ML20127C641
| ML20127C641 | |
| Person / Time | |
|---|---|
| Issue date: | 03/28/1985 |
| From: | Dircks W NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | Palladino NRC COMMISSION (OCM) |
| Shared Package | |
| ML20127C643 | List: |
| References | |
| FOIA-85-292 NUDOCS 8504100661 | |
| Download: ML20127C641 (20) | |
Text
a-n~:mirr m memrya.ma g e.ars m r% ngeg g g g g g ;
i
(
(
l[
(
MEMORANDUM FOR:
Chairman Palladino W282 e
FROM:
William J. Dircks Executive Director for Operations
SUBJECT:
JANUARY 4, 1985 MEMORANDUM FROM THE PRESIDENT ON REGULATORY PROGRAMS
%.\\
This isi n response to your February 28, 1985 request for my reco ndation on a proposed course of action on Executive Order 12498, Regulatory Planning Process, and President Reagan's memorandum of January 4, 1985, forwarding the Executive Order to Heads of Executive Departments and Agencies.
Under Executive Order 12498 (Enclosure A), each agency covered by the order was required to submit to the Office of Management and Budget (0MB) by February 19, 1985, a " Draft Regulatory Program," that explains the agency's significant regulatory actions and demonstrates how these actions are consistent with the Administration's regulatory principles.
The " Draft Regulatory Program" will be reviewed by OMB and, when approved, will be published as part of the "Administra-tion's Regulatory Program for 1985." OME Bulletin 85-9 (Enclosure B) implements Executive Order 12498.
Those agencies covered by the Executive Order are enumerated by Section 4 on page 2 of the Bulletin.
Independent regulatory agencies, including NRC, are not covered by the Bulletin. Also, unlike Executive Order 12291, independent regulatory agencies have not been requested to comply voluntarily with Executive Order 12498, and this position has been confirmed in discussions with CMB officials.
Moreover, the Comission, as a matter of policy, on September 21, 1981, declined to voluntarily comply with the Administration's request to submit draft regulations to OM3 for review (Enclosure C), and we would not recommend, as a matter of policy, that the agency voluntarily submit a " Draft Regulatory Program" to OMB pursuant to Executive Order 12403.
The Comnission should be aware that recently the trade press has carried several articles indicating that the Administration may seek to bring certain independent agencies, e.g., the Consumer Products Safety Commission, within the coverage of Executive Order 12498.
I will keep the Comission informed of any further developments on this subject; however, I do not recomend any action at this time.
(Sipef William J. Dirck8 William J. Dircks i
Executive Director for Operations M ff sm
p m.
c, i
,'r a ' a*-
Procid:ntial Documents Vol. M Pk Tuendey, Joseery e6 1ses
'ntle 3-becutive Order 124es of January 4. saas The President Regulatory Planning Process
~~
By the authority vested in me as Pteeldent by the Constitution and United States of America, and in ceder to create a coordinated p developing on an annual basis the Administration's Regulator establish Administration regulatory priorities, increase the accou agency heads for the regulatory actions of abeit agencies, provide for future regulations, minimize duplication and hance public and Congressional understanding of the Admin tory objectives. It is hereby ordered as follows:
planning process by which the Administratio Regulatory Program for each year. To implement this process, eac agency subject to Executive Order No.12291 shall submit to the Director Office of Management and Budget (OMB sach year, starting in 19 statement of its regulatory policies. goals, an)d objective and information concerning all significant regulatory actions und planned; however, the Director may exempt from this Order such effective implementation of this Order. activities as the Dir (b) %e head of each Executive agency subject to this Order shall en all regulatory actions are consistent with the goals of the agency A Administration, and will be appropriately implemented.
and review procedures of agencies and the procedures established by Executive Order No.12291.
(d) To assure consistency with the goals of the Administration. the hea each agency subject to this Order shall adhere to the regulatory prin stated in Section 2 of Executive Ordar No.12291 including those elabora by the regulatory policy guidelines set forth in the August the Presidential Task Force on Regulatory Relief, " Reagan Administra Regulatory Achievements."
Sec. t. Agency Submission of Draft }legulatory Progrom. (a) The head policies, goals, and objectives for the program ye concerning all significant regulatory actions of the agency, planned or under-way, including actions taken to consider whether to initiate rulemaking requests for public comment; and the development of documents that influence, anticipate, or could lead to the commencement of rulem Administration *s Regulatory Program. %la subm agency's draft regulatory prograni. The draft regulatory program shall be submitted to the Director each year, on a date to be specified by the Dire and shall cover the period from AprE 1 i.r
. March 31 of the following year.
ENCLOSURE
Daoeral Register / Vol. 30. No. S / Tuesday. january 8.1J65 / Presidential MS)
(b) ne ov:rview porti:n cf the cgency's submissi:n should discu agency's broad regulatory purposes, explain how they are cons Administration *a regulatory principles. and include a discu cant regulatory actions. as defined by the Director, that it will ta cverview should specifically discuss the significant regulatory agency to revise or rescind existing rules.
described in subsection (a) in such form provide such additionalinformation as the Director may requ Director shall. by Bulletin or Circular, exempt from the requ Order any class or category of regulatory action that the D is not necessary to review in order to achieve the effective i the program.
tory Program. (a) in reviewing each age
\\
Director shall (i) consider the consistency of the draft
, e the Administration's policies and priorities and the draf submitted by other agencies:
deregulatory actions as may, in his view, be nece ms such consistency. In the event of disagreement over the c agency's draft regulatory program, the agency head or the
^
issues for further review by the Fresident or by such appr
, Council or other forum as the President may designate.
(b) Following the conclusion of the review process establi the Director, the agency's final regulator as the Administration's Regulatory Program for that year. %e circulate a draft of the Administration's Regulatory Progra ment. review, and interagency consideration. if necessary. before (c) After development of the Administration *s Regulatory if the agency head proposes to take a regulatory action subj provisions of Section 2 and not previously submitted for review u process, or if the agency head proposes to take a regulatory action materiall Program.y different from the action described in the agency's the agency head shall immediately advise the Director and specify. Except in the case of emergency or statutory or judicial deadlines, the agency head shall refrain proposed regulatory action until the review of this submission by t Order No.12291. the Director shall be dee proposal is consistent with the purposes of this Order, unless he agency head to the contrary within to days of its submission. As
.i regulatory actions subject to Executive Order No.12291, the Dir shall be governed by the provisions of Section 3(e) of that Order.
(d) Absent unusual circumstances, such as new statutory o ments or unanticipated emergency situations, the Director may, to o
permitted by law, return for reconalderation any rule submitted for under Executive Order No.12291 that would be su N
other significant regulatory action that is m j
[
described in the Administration *s Regulatory Program for that I
a 4
_ - ~, - - - -
1est Federal Ray' v / Vol 30. W. 5 / Tuesday. January 8.1b/ Presidential nteun
+
Sec. 4. Offwe 0{ Monepement and BudgeL The Director of the O hienagement and Budget is aethorized, to the extent permitted a
such actions as may be necessary to carry out the provisions of Sec. 8.Judiciot Aaview. This Order la latended only to improve th right or benefit, substantive or procedural, against the United States. its agencies. its officers or any person.
\\.'^[am THE WHITE HOUSE.
~
W
/anuary 4, jm, M % tes paj mv.s 4, 31, Editorial note: The President's memorand ua of Jan 4 teos, for the h anents and egenoes on the development of the administration's regulatory the WeeUy Canpilenan ofPresidencolDocumente (vol 21. no 1).
e j
I EXECUTIVE OPTICE OF THE PRESIDENT
}
OFFM OF h4ANAGEt4ENT AND BUDGET wrasmoestose.s.c. asses January 10, 1985 i
BULLETIN NO. 85-9 TO THE BEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES i
SUBJECT:
The Administration's Regulatory Program--1985 i
1.
Purpose.
This Bulletin establishes guidelines and procedures for developing and publishing the Administration's Regulatory Program for 1985.
The information required by this Bulletin will be used to create a statement of the regula Bulletin, and a description of the Administration's significant i
regulatory actions underway or planned, for the Reporting Year beginning in April 1985.
document is intended to create a coordinated process forDevelopment i
i developing on an annual basis the Administration's Regulatory Program, establish Administration regulatory priorities, increase the accountability of agency heads for the regulatory actions of 4
their agencies, provide for Presidential oversight of the regulatory process, reduce the burdens of existing and future i
regulations, minimise duplication and conflict of regulations, and enhance public and congressional understanding of the l
Administration'a regulatory objectives.
2.
Background.
On January 4,1985, the President issued Executive Order No.12498, Regulatory Planning Process, and a Memorandum for the Reads of Executive Departments and Agencies entitled Development of Administration's Regulatory Program, pursuant to which the Administration will develop and publish a Regulatory Program for each year.
The Order also delegated to the Director of the Office of Management and Budget (OMB) authority to take such actions as may be necessary to implement this process.
This process is intended to complement the existing regulatory planning and review procedures of the executive branch, including the procedures established by Executive Order No.12291.
The Regulatory Program will cover "significant regulatory actions," that are defined as certain actions for which review under Executive Order No.12291 is anticipated during the Reporting Year, and certain regulatory actions and declaions that occur prior to the initiation of rulemaking procedures, including actions taken to consider whether to initiate rulemaking, requests for public comment, and the development of documents that may influence, anticipate, or could lead to the commencement of significant rulemaking proceedings.
EBCLOSURE D
I
~
{
2 l
The Executive Order directs the head of each executive agency to ensure that all their re of existing regulations,gulatory actions, including reassessments are consistent with the goals of the agency and of the Administration, and are appropriately implemented.
To assure consistency with the goals of the Administration, the head of each agency is to adhere to the regulatory principles stated in section 2 of Executive Order No.
12291, and the regulatory policy guidelines set forth in the August 11, 1983, Report of the Presidential Task Force on Regulatory Relief, Reagan Administration Regulatory Achievements.
3.
Authority.
The Budget and Accounting Act of 1921, as amended (31 U.S.C. Chapter 11):' the Budget and Accounting Procedures Act of 1950, as amended; Reorganization Plan No. 2 of 1970; Executive i
]
Order No.11541, as amended (Prescribing Duties of the Office of 4
Management and Budget and Domestic Council, 35 Fed. Reg.10737, July 2,1970): Executive Order No.12291 (Federal Regulation, 46 Fed. Reg.13193, February 19, 1981): Executive Order No.12498 (Regulatory Planning Process, 50 Fed. Reg.1036, January 8, 1985); and Memorandum for the Reads of Executive Departments and Agencies entitled Development of Administration's Regulatory Program, dated January 4,1985.
4.
Coverage.
All agencies subject to Executive Order No.12498 are subject to Sections 1(b) and 1(c) of that Order.. Pursuant to i
section 1 of the Order, the following agencies, to the extent they are subject to Executive Order No.12291, are hereby made subject to Sections 1, 2, 3, 4, and 5 of Executive Order No.
12498 and the provisions of this Bulletin:
Department of Agriculture Department of Commerce i
Department of Education i
Department of Energy Department of Bealth and Human Services Department of Mousing and Urban Development Department of (Te Interior Department of Justice '
Department of Labor Department of Transportation Department of the Treasury Environmental Protection Agency Equal Employment Opportunity Commissicn General Services Administration Office of Personnel Management small Business Administration l
Veterans Administration i
5.
Definitions.
{
a.
A "prerulemaking action' is any important action taken to 4
consider whether to initiate, or in contemplation of, rulemaking; publication of advance notices of proposed O
.,-----.,em-m.
--~~-,-n
.----,--,_,,.,~,._,w_,,_.._
3
(^-
t i
i 3
?
rulemaking and all similar notices, publications, and requests for public comments and development or 1
dissemination of draft guidelines, policy proposals, strategy statements, and similar documents that may influence, anticipate, or could lead to the com_mencement of rulemaking proceedings at a later date, b.
A "rulemaking action
- is the publication of any notice of proposed rulemaking, final rule, or other statement of general applicability and future effect designed to laplement, interpret, or prescribe law or policy.
A *significant regulatory action" is any prerulema c.
adoption of a rule that is or would bes (1) a " major rule' as defined by Section 1(b) or 3(b) of Executive Order No. 122913 (2) a priority of the agency head; i
(3) subject to a statutory or judicial deadliner (4) of unusual interest to other Federal agencies; 3
(5) of unusual public interestr l
(6) likely to establish an important new policy or legal precedents or (7) designated by the Director of the Office of Management and Budget to warrant review as a significant regulatory action.'
d.
" Reporting Year
- means the 12-month period from April 1, 1905 to March 31, 1986.
6.
Agency Submission of Draft Regulatory Program for the Period f rom April 1,1985 through March 31, 1986.
Each hgency head shall submit a draf t overview of the a.
regulatory policies, goals, and objectives that it, proposes to pursue during the Reporting Year.
Th overview should discuss how these policies, goals %s
, and objectives are consistent with the Administration's regulatory principles, as stated in section 2 of Executive Order No.12291, and the August 11, 1983, Reprt of the Presidential Task Force on Regulatory i
Relief, Reagan Administration Regulatory Achievements, l
and include a discussion of the most important regulatory j
actions it will take.
The overview should specifically i
discuss the significant regulatory actions of the agency to revise or rescind existing rules.
The overview should
+
,,n
- i. '.
(
C d
include the regulatory policies, goals, and objectives of l
j the agency as a whole, as well as of the major subjects selected as specified in subsection b.
l b.
Each agency head shall also complete and subalt-information in the Format attached to this Bulletin for each significant regulatory action that the agency j
proposes to pursue during the Reporting Year.
In submitting t11s information, the agency shall divide its significant regulatory actions into major subjects that i
are most closely related to the programs of the agency.
For example, the major subjects may be divided by program office, authorising statute, regulatory authority, or subject area.
The agency shall then further categorize all such significant regulatory actions as follows:
g..
(1)
"First Administration review' means that the significant regulatory action has not been preriously reviewed by the Administration, for example, (i) pursuant to deliberations of an appropriate Cabinet Council, (ii) under Executive Order No.12291, or (iii) under Executive Order No.
12498.
(2)
- Previously reviewed:
not changed" means that the specific significant regulatory action has been reviewed by the Administration, as above.
(3)
"Previously reviewed:
changed" means, with respect to a significant regulatory action that has been previously reviewed by the Administration, as above, that additional relevant information is available; that there has been (1) a material change in either j
the substance of the action or the agency's plans i
for pursuing it, or (ii) subsequent actions, since the action was previously approved; or that, in the case of a rulemaking, it will progress to a new regulatory stage (e.g., from a notice of proposed rulemaking to a final rule).
c.
The agency head shall further divide significant regulatory actions according to whether the next action that the agency expects to take during the Reporti,ng Year is a (1) prerulemaking action; (2) publication of a notice of proposed rulemaking or (3) publication of a final rule.
I d.
The agency head shall separately describe each, hed to i
significant regulatory action in the Format attac i
this Bulletin (categorised as specified in subsections b i
and c).
The agency head shall precede all of these l
individual descriptions with a table of 1
C 5
contents, listing each significant regulatory action by title, according to the categories and subdivisions of subsections b and c.
7.
Functions of Draft Regulstory Program.
The submission by each agency head of a draft regulatory program is intended primarily to ensure that each proposed significant regulatory action is well planned and is consistent with the priorities of other agencies and of the President.
Review of I
prerulemaking as well as rulemaking actions is intended to ensure that agency heads have greater opportunity to be involved earlier in the rsgulatory management process when t
policy options are broadest actions are completed in a timely manners that agencythat sig
_yesources and Executive Order No.122g1 reviews can be concentrated on matters of greatest importance to the Administrations and that, to the extent permitted by law, agency resources will not be expended on regulatory actions that are not consistent with the regulatory goals of the i
agency head and of the President.
8.
Internal Agency Management.
program should be the result of a comprehensive agencyEach process that integrates analysis, planning, evaluation, and budgeting and reflects:
the express regulatory policies of the Presidents a.
b.
the missions, goals, and objectives of the agency and consideration of appropriate roles for Federal, State and c.
local governments, as well as the private sector, with respect to the activity covered.
i 9.
Review, Compilation, and Publication of the Administration's Regulatory Program for 1985.
The draft regulatory program required by section 6 shall i
a.
be submitted to the Office of Management and Budget no later than February 19, 1985.
Three copies of each submission, and of any subsequent submission, shall be addressed to the Office of Information and Regulatory Affairs, Office of Management and Budget, Room 3236, New Executive Office Building, Washington, D.C. 20503.
b.
Agencies shall provide additional information about i
regulatory plans, policies, or priorities, and individual regulatory actions as the Administrator of the. Office of Information and Regulatory Affairs, Office of Management I
and Budget, may request.
In addition as necessary, 4
arrangements will be made to convene m,eetings with agency j
officials to discuss their draft regulatory programs.
l
l
[
C e
j i
OMB review of the draft regulatory program of each agency c.
will (1) consider the consistency of the draft regulatory program with the Administration',
s policies and-priorities and the draf t regulatory programs submitted by other agencies; and (2) identify such further regulatory or deregulatory actions as may be necessary in order to achieve such consistency.
In the event of disagreement over the content of the agency's draft regulatory program, issues may be raised for further review by the President or by such appropriate Cabinet Council or other forum as the President may designate.
d.
Following the conclusion of this review process, each agency head shall submit, on a date to be specified by the Director, the agency's final regulatory program for compilation and publication in the Administration's Regulatory Program for 1985.
OMB will circulate a draft of the Administration's Regulatory Program for 1985 for agency comment, review, and interagency consideration, if necessary, before publication.
Nothing in this Bulletin shall be construed as displacing the agencies' responsibilities delegated by law.
- 10. Undertaking a Regulatory Action During the Reporting Year Not Included in, or Inconsistent with, the Administration's Regulatory Program for 1985.
Af ter development of the Administration's Regulatory a.
Program for 1985, if the agency head proposes to take a regulatory action subject to the provisions of Section 6 of this Bulletin and not previously submitted for review under this process, or if the agency head proposes to take a regulatory action that is materially different f rom the action described in the agency's final regulatory program for the Reporting Year, the agency head shall immediately advise the Director of OMB in writing, and submit he action to DMB for review by describing it in the Format attached to this Bulletin.
b.
Escept in the case of unanticipated emergency situations or statutory or judicial dea $ lines, the agency head shall refrain from taking the proposed regulatory action under review pursuant to this section until the OMB review of this submission is completed.
As to any proposed regulatory action that is not c.
submitted under Executive Order No.12291, i.e., a prerulemaking action, OMB shall be deemed to have determined that the proposal is consistent with Esecutive Order No. 12498 within 10 days of its submission, unless the agency is notified to the contrary within that 10 days.
c i
7 I
d.
l As to any proposed regulatory action that is submitted under Executive Order No.12291, i.e., a draf t notice of proposed rulemaking or final rule, OMB shall~ be deemed to 1
have concluded review of a significant regulatory action i
aubmitted pursuant to this Section within the appropriate time limit stated in Section 3(e)(2) of Executive Order No.12291, unless the agency is notified to the contrary within that time limit.
No separate filing under i
Executive Order No.12498 is required under this circumstance.
Absent unusual circumstances, such as a new statutory or e.
judicial requirement or an unanticipated emergency situation, OMB may return for reconsideration any rule submitted for revnew under Executive Order No.12291 during the porting Year that would be subject to Section 6 of this ulletin but was not included in the agency's final regu atory program for the Reporting Years or any other planned steps or actions that are materially different from the action described in the Administration's Regulatory i
Program for 1985.
- 11. Exem>tions.
Pursuant to Section 2(c) of Executive Order No.
4 12498, tae Diiector is authorised to exempt from the requirements of the Order and this Bulletin any class or category of regulatory actions as to which the Director determines that review is not necessary in order to achieve the eff implementation of the regulatory planning process. ective Requests for such exemptions should be submitted to the Administrator of the Office of Information and Regulatory Affairs, Office of Management and Budget.
- 12. Information contact.
Por further information on the requirements of this Bulletin, each agency may contact the appropriate Desk Officer in the Office of Information and Regulatory Affairs, Office of Management and Budget.
i
- 13. Amendment of this Bulletin.
OMB will review the requirements of this Bulletin af ter publication of the Administration's i
Regulatory Program for 1985.
Af ter assessing the implementation of j
this Bulletin, OMB will amend it to provide a time schedule and any additional guidance for preparation of the Administration's Regulatory Program for 1986.
}
/
e W?^Q 4
David A. Stockman Director Attachment j
i s
~ = = =--
- - - - ~ ~ ~ ^ ~ - ~ ~ ~ - ^ ~
^
I r
(
l
?
ATTACMMENT 1 BULLETIM NO. 85-9 FORMAT FOR THE AGENCY DESCRIPTION OF EACH PROPOSED SIGNIFICANT REGULATORY ACTION PURSUANT TO EXECUTIVE ORDER NO.12498 (IMPORTANT--Read the instructions following this Format before completing it.)
Date of Sutais.sion I.
IDENTIFICATION 1.
Department / Agency and Bureau / Office Issuing Regulation:
Agency Code:
2.
Name of Person Who can Best Answer Que.stions Concerning this Proposal Telephone:
3.
Title of Regulatory Action:
RIN:
4.
Existing Rules RIN:
5.
Legal Authority:
6.
a.
Statutory Deadline:
Yes No b.
Judicial Deadline Yes No c.
Other Legal Mandate: Yes No (If the answer to any of the above is "Yes,'
specify the deadline and the mandate.)
e 4
('
2 e
4 II.
STATUS 7.
a.
Indicate whether this Proposed Significent Regulatory Action is Categorised as First Administration Review Previously Reviewed Under Executive Orders No.
12291 or No.12498
..Previously Reviewed by a Cabinet Council or Other Body in the Executive Office of the President b.
Describe Previous Review Dates Indicate Whether the Previously Reviewed Action c.
has:
Not Changed Changed (If it was previously reviewed under Executive Orders No.12291 or No.12498, and has not been changed, omit Parts III, IV, and V if it has changed, omit Parts III and IV.)
~
(If it was previously reviewed by another body in the Executive Office of the President, and has not been changed, omit Part V; if it has changed, 4
complete all Parts.)
3 III.
PURPOSE OF PROPOSED SIGNIFICANT REGULATORY ACTION 8.
a.
Problem the Proposed Significant Regulatory Action is Intended to Solves l
b.
Explanation of Why Private Action or Possible Action by Other Level of Government Would Not Be Adequate:
9.
a.
Potential Policy Issues to be Resolved b.
Supporting Analyses to be Used:
c.
Likely Problems of Implementation:
d.
Senefits and Costs that have been Identified (In Dollars, if Practical):
l l*
~
(
c e-3
- 10. Alternative Federal Regulatory (and Monregulatory)
Solutions under Consideration, including their Major Advantages and Disadvantages, and the Incidence of their Significant Benefits and Costs:
- 11. Information Collections that nay be Involved in Pursing Alternatives Described in Question 10, and Analyses Described in Question 9:
IV.
CONSISTENCY WITH ADMINISTRATION REGULATORY POLICY
- 12. a.
" Significance
- Of Regulatory Actions b.
Applicable Element (s) in Definition In Section 5c of this Rulletin, e.g., "(1)* * (7)"
- 13. Consistency with Administration Regulatory Principles:
- 14. Constraints that may cause Inconsistency with Administration Regulatory Principles:
V.
CHANGES IN PLANNED STEPS OR ACTIONS CONCERNING THE SIGNIFICANT REGULATORY ACTION SINCE PREVIOUS ADMINISTRATION REVIEW
- 15. Rature of the Change:
- 16. Reasons for Change:
- 17. a.
Administrative Discretion Available:
b.
Specific Statutory Or Judicial Constraint (s):
VI.
TINETABLE (Identify at least three future steps.)
18.
Planned Steps Date of Date of or Actions Initiation Completion I
e
~
(
r
\\l' ATTACHMENT 1 i
SULLETIN NO. 85-9 INSTRUCTIONS TO COMPLETE i
AGENCY DESCRIPTION OF EACH
~
PROPOSED SIGNIFICANT REGULATORY ACTION PURSUANT TO EXECUTIVE ORDER NO.12498 IN THE FORMAT REQUIRED
)
Coverage 1
Pursuant to Sections 6 and 10 of this Sulletin, the head of each agency covered by this Bulletin shall submit information j
concerning each proposed significant regulatory action (grouped as specified in subsections b and c of Section 6 of this i
l Bulletin) in the Format attached to this Bulletin.
i l
General Instructions i
l i
Bach agency shall answer each question concisely but completely, i
taking as much space as needed after each question listed in the i
Format.
Retype each question.
If the question is not applicable, then type 'N/A.*
On the top of the second and succeeding pages describing a significant regulatory action, i
i i
state on the top of the page the agency, the title of the proposed significant regulatory action, and the Regulation j
Identifier Number (RIN), if any, previously assigned by the i
Regulatory Information Service Center to describe the action in the Unified Agenda of Federal Regulations.
Definition of 'Significant Regulatory Action" l
Section 5 of this Bulletin defines a 'significant regulatory action" to include certain "prerulemaking actions" (defined in i
Section Sa) and certain 'rulemaking actions" (defined in Section Sb).
~
In applying the definition of a "significant regulatory action,*-
it is important to note four basic features.
I First, while the definition applies to rulemaking actions--the l
drafting and publication of a notice of proposed rulemaking (HPRM) or of a final rule--it is meant to include only the relatively small proportion of all NPRMs and final rules that the agency or DMB considers to be the most important rulemakings (for
~
the reasons stated in the definition).
As a result, an agency should not describe as "significant regulatory actions
- all the i
NPRMs and final rules that the agency will list in its Unified Agenda of Federal Regulations, or even all that would gave been l
previously classified as " priority" for purpses of the Unified Aeonda.
1 Because the definltion in Section 5 of this Bulletin is Unified Agenda, an agency could describe as "significantin some res in the oe WPRMs and final rules than the agency has previously designated as ' priority
- for publication in the Unified Agenda.
On the other band, in reviewing its list of " priority" rulemakings (as L
77
.11
i l.
p
)
E j
included in the Unified Agenda) en agency may decide that not all of them are ' sign 1ricant" within the meaning and purpose of this i
Bulletin.
In this regard, the application of the term i
i
- significant regulatory action" should be influenced-by-the I
number of such actions that would be included by the
}
interpretation of that ters.
This must be a manageable number i
and yet one that carries out the purposes of Executive Order No.
i 12498.
Agencies are encouraged to consult with their CIRA Desk Officers in developing the list of "significant regulatory 3
i actions."
4 second, the definition of "significant regulatory action" also
}
includes prerulemaking regulatory activities, which are not Specifically, both Executive i
included in the Unified Agenda.
Order No.12498, in section 2(a), and this Bulletin stress that 4
agencies are to include a description of prerulemaking actions that would be a step toward adoption of a rule that would meet any of the criteria set forth in Section Sc(1)-(6) of the Bulletin, including actions taken to consider whether to i
initiate, or in contemplation of, a significant rulemaking.
For j
amaaple, the decision to create an agency task force to evaluate the need for a regulation that, if proposed, would be a t
- significant regulatory action," or to undertake a study to i
assess an economic problem related to possible regulatory action that would be "significant," or to analyse health and safety risks concerning a hasard the regulation of which would be
- significant," should all be considered as significant prerulemaking activities.
i Third, in determining whether a regulatory action is sufficiently io "significant" to report, the agency should assess the overall i
importance of the regulatory action, not just the specific steps
'i or actions that are planned during the Reporting Year.
For i
example, during the Reporting Year, the agency any only plan to l
initiate a research contract, or to hold further public hearings i
to gain certain kinds of information.
Although the individual i
steps or actions planned in the Reporting Year may not be a j
griorityoftheagencyheadorotherwiseconsideredtobe
{
significant," the fact that these are steps toward a regulatory i
action, or regulatory actions that, in the aggregate, are likely to be such a priority or otherwise "significant" warrants i
j treating the overall effort as a "significant regulatory action."
Fourth, once the "signif'icant regulatory action" has been'
~
identified, the agency should report the major steps or actions that the agency proposes to take on such 'significant regulatory action" during the Reporting Year.
Only the important steps or actions--or changes in important steps or actions--shogid be i
reported, i.e., those types of steps or actions for which this program is intended to ensure coordination and consistency with i
Administration policies and priorities.
In cases of doubt as to whether a planned step or action is major, agencies are encouraged to consult with the OIRA Desk officer.
I f
f 3
Exemptions In cases where full reporting would not serve the purposes of this program, and af ter consultation with the appropriate OIRA Desk Officer, an agency may request an exemption from the requirement that it answer the questions set forth in Parts II through VI of this Format for regulatory actions that are "significant" only because they are subject to a statutory or judicial deadline.
The agency will still be required to complete all applicable Parts of this Format with respect to any regulatory action that meets any other criterion of Section Se of j
the sulletin in addition to Section Sc(3).
i Instructions for Part I--IDENTIFICATION 1.
Give the complete name for the Department / Agency and the r
Bureau / Office responsible for implementing the proposed significant regulatory action.
Record the 4-digit Agency Code that OMB/DIRA has assigned to your agency for reviews pursuant to i
Standard Forn 83.
For example, the Food Safety and Inspection I
Service has been assigned the number 05833 and the Occupational Safety and Nealth Administration has been assigned the number 1218.
Identify the individual who is familiar with the proposed 2.
significant regulatory action and who can answer questions on behalf of the agency concerning such action.
For example, this individual would of ten be the Branch or Office Chief responsible for implementing the significant regulatory action.
3.
Use the full title of the significant regulatory action.
If the action has not previously been given a formal title, use a short, descriptive phrase to describe the significant regulatory action.
If this regulatory action has been described previously by answering the questions set forth in the Format attached to this Bulletin, or in the Unified Agenda of Federal Regulations, either use the same title or indicate in parentheses the i
previously used title.
If a RIN bas not been assigned, place
- N/A' in the space provided.
i l
4.
If the proposed significant regulatory action is to revise an i
existing rule, identify the existing rule, provide either its FR i
or CFR cite (preferably,.the CFR cite, if pere is one), and its RIN, if any.
If appropriate, indicate the portion of the existing rule planned to be revised.
For eaample, a concise but complete answer would be:
"'Bealth Requirements for Travel Abroad ' 14 CFR 9999, Subpart 63 proposed regulatory action to amend the definitions concerning food preparation in subpart E, i
Sections 9999.502-9999.508.
RIN:
2700-1849.*
i j
5.
State the legal authority for the regulatory action.
Use the j
same format for doing so as is required by the Unified Agenda, For example, a legal authority could be cited as 42 USC 121 i
I FL 91-190, Sec. 203: or E.0. No. 12291.
[
C 4
1 6.
Indicate whether there is any statutory or court-ordered deadline, or other legal mandate requiring regulatory action by a date certain.
A statutory or court-ordered deadline would include a requirement that the agency issue rules to implement a specific program by a given date; or a requirement that unless an agency issues rules to accomplish a given goal by a specific date, a specific consequence wculd take effect.
A statutory or court-ordered deadline would not include an agency obligation to accomplish general goals, or a statement that the agency should protect the public from a general kind of problem.
"Other Legal Mandate" refers to any other explicit legal obligation to act by a date certain, e.g., absent agency regulatory action by a
specified date, the regulatory authority transfers to another agency; or funding to implement a given program expires by a date certain.
If there is such a deadline or mandate, describe it, giving the current citation.
Instructions for Part II--STATUS 7.
Section 6b of this Bulletin requires all significant regulatory actions to be divided into three categories, 'First Administration review,' "Previously reviewed: not changed," and "Previously reviewed:
changed."
If there has been previous Administration review, briefly identify it.
Such review may have been conducted by a Cabinet Council, by OMB under Executive Order No.12291, or under Executive Order No.12498.
Include in the description the organisation in the Executive Office of the President that conducted the review, the date, and a brief summary of the results of the review.
If the significant regulatory action is categorised as 'First Administration Review," the agency should complete Parts I, II (Question 7a), III, IV, and VI.
If it was previously reviewed under Executive Orders No.12291 or No.12498, and not changed, 1
the agency should complete Parts I, II, and VI; if it has changed, the agency should complete Parts I, II, V and VI.
If it was previously reviewed by another body in the Executive Office of the President, and not changed, the agency should complete Parts I, II, III, IV, and VI if it has changed, the agency should complete all Parts.
Instructions for Part III--PURPOSE OF PROPOSED SIGNIFICANT REGULATORY ACTION General Instructions Concerning A Proposed Significant Re'aulatory Action That Was Subject To A Frevious Administration Review.
If the agency has previously answered the questions set forte ~in this Part of this Format, identify and describe an additions to the information prevnously provided. y obenges or
p 5
4 The amount of information that the agency can provide to answer i
the questions set forth in Part III of this Format will vary, depending upon the stage of the prerulemaking or rulemaking action.
In some cases, especially at the earliest stages, the agency may not have the information needed to answer some of the questions set forth in this Format.
In such instances, the agency should provide what it reasonably can but should not embark on costly or time-consuming analyses solely for the j
purpose of supplying more information.
8.
Summarize the market failure or other problem that is creating the need for possible Federal regulatory action.
Explain why actions by the private sector or other levels of government are not adequate to solve the problem.
For example, explain why private interests are not taking sufficient action, and why State or city governments are unwilling or incapable of solving the problem.
9.
Identify and describe the analyses that have been used or are planned to quantify or otherwise evaluate the magnitude of the problem.
Identify any potential policy issues or likely problems of implementation the agency foresees.
To the extent that the costs of agency implementathon, and compliance by those being regulated, have been identified, so indicate.
Likewise, indicate the benefits expected from solving the problem by regulation.
i
- 10. Summarise the Federal regulatory solutions that are being considered, including the major advantages and disadvantages of each, and any groups of persons, firms, or political jurisdictions that would receive a significant benefit or bear a significant cost if that solution is adopted.
Include, as well, a summary of any nonregulatory solutions being considered, 3
i including Federal grants, or other forms of direct Federal aid redirection of efforts to enforce existing regulatory programs:
and any other form of Federal activity that does not involve a new regulatory action.
Describe any related guidelines anticipated or currently in effect.
t
- 11. Identify any collections of information that may be involved in conducting any of the planned analyses or regulatory solutions being considered.
i Instructions for Part TV--CONSISTENCY WITH ADMINISTRATION
- I REGULATORY POLICY
- 12. Section Se of this Sulletin defines a "significant" regulatory action by reference to seven criteria, any one of which is sufficient to require coverage.
Explain briefly why j
this regulatory action is "significant," and refer specifically to all criteria that are applicable to it.
Note that actions deeme3 *significant" solely by reason of criterion (3) in section Sc may be eligible for an exemption.
See " Exemptions," above.
,1
/.
(~
(
y s
6
=
i
- 13. Describe how this regulatory action.is consistent with the Administration's regulatory principles set forth in Executive Order No.12291 and the 1983 Task Force Report.
~. -
- 14. Describe any limitations or circumstances that may reasonably cause the agency to take a regulatory action that is not fully consistent with all Administration regulatory principles, policies, and priorities.
Identify all regulatory principle (s) of Executive Order No.12291 and the Task Force Report with which
[
it may not be. consistent.
Include a specific reference to any statutory constraints that may cause this action to be N'
inconsistent with an Administration principle, policy, or y
priority.
l Instructions for Part V--CHANGES IN PROPOSED SIGNIFICANT REGULATORY ACTION SINCE PREVIOUS ADMINISTRATION REVIEW
- 15. Describe the nature of the change in the agency's proposed regulatory activity since the previous Administration review.
i For example, identify any option or regulatory approach, such as the use of marketable rights, an auction, etc., that has been i
added or deleted from those previously under consideration.
j,
- 16. Describe the reasons for the change in the agency's previously proposed regulatory activity.
Identify new information concerning the problem to be addressed, such as a new risk assessment, or new evidence suggesting that a new risk assessment should be conducted; new and unusual interest expressed by private or public groups; or any other factor l
causing the change in the previously proposed regulatory activity, including any change in applicable law that may require such change.
- 17. Specifically indicate whether and in what way the change may i
have the effect of limiting the administrative discretion available to the agency and the range of regulatory solutions i
being considered.
Administrative discretion refers to the full
{
range of administrative actions available to the agency as a l
whole, including other regulatory authority or coordinated
)
efforts with other agencies.
j
_ Instructions for Part VI--TIMETABLE
- 18. State the nature of t' he next regulatory steps or actions planned for the 'significant regulatory action,"--prerulemaking or rulemaking as defined in Sections 5a and b of Gis Bulletin--regardless of whether they are likely to occur during the Reporting Year ending on March 31, 1986.
Give the(r expected dates of initiation and ocepletion.
l
-_-