The Federal Register: What it Is and How to Use It Show
Welcome to the Federal Register Workshop This program is sponsored by:
Federal Register publications are produced by:
What topics will this workshop cover ?
Historical Background and Legal Basis of the Federal Register / CFR Publications System Why was the Federal Register System Established ?
What Triggers Rulemaking ?
What is the Federal Regulatory Process ?
What is the Federal Register Act ? Enacted: July 26, 1935 The Federal Register Act established the basic legal structure of the regulatory system:
What is the Effect of Publishing in the Federal Register ?
What is the Administrative Procedure Act ?
Comparison of Laws and Rules Congress Passes Laws
Executive Agencies Issue Rules
Overview of Rulemaking Process 1. Grant of rulemaking authority
2. Proposed Rule stage
3. Final Rule stage
4. Congressional review
5. Effective date
The following discussion and examples track a rule from the grant of authority in law to the proposed rule, the final rule, and codification in the CFR Public Law Federal Register Federal Register Code of Federal Regulations Organization and Contents of the Daily Federal Register What is the Federal Register ? The Federal Register is an official daily legal publication Informs citizens of:
Cite the FR by: volume, page no. and date: 64 FR 34567 (June 5, 1999) Organization of FR Documents Four categories of documents
and Three additional sections
Regulation Numbering System Title: 12: Broad subject area of regulations Chapter: III: Rules of individual agency Part: 303: Rules on a single program or function Section: 303.1: One provision of program/function rules Paragraph: 303.1(a): Detailed, specific requirements What Types of documents are in the Proposed Rules section ? Proposed Rules
Preliminary Rulemaking Documents
Miscellaneous proposals and updates
Proposed Rule Announces possible changes to the CFR Sets out proposed regulatory text or describes proposal Solicits public comment on proposal Initiates the "notice and comment rulemaking" process under the APA (5 U.S.C. 553)
Standard Preamble Headings & Captions Headings:
Captions
Proposed Rule Document -- Preamble Headings for:
Action caption identifies category of document Date caption for comment due date Addresses caption for how and where to send comments Proposed Rule Document -- Regulatory Analysis and Proposed Text Regulatory Analyses Amendatory Language Proposed Regulatory Text Advance Notices and Preliminary Rulemaking Documents Advance Notice of Proposed Rulemaking
Petition for Rulemaking
Negotiated Rulemaking ("RegNeg") document
Advance Notice of Proposed Rulemaking ANPRM is not a specific proposal. Agency invites public to comment on rules to improve quality and clarity. Petition for Rulemaking Agencies publish Petitions for Rulemaking to give the public a forum to propose rule changes. If public comments are favorable, agencies may agree to publish a proposed rule. Petition for Rulemaking; Decision In this example, the Agency's decision is to deny the Petition. The denial is not a final rule. It relates back to the Petition published in the Proposed Rules section. Miscellaneous Proposed Rule Documents Agencies also publish updates and changes to previously published proposed rule documents:
Extension of Time Document Dates caption: for comments and public meeting Supplementary Information -- recites rulemaking history Agency grants more time for comment and sets up a second round of meetings to discuss proposed changes What is the Rules and Regulations Section of the Federal Register ? Contains documents with:
Most, but not all, rules amend the CFR and are codified in the annual revision The terms "rules" and "regulations" are used interchangeably in the Federal Register publication system What Types of Documents are in the Rules & Regulations Section ? Final Rules Interim Final Rules Direct Final Rules Documents that relate to previous rules & regulations, Such as:
Final Rule Why is it issued?
What does it make final?
When is it effective?
Standard Preamble Headings & Captions Headings:
Captions
Final Rule -- Preamble Headings:
Action caption Summary describes the subject, need for, and intended effect of rule Date caption: shows effective date and compliance date Discussion of preceding Proposed Rule Response to comments on Proposed Rule Basis and Purpose of rule: Economic and Regulatory Analyses Final Rule Amendments and Regulatory Text Appear after the "Supplementary Information" section of the Preamble The "List of Subjects" for the rule and formal words of issuance always precede the amendments and regulatory text Numbered amendatory instructions specifically state how the CFR will be amended Final Rule Amendments and Regulatory Text List of Subjects Words of Issuance Amendatory Instructions Regulatory Text Interim Final Rule Why is it issued?
When is it effective?
Is there a comment period?
Interim Final Rule Summary caption: Explains that interim final rule relieves a restriction on kiwifruit growers Dates caption:
Also has a date for suspension of one paragraph of a section Direct Final Rule Why is it issued? To expedite rulemaking for non-controversial actions not expected to generate adverse comments Is it preceded by a proposed rule? Not usually, but some agencies issue one concurrently When is it effective? Generally, 60 to 90 days from date of publication, if it is not withdrawn due to adverse comments Is there a comment period? Yes, it is usually 30 or 45 days from date of publication How will I know if it was withdrawn? Monitor the Federal Register for a withdrawal document Direct Final Rule Action caption Dates caption: 60 day effective date 30 day comment date Documents that Relate to Previous Rules & Regulations No regulatory text since it doesn't amend the CFR
Examples:
Policy Statement Policy Statement clarifies agency policy on existing requirement. Note: agency is codifying Policy Statement in CFR. Not required by law. Temporary Rule Document Date caption: Sets beginning and end of effective period of rule Temporary CFR Amendment Action caption: Refers to this temporary rule as a "Temporary Deviation" Deviation is set out in preamble and Dates caption. No amendment to CFR Final Rule Clarification Action caption identifies document as: "Final Rule Clarification" Agency clarifies issues discussed in the preamble of a final rule in response to questions from a state agency Final Rule Correction / Delay of Effective Date Action caption Dates caption contains key information on delayed effective date of rule Specific correction instructions All FR documents specify date and time of filing at OFR What documents are in the Notices section of the FR ? Documents describing official actions and functions that:
Examples:
What is the format for Notices ? Standardized preamble format is not required. Headings:
Captions
Notice Document Beginning of Notice Section Does not use standard Preamble format Uses standard Preamble format What Presidential Documents are published in the Federal Register ? Executive Orders: must be published in FR Proclamations: must be published in FR Administrative Orders & Miscellaneous Documents: publication in FR optional Executive Orders Directed at Executive agencies to manage operations President has constitutional authority to issue E.O.s as
Numbered consecutively as received by OFR Reprinted annually in 3 CFR, not codified Original of Executive Order Typewritten manuscript Original signature Executive Order Published in FR Sequential number assigned to this E. O. This E. O. amends a prior E. O. Changes are not integrated in the CFR By law, E. O. s are compiled, not codified Proclamations Two types:
Numbered consecutively as received by OFR
Original of Ceremonial Proclamation Printed on parchment style paper Original signature Proclamation Published in FR Sequential number assigned to this Proclamation Cite to title 3 of the CFR for annual compilation Administrative Orders and Miscellaneous Documents Various documents are published in the FR at the direction of the President:
For a comprehensive record of Presidential statements and directives, consult:
Federal Register Correction section OFR or GPO typographical and clerical errors are corrected by identifying the document by its headings, document category, FR document number, page number, and publication date. We set out specific information necessary to correct error based on text of signed original. Agencies correct their errors by publishing a signed original in the appropriate category. What are Separate Parts ? "Separate" parts are placed at the end of the daily Federal Register issue
Agencies request separate parts for high profile documents. Can be used to group related Final Rules, Proposed Rules and Notices together
OFR places late arriving documents, such as Presidential documents in separate parts for production purposes Daily Federal Register Research Tools and Finding Aids Table of Contents CFR Parts Affected in this Issue Reader Aids Researching Information In today's Federal Register In previous Federal Registers How can I find information in today's Federal Register ? These research tools are available in both the online and printed editions.
Federal Register Table of Contents Documents are listed by agency name in alphabetical order Cross-references direct you from cabinet departments to subordinate agencies Each agency document is arranged by category:
Presidential Documents are arranged as follows:
How is the Federal Register Table of Contents arranged ? Documents listed by agency in alphabetical order Cross-references from cabinet departments to sub-agencies Documents arranged by category:
What information can I find in Contents entries ? Each document has a brief description of subject matter Page Numbers show the span of pages from beginning to end A list of any "Separate Parts" in the issue appears at the end of the Table of Contents CFR Parts Affected in this Issue Located in the front of the printed edition, after the Table of Contents Lists CFR titles and parts affected in an issue Indicates whether the documents affecting CFR parts are rules or proposed rules Lists the number designations of E.O.s, Proclamations, or other Presidential documents published in this issue Cites the page numbers where relevant documents begin Reader Aids Located in the back of each daily FR issue Contain information on recent FR activity and new laws Include:
CFR Parts Affected During (the current month) Cumulative table published at the end of each FR issue in Reader Aids Lists documents in numerical order by CFR title and part You can quickly determine:
FR Pages and Dates (the current month) Cumulative table of page spans and dates appears in each day's FR during the current month at the end of the issue in Readers Aids Page spans are on the left side of the table with corresponding dates of publication on the right side Use the date table with entries from the CFR Parts Affected During (the current month) to find the date a document was published in FR Reminders Rules Going Into Effect (the current day) reminds you of rule documents that become effective on the current day, comprising:
Comments Due Next Week reminds you of previously published proposed rule documents that have comment deadlines the following week List of Public Laws & PENS Appears at the end of each issue in Reader Aids Identifies new Public Laws by:
PENS subscription information (Public Laws Electronic Notification Service).
How can I find documents in past Federal Register issues? Daily Federal Register (print edition)
Federal Register Index (print edition)
LSA (List of CFR Sections Affected)
Search the Federal Register Online
The CFR -- Organization & Contents What is the Code of Federal Regulations ? The CFR contains Federal rules that have:
Rules are always published first in the FR as amendments to the CFR The CFR is published in a set of about 200 volumes
How is the CFR organized ? Federal regulations are organized into:
Each title is completely revised and reissued once each year on a staggered schedule.
What is the CFR numbering system ? The CFR has a uniform numbering system
The section is the basic unit of the CFR Cite the CFR by title and section: 12 CFR 303.1 Text is divided into descending levels of units CFR Structure The following table illustrates the CFR numbering system: Title: 12: Broad subject area of regulations Chapter: III: Rules of individual agency Part: 303: Rules on a single program or function Section: 303.1: One provision of program/function rules Paragraph: 303.1(a): Detailed, specific requirements Paragraph Levels Sections may contain up to 6 levels of paragraphs. We strongly recommend agencies use no more than 3 levels. Paragraph Designations Cite paragraph as Level 1: (a), (b), (c), etc. § 303.1(a) Level 2: (1), (2), (3), etc. § 303.1(a)(1) Level 3: (i), (ii), (iii), etc. § 303.1(a)(1)(i) Level 4: (A), (B), (C), etc. § 303.1(a)(1)(i)(A) Level 5: (1), (2), (3), etc. § 303.1(a)(1)(i)(A)(1) Level 6: (i), (ii), (iii), etc. § 303.1(a)(1)(i)(A)(1)(i) How are rules codified in the CFR ? The Rulemaking Process from Start to Finish The following discussion and examples track a rule from the grant of authority in law to the proposed rule, the final rule, and codification in the CFR Public Law Federal Register NPRM Federal Register RULE Code of Federal Regulations What Triggers Rulemaking ? Legislation, Congressional hearings/reports Executive orders and OMB Circulars Court Orders Agencies act on own initiative to carry out mission Petitions for Rulemaking and informal requests from affected parties Federal Advisory Committee Recommendations Emergency situations, technological developments Political Factors Authorization in Public Law Rulemaking usually begins with Congressional action. The next example shows a grant of rulemaking authority:
Rulemaking Instructions in the Law FDA must issue regulations to implement the law.
Proposed Rulemaking The APA requires agencies to give the public the opportunity to comment by submitting:
The time needed to issue an NPRM varies
In the next example:
Final Rulemaking It is not unusual for more than a year to pass between proposed and final rules.
The preamble of a final rule typically contains:
CFR Codification In the next example:
Part Level Table of Contents, Authority Citations, and Source Notes The next example shows:
CFR Text, Section Level Source Notes, and Authority Citations In the next example:
CFR Research Tools Tables of Contents Incorporation by Reference Tables Table of CFR Titles and Chapters Alphabetical List of Agencies Appearing in the CFR Redesignation Tables List of CFR Sections Affected What research tools are in each printed volume of the CFR ? At the front of each CFR volume, look for:
At the back of each CFR volume, look for:
Table of Contents to a Subtitle Table of Contents shows page numbers for the beginning of each part Part Level Table of Contents Table of Contents lists the sections in the part and subparts Material Approved for Incorporation By Reference The incorporation by reference (IBR) table directs you to regulatory material not published in the FR & CFR IBR material has the force of law as though it were published in full text the FR & CFR Congress authorized IBR to enforce voluntary standards already used in science & industry
Under the FOIA, the Director of the Federal Register must approve IBR to give it force and effect of law
Table of CFR Titles and Chapters A list of all CFR titles, subtitles, chapters, and part spans in numerical order -- titles 1 to 50 Includes the names of agencies assigned to CFR chapters\ A more detailed list is located in the CFR Index and Finding Aids, a separate publication Alphabetical List of Agencies Appearing in the CFR If you don't know an agency's name or location in the CFR, use this table to find:
Redesignation Tables A Redesignation Table helps you find the new location of parts and sections of regulations An agency publishes this table when it has done extensive reorganization and renumbering The table appears in the preamble of the rule document and is then included as a research tool in the back of the CFR List of CFR Sections Affected (in a specific CFR volume) This list helps you track amendments in each CFR volume since 1986 by year and FR page number Lists the type of amendment and the text affected down to the paragraph level For years before 1986, use the seven separate volumes of the List of CFR Sections Affected A cumulative, monthly LSA is also published separately Online Research How can I do online research in the Federal Register ? Search the FR for documents in all issues from 1994 to present, at:
Browse the FR table of contents using the hyperlinks to retrieve documents in today's issue, or in any issue from 1994 to present, at:
How can I do online research in the CFR ? Visit Code of Federal Regulations and follow the links to:
How can I be sure my CFR Research is up to date? Check the "LSA" (List of CFR Sections Affected), to:
What other information on Federal Register publications and services is on the Web ? To learn more about Office of the Federal Register publications and services, go to the National Archives and Records Administration's Federal Register home page: http://www.archives.gov/federal-register/ How can the public participate in rulemaking? Citizens have a right to express their views before an agency adopts final rules. Each Federal Register document tells you:
Writing effective comments?
Customer Service Information Phone numbers:
Internet addresses:
Email addresses:
How to Enroll in a Federal Register Workshop? Call the Office of the Federal Register at 202 523-4534 to register for workshops. We offer workshops in Washington, DC, and in selected cities across the country. Look for announcements of dates and locations of future workshops:
Which publication are all the official rules and notices of US agencies written down in?The Federal Register is published every business day by the National Archives and Records Administration ( NARA ). It contains federal agency regulations; proposed rules and notices; and executive orders, proclamations, and other presidential documents.
Which of the following was the first federal regulatory agency?The ICC, the first regulatory commission in U.S. history, was established as a result of mounting public indignation in the 1880s against railroad malpractices and abuses.
Which of the following is a part of the federal bureaucracy?The federal bureaucracy consists of the Cabinet departments, independent agencies, government corporations, and independent regulatory commissions.
When regulatory agencies act in the interest of the industries they are supposed to be regulating rather than in the this is known as?Regulatory capture is an economic theory that regulatory agencies may come to be dominated by the interests they regulate and not by the public interest. The result is that the agency instead acts in ways that benefit the interests it is supposed to be regulating.
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