The Informal Rulemaking Process
View graphic version
Slide 1
Neil Eisner
Assistant General Counsel for Regulation and
Enforcement
U.S. Department of Transportation
Slide 2
Why is a Rule Issued
- Binding Requirements
- Interpretations
- Policy Statements
- Management and procedural matters
Slide 3
Title 13—Business Credit and Assistance
Slide 4
Identification of a Need for a Rule
- Statutory Mandate/ Authority
- General
- Specific
- Conflicting
- Vague or Problematic
- Agency identification of a problem
- Inspector reports/agency oversight
- Accidents, environmental problems, or other problems
- Enforcement issues/problems
- Requests for interpretation/exemption Etc.
- Petitions from the public
- Changes in state of the art
- Policy initiatives
- NTSB, GAO, IG, or similar recommendations Etc.
- Role of risk assessments, cost-benefit analyses, etc.
Slide 5
Basic APA Requirement for
Informal Rulemaking
- NPRM
- Public Comments
- Final rule (with basis and purpose)
- Exceptions
Slide 6
Notice of Proposed Rulemaking
- Contents:
- Preamble
- Rule text optional
- Comment period
Slide 7
Preamble
- Explains need and authority for rule
- Explains rule text of subjects and issues involved
- May ask questions
- Generally summarizes or provides various analyses
Slide 8
Final Rule
- Preamble
- Response to public comment
- Statement of basis and purpose
- Rule Text
Slide 9
Extras
- ANPRM
- SNPRM
- IFR
- Request for comments
- Hearings
- Second round of comments
- Reply comments
- Negotiated rulemaking
Slide 10
Some Other Requirements
Affecting the Informal
Rulemaking Process
Slide 11
Paperwork Reduction Act
Requires agencies to:
- Analyze information collection burdens
- Provide opportunity for notice and comment
- Obtain OMB approval
- Prepare an Information Collection Budget
- Attain Reduction in ICB
- Allow electronic maintenance, submission and disclosure, and electronic signature, when practicable, by October 2003
Slide 12
Quality Objectivity, Utility, and Integrity of Information (FY 2000 and General Government Appropriations Act)
Requires agencies to issue guidelines for “ensuring and maximizing the quality, objectivity, utility, and integrity of information” disseminated by the agency and to establish administrative mechanisms for affected persons to seek corrections
Slide 13
Environmental Requirements
Various statutes, regulations, executive orders, and agency orders, including, the National Environmental Policy Act, impose requirements for considering environmental impacts of agency decisions
Slide 14
Regulatory Planning and
Review (EO 12866)
- Requires of agencies:
- OMB review of significant regulations
- Assessment of economically significant regulations
Slide 15
Federalism (EO 13132)
Requires agencies to consult with state
and local governments and consider the
impacts of their rulemakings on them when the actions have federalism implications
Slide 16
Indian Tribal Governments
(EO 13175)
Requires agencies to consult with Indian tribal governments and consider the impact of their rulemakings on them when the actions have tribal implications
Slide 17
Peer Review (OMB Bulletin)
Requires agencies to conduct peer reviews of all influential scientific information that the agency intends to disseminate to the public
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