United States EPA Science Advisory EPA-SAB-EC-COM-02-003
Environmental Board (1400A) May 2002
Protection Agency Washington DC www.epa.gov/sab
EPA Science Advisory Board
(SAB) Panel Formation Process:
Immediate Steps to Improve
Policies and Procedures
An SAB Commentary
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF THE ADMINISTRATOR
SCIENCE ADVISORY BOARD
May 11, 2002
EPA-SAB-EC-COM-002-003
The Honorable Christine Todd Whitman
Administrator
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW
Washington, DC 20460
SUBJECT:
Dear Governor Whitman:
EPA Science Advisory Board (SAB) Panel Formation Process:
Immediate Steps to Improve Policies and Procedures: An SAB
Commentary
In July 2001, the Executive Committee of the EPA Science Advisory Board (SAB) sent
you a short letter informing you of our intent to form an Executive Committee group to work
with the SAB Staff Office to address issues raised in a report issued by the General Accounting
Office (GAO), EPA's Science Advisory Board Panels: Improved Policies and Procedures
Needed to Ensure Independence and Balance (GAO-01-536, June 12,2001). This group, the
Policies and Procedures Subcommittee (PPS), was charged with reviewing and modifying, as
appropriate, SAB policies and procedures in light of the GAO report, with the intent of
maintaining and enhancing the quality, credibility, and efficiency of the SAB.
The purpose of this Commentary is to inform you and the wider community of new
processes that the SAB will be using for panel formation.
The PPS focused on the two principal concerns of the GAO report: 1) the need to ensure
that SAB panelists are independent and that the panels are properly balanced; and 2) the need to
ensure that the public is sufficiently informed about the formation of SAB Panels. The PPS
briefed the Executive Committee on March 7, 2002 on the results of its work..
After careful consultation with parties interested in and knowledgeable about the work of
the SAB, the Subcommittee has designed a four-stage process to improve panel formation at the
Board. This process is intended not only to make the process more transparent to the public, but
also to gain the benefit of public involvement in forming panels at the SAB. We believe this
process clarifies the approach to balancing panels at the Board and helps to avoid conflicts of
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interest and ensure impartiality on the part of panel members. In regard to balance, the process
details that at the SAB, a balanced panel is characterized by inclusion of the necessary domains
of knowledge, the relevant scientific perspectives (which, among other factors, can be influenced
by work history and affiliation), and the collective breadth of experience to address the charge
adequately. This is important because the SAB is a technical advisory body, not a committee
designed to reflect stakeholder views. Hence, balancing membership is driven by a complex set
of factors.
The PPS has drafted a description of the new process in a short booklet, entitled
Overview of the SAB Panel Formation Process (draft attached). The booklet has been designed
to communicate with SAB Members and Consultants, the public, and EPA staff. We believe
that the general approach outlined, if implemented consistently, will strengthen the SAB's
policies and procedures, thereby maintaining and enhancing the quality and credibility of the
Board's work. We have asked the SAB staff to seek public comment on the draft booklet to
determine: 1) whether the document describes the new processes in a sufficiently clear way, that
the public can understand and participate in the process; and 2) whether there might be any
additional suggestions to strengthen the Board's operations, including panel formation.
An important part of the panel formation process described in the draft booklet is the
completion of a revised alternate confidential disclosure form (also attached) that will be used by
SAB Members and Consultants, after formal approval by the Office of Government Ethics. We
understand that the new form will also be used by other Special Government Employees who
serve on Agency Federal Advisory Committees. This form will allow the Agency to collect
information about prospective panelists that is necessary to determine whether there is: 1) a
statutory conflict of interest between their public responsibilities and their private interests, or 2)
a possible appearance of lack of impartiality, as defined by federal regulation. The Executive
Committee understands that the ethics regulations do allow for participation on SAB Panels by
individuals who have a conflict-of-interest, if EPA determines and documents in a waiver letter
that the need for the individual's service outweighs the conflict of interest. However, the
Executive Committee has advised the Agency that the issuing of a waivers should be a rare
event, exercised by the SAB Staff Director only upon explicit, prior consultation with the Panel
Chair, Standing Committee Chair, and the Chair of the Executive Committee.
Considerable progress has been made, but the work of the PPS is not over. The
Executive Committee has reconstituted the PPS as a standing subcommittee of the Executive
Committee (roster attached) to provide ongoing advice to the Agency and the SAB Staff on a
broad range of issues relating to the policies and procedures of the Board. Issues to be addressed
may include: the choice of projects for the SAB; panel deliberations and report writing; the
respective roles of the Executive Committee, SAB Standing Committees, and panels; the role of
the SAB Staff; and communication. We also anticipate that the PPS will advise the SAB Staff in
developing guidance on SAB operations, modeled on publications produced by The National
Academies, for use by panel chairs, panel members, Agency program offices, and the public.
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We appreciate the cooperation of the Agency in the efforts of the PPS, particularly those
of Mr. Kenneth Wernick and Ms. Marilyn Kuray in the Office of General Counsel. We look
forward to your response to this Commentary.
Sincerely,
/Signed/
Dr. William Glaze, Chair
EPA Science Advisory Board
/Signed/
Dr. Henry Anderson, Chair
Policies and Procedures Subcommittee
Attachments:
A Draft booklet, Overview of the SAB Panel Formation Process
B Draft form, Confidential Financial Disclosure Form for Special Government Employees
Serving on Federal Advisory Committees at the U.S. Environmental Protection Agency
C Roster of the PPS, as reconstituted on March 13, 2002
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NOTICE
This report has been written as part of the activities of the EPA Science Advisory Board,
a public advisory group providing extramural scientific information and advice to the
Administrator and other officials of the Environmental Protection Agency. The Board is
structured to provide balanced, expert assessment of scientific matters related to problems facing
the Agency. This report has not been reviewed for approval by the Agency and, hence, the
contents of this report do not necessarily represent the views and policies of the Environmental
Protection Agency, nor of other agencies in the Executive Branch of the Federal government, nor
does mention of trade names or commercial products constitute a recommendation for use.
Distribution and Availability: This EPA Science Advisory Board report is provided to the EPA
Administrator, senior Agency management, appropriate program staff, interested members of the
public, and is posted on the SAB website (www.epa.gov/sab). Information on its availability is
also provided in the SAB's monthly newsletter (Happenings at the Science Advisory Board).
Additional copies and further information are available from the SAB Staff [US EPA Science
Advisory Board (1400A), 1200 Pennsylvania Avenue, NW, Washington, DC 20460-0001; 202-
564-4533].
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U.S. Environmental Protection Agency
EPA Science Advisory Board
Executive Committee
Policies and Procedures Subcommittee*
CHAIR
Dr. Henry Anderson, Wisconsin Division of Public Health, Madison, WI
Also Member: Environmental Health Committee
Integrated Human Exposure Committee
EXECUTIVE COMMITTEE MEMBERS
Dr. Linda Greer, Natural Resources Defense Council, Washington, DC
Dr. Philip Hopke, Clarkson University, Potsdam, NY
Also Member: Clean Air Scientific Advisory Committee
Research Strategies Advisory Committee
Dr. Raymond C. Loehr, The University of Texas at Austin, Austin, TX
Also Member: Research Strategies Advisory Committee
EPA SCIENCE ADVISORY BOARD STAFF
Dr. Donald Barnes, Staff Director, US EPA Science Advisory Board, 1200 Pennsylvania
Avenue, NW, Washington, DC
Mr. Thomas Miller, Designated Federal Officer, US EPA Science Advisory Board, 1200
Pennsylvania Avenue, NW, Washington, DC
Dr. Angela Nugent, Designated Federal Officer, US EPA Science Advisory Board, 1200
Pennsylvania Avenue, NW, Washington, DC
Ms. Kathleen White, Designated Federal Officer, US EPA Science Advisory Board, 1200
Pennsylvania Avenue, NW, Washington, DC
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Attachment A
Overview of the Panel Formation Process at the
EPA Science Advisory Board
A. Introduction to this Booklet
This booklet provides a general introduction to the U.S. Environmental Protection
Agency Science Advisory Board (SAB) and one key part of its advisory process: forming
advisory panels and making decisions about conflict of interest and balance among panelists.
Although each SAB project is different, the process of panel formation follows the same basic
steps.
The SAB also plans to develop companion booklets that will give an overview of the
other key steps in the advisory process, such as choosing projects; panel deliberations and report
writing; the respective roles of the Executive Committee, standing committees, and special
panels; the role of the SAB Staff; and communication.
The Board plans to provide more detailed information on each of those topics. It is
planning to develop more detailed information for panel chairs; members of the public interested
in participating in the SAB advisory process; and Agency staff interested in working with the
SAB on topics of special interest to them.
B. About the U.S. Environmental Protection Science Advisory Board
The SAB has played a unique role in environmental protection for more than twenty-five
years. Congress authorized it to provide independent advice and peer review to EPA's
Administrator and the Congress on the scientific and technical aspects of environmental
problems and issues.
The Board focuses on technical issues, not policy issues; risk assessment and engineering
issues, not risk management decisions; the adequacy of the scientific foundation on which an
Agency position (e.g., a regulatory standard) is built, not the position itself. The SAB recognizes
the Agency's need to make environmental policy, risk management, and regulatory decisions but
does not advise the Agency on them. It does not advise the Agency on those decisions directly.
Instead it limits its advice to the scientific and technical underpinnings on which those decisions
rest. Where the Board's advice does touch on policy issues, it takes special care to note and
differentiate those instances. The Board also takes care to note when its advice addresses issues
beyond those identified in the Agency's charge to a panel.
The Board strives to produce advice that is technically and scientifically sound,
independent, balanced, and useful to the Agency. All the processes and procedures the SAB
uses, from the choice of members for panels, to choice of projects, to involvement of the public,
to development of reports aim to achieve these goals.
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The scope of the Board is potentially as wide as all of the scientific and technical issues
associated with environmental problems. To guide the Board's activities and set priorities, the
SAB's Executive Committee described the Board's mission as making "a positive difference in
the production and use of science" at EPA.1 The Board is guided by this mission statement as it
works with the Agency to set priorities for the Board's work. The SAB seeks to work
cooperatively with the Agency to support its mission and goals, while maintaining the
independence necessary to provide the Agency information, knowledge, and critical advice in a
credible manner. This relationship has been described as "operating at arm's length from the
Agency," and the SAB's being "in the Agency but not of the Agency."2
The Board provides advice in a variety of ways. It issues written peer review "Reports"
of Agency documents. It writes "Advisories," when it has reviewed Agency works-in-progress.
It initiates "Commentaries" or more extensive original reports on topics that it believes are
important to environmental protection. It provides the Agency an opportunity for
"Consultations" at the earliest stages of development of a project to gain insights from
independent Members and Consultants. Finally, it hosts "Workshops" on important scientific
issues, in which the Board itself does not provide advice, but instead sponsors meetings where
the Agency can be stimulated by the work of highly qualified technical people.
The SAB currently consists of 10 standing committees, whose activities are coordinated
by an Executive Committee. Two of the committees, the Clean Air Scientific Advisory
Committee (CASAC), and the Advisory Council on Clean Air Compliance Analysis, (the
Council) are separately chartered and report directly to the Administrator. All of the other
Committees report to the Administrator through the SAB's Executive Committee.
The SAB's Ten Standing Committees Whose Activities
are Coordinated by the SAB Executive Committee (EC)
Advisory Council on Clean Air Compliance Analysis (Council)
Clean Air Scientific Advisory Committee (CASAC)
Drinking Water Committee (DWC)
Ecological Processes and Effects Committee (EPEC)
Environmental Economics Advisory Committee (EEAC)
Environmental Engineering Committee (EEC)
Environmental Health Committee (EHC)
Integrated Human Exposure Committee (IHEC)
Radiation Advisory Committee (RAC)
Research Strategies Advisory Committee (RSAC)
1 Science Advisory Board 1997 Strategic Plan (EPA-SAB-98-010), p.7.
2Dr. Donald Barnes, personal communications, 2000-2002.
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In addition to the 100-plus SAB Members who are appointed generally to two-year
terms by the Administrator, the Board enlists ad hoc Consultants to bring focused expertise to
bear on particular issues that come before the Board. There are currently more than 300 SAB
Consultants, who are appointed to one-year, renewable terms by the SAB Staff Director.
The EPA SAB is a federal advisory committee, subject to the Federal Advisory
Committee Act provisions that require membership of the advisory committee to: 1) be fairly
balanced in terms of the points of view represented and the functions to be performed by the
advisory committee, and 2) ensure contemporaneous public access and public input into the
advisory process.
The Members and Consultants of the Board serve as Special Government Employees,
who are subject to the provisions of the Ethics in Government Act of 1978.
C. The Panel Formation Process, Including Consideration of Conflict of Interest and
Balance Among Panelists
The advice provided by the SAB either is developed by ad hoc panels established to
address specific topics or by standing committees augmented, if necessary, with special expertise
provided by SAB consultants. EPA's SAB Staff is responsible for forming expert panels.
The SAB Staff works to ensure that the process of panel formation complies with the
requirements of the Federal Advisory Committee Act and the Ethics in Government Act; that it
is transparent to the public, so the public can understand and participate in the process; and that
it succeeds in assembling the experts needed to provide the Agency with scientific and technical
advice.
The SAB Staff has adopted a process that will inform the public about each panel as it is
being formed. This process informs and involves the public in a step-by-step process, as
outlined in the diagram below.
Stages in Panel Formation at EPA's Science Advisory Board
^
Kickoff: SAB Staff works with the Agency and SAB Leadership
-A. to understand "What expertise is needed to address the charge?"
Widecast: SAB Staff asks: "Who should be considered for the
panel?" They solicit nominations from SAB Members and
Consultants and the public.
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Short List: SAB Staff works with SAB leadership to determine:
"Which candidates should we consider in greater detail for service
on the panel?" The Staff also gathers additional information about
the candidates (including confidential information from the
candidates about financial conflict of interest). They also ask the
1 public for information that will help during the Panel Selection
Phase.
V~7 Panel Selection: SAB Staff determines and documents: "Who
V-i
will serve on the panel?"
The goal of the panel formation process is to assemble an appropriate panel of experts to
provide sound, independent, balanced, and useful scientific and technical advice. The formation
of an SAB panel begins in the "Kickoff stage, in which the EPA Executive Committee and the
SAB Staff decides to begin a project that has a well-developed charge. The charge to the Board,
which will guide - but not confine - the work of a panel, is the formal statement of the questions
posed to the Board. This statement generally defines the scope, problems, and issues the panel
will address. The charge needs to be sufficiently detailed that it is clear what kinds of experts are
needed.
Expertise, knowledge, and experience are the primary factors that determine whether an
individual is invited to serve on an SAB Panel. In forming panels to provide expert advice,
SAB Staff, as required by the Ethics in Government Act of 1978, also works to screen candidates
for conflicts of interest and appearance of lack of impartiality. If a conflict exists between a
panel candidate's private financial interests and activities and public responsibilities as a panel
member, or even if there is the appearance of partiality, as defined by federal ethics regulations,
the SAB Staff will, as a rule, seek to obtain the needed expertise from another individual. In
rare cases, when a candidate panel member possesses special knowledge or skills, the SAB Staff
Director, in consultation with SAB leadership, can grant a waiver that will allow an individual to
serve on a panel, if it is determined that the participation of the individual is so vital as to
outweigh the conflict of interest. The waiver is a matter of public record at the time of the panel
meeting.
In addition to concerns about conflicts that may exist for individual members of a Panel,
the SAB is also concerned about overall balance of the panel in terms of the points of view
presented, as mandated by the Federal Advisory Committee Act. At the SAB, a balanced panel
is characterized by inclusion of the necessary domains of knowledge, the relevant scientific
perspectives (which, among other factors can be influenced by work history and affiliation), and
the collective breadth of experience to address the charge adequately. The SAB is a technical
advisory body, not a committee designed to reflect stakeholder view. Hence, balancing
membership is driven by a number of factors.
Recognizing that it is important to inform and involve the public in the process of panel
formation, the SAB has adopted specific procedures to identify candidates with the needed
expertise, avoid conflicts of interest, and achieve appropriate balance.
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The "Widecast" phase includes an opportunity for the public to nominate potential panel
members. This request aims to gain public assistance in broadening the pool of experts from
whom panel members will be drawn.
In the "Short List" phase, SAB Staff, using established criteria, screens "Widecast
candidates" to identify a "short list" of potential panel members.
Criteria to Be Used in Evaluating an Individual Panelist
1. Expertise, knowledge, and experience (primary factors)
2. Availability and willingness to serve
3. Scientific credibility and impartiality
4. Skills working in committees and advisory panels
SAB Staff confers with candidates and search independently for background information
on them to understand their qualifications and points of view.
To be considered for selection on a panel, each "Short List" candidate is required, during
the "Short List" phase, to submit a "Confidential Financial Disclosure Form for Special
Government Employees Serving on Federal Advisory Committees at the U.S. Environmental
Protection Agency." On that form the prospective panelist lists all professional, consulting, and
financial connections, including research funding. Candidates also describe any reasons their
impartiality in the matter being addressed might be questioned. SAB Staff reviews the
confidential form in detail and confers with candidates to understand any potential conflict of
interests that might arise.
An important part of the "Short List" phase is public involvement. The SAB Staff
publishes the names and biosketches of "Short List" candidates on the SAB Website. The SAB
Staff asks the public to provide the Board with information, analysis, or documentation that the
Board should consider in evaluating candidates. This information plays an important part in
determining the panel members chosen during the "Panel Selection" Phase.
The SAB Staff Director, in consultation with SAB leadership, as appropriate, makes the
final decision about who will serve on the panel in the "Panel Selection" Phase. In that phase,
SAB Staff completes its review of information regarding conflicts of interest, appearance of
impartiality, and appropriate balance and breadth needed to address the charge. They review all
the information provided by candidates, along with any other information that the public may
provide in response to the posting of information about the prospective panel on the SAB
website during the "Short List Phase," and information gathered by SAB Staff independently on
the background of each candidate. SAB Staff documents the rationale underlying the selection
of each panel in a "Panel Selection" document.
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The SAB's process for panel formation has been designed for three purposes: to help the
Board meet EPA's legal requirements; to be transparent and open to public input, so that the
public can understand and participate in the process; and to help the Board fulfill its mission.
The Board can only fulfill its mission by assembling panels of individuals who will provide
useful, timely advice that is technically and scientifically sound, independent, and balanced. The
SAB will continue to refine details of the panel formation process over time, based on the advice
of its Executive Committee, the Agency, and members of the public interested in the Board and
its work.
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Attachment B
Confidential Financial Disclosure Form for Special Government
Employees
Serving on Federal Advisory Committees at the U.S.
Environmental Protection Agency
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Confidential Financial Disclosure Form for Special Government Employees
Serving on Federal Advisory Committees 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 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.
IS U.S.C. 208: "An employee is prohibited from participating personally and substantially in an official capacity in any particular matter in which, to his knowledge, he or any person whose interests are
imputed to him under this statute has a financial interest, if the particular matter will have a direct and predictable effect on that interest. "
Participate - "decision, approval, recommendation, or rendering advice. "
Personally - "directly and includes participation of a subordinate when directed"
Substantially - "of significance to the matter"
P articular 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 "
5 C.F.R. 2635.502: Appearance of lack of impartiality: "Where an employee knows that a particular matter involving specific parties is likely to have a direct and predictable effect on the financial
interest of a member of his household, or knows that a person with whom he has a covered relationship is or represents a party to such matter, and where the person determines that the
circumstances would cause a reasonable person with knowledge of the relevant facts to question his impartiality in the matter, the employee should not participate in the matter unless he has
informed the agency designee of the appearance 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, SubpartI, 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 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
SGEs must file annually, between October 1 and October 31. In addition, if an SGE is new to a federal advisory committee or is being considered for a new advisory
activity, the SGE must file before participating in that Committee or activity. If an SGE is being considered for a new advisory activity, and has filed annually, the SGE must
completeParts 1 and 9 and any other sections of the form, if the answers to the questions in those sections may have changed from the date of the last filing,
E. Where to file
Send your response 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
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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.
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Information on Reporting, Certification, and Agency Review
Reporting 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
Title
Date
Review Official's
Comments
Appended
Y
N
Signature of Agency's Final Reviewing Official and Title and Date:
Signature
Title
Date
Review Official's Comments Appended
Y
N
Part 1: Statement regarding any change since annual submission of this form.
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Fill out this section only if you have submitted a Form EPA-XXX "Confidential Financial Disclosure Form for Special Government Employees Serving on Federal
Advisory Committees at the U.S. Environmental Protection Agency" in the past year.
I have reviewed my Form EPA-XXX, "Confidential Financial Disclosure Form for Special Government Employees
Serving on Federal Advisory 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-XXX
Submitted (Month and Year)
. W
Has any information changed in Parts 2-8
from that reported on the form identified
in column (a)?
Yes
No
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 the person'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:
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 of filing or
the previous calendar year
or represented 5% or more
of you ror your spouse's
total compensation over the
course of a calendar year
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
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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:
Organization (Name, City, and State)
Position and brief description of position
Part 4: Research Support and Project Funding
4.O. 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.
If none, please check this box: If no change from last filing, please check this box:
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)
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 identified in Part 2, including government, industry and
foundations).
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
5. 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 compensation from those clients provide 15% or more of your annual income.
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If none, please check this box: 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 of filing or
the previous calendar year
or represented 5% or more
of the person's total
compensation over the
course of a calendar year
Identification of
client's name, if
client provided
more than 15% of
your annual total
income
5.b. Consulting Activities of Your Spouse: Provide a general description of consulting activities that your spouse has been
compensated for 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:
General description of consulting activities of your spouse
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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)?
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 the
person's total compensation over the course of a calendar year
6.b. Compensated Expert Testimony by Your Spouse: Provide a general description of any expert testimony your spouse has
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:
General description of compensated expert testimony of your spouse
B-8
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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
the end of the preceding twenty-four month reporting period or that produced 5% or more of the total income of that person for the past
calendar year.
Specific types of assets to report include: Do not report the following types of assets:
Collectibles held for investment
Commercial crops
Commodity futures
Livestock used for commercial purposes
Non-diversified mutual funds
Partnership interests
Pensions and annuities
Real estate held for investment
Royalties
Stocks, bonds, securities and futures
contracts
Trust holdings
Underlying assets oflRAs and 401K
Retirement Accounts
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 was 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
U.S. Government obligations (including Treasury bonds, bills, notes and
savings bonds)
Your personal residence, unless you rent it 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.
Definition of a Diversified Mutual Fund
5 C.F.R. 2640.102 : "A mutual fund is diversified for purposes of this part if it does not have a policy of concentrating its investments in an industry, business, 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.
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For other publicly available investment funds, such as publicly offered units of limited partnerships, list the full name of the
limited partner ship, 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
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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
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Part 9: Identification of any other information related to conflict of interest or appearance of lack of impartiality
Complete this section only if you are being considered for a specific advisory activity. Please consider all your activities, those of your spouse, and dependent
children over the past 5 years in considering the following questions.
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)?
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
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Attachment C
U.S. Environmental Protection Agency
Science Advisory Board
Executive Committee
Policies and Procedures Subcommittee
(Membership Established March 8, 2002)
CHAIR
Dr. Henry Anderson, Wisconsin Division of Public Health, Madison, WI
Also Member: Environmental Health Committee
Integrated Human Exposure Committee
EC MEMBERS
Dr. Domenico Grasso, Smith College, Northampton, MA
Also Member: Environmental Engineering Committee
Dr. Philip Hopke, Clarkson University, Potsdam, NY
Also Member: Research Strategies Advisory Committee
Clean Air Scientific Advisory Committee
Dr. William H. Smith, Yale University, Center Harbor, NH
EPA SCIENCE ADVISORY BOARD STAFF
Dr. Angela Nugent, Designated Federal Officer, US EPA Science Advisory Board, 1200 Pennsylvania
Avenue, NW, Washington, DC
Ms. Betty Fortune, Office Assistant, US EPA Science Advisory Board, 1200 Pennsylvania Avenue,
NW, Washington, DC
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