circulate
For Your Information
See Me
Comment
Investigate
Signature
Coordination
Justify
REMARKS
DO NOT uh this form as a RECORD of approvals, concurrences, disposals,
clearances, and similar actions
FROM: (Name, org. symbol, Agency/Post)
Room No.Bldg.
Phone No.
5041-103
US GPO 1996-404-763/40015
OPTIONAL FORM 41 (Rev 1-94)
Pr«ierib«d by GSA
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Membership Package Submission Instruction Guide
Sample Acceptance Form
Membership Acceptance Forms should be included as
enclosures to your Invitational Letters/Reappointment Letters
with a pre-addressed envelope.
Attached is an example of a Membership Acceptance Form that is used by the
Children's Health Protection Advisory Committee.
Some committees choose to use a letter format where the nominee submits a letter
back to the Agency accepting the nomination. Whichever format you wish to use is
fine. The important thing is to obtain an original signature indicating acceptance to
the membership term in order to document your official committee files.
SGE Enclosures
SGE Example
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(Example: Enclosure Acceptance Form for a SGE Membership Package)
CHILDREN'S HEALTH PROTECTION ADVISORY COMMITTEE
Membership Response Form
Mail to:
Joanne Rodman
U.S. EPA, OCHP
Ariel Rios North BuMing, MC 1107
1200 Pennsylvania Avenue
Washington, D. C. 20460
202-564-2708
Fax: 202-564-2733
In response to the invitation for membership renewal on the Children's Health Protection
Advisory Committee (CHPAC), I am pleased to extend my membership for the term beginning
October 1,2003, and ending September 30, 2005, as stated in the letter of invitation.
(Signature) (Date)
Please print or type your name and address as you wish it to appear on correspondence:
Name
Organization
Address
City, State, Zip
Telephone
Fax
E-mail Address
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Membership Package Submission Instruction Guide
Sample Federal Advisory
Committee Act
The Federal Advisory Committee Act (FACA) or pamphlet
should be included as an enclosure to your Invitational
Letters/Reappointment Letters.
Attached is the Federal Advisory Committee Act (FACA). You are welcome to
highlight areas you want to draw attention to.
SGE Enclosures
SGE Example
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Federal Advisory Committee Act
The Federal Advisory Committee Act became law in 1972
and is the legal foundation defining how federal advisory
committees operate. The law has special emphasis on
open meetings, chartering, public involvement, and
reporting.
§ 1. Short title
this Act may be cited as the "Federal Advisory Committee Act."
§ 2. Findings and purpose
(a) The Congress finds that there are numerous committees, boards, commissions,
councils, and similar groups which have been established to advise officers and agencies in
the executive branch of the Federal Government and that they are frequently a useful and
beneficial means of furnishing expert advice, ideas, and diverse opinions to the Federal
Government.
(b) The Congress further finds and declares that
(1) the need for many existing advisory committees has not been adequately reviewed;
(2) new advisory committees should be established only when they are determined to
be essential and their number should be kept to the minimum necessary;
(3) advisory committees should be terminated when they are no longer carrying out
the purposes for which they were established;
(4) standards and uniform procedures should govern the establishment, operation,
administration, and duration of advisory committees;
(5) the Congress and the public should be kept informed with respect to the number,
purpose, membership, activities, and cost of advisory committees; and
(6) the function of advisory committees should be advisory only, and that all matters
under their consideration should be determined, in accordance with law, by the official,
agency, or officer involved.
§ 3. Definitions
For the purpose of this Act~
(1) The term "Administrator" means the Administrator of General Services.
(2) The term "advisory committee" means any committee, board, commission, council,
conference, panel, task force, or other similar group, or any subcommittee or other
subgroup thereof (hereafter in this paragraph referred to as "committee"), which is
ffTflUL *f>VKO«Y
cran> miymoniwff
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(A) established by statute or reorganization plan, or
(B) established or utilized by the President, or
(C) established or utilized by one or more agencies, in the interest of obtaining
advice or recommendations for the President or one or more agencies or officer
the Federal Government, except that such term excludes (1) the Advisory
Commission on Intergovernmental Relations, (ii) the Commission on Government
Procurement, and (iii) any committee which is composed wholly of full-time
officers or employees of the Federal Government.
(3) The term "agency" has the same meaning as in section 551(1) of Title 5
(4) The term "Presidential advisory committee" means an advisory committee which
advises the President.
§ 4. Applicability; restrictions
(a) The provisions of this Act or of any rule, order, or regulation promulgated under this
Act shall apply to each advisory committee except to the extent that any Act of Congress
establishing any such advisory committee specifically provides otherwise.
(b) Nothing in this Act shall be construed to apply to any advisory committee established
or utilized by
(1) the Central Intelligence Agency; or
(2) the Federal Reserve System.
(c) Nothing m this Act shall be construed to apply to any local civic group whose primary
function is that of rendering a public service with respect to a Federal program, or any
State or local committee, council, board, commission, or similar group established to
advise or make recommendations to State or local officials or agencies.
§ 5. Responsibilities of Congressional committees; review; guidelines
(a) In the exercise of its legislative review function, each standing committee of the Senate
and the House of Representatives shall make a continuing review of the activities of each
advisory committee under its jurisdiction to determine whether such advisory committee
should be abolished or merged with any other advisory committee, whether the
responsibilities of such advisory committee should be revised, and whether such advisory
committee performs a necessary function not already being performed. Each such standing
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committee shafl take appropriate action to obtain the enactment of legislation necessary to
carry out the purpose of this subsection.
(b) In considering legislation establishing, or authorizing the establishment of any advisory
committee, each standing committee of the Senate and of the House of Representatives
shall determine, and report such determination to the Senate or to the House of
Representatives, as the case may be, whether the functions of the proposed advisory
committee are being or could be performed by one or more agencies or by an advisory
committee already in existence, or by enlarging the mandate of an existing advisory
committee. Any such legislation shall
(1) contain a clearly defined purpose for the advisory committee;
(2) require the membership of the advisory committee to be fairly balanced in terms of
the points of view represented and the functions to be performed by the advisory
committee;
(3) contain appropriate provisions to assure that the advice and recommendations of
the advisory committee will not be inappropriately influenced by the appointing
authority or by any special interest, but will instead be the result of the advisory
committee's independent judgment;
(4) contain provisions dealing with authorization of appropriations, the date for
submission of reports (if any), the duration of the advisory committee, and the
publication of reports and other materials, to the extent that the standing committee
determines the provisions of section 10 of this Act to be inadequate; and
(5) contain provisions which will assure that the advisory committee will have
adequate staff (either supplied by an agency or employed by it), will be provided
adequate quarters, and will have funds available to meet its other necessary
expenses.
(c) To the extent they are applicable, the guidelines set out in subsection (b) of this
section shall be followed by the President, agency heads, or other Federal officials in
creating an advisory committee.
§ 6. Responsibilities of the President; report to Congress; annual report to Congress;
exclusion
(a) The President may delegate responsibility for evaluating and taking action, where
appropriate, with respect to all public recommendations made to him by Presidential
advisory committees.
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(b) Within one year after a Presidential advisory committee has submitted a public report
to the President, the President or his delegate shall make a report to the Congress stating
either his proposals for action or his reasons for inaction, with respect to the
recommendations contained in the public report.
(c) The President shall, not later than December 31 of each year, make an annual report to
the Congress on the activities, status, and changes in the composition of advisory
committees in existence during the preceding fiscal year. The report shall contain the name
of every advisory committee, the date of and authority for its creation, its termination date
or the date it is to make a report, its functions, a reference to the reports it has submitted,
a statement of whether it is an ad hoc or continuing body, the dates of its meetings, the
names and occupations of its current members, and the total estimated annual cost to the
United States to fund, service, supply, and maintain such committee. Such report shall
include a list of those advisory committees abolished by the President, and in the case of
advisory committees established by statute, a list of those advisory committees which the
President recommends be abolished together with his reasons therefore. The President
shall exclude from this report any information which, in his judgment, should be withheld
for reasons of national security, and he shall include in such report a statement that such
information is excluded.
§ 7. Responsibilities of the Administrator of General Services; Committee Management
Secretariat, establishment; review; recommendations to President and Congress;
agency cooperation; performance guidelines; uniform pay guidelines; travel expenses;
expense recommendations
(a) The Administrator shall establish and maintain within the General Services
Administration a Committee Management Secretariat, which shall be responsible for all
matters relating to advisory committees.
(b) The Administrator shall, immediately after October 6,1972, institute a comprehensive
review of the activities and responsibilities of each advisory committee to determine
(1) whether such committee is carrying out its purpose;
(2) whether, consistent with the provisions of applicable statutes, the responsibilities
assigned to it should be revised;
(3) whether it should be merged with other advisory committees; or
(4) whether is should be abolished.
The Administrator may from time to time request such information as he deems necessary
to carry out his functions under this subsection. Upon the completion of the
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Administrator's review he shall make recommendations to the President and to either the
agency head or the Congress with respect to action he believes should be taken.
Thereafter, the Administrator shall carry out a similar review annually. Agency heads shall
cooperate with the Administrator in making the reviews required by this subsection.
(c) The Administrator shall prescribe administrative guidelines and management controls
applicable to advisory committees, and, to the maximum extent feasible, provide advice,
assistance, and guidance to advisory committees to improve their performance. In carrying
out his functions under this subsection, the Administrator shall consider the
recommendations of each agency head with respect to means of improving the
performance of advisory committees whose duties are related to such agency.
(d) (1) The Administrator after study and consultation with the Director of the Office of
Personnel Management, shall establish guidelines with respect to uniform fair rates of pay
for comparable services of members, staffs, and consultants of advisory committees in a
manner which gives appropriate recognition to the responsibilities and qualifications
required and other relevant factors. Such regulations shall provide that-
(A) no member of any advisory committee or of the staff of any advisory
committee shall receive compensation at a rate in excess of the rate specified for
GS-18 of the General Schedule under section 5332 of title 5, United States Code;
(B) such members, while engaged in the performance of their duties away from
their homes or regular places of business, may be allowed travel expenses,
including per diem in lieu of subsistence, as authorized by section 5703 of title 5,
United States Code, for persons employed intermittently in the Government
service; and
(C) such members-
(i) who are blind or deaf or who otherwise qualify as handicapped individuals
(within the meaning of section 501 of the Rehabilitation Act of 1973 (29 U.S.C.
794)), and
(ii) who do not otherwise qualify for assistance under section 3102 of Title 5, by
reason of being an employee of an agency (within the meaning of section
3102(a)(1) of such Title 5), may be provided services pursuant to section 3102 of
such Title 5 while in performance of their advisory committee duties.
(2) Nothing in this subsection shall prevent-
(A) an individual who (without regard to his service with an advisory committee)
is a fall-time employee of the United States, or
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(B) an individual who immediately before his service with an advisory committee
was such an employee, from receiving compensation at the rate at which he
otherwise would be compensated (or was compensated) as a full-time employee of
the United States.
(e) The Administrator shall include in budget recommendations a summary of the amounts
he deems necessary for the expenses of advisory committees, including the expenses for
publication of reports where appropriate.
§ 8. Responsibilities of agency heads; Advisory Committee Management Officer,
designation
(a) Each agency head shall establish uniform administrative guidelines and management
controls for advisory committees established by that agency, which shall be consistent with
directives of the Administrator under section 7 and section 10. Each agency shall maintain
systematic information on the nature, functions, and operations of each advisory
committee within its jurisdiction.
(b) The head of each agency which has an advisory committee shall designate an Advisory
Committee Management Officer who shall--
(1) exercise control and supervision over the establishment, procedures, and
accomplishments of advisory committees established by that agency;
(2) assemble and maintain the reports, records, and other papers of any such
committee during its existence; and
(3) carry out, on behalf of that agency, the provisions of section 552 of title 5, United
States Code, with respect to such reports, records, and other papers.
§ 9. Establishment and purpose of advisory committees; publication in Federal
Register; charter: filing, contents, copy
(a) No advisory committee shall be established unless such establishment is~
(1) specifically authorized by statute or by the President; or
(2) determined as a matter of formal record, by the head of the agency involved after
consultation with the Administrator with timely notice published in the Federal
Register, to be in the public interest in connection with the performance of duties
imposed on that agency by law.
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(b) Unless otherwise specifically provided by statute or Presidential directive, advisory
committees shall be utilized solely for advisory functions. Determinations of action to be
taken and policy to be expressed with respect to matters upon which an advisory
committee reports or makes recommendations shall be made solely by the President or an
officer of the Federal Government.
(c) No advisory committee shall meet or take any action until an advisory committee
charter has been filed with (1) the Administrator, in the case of Presidential advisory
committees, or (2) with the head of the agency to whom any advisory committee reports
and with the standing committees of the Senate and of the House of Representatives
having legislative jurisdiction of such agency. Such charter shall contain the following
information:
(A) the committee's official designation;
(B) the committee's objectives and the scope of its activity;
(C) the period of time necessary for the committee to carry out its purposes;
(D) the agency or official to whom the committee reports;
(E) the agency responsible for providing the necessary support for the committee;
(F) a description of the duties for which the committee is responsible, and, if such
¦ duties are not solely advisory, a specification of the authority for such functions;
(G) the estimated annual operating costs in dollars and man-years for such
committee;
(H) the estimated number and frequency of committee meetings;
(I) the committee's termination date, if less than two years from the date of the
committee's establishment; and
(J) the date the charter is filed.
A copy of any such charter shall also be furnished to the Library of Congress.
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§ 10. Advisory committee procedures; meetings; notice, publication in Federal Register;
regulations; minutes; certification; annual report; Federal officer or employee, attendance
(a) (1) Each advisory committee meeting shall be open to the public.
(2) Except when the President determines otherwise for reasons of national security,
timely notice of each such meeting shall be published in the Federal Register, and the
Administrator shall prescribe regulations to provide for other types of public notice to
insure that all interested persons are notified of such meeting prior thereto.
(3) Interested persons shall be permitted to attend, appear before, or file statements
with any advisory committee, subject to such reasonable rules or regulations as the
Administrator may prescribe.
(b) Subject to section 552 of title 5, United States Code, the records, reports, transcripts,
minutes, appendixes, working papers, drafts, studies, agenda, or other documents which
were made available to or prepared for or by each advisory committee shall be available
for public inspection and copying at a single location in the offices of the advisory
committee or the agency to which the advisory committee reports until the advisory
committee ceases to exist.
(c) Detailed minutes of each meeting of each advisory committee shall be kept and shall
contain a record of the persons present, a complete and accurate description of matters
discussed and conclusions reached, and copies of all reports received, issued, or approved
by the advisory committee. The accuracy of all minutes shall be certified to by the
chairman of the advisory committee.
(d) Subsections (a)(1) and (a)(3) of this section shall not apply to any portion of an
advisory committee meeting where the President, or the head of the agency to which the
advisory committee reports, determines that such portion of such meeting may be closed
to the public in accordance with subsection (c) of section 552b of title 5, United States
Code. Any such determination shall be in writing and shall contain the reasons for such
determination. If such a determination is made, the advisory committee shall issue a report
at least annually setting forth a summary of its activities and such related matters as would
be informative to the public consistent with the policy of section 552(b) of title 5, United
States Code.
(e) There shall be designated an officer or employee of the Federal Government to chair or
attend each meeting of each advisory committee. The officer or employee so designated is
authorized, whenever he determines it to be in the public interest, to adjourn any such
meeting. No advisory committee shall conduct any meeting in the absence of that officer
or employee.
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(f) Advisory committees shall not hold any meetings except at the call of, or with the
advance approval of, a designated officer or employee of the Federal Government, and in
the case of advisory committees (other than Presidential advisory committees), with an
agenda approved by such officer or employee.
§ 11. Availability of transcripts; "agency proceeding"
(a) Except where prohibited by contractual agreements entered into prior to the effective
date of this Act, agencies and advisory committees shall make available to any person, at
actual cost of duplication, copies of transcripts of agency proceedings or advisory
committee meetings.
(b) As used in this section "agency proceeding" means any proceeding as defined in
section 551(12) of title 5, United States Code.
§ 12. Fiscal and administrative provisions; record keeping; audit; agency support
services
(a) Each agency shall keep records as will fully disclose the disposition of any funds which
may be at the disposal of its advisory committees and the nature and extent of their
activities. The General Services Administration, or such other agency as the President may
designate, shall maintain financial records with respect to Presidential advisory
committees. The Comptroller General of the United States, or any of his authorized
representatives, shall have access, for the purpose of audit and examination, to any such
records.
(b) Each agency shall be responsible for providing support services for each advisory
committee established by or reporting to it unless the establishing authority provides
otherwise. Where any such advisory committee reports to more than one agency, only one
agency shall be responsible for support services at any one time. In the case of Presidential
advisory committees, such services may be provided by the General Services
Administration.
§ 13. Responsibilities of Library of Congress; reports and background papers;
depository
Subject to section 552 of title 5, United States Code, the Administrator shall provide for
the filing with the Library of Congress of at least eight copies of each report made by
every advisory committee and, where appropriate, background papers prepared by
consultants. The Librarian of Congress shall establish a depository for such reports and
papers where they shall be available to public inspection and use.
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§ 14. Termination of advisory committees; renewal; continuation
(a) (1) Each advisory committee which is in existence on the effective date of this Act
shall terminate not later than the expiration of the two-year period following such effective
date unless-
(A) in the case of an advisory committee established by the President or an officer
of the Federal Government, such advisory committee is renewed by the President
or that officer by appropriate action prior to the expiration of such two-year
period; or
(B) in the case of an advisory committee established by an Act of Congress, its
duration is otherwise provided for by law.
(2) Each advisory committee established after such effective date shall terminate not
later than the expiration of the two-year period beginning on the date of its
establishment unless-
(A) in the case of an advisory committee established by the President or an officer
of the Federal Government such advisory committee is renewed by the President
or such officer by appropriate action prior to the end of such period; or
(B) m the case of an advisory committee established by an Act of Congress, its
duration is otherwise provided for by law.
(b) (1) Upon the renewal of any advisory committee, such advisory committee shall file a
charter m accordance with section 9(c).
(2) Any advisory committee established by an Act of Congress shall file a charter in
accordance with such section upon the expiration of each successive two-year period
following the date of enactment of the Act establishing such advisory committee.
(3) No advisory committee required under this subsection to file a charter shall take
any action (other than preparation and filing of such charter) prior to the date on
which such charter is filed.
(c) Any advisory committee which is renewed by the President or any officer of the
Federal Government may be continued only for successive two-year periods by
appropriate action taken by the President or such officer prior to the date on which such
advisory committee would otherwise terminate.
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§ 15. Effective date
Except as provided in section 7(b), this Act shall become effective upon the expiration of
ninety days following October 6, 1972.
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Membership Package Submission Instruction Guide
SGE Forms
Enclosures should immediately follow your Invitational
Letters/Reappointment letter and be attached to the right
side of your Green Pocket Folder.
DFOs please check with your appropriate program staff to determine which
documents you need to include with the invitation letter, and protocol for documents
handled through the HR/Personnel/or Front Office Staff.
These are some documents you may need for SGE employees:
EPA Form, 3110-48, Confidential Financial Disclosure Form
EPA Ethics Advisory 97-15
EPA Form 3110-45, Expert or Consultant Certificate
EPA Form 3110-15, Supplemental Information accompanies 3110-45
Standard Form 81-Appointment Affidavits
Personnel Forms which may include:
Optional Form 306-Declaration for Federal Employment
Standard Form 181-Race and National Origin Identification
Taxes and Witholdings
Pay/Direct Deposit
Selective Service Verification
Social Security Verification
Statement of Current Salary
Additional Documents NOT provided at Orientation
Attached please find the new standard EPA Form 3110-48, Confidential
Financial Disclosure Form for Special Government Employees.
SGE DFO's should contact their program staff for appropriate advice and
assistance.
SGE Enclosures
SGE Example
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P%A Confidential Financial Disclosure m for Special Government Employees
nQ Serving on Federal Advisory Comiuittees at the U.S. Environmental Protection Agency
General Instructions
A. Why You Must File
This report is a safeguard for you as well as the Government. It allows Government officials to determine whether there is a statutory
conflict between your public responsibilities and your private interests and activities, or the appearance of a lack of impartiality, as defined by
federal regulation.
What is a Special Government Employee?
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
Conflicts of Interest
Definition: A conflict of interest is a personal interest or relationship, as defined by law or regulation, that conflicts with the faithful performance of official duty
18 U.S.C 208: "An employee is prohibitedfrom participating personally and substantially in an official capacity in any particular mailer m which, to his knowledge, he or any person
¦whose interests are imputed to him under this statute has a financial interest, ifthe particidar matter will have a direct and predictable effect on that interest "
Participate - "decision, approval, recommendation, or rendering advice "
Personally - "directly and includes participation of a subordinate when directed"
Substantially - "of significance to the matter"
Particular Matter - "one focused on the interests of specific persons or class "
Financial interests - "stocks, bonds, partnership interest, options"
Imputed to the employee - "self, spouse, dependent children "
Direct and predictable effect - "dose causal link to the interest, a real effect"
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 ha 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 relevantfacts to question his Impartiality m 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"
B. Who Must File
Special Government Employees (SGEs) providing advice to EPA must file this form as well as candidates who wish to be considered for
such service.
C Confidentiality of Information Provided on this Form
Title I of the Ethics in Government Act of 1978 (5 U.S.C. App.), Executive Order 12674, and 5 CFR Part 2634, Subpart I, of the Office
of Government Ethics regulations require the reporting of this information. The primary use of the information on this form is for review by
Government officials at EPA to determine compliance with applicable Federal conflict of interest laws and regulations. Additional disclosures of
EPA Form 3110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
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the information on this report may be made: (1) to 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) to 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) to a source when necessary to obtain information relevant to a conflict of interest
investigation or decision; (4) to the National Archives and Records Administration or the General Services Administration in records
management inspections; (5) to 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. This confidential report will not be disclosed to any requesting person unless authorized by law.
D. When to file
If an SGE is new to a federal advisory committee, the SGE must complete parts 2-9 of this form before participating in that Committee or
activity. Subsequently, SGEs must file annually, between October 1 and October 31 by completing parts 2-8, and also must complete Parts 1 and
9 before participating in each new advisory activity.
E. Where to file
Send your report to the address specified by the Designated Federal Officer for the Committee or panel for which you are a member,
consultant, or candidate.
F. General Instructions
Filers must provide sufficient information about outside interests and activities so that EPA ethics officials can make an informed
judgment regarding any conflict of interest or appearance of lack of impartiality. EPA staff may contact you to obtain additional information if
they see a need for that information to determine whether there is a statutory conflict between your public responsibilities and your spouse's
private interests and activities.
You must include information applicable to yourself and your spouse on Parts 2-6, and for yourself, your spouse, and dependent children
on Parts 7 and 8. Information about your spouse is not required in the case of divorce, permanent separation, or temporary separation with the
intention of terminating the marriage or permanently separating.
Filers may use blank pages for continuation if they note their name and the supplemental page number on the continuation pages.
EPA Form 3110-48(5-02)
""uri form has been reviewed and aooroved bv the Office of Government Ethics
2
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Information on Reporting. Certification, and Agency Review
1 rting Individual's Name
Last Name
First Name and Middle Initial
Certification:
I certify that the statements I have made on this form and all attached statements are true, complete, and correct to the best of my knowledge.
Signature of Reporting Individual
Signature
Date
Date received by the Agency:
Date
Signature of Designated Federal Officer or Other Intermediate Reviewer and Date:
Signature
Date
Review Official's Comments Appended
Y
N
Signature of Agency's Final Reviewing Official and Title and Date:
Signature
Date
Review Official's Comments Appended
Y
N
EPA Form 3110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
3
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Part 1: Statement regarding any change since annual submission of this form.
Fill out this section only if you are being considered for a new advisory activity and have filed annually, in the past year, a Form
EPA-3110-48 "Confidential Financial Disclosure Form for Special Government Employees Serving on Federal Advisory Committees
at the U.S. Environmental Protection Agency."
I have reviewed my Form EPA-3110-48, "Confidential Financial Disclosure Form for Special Government Employees
Serving on Federal Advisoiy Committees at the U.S. Environmental Protection Agency" submitted on the date indicated and have made
the following determinations (check column that applies):
(a)
Date of last Form EPA-3110-48
Submitted (05/02)
(b)
Has any information changed in Parts 2-
8 from that reported on the form
identified in column (a)?
YesL
No J
If you answered "Yes" in column (b), proceed to complete any elements In Parts 2-8 of the form that reflect changes since you last submitted
your form OGE-45XX and complete Part 9 of the form
If you answered "No" in column (b), complete Part 9 of this form. You do not need to complete other parts of the form.
Part 2: Compensated Employment
Report any position that you or your spouse have been compensated for in the preceding two years from the date of filing except independent
consulting and compensated expert testimony. Positions include (but are not limited to) an employee, officer, director, trustee, general partner,
proprietor, representative, or executor of a business, consulting firm, non-profit, labor organization, or educational institution. Also include any
organization or person with whom you are negotiating with or have an arrangement with concerning prospective employment Exclude positions
with religious, arts, social, fraternal or political entities or those solely of an honorary nature.
Indicate with a checkmark any position, for which annual compensation exceeded $2,500 for the calendar year of filing or the previous calendar
year or represented 5% or more of your or your spouse's total compensation over the course of a calendar year.
If none, please check this box: If no change from last filing, please check this box: I
Organization (Name, City,
and State)
Position and brief description of work. For consulting firms, indicate the firm's major
practice areas, categories of principal clients, and the clients you or your spouse have
dealt with directly or derived compensation from.
Check if compensation exceeded
$2,500 for the calendar year
~
EPA Form 3110-48(5-02)
Tiis form has been reviewal and amroved by the Office of Government Ethics
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1
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Part 3: Non-compensated Employment
Report any non-compensated elected or leadership position that you or your spouse have held in the preceding two years from the date of filing. Positions
include (but are not limited to) an employee, officer, director, trustee, general partner, proprietor, representative, or executor of a business, non-profit,
labor organization, or educational institution. Also include any organization or person with whom you or your spouse are negotiating with or have an
arrangement with concerning such a position. Exclude positions with religious, arts, social, fraternal or political entities or those solely of an honorary
nature.
If none, please check this box: If no change from last filing, please check this box: I
Organization (Name, City, and State)
Position and brief description of position
EPA Form 3110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
5
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Part 4: Research Support and Project Funding
4.a. Research Support and Project Funding Received by You: Report any source of research or project funding (i.e., through
grants, contracts, or other mechanism) that you have received, from any source including government, industry, and foundations for
any purpose in the preceding two years from the date of filing if, for that funding, you are the Principal Investigator, Significant
Collaborator, or Project Manager or Director.
t! A Form 3110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
6
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- p^ v'^k* | d - u'J l^utUai^C ¦»» Iw>mJ atfjhll* ------£*l*lLti*SfU (fc»kjAC»C»Wik »Jul
Funding
Organization
(Name, City, and
State)
Indicate
whether you
are the
Principal (PI)
Investigator,
Significant
Collaborator
(SC) or
Project
Manager
(PM)
Brief description of project
Indicate whether funding is through
a grant, contract or other
mechanism (check column that
applies)
Grant
Contract
Other
(please
specify)
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4.b. Research Support and Project Funding Received by Your Spouse: Provide a general description of research and project activities of
your spouse in the preceding two years from the date of filing, if they have been funded by any outside source (i.e., any source other than those
EPA Form 3110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
7
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If none, please check this box: | | If no change from last filing, please check this box: | |
General description of research and project activities of your spouse
Part 5: Consulting Activities Not Reported in Part 2
S.a. Your Consulting Activities: Report any consulting activities for which you have been compensated and in which you have
personally participated during the preceding two years from the date of filing. Indicate the name of clients associated with
projects, if projects, if reimbursements from those clients provided 15% or more of your annual compensation.
If none, please check this box: J^j If no change from last filing, please check this box: | |
Name of Project
Indicate
whether
you are a
Principal
Contractor
on that
Project
(Y/N)
Brief description of project
Check if
compensation
exceeded
$2,500 for the
calendar year
Identification of
client's name, if client
provided more than
15% of your annual
total compensation
~
crA Form 3110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
8
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5.b. Consulting Activities of Your Spouse: Provide a general description of consulting activities for which your spouse has been
compensated and in which your spouse has personally participated in the preceding two years from the date of filing.
If none, please check this box: If no change from last filing, please check this box: I I
General description of consulting activities of your spouse
EPA Form 3110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
9
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Part 6: Compensated Expert Testimony
6.a. Your Compensated Expert Testimony: Report any such expert testimony you have provided in the preceding two years from the date
of filing.
If none, please check this box: If no change from last filing, please check this box:
For what Person or
Organization (Name, City,
and State)9
Brief description of issue and testimony and citation to the testimony, if available
Check if compensation
exceeded $2,500 for the
calendar year of filing or the
previous calendar year or
represented 5% or more of your
total compensation over the
course of a calendar year
EPA Form 3110-48(5-02)
This form has been reviewed and amroved by the Office of Government Ethics
10
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6.b. Compensated Expert Testimony by Your Spouse: Provide general description of any expert testimony your spouse has pro1 ' in
the preceding two years from the date of filing.
If none, please check this box:| | If no change from last filing, please check this box:| |
General description of compensated expert testimony of your spouse
EPA Form 3110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
11
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Part 7: Assets: Stocks, Bonds, Real Estate, Business, Patents, Trademarks, and Royalties
Report assets held by you, your spouse, and dependent children that collectively had a fair market value greater than $15,000 at any time
during preceding twenty-four month reporting period or that produced 5% or more of the total compensation of that person for the past calendar year.
Specific types of assets to report include:
Collectibles held for investment
Commercial crops
Commodity futures
Livestock used for commercial
purposes
Non-diversified mutual funds
Partnership interests
Pensions and annuities
Real estate heldfor investment
Royalties
Stocks, bonds, securities andfutures
contracts
Trust holdings
Underlying assets of IRAs and 40IK
Retirement Accounts
Do not report the following types of assets:
Accounts including certificates of deposit, savings accounts,
interest bearing checking accounts, or any other forms of
deposit in a bank, savings and loan association, credit union or
similar financial institution
Diversified mutual funds
Federal Government salary or retirement benefits
Money market funds
Money owed to you, your spouse, or dependent child by a
spouse, parent, sibling or child
Securities issued by U S Government agencies or Government
sponsored corporations such as the Tennessee Valley Authority
Social Security benefits
Underlying holdings of a trust that w as not created by you,
your spouse or dependent children and for which you, your
spouse and dependent children have no past or present
knowledge of the holdings or sources of income
U S. Government obligations (including Treasury bonds, bills,
notes and savings bonds)
Your personal residence(s), unless you rent it (them) out
For pensions, indicate the name of the sponsoring employer. If you have control over the specific investment assets held in your pension
account (i.e., it is not independently managed), you also must list those underlying investments or attach an account statement that lists them.
For publicly available mutual funds, list only funds that are not diversified.
EPA Form 3110-48(5-02)
This form has been reviewed and aooroved by the Office of Government Ethics
12
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5 C.F.R. 2640.102 : "A mutual fund is diversified for purposes s part if it does not have a policy of concentrating its investmet. an
industry, business, single country other than the United States or single State within the United states. Whether a mutual fund meets this
standard may be determined by checking the fund's prospectus or by calling a broker or the manager of the fund "
For the funds you do list, indicate the full name of the specific mutual fund, not just the general family fund name.
For other publicly available investment funds, such as publicly traded units of limited partnerships, list the full name of the
¦ limited partnership, but not its underlying portfolio investments.
For a privately held trade or business, report its name, location and description of activity.
For investment real estate, give the type and location (city and state).
For patents, trademarks, and other sources of royalties, give the name and a brief description.
If none, please check this box: If no change from last filing, please check this box: | |
Full Name of Asset
(x) if no longer held
EPA Form 3110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
13
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Part 8: Liabilities
Report for you, your spouse, and dependent children liabilities over $10,000 owed at any time in the preceding twelve months from the date of filing.
Exclude a mortgage on your personal residence or home equity loans, unless the residence is rented out; loans for personal automobiles, household
furniture or appliances, where the loan does not exceed the purchase price; and liabilities owed to a spouse, or the parent, sibling, or child of you,
your spouse, or dependent child.
Creditors (Name, City, and State)
Type of Liability
fcrA Form J110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
14
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Par* Identification of any other information related to conflic' nterest or appearance of lack of impartiality
Complete this section only if you are being considered for a new a. jiy activity. Please consider all relevant information, over the past d years,
concerning you, your spouse, and dependent children .
9.a. Identify the Panel for which you are being considered.
Name of Panel
9.b. Other information related to conflict of interest or appearance of lack of impartiality:
Do you know of any reason that you might be unable to provide impartial advice on the matter to come before the panel or any reason why your
impartiality in the matter might be questioned (e.g., constraints imposted by your employer on the advice you will be able to provide, involvement
in a lawsuit, gift of research materials)?
If yes, please describe those reasons below. If no, please check this box: | |
Description of any reason that you might be unable to provide impartial advice on the matter to come before the panel or any reason why your impartiality in the matter
might be questioned
EPA Form 3110-48(5-02)
This form has been reviewed and approved by the Office of Government Ethics
15
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ADDITIONAL
RESOURCES
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Membership Package Submission Instruction Guide
Additional Resources
Attached are Additional Resources for DFOs. If you have
any questions or need any assistance, do not hesitate to
contact the Office of Cooperative Environmental
Management.
Helpful Hints, Excerpts from the guide.
DFO Checklist, A checklist designed to help speed up the concurrence
process by assisting DFOs to verify the package is complete.
Contacts, Names and phone numbers to keep handy!
Additional Resources
Tools
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Helpful Hints
! imeline:
Vacancies filled quickly maintain balance, momentum and encourage advisory
committee success. Allow four to six months for recruitment, solicitation, and
approval of your membership package.
Allow 2-3 months, to identify potential candidates. Consult with Agency officials
for recommendations. Contact OGC if you have any questions.
To broaden the pool of candidates, many DFOs solicit resumes through a
Federal Register (FR) notice. If you choose to do a FR notice, begin
concurrence at least 30 days prior to when you want the solicitation published.
Draft a list and gather resumes for proposed nominees and back up names.
Draft membership grid and routing slip. Prepare a folder for review of committee
composition and balance.
Obtain initial approval before preparing the official membership package
submission folder. A folder containing the draft list, membership grid, and
routing slip should be forwarded to the White House Liaison's office. Allow ten
days for review. The White House Liaison will sign off on the routing slip and
return the folder to the DFO.
After Liaison review, forward the folder to the Office of General Counsel. Allow
ten days for review. OGC will sign the same routing slip and return the folder to
the DFO.
Prepare the membership package documents. Allow 1-2 months to prepare the
package and obtain internal concurrences. Submit to OCEM. Upon submission
of a complete package, the 30-day time frame for sign off begins.
Letters for Signature:
Please ask your Program Correspondence Control Manager to review all
correspondence for the Administrator's or Deputy Administrator's signature.
Styles change with response to a change in Administrations. Format, grammar,
and spelling errors are the most common reasons cited by OEX for delay in
obtaining signature.
Use Administrator Letterhead for the Administrator's Signature. Closure for the
Administrator should be "Sincerely yours,".
Use Office of the Administrator Letterhead for the Deputy Administrator's
Signature. Closure for the Deputy Administrator should be "Sincerely yours,".
Hard return 4 times after the closure before typing the name of the Administrator
or Deputy Administrator.
Type "Attachment" or "Enclosure" as appropriate on Original and File Copies
("attachment" used on internal correspondence (MEMOS), and "enclosure" used
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on external correspondence (LETTER)).
When typing address information on correspondence (letters), the state should
be spelled out (i.e., California not CA). When typing the address on the
envelope, use the two letter abbreviation.
There should be 2 spaces between the spelled out state and the zipcode (i.e.,
Virginia 22202).
Letterhead paper can be obtained from your office's administrative staff, as well
as instructions on how to create a merge system. If possible, create template
letters and use mail merge to allow OEX to make corrections, saving time if
changes need to be made.
The Agency accepted format is Times New Roman, 12pt. font.
One-Page Document for Left Side of Folder:
The One-Pager lists duplicate letters. It serves as a quick guide to let the
reviewer know how many letters need to be signed. Double check names,
addresses, and spelling.
Submit a backup DISK with saved copies of the ACTION MEMO and LETTERS.
Place the disk in a pouch adhered to the folder or in an envelope attached to the
left side of the folder, behind the one-pager. (Note: If possible, create a "mail
merge " for multiple letters and save this to the diskette. This allows OEX
to make the corrections rather than return the package to the DFO and
saves time.)
Concurrence Copy:
Include legend line on the yellow file copy which is also called the Concurrence
Copy. Include approval names. See example. The format is set by OEX, but
may be tweaked by your program office.
Type cc's on the Original and File copy. Type bee's on the File copy ONLY.
Who receives concurrence copies may vary depending on office protocol.
Routing Slip Sign Off:
The White House Liaison and the Office of General Counsel (OGC)
Representative sign off on the routing slip submitted with your folder during your
initial discussions to discuss Balance and Membership. This occurs before you
begin developing your membership package.
Initial approval takes place before you begin preparing your membership
package folder. It is a good idea to have resumes of "backup nominees or
alternates" in case any of your potential members do not make your final list of
candidates.
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The White House Liaison's Office will be interested in the membership grid and
full Bios. The Office of General Counsel will be looking at your membership
grid, which includes members (current and former), nominees, and affiliations to
ensure that the make up of the committee is balanced. Do not hesitate to
contact OGC or OCEM early on in the process if you have any questions.
If changes are made to the nominations list after OGC and the White House
Liaison have reviewed and signed off on the packet a follow up meeting should
be scheduled to reevaluate Balance and Membership. Both OGC and the White
House Liaison will sign off again. Your routing slip will accompany your Official
Membership Package Submission Folder. The Office of the Administrator's Staff
will be looking for both White House Liaison and OGC sign off.
Distribution:
Please do not forget to insert your disk in the Official Submission Folder. This
allows OEX to make necessary corrections without having to return the package
back to the DFO for corrections.
If letters are to be distributed by OEX, please INCLUDE ENVELOPES and ALL
ATTACHMENTS for each letter. This lets OEX know they are to mail the
correspondence
If the DFO or program office is planning to distribute the signed letters, include
ONLY (1) copy of all attachments with package. This allows the reader to review
a complete mailing. DO NOT include the envelopes. This alerts OEX that the
package should be returned to the DFO for mailing.
Include on the routing slip the name and number of the contact person to
pick-up the package or contact with questions.
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Checklist for DFOs
Beginning approximately, 4-6 months before submitting package for signature.
Prior to preparing my membership package submission, I have:
Sought recommendations (i.e., program office, White House Liaison, current
advisory committee members, etc.)
Solicited nominations (i.e., via Federal Register Notice, meetings, e-mails,
newsletters, professional associations, etc.)
Gathered Full Resumes/Bios for current members, nominees and backup nominees
for review by the White House Liaison's Office.
Prepared a list of potential nominees and backup nominees.
Reviewed potential nominees with program staff, and briefed program management
(optional).
Prepared a DRAFT membership grid showing current and outgoing members,
nominees, and affiliations for review by Office of General Counsel.
Prepared routing slip in order to obtain approval/sign off for reviews.
Obtained sign off from White House Liaison.
Obtained sign off from Office of General Counsel (FACA Attorney).
Beginning approximately, 3 months prior to submitting the package for
signature.
My action memo includes:
A brief, simple explanation of why departing members are coming off (i.e., term
expired, member had conflicts and other engagements, etc.).
Solicitation process/selection criteria, a listing of new members, and an explanation
of why you are nominating these individuals (i.e., expertise in field,
recommended by NGO, etc.).
Membership Grid. (Grid may be the same one you prepared for discussions with
OGC, to discuss Balance.)
Summary or brief biographies of nominees within action memo, and brief
summaries of all members included as an attachment to the memo.
Sentence acknowledging requirements for Balance and Diversity have been met.
(for SGE Committees ONLY) If your committee obtains confidential financial
disclosure information prior to sending out the Invitation/Appointment Letter,
then include: a brief description regarding the information that was sent and the
results of the screening for financial conflicts of interest.
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My invitational ietter(s) include(s):
A brief sentence listing purpose of letter, name of committee, and what committee
does in the opening paragraph.
Membership term START and END dates in the opening paragraph.
Reference to enclosed "Federal Advisory Committee Act Pamphlet" or the Act itself.
Reference to enclosed membership confirmation form.
(for SGE committees ONLY) Reference to enclosed EPA Form 3110-48 or OGE
Form 450, any applicable Personnel Forms, and any applicable ethics training
as required by your program office.
My reappointment letter(s) include(s):
A brief introductory sentence stating purpose of letter in the opening paragraph.
Membership term START and END DATES in the opening paragraph.
Reference to enclosed "Federal Advisory Committee Act".
Reference to enclosed membership confirmation form.
My thank you letters) include(s):
A brief sentence stating purpose of letter.
Statement thanking members for their service.
Before submitting my package to OCEM, I verify it includes all the items above
and the additional documents below. Once the complete package is submitted
to OCEM, it will take 30 business days to obtain approval and final signature.
I have also included copies of:
One Page document indicating duplicate letters for signature, names, and
addresses.
Diskette including all template letters with mail merge, if possible.
Sign here indicators (stickies) on all letters requiring signature.
Acceptance form.
FACA rule or FACA pamphlet
' (only for SGE committees) EPA Form 3110-48 for Special Government Employees
or OGE Form 450 for employees of other Federal Agencies and any personnel
forms, as required.
Envelopes only if OEX is to distribute letters
Routing slip on outside of package
Contact information of person to call if any questions or to pick up the package
clearly indicated on the routing slip.
Other additional documents in file expandable folder, with checklist marked.
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Approximately, two months prior to submitting my package for signature, I have:
Provided OCEM with a heads up that I will be submitting my package and requested
an Official Membership Package Submission Folder (green folder).
At least one month prior to asking nominee to join the committee, I have:
Submitted my completed package to OCEM. The 30-business day count down
begins.
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CONTACTS
Office of Cooperative Environmental Management
Program Manager for Federal Advisory Committees
Khanna Johnston, Membership Package Co-Lead 202.233.0082
Toni Rousey, Membership Package Co-Lead 202.233.0065
Tim Sherer, Associate Director 202.233.0077
Vicki Ellis, Committee Management Officer 202.233.0065
Office of Executive Correspondence
Wanda Ford, OEX for OCEM (on detail as of 9/03) 202.564.7313
Mary Stoddard, OEX for OCEM (backup) 202.564.7319
Office of General Counsel
Marilyn Kuray, FACA Attorney 202.564.3449
Ken Wemick, Ethics Attorney 202.564.1761
White House Liaison
Kelly Sinclair, Office of the Administrator
202.564.4693
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