The Rulemaking Process
A Guide to the Rulemaking Process
Prepared by the Office of the Federal Register1
TABLEOFCONTENTS
BeforetheProposedRule
Whatgivesagenciestheauthoritytoissueregulations? Howdoesanagencydecidetobeginrulemaking? Whencanthepubliclearnthatanagencyplanstostartarulemaking? Howdoesanagencyinvolvethepublicindevelopingaproposedrule? WhatistheroleofthePresidentindevelopingaproposedrule?
TheProposedRule
Whatisthepurposeoftheproposedrule? Howistheproposedrulestructured? Whatisthetimeperiodforthepublictosubmitcomments? Whydoagenciesre-opencommentsorissuemultipleproposedrules? Doagencieshaveadditionaloptionsforgatheringpubliccomments? Whyshouldyouconsidersubmittingelectroniccomments?
BeforetheFinalRule
Howdopubliccommentsaffectthefinalrule? WhatistheroleofthePresidentindevelopingafinalrule?
TheFinalRule
Howisthefinalrulestructured? Whendofinalrulesgointoeffect? Cananagencyissueafinalrulewithoutapublishingaproposedrule? Whatareinterimfinalrules&directfinalrules?
AftertheFinalRule
HowarefinalrulesintegratedintotheCodeofFederalRegulations? HowistheCongressininvolvedinreviewingfinalrules? Doestheregulatoryprocesscontinueafterrulesarepublished? Whatareinterpretiverulesandpolicystatements? Whendothecourtsgetinvolvedinrulemaking?
1Thematerialpresentedinthisguideisnecessarilygeneralinnatureandshouldnotbeusedtomakelegaldecisions.Weuse
theterms"rule"and"regulation"interchangeablyinthetext.Theguideisadaptedfromseveralmajorsources:theCornelle- RulemakingInitiative(CeRI)"RegulationRoom,"hostedbytheCornellLegalInformationInstitute(LII)at "RegMap"createdbyICFConsultingwiththecooperationofthe GeneralServicesAdministration'sRegulatoryInformationServiceCenterat 'stutorial:"TheFederalRegister: WhatitIsandHowtoUseIt"at ofTransportation's"TheInformalRulemakingProcess,"whichhasmoredetailedinformationandexamplesontherulemaking process.Inaddition,youmaywishtoconsultDOT's"RulemakingRequirements"(preparedbyNeilEisner,April2009),which provideshyperlinksforeasyaccesstothestatutes,executiveorders,guidancedocuments,memoranda,etc.thatcontainthe actuallegalrequirementsorprovideguidanceontherulemakingprocess.
Before the Proposed Rule
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What gives agencies the authority to issue regulations?
Agenciesgettheirauthoritytoissueregulationsfromlaws(statutes)enactedbyCongress.In somecases,thePresidentmaydelegateexistingPresidentialauthoritytoanagency.Typically, whenCongresspassesalawtocreateanagency,itgrantsthatagencygeneralauthorityto regulatecertainactivitieswithinoursociety.Congressmayalsopassalawthatmore specificallydirectsanagencytosolveaparticularproblemoraccomplishacertaingoal. Anagencymustnottakeactionthatgoesbeyonditsstatutoryauthorityorviolatesthe Constitution.Agenciesmustfollowanopenpublicprocesswhentheyissueregulations, accordingtotheAdministrativeProcedureAct(APA).Thisincludespublishingastatementof rulemakingauthorityintheFederalRegisterforallproposedandfinalrules.
How does an agency decide to begin rulemaking?
Congressmaypassalawthatdirectsanagencytotakeactiononacertainsubjectandseta schedulefortheagencytofollowinissuingrules.Moreoften,anagencysurveysitsareaof legalresponsibility,andthendecideswhichissuesorgoalshavepriorityforrulemaking. Theseareafewofthemanyfactorsthatanagencymayconsider:
Newtechnologiesornewdataonexistingissues; Concernsarisingfromaccidentsorvariousproblemsaffectingsociety; RecommendationsfromCongressionalcommitteesorfederaladvisorycommittees; Petitionsfrominterestgroups,corporations,andmembersofthepublic; Lawsuitsfiledbyinterestgroups,corporations,States,andmembersofthepublic; Presidentialdirectives; "Promptletters"fromtheOfficeofManagementandBudget(OMB); Requestsfromotheragencies; Studiesandrecommendationsofagencystaff.
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When can the public learn that an agency plans to start a rulemaking?
Agenciesarerequiredtopublisha"RegulatoryPlan"onceayearinthefallandan"Agendaof RegulatoryandDeregulatoryActions"inthespringandfall.TheRegulatoryPlanandthe RegulatoryAgendaareoftenreferredtoasthe"UnifiedAgenda."TheUnifiedAgendaishow agenciesannouncefuturerulemakingactivitiesupdatethepubliconpendingandcompleted regulatoryactions. .Agenciesalsopublishmost ofthismaterial(theirregulatoryplans)intheFederalRegister.TheFederalRegisterversion andaseparateUnifiedAgendacollectionareavailableontheGovernmentPrintingOffice's (GPO)FederalDigitalsystem().
How does an agency involve the public in developing a proposed rule?
Anagencymaytakesomepreliminarystepsbeforeissuingaproposedrule.Theygather informationthroughunstructuredprocessesandinformalconversationswithpeopleand organizationsinterestedintheissues.Ifanagencyreceivesa"PetitionforRulemaking"froma memberofthepublic,itmaydecidetoannouncethepetitionintheFederalRegisterand acceptpubliccommentsontheissue. Anagencythatisinthepreliminarystagesofrulemakingmaypublishan"AdvanceNoticeof ProposedRulemaking"intheFederalRegistertogetmoreinformation.TheAdvanceNoticeis aformalinvitationtoparticipateinshapingtheproposedruleandstartsthenotice-and- commentprocessinmotion. Anyoneinterested(individualsandgroups)mayrespondtotheAdvanceNoticebysubmitting commentsaimedatdevelopingandimprovingthedraftproposalorbyrecommendingagainst issuingarule.Someagenciesdevelopproposedrulesthroughanegotiatedrulemaking.Inthis process,anagencyinvitesmembersofinterestedgroupstomeetingswheretheyattemptto reachaconsensusonthetermsoftheproposedrule.Iftheparticipantsreachagreement,the agencymayendorsetheirideasandusethemasthebasisfortheproposedrule.
What is the role of the President in developing a proposed rule?
BeforeaproposedruleispublishedintheFederalRegisterforpubliccomment,thePresident, asheadoftheExecutivebranch,maytaketheopportunitytoreviewtherule.ThePresidentis assistedbytheOfficeofInformation&RegulatoryAffairs(OIRA),whichanalyzesdraftproposed ruleswhentheyare"significant"duetoeconomiceffectsorbecausetheyraiseimportant policyissues.Forsignificantrules,theagencymustestimatethecostsandbenefitsoftherule andconsideralternatesolutions.
Iftheproposedrulerequiresthepublictoprovideinformationtothegovernment,theagency mustestimatethepaperworkburdenonthepublicandobtainpermissiontoproceedfrom OIRA.Inaddition,theagencymayberequiredtoanalyzeaproposedrule'simpacton:small businesses;state,localandtribalgovernments;families;federalism.Itmayalsoneedtoanalyze issuesofjustcompensationandunfundedmandates.
The Proposed Rule
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What is the purpose of the proposed rule?
Theproposedrule,orNoticeofProposedRulemaking(NPRM),istheofficialdocumentthat announcesandexplainstheagency'splantoaddressaproblemoraccomplishagoal.All proposedrulesmustbepublishedintheFederalRegistertonotifythepublicandtogivethem anopportunitytosubmitcomments.Theproposedruleandthepubliccommentsreceivedon itformthebasisofthefinalrule.
How is the proposed rule structured?
Proposedruleshavepreambleswhichcontainasummary,dateandcontactinformation,and supplementaryinformation.Aproposedrulebeginswitha"Summary"oftheissuesand actionsunderconsideration;italsostateswhytheruleisnecessary.Underthe"Dates"and "Addresses"captions,theagencyinviteseveryonetocommentontheproposedrule,setsa dateforcommentstobesubmitted,andspecifiesvariousmethodsforconveyingcomments. Manyagenciesgiveseveraloptionsforsubmittingcomments,includingU.S.mail,private courier,email,andtheofficialfederalelectroniccommentportal:. Inthe"SupplementaryInformation"portion,theagencydiscussesthemeritsoftheproposed solution,citesimportantdataandotherinformationusedtodeveloptheaction,anddetailsits choicesandreasoning.Theagencymustalsoidentifythelegalauthorityforissuingtherule. Followingthepreamble,theagencyusuallypublishestheregulatorytextoftheproposalinfull. TheregulatorytextsetsoutamendmentstothestandingbodyoflawintheCodeofFederal Regulations.Iftheamendmentsarenotsetoutinfulltext,theagencymustdescribethe proposedactioninanarrativeform.
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What is the time period for the public to submit comments?
Ingeneral,agencieswillspecifyacommentperiodrangingfrom30to60daysinthe"Dates" sectionoftheFederalRegisterdocument,butthetimeperiodcanvary.Forcomplex rulemakings,agenciesmayprovideforlongertimeperiods,suchas180daysormore.Agencies mayalsouseshortercommentperiodswhenthatcanbejustified. Membersofthepublicmayrequestthattheagencyallowmoretimetosubmitcomments,and agenciesmayconsiderlate-filedcomments,iftheirdecision-makingschedulepermitsit. Commentorsshouldbeawarethatagenciesgenerallyarenotlegallyrequiredtoconsiderlate- filedcomments.Agenciesusuallyprovideinformationintheproposedruleand/ortheir proceduralrulesindicatingwhethertheywillconsiderlate-filedcomments.
Why do agencies re-open comments or issue multiple proposed rules?
Anagencymayextendorre-openacommentperiodwhenitisnotsatisfiedthatithasenough highqualitycommentsorwhenthepubliccommentsmakeagoodcaseforaddingmoretime. Similarly,anagencymayfindthatpeoplehaveraisednewissuesintheircommentsthatwere notdiscussedintheinitialproposedrule.Asnewissuesoradditionalcomplexityarises,the agencymaypublishaseriesofproposedrulesintheFederalRegister.
Do agencies have additional options for gathering public comments?
Duringthecommentperiod,anagencymayalsoholdpublichearingswherepeoplecanmake statementsandsubmitdata.Someagenciesoperateunderlawsthatrequirerulemaking hearings.Othersmayholdpublicmeetingstocollectmoreinformationortohelpaffected groupsgetabetterunderstandingoftheproposedrule.Manyagenciesarebeginningtouse webcastsandinteractiveInternetsessionstobroadentheaudienceattendingpublicmeetings. Afterthecommentperiodcloses,anagencymayestablishasecondperiodforreplycomments (commentsthatrespondtopriorcomments).Areplyperiodisnotrequiredbylaw.Thereply commentperiodenablespeopletorespondtocommentsthatagenciesreceivedattheendof commentperiod,creatingmoreofapublicdialog.
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