Title 5 - Government Organization and Employees


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     5 USC CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS      01/05/99
 
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    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
    .
 
-HEAD-
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
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    Sec.
    601. Definitions.
    602. Regulatory agenda.
    603. Initial regulatory flexibility analysis.
    604. Final regulatory flexibility analysis.
    605. Avoidance of duplicative or unnecessary analyses.
    606. Effect on other law.
    607. Preparation of analyses.
    608. Procedure for waiver or delay of completion.
    609. Procedures for gathering comments.
    610. Periodic review of rules.
    611. Judicial review.
    612. Reports and intervention rights.
 
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                   CHAPTER REFERRED TO IN OTHER SECTIONS
      This chapter is referred to in title 16 sections 1379, 1855;
    title 42 sections 1302, 7661f.
 
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     5 USC Sec. 601                                              01/05/99
 
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    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 601. Definitions
 
-STATUTE-
      For purposes of this chapter -
        (1) the term ''agency'' means an agency as defined in section
      551(1) of this title;
        (2) the term ''rule'' means any rule for which the agency
      publishes a general notice of proposed rulemaking pursuant to
      section 553(b) of this title, or any other law, including any
      rule of general applicability governing Federal grants to State
      and local governments for which the agency provides an
      opportunity for notice and public comment, except that the term
      ''rule'' does not include a rule of particular applicability
      relating to rates, wages, corporate or financial structures or
      reorganizations thereof, prices, facilities, appliances,
      services, or allowances therefor or to valuations, costs or
      accounting, or practices relating to such rates, wages,
      structures, prices, appliances, services, or allowances;
        (3) the term ''small business'' has the same meaning as the
      term ''small business concern'' under section 3 of the Small
      Business Act, unless an agency, after consultation with the
      Office of Advocacy of the Small Business Administration and after
      opportunity for public comment, establishes one or more
      definitions of such term which are appropriate to the activities
      of the agency and publishes such definition(s) in the Federal
      Register;
        (4) the term ''small organization'' means any not-for-profit
      enterprise which is independently owned and operated and is not
      dominant in its field, unless an agency establishes, after
      opportunity for public comment, one or more definitions of such
      term which are appropriate to the activities of the agency and
      publishes such definition(s) in the Federal Register;
        (5) the term ''small governmental jurisdiction'' means
      governments of cities, counties, towns, townships, villages,
      school districts, or special districts, with a population of less
      than fifty thousand, unless an agency establishes, after
      opportunity for public comment, one or more definitions of such
      term which are appropriate to the activities of the agency and
      which are based on such factors as location in rural or sparsely
      populated areas or limited revenues due to the population of such
      jurisdiction, and publishes such definition(s) in the Federal
      Register;
        (6) the term ''small entity'' shall have the same meaning as
      the terms ''small business'', ''small organization'' and ''small
      governmental jurisdiction'' defined in paragraphs (3), (4) and
      (5) of this section; and
        (7) the term ''collection of information'' -
          (A) means the obtaining, causing to be obtained, soliciting,
        or requiring the disclosure to third parties or the public, of
        facts or opinions by or for an agency, regardless of form or
        format, calling for either -
            (i) answers to identical questions posed to, or identical
          reporting or recordkeeping requirements imposed on, 10 or
          more persons, other than agencies, instrumentalities, or
          employees of the United States; or
            (ii) answers to questions posed to agencies,
          instrumentalities, or employees of the United States which
          are to be used for general statistical purposes; and
          (B) shall not include a collection of information described
        under section 3518(c)(1) of title 44, United States Code.
        (8) Recordkeeping requirement. - The term ''recordkeeping
      requirement'' means a requirement imposed by an agency on persons
      to maintain specified records.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1165;
    amended Pub. L. 104-121, title II, Sec. 241(a)(2), Mar. 29, 1996,
    110 Stat. 864.)
 
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                             REFERENCES IN TEXT
      Section 3 of the Small Business Act, referred to in par. (3), is
    classified to section 632 of Title 15, Commerce and Trade.
 
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                                 AMENDMENTS
      1996 - Pars. (7), (8). Pub. L. 104-121 added pars. (7) and (8).
                      EFFECTIVE DATE OF 1996 AMENDMENT
      Section 245 of title II of Pub. L. 104-121 provided that: ''This
    subtitle (subtitle D (Sec. 241-245) of title II of Pub. L. 104-121,
    amending this section and sections 603 to 605, 609, 611, and 612 of
    this title and enacting provisions set out as a note under section
    609 of this title) shall become effective on the expiration of 90
    days after the date of enactment of this subtitle (Mar. 29, 1996),
    except that such amendments shall not apply to interpretative rules
    for which a notice of proposed rulemaking was published prior to
    the date of enactment.''
                               EFFECTIVE DATE
      Section 4 of Pub. L. 96-354 provided that: ''The provisions of
    this Act (enacting this chapter) shall take effect January 1, 1981,
    except that the requirements of sections 603 and 604 of title 5,
    United States Code (as added by section 3 of this Act) shall apply
    only to rules for which a notice of proposed rulemaking is issued
    on or after January 1, 1981.''
                       SHORT TITLE OF 1996 AMENDMENT
      Section 1 of Pub. L. 104-121 provided that: ''This Act (enacting
    sections 801 to 808 of this title, section 657 of Title 15,
    Commerce and Trade, and sections 1320b-15 and 1383e of Title 42,
    The Public Health and Welfare, amending this section and sections
    504, 603 to 605, 609, 611, and 612 of this title, sections 665e and
    901 of Title 2, The Congress, section 648 of Title 15, section 2412
    of Title 28, Judiciary and Judicial Procedure, section 3101 of
    Title 31, Money and Finance, and sections 401, 402, 403, 405, 422,
    423, 425, 902, 903, 1382, 1382c, 1383, and 1383c of Title 42,
    enacting provisions set out as notes under this section and
    sections 504, 609, and 801 of this title and sections 401, 402,
    403, 405, 902, 1305, 1320b-15, and 1382 of Title 42, amending
    provisions set out as a note under section 631 of Title 15, and
    repealing provisions set out as a note under section 425 of Title
    42) may be cited as the 'Contract with America Advancement Act of
    1996'.''
                                SHORT TITLE
      Section 1 of Pub. L. 96-354 provided: ''That this Act (enacting
    this chapter) may be cited as the 'Regulatory Flexibility Act'.''
         ASSESSMENT OF FEDERAL REGULATIONS AND POLICIES ON FAMILIES
      Pub. L. 105-277, div.  A, Sec. 101(h) (title VI, Sec. 654), Oct.
    21, 1998, 112 Stat. 2681-480, 2681-528, provided that:
      ''(a) Purposes. - The purposes of this section are to -
        ''(1) require agencies to assess the impact of proposed agency
      actions on family well-being; and
        ''(2) improve the management of executive branch agencies.
      ''(b) Definitions. - In this section -
        ''(1) the term 'agency' has the meaning given the term
      'Executive agency' by section 105 of title 5, United States Code,
      except such term does not include the General Accounting Office;
      and
        ''(2) the term 'family' means -
          ''(A) a group of individuals related by blood, marriage,
        adoption, or other legal custody who live together as a single
        household; and
          ''(B) any individual who is not a member of such group, but
        who is related by blood, marriage, or adoption to a member of
        such group, and over half of whose support in a calendar year
        is received from such group.
      ''(c) Family Policymaking Assessment. - Before implementing
    policies and regulations that may affect family well-being, each
    agency shall assess such actions with respect to whether -
        ''(1) the action strengthens or erodes the stability or safety
      of the family and, particularly, the marital commitment;
        ''(2) the action strengthens or erodes the authority and rights
      of parents in the education, nurture, and supervision of their
      children;
        ''(3) the action helps the family perform its functions, or
      substitutes governmental activity for the function;
        ''(4) the action increases or decreases disposable income or
      poverty of families and children;
        ''(5) the proposed benefits of the action justify the financial
      impact on the family;
        ''(6) the action may be carried out by State or local
      government or by the family; and
        ''(7) the action establishes an implicit or explicit policy
      concerning the relationship between the behavior and personal
      responsibility of youth, and the norms of society.
      ''(d) Governmentwide Family Policy Coordination and Review. -
        ''(1) Certification and rationale. - With respect to each
      proposed policy or regulation that may affect family well-being,
      the head of each agency shall -
          ''(A) submit a written certification to the Director of the
        Office of Management and Budget and to Congress that such
        policy or regulation has been assessed in accordance with this
        section; and
          ''(B) provide an adequate rationale for implementation of
        each policy or regulation that may negatively affect family
        well-being.
        ''(2) Office of management and budget. - The Director of the
      Office of Management and Budget shall -
          ''(A) ensure that policies and regulations proposed by
        agencies are implemented consistent with this section; and
          ''(B) compile, index, and submit annually to the Congress the
        written certifications received pursuant to paragraph (1)(A).
        ''(3) Office of policy development. - The Office of Policy
      Development shall -
          ''(A) assess proposed policies and regulations in accordance
        with this section;
          ''(B) provide evaluations of policies and regulations that
        may affect family well-being to the Director of the Office of
        Management and Budget; and
          ''(C) advise the President on policy and regulatory actions
        that may be taken to strengthen the institutions of marriage
        and family in the United States.
      ''(e) Assessments Upon Request by Members of Congress. - Upon
    request by a Member of Congress relating to a proposed policy or
    regulation, an agency shall conduct an assessment in accordance
    with subsection (c), and shall provide a certification and
    rationale in accordance with subsection (d).
      ''(f) Judicial Review. - This section is not intended to create
    any right or benefit, substantive or procedural, enforceable at law
    by a party against the United States, its agencies, its officers,
    or any person.''
                     SMALL BUSINESS REGULATORY FAIRNESS
      Sections 201 to 224 of title II of Pub. L. 104-121 provided that:
    ''SEC. 201. SHORT TITLE.
      ''This title (enacting sections 801 to 808 of this title and
    section 657 of Title 15, Commerce and Trade, amending this section,
    sections 504, 603 to 605, 609, 611, and 612 of this title, section
    648 of Title 15, and section 2412 of Title 28, Judiciary and
    Judicial Procedure, enacting provisions set out as notes under this
    section and sections 504, 609, and 801 of this title, and amending
    provisions set out as a note under section 631 of Title 15) may be
    cited as the 'Small Business Regulatory Enforcement Fairness Act of
    1996'.
    ''SEC. 202. FINDINGS.
      ''Congress finds that -
        ''(1) a vibrant and growing small business sector is critical
      to creating jobs in a dynamic economy;
        ''(2) small businesses bear a disproportionate share of
      regulatory costs and burdens;
        ''(3) fundamental changes that are needed in the regulatory and
      enforcement culture of Federal agencies to make agencies more
      responsive to small business can be made without compromising the
      statutory missions of the agencies;
        ''(4) three of the top recommendations of the 1995 White House
      Conference on Small Business involve reforms to the way
      government regulations are developed and enforced, and reductions
      in government paperwork requirements;
        ''(5) the requirements of chapter 6 of title 5, United States
      Code, have too often been ignored by government agencies,
      resulting in greater regulatory burdens on small entities than
      necessitated by statute; and
        ''(6) small entities should be given the opportunity to seek
      judicial review of agency actions required by chapter 6 of title
      5, United States Code.
    ''SEC. 203. PURPOSES.
      ''The purposes of this title are -
        ''(1) to implement certain recommendations of the 1995 White
      House Conference on Small Business regarding the development and
      enforcement of Federal regulations;
        ''(2) to provide for judicial review of chapter 6 of title 5,
      United States Code;
        ''(3) to encourage the effective participation of small
      businesses in the Federal regulatory process;
        ''(4) to simplify the language of Federal regulations affecting
      small businesses;
        ''(5) to develop more accessible sources of information on
      regulatory and reporting requirements for small businesses;
        ''(6) to create a more cooperative regulatory environment among
      agencies and small businesses that is less punitive and more
      solution-oriented; and
        ''(7) to make Federal regulators more accountable for their
      enforcement actions by providing small entities with a meaningful
      opportunity for redress of excessive enforcement activities.
            ''SUBTITLE A - REGULATORY COMPLIANCE SIMPLIFICATION
    ''SEC. 211. DEFINITIONS.
      ''For purposes of this subtitle -
        ''(1) the terms 'rule' and 'small entity' have the same
      meanings as in section 601 of title 5, United States Code;
        ''(2) the term 'agency' has the same meaning as in section 551
      of title 5, United States Code; and
        ''(3) the term 'small entity compliance guide' means a document
      designated as such by an agency.
    ''SEC. 212. COMPLIANCE GUIDES.
      ''(a) Compliance Guide. - For each rule or group of related rules
    for which an agency is required to prepare a final regulatory
    flexibility analysis under section 604 of title 5, United States
    Code, the agency shall publish one or more guides to assist small
    entities in complying with the rule, and shall designate such
    publications as 'small entity compliance guides'.  The guides shall
    explain the actions a small entity is required to take to comply
    with a rule or group of rules.  The agency shall, in its sole
    discretion, taking into account the subject matter of the rule and
    the language of relevant statutes, ensure that the guide is written
    using sufficiently plain language likely to be understood by
    affected small entities.  Agencies may prepare separate guides
    covering groups or classes of similarly affected small entities,
    and may cooperate with associations of small entities to develop
    and distribute such guides.
      ''(b) Comprehensive Source of Information. - Agencies shall
    cooperate to make available to small entities through comprehensive
    sources of information, the small entity compliance guides and all
    other available information on statutory and regulatory
    requirements affecting small entities.
      ''(c) Limitation on Judicial Review. - An agency's small entity
    compliance guide shall not be subject to judicial review, except
    that in any civil or administrative action against a small entity
    for a violation occurring after the effective date of this section,
    the content of the small entity compliance guide may be considered
    as evidence of the reasonableness or appropriateness of any
    proposed fines, penalties or damages.
    ''SEC. 213. INFORMAL SMALL ENTITY GUIDANCE.
      ''(a) General. - Whenever appropriate in the interest of
    administering statutes and regulations within the jurisdiction of
    an agency which regulates small entities, it shall be the practice
    of the agency to answer inquiries by small entities concerning
    information on, and advice about, compliance with such statutes and
    regulations, interpreting and applying the law to specific sets of
    facts supplied by the small entity.  In any civil or administrative
    action against a small entity, guidance given by an agency applying
    the law to facts provided by the small entity may be considered as
    evidence of the reasonableness or appropriateness of any proposed
    fines, penalties or damages sought against such small entity.
      ''(b) Program. - Each agency regulating the activities of small
    entities shall establish a program for responding to such inquiries
    no later than 1 year after enactment of this section (Mar. 29,
    1996), utilizing existing functions and personnel of the agency to
    the extent practicable.
      ''(c) Reporting. - Each agency regulating the activities of small
    business shall report to the Committee on Small Business and
    Committee on Governmental Affairs of the Senate and the Committee
    on Small Business and Committee on the Judiciary of the House of
    Representatives no later than 2 years after the date of the
    enactment of this section on the scope of the agency's program, the
    number of small entities using the program, and the achievements of
    the program to assist small entity compliance with agency
    regulations.
    ''SEC. 214. SERVICES OF SMALL BUSINESS DEVELOPMENT CENTERS.
      ''(a) (Amended section 648 of Title 15, Commerce and Trade.)
      ''(b) Nothing in this Act (see Short Title of 1996 Amendment
    note, above) in any way affects or limits the ability of other
    technical assistance or extension programs to perform or continue
    to perform services related to compliance assistance.
    ''SEC. 215. COOPERATION ON GUIDANCE.
      ''Agencies may, to the extent resources are available and where
    appropriate, in cooperation with the States, develop guides that
    fully integrate requirements of both Federal and State regulations
    where regulations within an agency's area of interest at the
    Federal and State levels impact small entities.  Where regulations
    vary among the States, separate guides may be created for separate
    States in cooperation with State agencies.
    ''SEC. 216. EFFECTIVE DATE.
      ''This subtitle and the amendments made by this subtitle shall
    take effect on the expiration of 90 days after the date of
    enactment of this subtitle (Mar. 29, 1996).
               ''SUBTITLE B - REGULATORY ENFORCEMENT REFORMS
    ''SEC. 221. DEFINITIONS.
      ''For purposes of this subtitle -
        ''(1) the terms 'rule' and 'small entity' have the same
      meanings as in section 601 of title 5, United States Code;
        ''(2) the term 'agency' has the same meaning as in section 551
      of title 5, United States Code; and
        ''(3) the term 'small entity compliance guide' means a document
      designated as such by an agency.
    ''SEC. 222. SMALL BUSINESS AND AGRICULTURE ENFORCEMENT OMBUDSMAN.
      ''(Enacted section 657 of Title 15, Commerce and Trade.)
    ''SEC. 223. RIGHTS OF SMALL ENTITIES IN ENFORCEMENT ACTIONS.
      ''(a) In General. - Each agency regulating the activities of
    small entities shall establish a policy or program within 1 year of
    enactment of this section (Mar. 29, 1996) to provide for the
    reduction, and under appropriate circumstances for the waiver, of
    civil penalties for violations of a statutory or regulatory
    requirement by a small entity.  Under appropriate circumstances, an
    agency may consider ability to pay in determining penalty
    assessments on small entities.
      ''(b) Conditions and Exclusions. - Subject to the requirements or
    limitations of other statutes, policies or programs established
    under this section shall contain conditions or exclusions which may
    include, but shall not be limited to -
        ''(1) requiring the small entity to correct the violation
      within a reasonable correction period;
        ''(2) limiting the applicability to violations discovered
      through participation by the small entity in a compliance
      assistance or audit program operated or supported by the agency
      or a State;
        ''(3) excluding small entities that have been subject to
      multiple enforcement actions by the agency;
        ''(4) excluding violations involving willful or criminal
      conduct;
        ''(5) excluding violations that pose serious health, safety or
      environmental threats; and
        ''(6) requiring a good faith effort to comply with the law.
      ''(c) Reporting. - Agencies shall report to the Committee on
    Small Business and Committee on Governmental Affairs of the Senate
    and the Committee on Small Business and Committee on Judiciary of
    the House of Representatives no later than 2 years after the date
    of enactment of this section (Mar. 29, 1996) on the scope of their
    program or policy, the number of enforcement actions against small
    entities that qualified or failed to qualify for the program or
    policy, and the total amount of penalty reductions and waivers.
    ''SEC. 224. EFFECTIVE DATE.
      ''This subtitle and the amendments made by this subtitle shall
    take effect on the expiration of 90 days after the date of
    enactment of this subtitle (Mar. 29, 1996).''
                  EFFECTS OF DEREGULATION ON RURAL AMERICA
      Pub. L. 101-574, title III, Sec. 309, Nov. 15, 1990, 104 Stat.
    2831, provided that:
      ''(a) Study. - The Office of Technology Assessment shall conduct
    a study of the effects of deregulation on the economic vitality of
    rural areas.  Such study shall include, but not be limited to, a
    thorough analysis of the impact of deregulation on -
        ''(1) the number of loans made by financial institutions to
      small businesses located in rural areas, a change in the level of
      security interests required for such loans, and the cost of such
      loans to rural small businesses for creation and expansion;
        ''(2) airline service in cities and towns with populations of
      100,000 or less, including airline fare, the number of flights
      available, number of seats available, scheduling of flights,
      continuity of service, number of markets being served by large
      and small airlines, availability of nonstop service, availability
      of direct service, number of economic cancellations, number of
      flight delays, the types of airplanes used, and time delays;
        ''(3) the availability and costs of bus, rail and trucking
      transportation for businesses located in rural areas;
        ''(4) the availability and costs of state-of-the-art
      telecommunications services to small businesses located in rural
      areas, including voice telephone service, private (not
      multiparty) telephone service, reliable facsimile document and
      data transmission, competitive long distance carriers, cellular
      (mobile) telephone service, multifrequency tone signaling
      services such as touchtone services, custom-calling services
      (including three-way calling, call forwarding, and call waiting),
      voicemail services, and 911 emergency services with automatic
      number identification;
        ''(5) the availability and costs to rural schools, hospitals,
      and other public facilities, of sending and receiving audio and
      visual signals in cases where such ability will enhance the
      quality of services provided to rural residents and businesses;
      and
        ''(6) the availability and costs of services enumerated in
      paragraphs (1) through (5) in urban areas compared to rural
      areas.
      ''(b) Report. - Not later than 12 months after the date of
    enactment of this title (Nov. 15, 1990), the Office of Technology
    Assessment shall transmit to Congress a report on the results of
    the study conducted under subsection (a) together with its
    recommendations on how to address the problems facing small
    businesses in rural areas.''
             CONGRESSIONAL FINDINGS AND DECLARATION OF PURPOSE
      Section 2 of Pub. L. 96-354 provided that:
      ''(a) The Congress finds and declares that -
        ''(1) when adopting regulations to protect the health, safety
      and economic welfare of the Nation, Federal agencies should seek
      to achieve statutory goals as effectively and efficiently as
      possible without imposing unnecessary burdens on the public;
        ''(2) laws and regulations designed for application to large
      scale entities have been applied uniformly to small businesses,
      small organizations, and small governmental jurisdictions even
      though the problems that gave rise to government action may not
      have been caused by those smaller entities;
        ''(3) uniform Federal regulatory and reporting requirements
      have in numerous instances imposed unnecessary and
      disproportionately burdensome demands including legal, accounting
      and consulting costs upon small businesses, small organizations,
      and small governmental jurisdictions with limited resources;
        ''(4) the failure to recognize differences in the scale and
      resources of regulated entities has in numerous instances
      adversely affected competition in the marketplace, discouraged
      innovation and restricted improvements in productivity;
        ''(5) unnecessary regulations create entry barriers in many
      industries and discourage potential entrepreneurs from
      introducing beneficial products and processes;
        ''(6) the practice of treating all regulated businesses,
      organizations, and governmental jurisdictions as equivalent may
      lead to inefficient use of regulatory agency resources,
      enforcement problems, and, in some cases, to actions inconsistent
      with the legislative intent of health, safety, environmental and
      economic welfare legislation;
        ''(7) alternative regulatory approaches which do not conflict
      with the stated objectives of applicable statutes may be
      available which minimize the significant economic impact of rules
      on small businesses, small organizations, and small governmental
      jurisdictions;
        ''(8) the process by which Federal regulations are developed
      and adopted should be reformed to require agencies to solicit the
      ideas and comments of small businesses, small organizations, and
      small governmental jurisdictions to examine the impact of
      proposed and existing rules on such entities, and to review the
      continued need for existing rules.
      ''(b) It is the purpose of this Act (enacting this chapter) to
    establish as a principle of regulatory issuance that agencies shall
    endeavor, consistent with the objectives of the rule and of
    applicable statutes, to fit regulatory and informational
    requirements to the scale of the businesses, organizations, and
    governmental jurisdictions subject to regulation.  To achieve this
    principle, agencies are required to solicit and consider flexible
    regulatory proposals and to explain the rationale for their actions
    to assure that such proposals are given serious consideration.''
 
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                         EXECUTIVE ORDER NO. 12291
      Ex. Ord. No. 12291, Feb. 17, 1981, 46 F.R. 13193, which
    established requirements for agencies to follow in promulgating
    regulations, reviewing existing regulations, and developing
    legislative proposals concerning regulation, was revoked by Ex.
    Ord. No. 12866, Sec. 11, Sept. 30, 1993, 58 F.R. 51735, set out
    below.
                         EXECUTIVE ORDER NO. 12498
      Ex. Ord. No. 12498, Jan. 4, 1985, 50 F.R. 1036, which established
    a regulatory planning process by which to develop and publish a
    regulatory program for each year, was revoked by Ex. Ord. No.
    12866, Sec. 11, Sept. 30, 1993, 58 F.R. 51735, set out below.
                         EXECUTIVE ORDER NO. 12606
      Ex. Ord. No. 12606, Sept. 2, 1987, 52 F.R. 34188, which provided
    criteria for Executive departments and agencies to follow in making
    policies and regulations to ensure consideration of effect of those
    policies and regulations on autonomy and rights of the family, was
    revoked by Ex. Ord. No. 13045, Sec. 7, Apr. 21, 1997, 62 F.R.
    19888, set out as a note under section 4321 of Title 42, The Public
    Health and Welfare.
    EX. ORD. NO. 12612. FEDERALISM CONSIDERATIONS IN POLICY FORMULATION
                             AND IMPLEMENTATION
      Ex. Ord. No. 12612, Oct. 26, 1987, 52 F.R. 41685, provided:
      By the authority vested in me as President by the Constitution
    and laws of the United States of America, and in order to restore
    the division of governmental responsibilities between the national
    government and the States that was intended by the Framers of the
    Constitution and to ensure that the principles of federalism
    established by the Framers guide the Executive departments and
    agencies in the formulation and implementation of policies, it is
    hereby ordered as follows:
      Section 1. Definitions. For purposes of this Order:
      (a) ''Policies that have federalism implications'' refers to
    regulations, legislative comments or proposed legislation, and
    other policy statements or actions that have substantial direct
    effects on the States, on the relationship between the national
    government and the States, or on the distribution of power and
    responsibilities among the various levels of government.
      (b) ''State'' or ''States'' refer to the States of the United
    States of America, individually or collectively, and, where
    relevant, to State governments, including units of local government
    and other political subdivisions established by the States.
      Sec. 2. Fundamental Federalism Principles. In formulating and
    implementing policies that have federalism implications, Executive
    departments and agencies shall be guided by the following
    fundamental federalism principles:
      (a) Federalism is rooted in the knowledge that our political
    liberties are best assured by limiting the size and scope of the
    national government.
      (b) The people of the States created the national government when
    they delegated to it those enumerated governmental powers relating
    to matters beyond the competence of the individual States. All
    other sovereign powers, save those expressly prohibited the States
    by the Constitution, are reserved to the States or to the people.
      (c) The constitutional relationship among sovereign governments,
    State and national, is formalized in and protected by the Tenth
    Amendment to the Constitution.
      (d) The people of the States are free, subject only to
    restrictions in the Constitution itself or in constitutionally
    authorized Acts of Congress, to define the moral, political, and
    legal character of their lives.
      (e) In most areas of governmental concern, the States uniquely
    possess the constitutional authority, the resources, and the
    competence to discern the sentiments of the people and to govern
    accordingly.  In Thomas Jefferson's words, the States are ''the
    most competent administrations for our domestic concerns and the
    surest bulwarks against antirepublican tendencies.''
      (f) The nature of our constitutional system encourages a healthy
    diversity in the public policies adopted by the people of the
    several States according to their own conditions, needs, and
    desires.  In the search for enlightened public policy, individual
    States and communities are free to experiment with a variety of
    approaches to public issues.
      (g) Acts of the national government - whether legislative,
    executive, or judicial in nature - that exceed the enumerated
    powers of that government under the Constitution violate the
    principle of federalism established by the Framers.
      (h) Policies of the national government should recognize the
    responsibility of - and should encourage opportunities for -
    individuals, families, neighborhoods, local governments, and
    private associations to achieve their personal, social, and
    economic objectives through cooperative effort.
      (i) In the absence of clear constitutional or statutory
    authority, the presumption of sovereignty should rest with the
    individual States. Uncertainties regarding the legitimate authority
    of the national government should be resolved against regulation at
    the national level.
      Sec. 3. Federalism Policymaking Criteria. In addition to the
    fundamental federalism principles set forth in section 2, Executive
    departments and agencies shall adhere, to the extent permitted by
    law, to the following criteria when formulating and implementing
    policies that have federalism implications:
      (a) There should be strict adherence to constitutional
    principles.  Executive departments and agencies should closely
    examine the constitutional and statutory authority supporting any
    Federal action that would limit the policymaking discretion of the
    States, and should carefully assess the necessity for such action.
    To the extent practicable, the States should be consulted before
    any such action is implemented.  Executive Order No. 12372
    (''Intergovernmental Review of Federal Programs'') (31 U.S.C. 6506
    note) remains in effect for the programs and activities to which it
    is applicable.
      (b) Federal action limiting the policymaking discretion of the
    States should be taken only where constitutional authority for the
    action is clear and certain and the national activity is
    necessitated by the presence of a problem of national scope.  For
    the purposes of this Order:
      (1) It is important to recognize the distinction between problems
    of national scope (which may justify Federal action) and problems
    that are merely common to the States (which will not justify
    Federal action because individual States, acting individually or
    together, can effectively deal with them).
      (2) Constitutional authority for Federal action is clear and
    certain only when authority for the action may be found in a
    specific provision of the Constitution, there is no provision in
    the Constitution prohibiting Federal action, and the action does
    not encroach upon authority reserved to the States.
      (c) With respect to national policies administered by the States,
    the national government should grant the States the maximum
    administrative discretion possible.  Intrusive, Federal oversight
    of State administration is neither necessary nor desirable.
      (d) When undertaking to formulate and implement policies that
    have federalism implications, Executive departments and agencies
    shall:
      (1) Encourage States to develop their own policies to achieve
    program objectives and to work with appropriate officials in other
    States.
      (2) Refrain, to the maximum extent possible, from establishing
    uniform, national standards for programs and, when possible, defer
    to the States to establish standards.
      (3) When national standards are required, consult with
    appropriate officials and organizations representing the States in
    developing those standards.
      Sec. 4. Special Requirements for Preemption. (a) To the extent
    permitted by law, Executive departments and agencies shall
    construe, in regulations and otherwise, a Federal statute to
    preempt State law only when the statute contains an express
    preemption provision or there is some other firm and palpable
    evidence compelling the conclusion that the Congress intended
    preemption of State law, or when the exercise of State authority
    directly conflicts with the exercise of Federal authority under the
    Federal statute.
      (b) Where a Federal statute does not preempt State law (as
    addressed in subsection (a) of this section), Executive departments
    and agencies shall construe any authorization in the statute for
    the issuance of regulations as authorizing preemption of State law
    by rule-making only when the statute expressly authorizes issuance
    of preemptive regulations or there is some other firm and palpable
    evidence compelling the conclusion that the Congress intended to
    delegate to the department or agency the authority to issue
    regulations preempting State law.
      (c) Any regulatory preemption of State law shall be restricted to
    the minimum level necessary to achieve the objectives of the
    statute pursuant to which the regulations are promulgated.
      (d) As soon as an Executive department or agency foresees the
    possibility of a conflict between State law and Federally protected
    interests within its area of regulatory responsibility, the
    department or agency shall consult, to the extent practicable, with
    appropriate officials and organizations representing the States in
    an effort to avoid such a conflict.
      (e) When an Executive department or agency proposes to act
    through adjudication or rule-making to preempt State law, the
    department or agency shall provide all affected States notice and
    an opportunity for appropriate participation in the proceedings.
      Sec. 5. Special Requirements for Legislative Proposals. Executive
    departments and agencies shall not submit to the Congress
    legislation that would:
      (a) Directly regulate the States in ways that would interfere
    with functions essential to the States' separate and independent
    existence or operate to directly displace the States' freedom to
    structure integral operations in areas of traditional governmental
    functions;
      (b) Attach to Federal grants conditions that are not directly
    related to the purpose of the grant; or
      (c) Preempt State law, unless preemption is consistent with the
    fundamental federalism principles set forth in section 2, and
    unless a clearly legitimate national purpose, consistent with the
    federalism policymaking criteria set forth in section 3, cannot
    otherwise be met.
      Sec. 6. Agency Implementation. (a) The head of each Executive
    department and agency shall designate an official to be responsible
    for ensuring the implementation of this Order.
      (b) In addition to whatever other actions the designated official
    may take to ensure implementation of this Order, the designated
    official shall determine which proposed policies have sufficient
    federalism implications to warrant the preparation of a Federalism
    Assessment. With respect to each such policy for which an
    affirmative determination is made, a Federalism Assessment, as
    described in subsection (c) of this section, shall be prepared.
    The department or agency head shall consider any such Assessment in
    all decisions involved in promulgating and implementing the policy.
      (c) Each Federalism Assessment shall accompany any submission
    concerning the policy that is made to the Office of Management and
    Budget pursuant to Executive Order No. 12291 (formerly set out
    above) or OMB Circular No. A-19, and shall:
      (1) Contain the designated official's certification that the
    policy has been assessed in light of the principles, criteria, and
    requirements stated in sections 2 through 5 of this Order;
      (2) Identify any provision or element of the policy that is
    inconsistent with the principles, criteria, and requirements stated
    in sections 2 through 5 of this Order;
      (3) Identify the extent to which the policy imposes additional
    costs or burdens on the States, including the likely source of
    funding for the States and the ability of the States to fulfill the
    purposes of the policy; and
      (4) Identify the extent to which the policy would affect the
    States' ability to discharge traditional State governmental
    functions, or other aspects of State sovereignty.
      Sec. 7. Government-wide Federalism Coordination and Review. (a)
    In implementing Executive Order Nos. 12291 (formerly set out above)
    and 12498 (formerly set out above) and OMB Circular No. A-19, the
    Office of Management and Budget, to the extent permitted by law and
    consistent with the provisions of those authorities, shall take
    action to ensure that the policies of the Executive departments and
    agencies are consistent with the principles, criteria, and
    requirements stated in sections 2 through 5 of this Order.
      (b) In submissions to the Office of Management and Budget
    pursuant to Executive Order No. 12291 (formerly set out above) and
    OMB Circular No. A-19, Executive departments and agencies shall
    identify proposed regulatory and statutory provisions that have
    significant federalism implications and shall address any
    substantial federalism concerns.  Where the departments or agencies
    deem it appropriate, substantial federalism concerns should also be
    addressed in notices of proposed rule-making and messages
    transmitting legislative proposals to the Congress.
      Sec. 8. Judicial Review. This Order is intended only to improve
    the internal management of the Executive branch, and is not
    intended to create any right or benefit, substantive or procedural,
    enforceable at law by a party against the United States, its
    agencies, its officers, or any person.                Ronald Reagan.
      (Ex. Ord. No. 13083, Sec. 7(c), May 14, 1998, 63 F.R. 27653, set
    out below, which directed the revocation of Ex. Ord. No. 12612,
    effective 90 days after May 14, 1998, was suspended by Ex. Ord. No.
    13095, Aug. 5, 1998, 63 F.R. 42565, set out below.)
       EX. ORD. NO. 12630. GOVERNMENTAL ACTIONS AND INTERFERENCE WITH
                 CONSTITUTIONALLY PROTECTED PROPERTY RIGHTS
      Ex. Ord. No. 12630, Mar. 15, 1988, 53 F.R. 8859, provided:
      By the authority vested in me as President by the Constitution
    and laws of the United States of America, and in order to ensure
    that government actions are undertaken on a well-reasoned basis
    with due regard for fiscal accountability, for the financial impact
    of the obligations imposed on the Federal government by the Just
    Compensation Clause of the Fifth Amendment, and for the
    Constitution, it is hereby ordered as follows:
      Section 1. Purpose. (a) The Fifth Amendment of the United States
    Constitution provides that private property shall not be taken for
    public use without just compensation.  Government historically has
    used the formal exercise of the power of eminent domain, which
    provides orderly processes for paying just compensation, to acquire
    private property for public use.  Recent Supreme Court decisions,
    however, in reaffirming the fundamental protection of private
    property rights provided by the Fifth Amendment and in assessing
    the nature of governmental actions that have an impact on
    constitutionally protected property rights, have also reaffirmed
    that governmental actions that do not formally invoke the
    condemnation power, including regulations, may result in a taking
    for which just compensation is required.
      (b) Responsible fiscal management and fundamental principles of
    good government require that government decision-makers evaluate
    carefully the effect of their administrative, regulatory, and
    legislative actions on constitutionally protected property rights.
    Executive departments and agencies should review their actions
    carefully to prevent unnecessary takings and should account in
    decision-making for those takings that are necessitated by
    statutory mandate.
      (c) The purpose of this Order is to assist Federal departments
    and agencies in undertaking such reviews and in proposing,
    planning, and implementing actions with due regard for the
    constitutional protections provided by the Fifth Amendment and to
    reduce the risk of undue or inadvertent burdens on the public fisc
    resulting from lawful governmental action.  In furtherance of the
    purpose of this Order, the Attorney General shall, consistent with
    the principles stated herein and in consultation with the Executive
    departments and agencies, promulgate Guidelines for the Evaluation
    of Risk and Avoidance of Unanticipated Takings to which each
    Executive department or agency shall refer in making the
    evaluations required by this Order or in otherwise taking any
    action that is the subject of this Order. The Guidelines shall be
    promulgated no later than May 1, 1988, and shall be disseminated to
    all units of each Executive department and agency no later than
    July 1, 1988. The Attorney General shall, as necessary, update
    these guidelines to reflect fundamental changes in takings law
    occurring as a result of Supreme Court decisions.
      Sec. 2. Definitions. For the purpose of this Order: (a)
    ''Policies that have takings implications'' refers to Federal
    regulations, proposed Federal regulations, proposed Federal
    legislation, comments on proposed Federal legislation, or other
    Federal policy statements that, if implemented or enacted, could
    effect a taking, such as rules and regulations that propose or
    implement licensing, permitting, or other condition requirements or
    limitations on private property use, or that require dedications or
    exactions from owners of private property. ''Policies that have
    takings implications'' does not include:
      (1) Actions abolishing regulations, discontinuing governmental
    programs, or modifying regulations in a manner that lessens
    interference with the use of private property;
      (2) Actions taken with respect to properties held in trust by the
    United States or in preparation for or during treaty negotiations
    with foreign nations;
      (3) Law enforcement actions involving seizure, for violations of
    law, of property for forfeiture or as evidence in criminal
    proceedings;
      (4) Studies or similar efforts or planning activities;
      (5) Communications between Federal agencies or departments and
    State or local land-use planning agencies regarding planned or
    proposed State or local actions regulating private property
    regardless of whether such communications are initiated by a
    Federal agency or department or are undertaken in response to an
    invitation by the State or local authority;
      (6) The placement of military facilities or military activities
    involving the use of Federal property alone; or
      (7) Any military or foreign affairs functions (including
    procurement functions thereunder) but not including the U.S. Army
    Corps of Engineers civil works program.
      (b) Private property refers to all property protected by the Just
    Compensation Clause of the Fifth Amendment.
      (c) ''Actions'' refers to proposed Federal regulations, proposed
    Federal legislation, comments on proposed Federal legislation,
    applications of Federal regulations to specific property, or
    Federal governmental actions physically invading or occupying
    private property, or other policy statements or actions related to
    Federal regulation or direct physical invasion or occupancy, but
    does not include:
      (1) Actions in which the power of eminent domain is formally
    exercised;
      (2) Actions taken with respect to properties held in trust by the
    United States or in preparation for or during treaty negotiations
    with foreign nations;
      (3) Law enforcement actions involving seizure, for violations of
    law, of property for forfeiture or as evidence in criminal
    proceedings;
      (4) Studies or similar efforts or planning activities;
      (5) Communications between Federal agencies or departments and
    State or local land-use planning agencies regarding planned or
    proposed State or local actions regulating private property
    regardless of whether such communications are initiated by a
    Federal agency or department or are undertaken in response to an
    invitation by the State or local authority;
      (6) The placement of military facilities or military activities
    involving the use of Federal property alone; or
      (7) Any military or foreign affairs functions (including
    procurement functions thereunder), but not including the U.S. Army
    Corps of Engineers civil works program.
      Sec. 3. General Principles. In formulating or implementing
    policies that have takings implications, each Executive department
    and agency shall be guided by the following general principles:
      (a) Governmental officials should be sensitive to, anticipate,
    and account for, the obligations imposed by the Just Compensation
    Clause of the Fifth Amendment in planning and carrying out
    governmental actions so that they do not result in the imposition
    of unanticipated or undue additional burdens on the public fisc.
      (b) Actions undertaken by governmental officials that result in a
    physical invasion or occupancy of private property, and regulations
    imposed on private property that substantially affect its value or
    use, may constitute a taking of property.  Further, governmental
    action may amount to a taking even though the action results in
    less than a complete deprivation of all use or value, or of all
    separate and distinct interests in the same private property and
    even if the action constituting a taking is temporary in nature.
      (c) Government officials whose actions are taken specifically for
    purposes of protecting public health and safety are ordinarily
    given broader latitude by courts before their actions are
    considered to be takings.  However, the mere assertion of a public
    health and safety purpose is insufficient to avoid a taking.
    Actions to which this Order applies asserted to be for the
    protection of public health and safety, therefore, should be
    undertaken only in response to real and substantial threats to
    public health and safety, be designed to advance significantly the
    health and safety purpose, and be no greater than is necessary to
    achieve the health and safety purpose.
      (d) While normal governmental processes do not ordinarily effect
    takings, undue delays in decision-making during which private
    property use if interfered with carry a risk of being held to be
    takings.  Additionally, a delay in processing may increase
    significantly the size of compensation due if a taking is later
    found to have occurred.
      (e) The Just Compensation Clause is self-actuating, requiring
    that compensation be paid whenever governmental action results in a
    taking of private property regardless of whether the underlying
    authority for the action contemplated a taking or authorized the
    payment of compensation.  Accordingly, governmental actions that
    may have a significant impact on the use or value of private
    property should be scrutinized to avoid undue or unplanned burdens
    on the public fisc.
      Sec. 4. Department and Agency Action. In addition to the
    fundamental principles set forth in Section 3, Executive
    departments and agencies shall adhere, to the extent permitted by
    law, to the following criteria when implementing policies that have
    takings implications:
      (a) When an Executive department or agency requires a private
    party to obtain a permit in order to undertake a specific use of,
    or action with respect to, private property, any conditions imposed
    on the granting of a permit shall:
      (1) Serve the same purpose that would have been served by a
    prohibition of the use or action; and
      (2) Substantially advance that purpose.
      (b) When a proposed action would place a restriction on a use of
    private property, the restriction imposed on the use shall not be
    disproportionate to the extent to which the use contributes to the
    overall problem that the restriction is imposed to redress.
      (c) When a proposed action involves a permitting process or any
    other decision-making process that will interfere with, or
    otherwise prohibit, the use of private property pending the
    completion of the process, the duration of the process shall be
    kept to the minimum necessary.
      (d) Before undertaking any proposed action regulating private
    property use for the protection of public health or safety, the
    Executive department or agency involved shall, in internal
    deliberative documents and any submissions to the Director of the
    Office of Management and Budget that are required:
      (1) Identify clearly, with as much specificity as possible, the
    public health or safety risk created by the private property use
    that is the subject of the proposed action;
      (2) Establish that such proposed action substantially advances
    the purpose of protecting public health and safety against the
    specifically identified risk;
      (3) Establish to the extent possible that the restrictions
    imposed on the private property are not disproportionate to the
    extent to which the use contributes to the overall risk; and
      (4) Estimate, to the extent possible, the potential cost to the
    government in the event that a court later determines that the
    action constituted a taking.
      In instances in which there is an immediate threat to health and
    safety that constitutes an emergency requiring immediate response,
    this analysis may be done upon completion of the emergency action.
      Sec. 5. Executive Department and Agency Implementation. (a) The
    head of each Executive department and agency shall designate an
    official to be responsible for ensuring compliance with this Order
    with respect to the actions of the department or agency.
      (b) Executive departments and agencies shall, to the extent
    permitted by law, identify the takings implications of proposed
    regulatory actions and address the merits of those actions in light
    of the identified takings implications, if any, in all required
    submissions made to the Office of Management and Budget.
    Significant takings implications should also be identified and
    discussed in notices of proposed rule-making and messages
    transmitting legislative proposals to the Congress stating the
    departments' and agencies' conclusions on the takings issues.
      (c) Executive departments and agencies shall identify each
    existing Federal rule and regulation against which a takings award
    has been made or against which a takings claim is pending including
    the amount of each claim or award.  A ''takings'' award has been
    made or a ''takings'' claim pending if the award was made, or the
    pending claim brought, pursuant to the Just Compensation Clause of
    the Fifth Amendment. An itemized compilation of all such awards
    made in Fiscal Years 1985, 1986, and 1987 and all such pending
    claims shall be submitted to the Director, Office of Management and
    Budget, on or before May 16, 1988.
      (d) Each Executive department and agency shall submit annually to
    the Director, Office of Management and Budget, and to the Attorney
    General an itemized compilation of all awards of just compensation
    entered against the United States for takings, including awards of
    interest as well as monies paid pursuant to the provisions of the
    Uniform Relocation Assistance and Real Property Acquisition
    Policies Act of 1970, 42 U.S.C. 4601.
      (e)(1) The Director, Office of Management and Budget, and the
    Attorney General shall each, to the extent permitted by law, take
    action to ensure that the policies of the Executive departments and
    agencies are consistent with the principles, criteria, and
    requirements stated in Sections 1 through 5 of this Order, and the
    Office of Management and Budget shall take action to ensure that
    all takings awards levied against agencies are properly accounted
    for in agency budget submissions.
      (2) In addition to the guidelines required by Section 1 of this
    Order, the Attorney General shall, in consultation with each
    Executive department and agency to which this Order applies,
    promulgate such supplemental guidelines as may be appropriate to
    the specific obligations of that department or agency.
      Sec. 6. Judicial Review. This Order is intended only to improve
    the internal management of the Executive branch and is not intended
    to create any right or benefit, substantive or procedural,
    enforceable at law by a party against the United States, its
    agencies, its officers, or any person.                Ronald Reagan.
      EX. ORD. NO. 12861. ELIMINATION OF ONE-HALF OF EXECUTIVE BRANCH
                            INTERNAL REGULATIONS
      Ex. Ord. No. 12861, Sept. 11, 1993, 58 F.R. 48255, provided:
      By the authority vested in me as President by the Constitution
    and the laws of the United States of America, including section 301
    of title 3, United States Code, and section 1111 of title 31,
    United States Code, and to cut 50 percent of the executive branch's
    internal regulations in order to streamline and improve customer
    service to the American people, it is hereby ordered as follows:
      Section 1. Regulatory Reductions. Each executive department and
    agency shall undertake to eliminate not less than 50 percent of its
    civilian internal management regulations that are not required by
    law within 3 years of the effective date of this order.  An agency
    internal management regulation, for the purposes of this order,
    means an agency directive or regulation that pertains to its
    organization, management, or personnel matters.  Reductions in
    agency internal management regulations shall be concentrated in
    areas that will result in the greatest improvement in productivity,
    streamlining of operations, and improvement in customer service.
      Sec. 2. Coverage. This order applies to all executive branch
    departments and agencies.
      Sec. 3. Implementation. The Director of the Office of Management
    and Budget shall issue instructions regarding the implementation of
    this order, including exemptions necessary for the delivery of
    essential services and compliance with applicable law.
      Sec. 4. Independent Agencies. All independent regulatory
    commissions and agencies are requested to comply with the
    provisions of this order.                        William J. Clinton.
             EX. ORD. NO. 12866. REGULATORY PLANNING AND REVIEW
      Ex. Ord. No. 12866, Sept. 30, 1993, 58 F.R. 51735, provided:
      The American people deserve a regulatory system that works for
    them, not against them: a regulatory system that protects and
    improves their health, safety, environment, and well-being and
    improves the performance of the economy without imposing
    unacceptable or unreasonable costs on society; regulatory policies
    that recognize that the private sector and private markets are the
    best engine for economic growth; regulatory approaches that respect
    the role of State, local, and tribal governments; and regulations
    that are effective, consistent, sensible, and understandable.  We
    do not have such a regulatory system today.
      With this Executive order, the Federal Government begins a
    program to reform and make more efficient the regulatory process.
    The objectives of this Executive order are to enhance planning and
    coordination with respect to both new and existing regulations; to
    reaffirm the primacy of Federal agencies in the regulatory
    decision-making process; to restore the integrity and legitimacy of
    regulatory review and oversight; and to make the process more
    accessible and open to the public.  In pursuing these objectives,
    the regulatory process shall be conducted so as to meet applicable
    statutory requirements and with due regard to the discretion that
    has been entrusted to the Federal agencies.
      Accordingly, by the authority vested in me as President by the
    Constitution and the laws of the United States of America, it is
    hereby ordered as follows:
      Section 1. Statement of Regulatory Philosophy and Principles.
      (a) The Regulatory Philosophy. Federal agencies should promulgate
    only such regulations as are required by law, are necessary to
    interpret the law, or are made necessary by compelling public need,
    such as material failures of private markets to protect or improve
    the health and safety of the public, the environment, or the
    well-being of the American people.  In deciding whether and how to
    regulate, agencies should assess all costs and benefits of
    available regulatory alternatives, including the alternative of not
    regulating.  Costs and benefits shall be understood to include both
    quantifiable measures (to the fullest extent that these can be
    usefully estimated) and qualitative measures of costs and benefits
    that are difficult to quantify, but nevertheless essential to
    consider.  Further, in choosing among alternative regulatory
    approaches, agencies should select those approaches that maximize
    net benefits (including potential economic, environmental, public
    health and safety, and other advantages; distributive impacts; and
    equity), unless a statute requires another regulatory approach.
      (b) The Principles of Regulation. To ensure that the agencies'
    regulatory programs are consistent with the philosophy set forth
    above, agencies should adhere to the following principles, to the
    extent permitted by law and where applicable:
      (1) Each agency shall identify the problem that it intends to
    address (including, where applicable, the failures of private
    markets or public institutions that warrant new agency action) as
    well as assess the significance of that problem.
      (2) Each agency shall examine whether existing regulations (or
    other law) have created, or contributed to, the problem that a new
    regulation is intended to correct and whether those regulations (or
    other law) should be modified to achieve the intended goal of
    regulation more effectively.
      (3) Each agency shall identify and assess available alternatives
    to direct regulation, including providing economic incentives to
    encourage the desired behavior, such as user fees or marketable
    permits, or providing information upon which choices can be made by
    the public.
      (4) In setting regulatory priorities, each agency shall consider,
    to the extent reasonable, the degree and nature of the risks posed
    by various substances or activities within its jurisdiction.
      (5) When an agency determines that a regulation is the best
    available method of achieving the regulatory objective, it shall
    design its regulations in the most cost-effective manner to achieve
    the regulatory objective.  In doing so, each agency shall consider
    incentives for innovation, consistency, predictability, the costs
    of enforcement and compliance (to the government, regulated
    entities, and the public), flexibility, distributive impacts, and
    equity.
      (6) Each agency shall assess both the costs and the benefits of
    the intended regulation and, recognizing that some costs and
    benefits are difficult to quantify, propose or adopt a regulation
    only upon a reasoned determination that the benefits of the
    intended regulation justify its costs.
      (7) Each agency shall base its decisions on the best reasonably
    obtainable scientific, technical, economic, and other information
    concerning the need for, and consequences of, the intended
    regulation.
      (8) Each agency shall identify and assess alternative forms of
    regulation and shall, to the extent feasible, specify performance
    objectives, rather than specifying the behavior or manner of
    compliance that regulated entities must adopt.
      (9) Wherever feasible, agencies shall seek views of appropriate
    State, local, and tribal officials before imposing regulatory
    requirements that might significantly or uniquely affect those
    governmental entities.  Each agency shall assess the effects of
    Federal regulations on State, local, and tribal governments,
    including specifically the availability of resources to carry out
    those mandates, and seek to minimize those burdens that uniquely or
    significantly affect such governmental entities, consistent with
    achieving regulatory objectives.  In addition, as appropriate,
    agencies shall seek to harmonize Federal regulatory actions with
    related State, local, and tribal regulatory and other governmental
    functions.
      (10) Each agency shall avoid regulations that are inconsistent,
    incompatible, or duplicative with its other regulations or those of
    other Federal agencies.
      (11) Each agency shall tailor its regulations to impose the least
    burden on society, including individuals, businesses of differing
    sizes, and other entities (including small communities and
    governmental entities), consistent with obtaining the regulatory
    objectives, taking into account, among other things, and to the
    extent practicable, the costs of cumulative regulations.
      (12) Each agency shall draft its regulations to be simple and
    easy to understand, with the goal of minimizing the potential for
    uncertainty and litigation arising from such uncertainty.
      Sec. 2. Organization. An efficient regulatory planning and review
    process is vital to ensure that the Federal Government's regulatory
    system best serves the American people.
      (a) The Agencies. Because Federal agencies are the repositories
    of significant substantive expertise and experience, they are
    responsible for developing regulations and assuring that the
    regulations are consistent with applicable law, the President's
    priorities, and the principles set forth in this Executive order.
      (b) The Office of Management and Budget. Coordinated review of
    agency rulemaking is necessary to ensure that regulations are
    consistent with applicable law, the President's priorities, and the
    principles set forth in this Executive order, and that decisions
    made by one agency do not conflict with the policies or actions
    taken or planned by another agency.  The Office of Management and
    Budget (OMB) shall carry out that review function.  Within OMB, the
    Office of Information and Regulatory Affairs (OIRA) is the
    repository of expertise concerning regulatory issues, including
    methodologies and procedures that affect more than one agency, this
    Executive order, and the President's regulatory policies.  To the
    extent permitted by law, OMB shall provide guidance to agencies and
    assist the President, the Vice President, and other regulatory
    policy advisors to the President in regulatory planning and shall
    be the entity that reviews individual regulations, as provided by
    this Executive order.
      (c) The Vice President. The Vice President is the principal
    advisor to the President on, and shall coordinate the development
    and presentation of recommendations concerning, regulatory policy,
    planning, and review, as set forth in this Executive order.  In
    fulfilling their responsibilities under this Executive order, the
    President and the Vice President shall be assisted by the
    regulatory policy advisors within the Executive Office of the
    President and by such agency officials and personnel as the
    President and the Vice President may, from time to time, consult.
      Sec. 3. Definitions. For purposes of this Executive order:
      (a) ''Advisors'' refers to such regulatory policy advisors to the
    President as the President and Vice President may from time to time
    consult, including, among others: (1) the Director of OMB; (2) the
    Chair (or another member) of the Council of Economic Advisers; (3)
    the Assistant to the President for Economic Policy; (4) the
    Assistant to the President for Domestic Policy; (5) the Assistant
    to the President for National Security Affairs; (6) the Assistant
    to the President for Science and Technology; (7) the Assistant to
    the President for Intergovernmental Affairs; (8) the Assistant to
    the President and Staff Secretary; (9) the Assistant to the
    President and Chief of Staff to the Vice President; (10) the
    Assistant to the President and Counsel to the President; (11) the
    Deputy Assistant to the President and Director of the White House
    Office on Environmental Policy; and (12) the Administrator of OIRA,
    who also shall coordinate communications relating to this Executive
    order among the agencies, OMB, the other Advisors, and the Office
    of the Vice President.
      (b) ''Agency,'' unless otherwise indicated, means any authority
    of the United States that is an ''agency'' under 44 U.S.C. 3502(1),
    other than those considered to be independent regulatory agencies,
    as defined in 44 U.S.C. 3502(10).
      (c) ''Director'' means the Director of OMB.
      (d) ''Regulation'' or ''rule'' means an agency statement of
    general applicability and future effect, which the agency intends
    to have the force and effect of law, that is designed to implement,
    interpret, or prescribe law or policy or to describe the procedure
    or practice requirements of an agency.  It does not, however,
    include:
      (1) Regulations or rules issued in accordance with the formal
    rulemaking provisions of 5 U.S.C. 556, 557;
      (2) Regulations or rules that pertain to a military or foreign
    affairs function of the United States, other than procurement
    regulations and regulations involving the import or export of
    non-defense articles and services;
      (3) Regulations or rules that are limited to agency organization,
    management, or personnel matters; or
      (4) Any other category of regulations exempted by the
    Administrator of OIRA.
      (e) ''Regulatory action'' means any substantive action by an
    agency (normally published in the Federal Register) that
    promulgates or is expected to lead to the promulgation of a final
    rule or regulation, including notices of inquiry, advance notices
    of proposed rulemaking, and notices of proposed rulemaking.
      (f) ''Significant regulatory action'' means any regulatory action
    that is likely to result in a rule that may:
      (1) Have an annual effect on the economy of $100 million or more
    or adversely affect in a material way the economy, a sector of the
    economy, productivity, competition, jobs, the environment, public
    health or safety, or State, local, or tribal governments or
    communities;
      (2) Create a serious inconsistency or otherwise interfere with an
    action taken or planned by another agency;
      (3) Materially alter the budgetary impact of entitlements,
    grants, user fees, or loan programs or the rights and obligations
    of recipients thereof; or
      (4) Raise novel legal or policy issues arising out of legal
    mandates, the President's priorities, or the principles set forth
    in this Executive order.
      Sec. 4. Planning Mechanism. In order to have an effective
    regulatory program, to provide for coordination of regulations, to
    maximize consultation and the resolution of potential conflicts at
    an early stage, to involve the public and its State, local, and
    tribal officials in regulatory planning, and to ensure that new or
    revised regulations promote the President's priorities and the
    principles set forth in this Executive order, these procedures
    shall be followed, to the extent permitted by law:
      (a) Agencies' Policy Meeting. Early in each year's planning
    cycle, the Vice President shall convene a meeting of the Advisors
    and the heads of agencies to seek a common understanding of
    priorities and to coordinate regulatory efforts to be accomplished
    in the upcoming year.
      (b) Unified Regulatory Agenda. For purposes of this subsection,
    the term ''agency'' or ''agencies'' shall also include those
    considered to be independent regulatory agencies, as defined in 44
    U.S.C. 3502(10). Each agency shall prepare an agenda of all
    regulations under development or review, at a time and in a manner
    specified by the Administrator of OIRA. The description of each
    regulatory action shall contain, at a minimum, a regulation
    identifier number, a brief summary of the action, the legal
    authority for the action, any legal deadline for the action, and
    the name and telephone number of a knowledgeable agency official.
    Agencies may incorporate the information required under 5 U.S.C.
    602 and (former) 41 U.S.C. 402 into these agendas.
      (c) The Regulatory Plan. For purposes of this subsection, the
    term ''agency'' or ''agencies'' shall also include those considered
    to be independent regulatory agencies, as defined in 44 U.S.C.
    3502(10). (1) As part of the Unified Regulatory Agenda, beginning
    in 1994, each agency shall prepare a Regulatory Plan (Plan) of the
    most important significant regulatory actions that the agency
    reasonably expects to issue in proposed or final form in that
    fiscal year or thereafter.  The Plan shall be approved personally
    by the agency head and shall contain at a minimum:
      (A) A statement of the agency's regulatory objectives and
    priorities and how they relate to the President's priorities;
      (B) A summary of each planned significant regulatory action
    including, to the extent possible, alternatives to be considered
    and preliminary estimates of the anticipated costs and benefits;
      (C) A summary of the legal basis for each such action, including
    whether any aspect of the action is required by statute or court
    order;
      (D) A statement of the need for each such action and, if
    applicable, how the action will reduce risks to public health,
    safety, or the environment, as well as how the magnitude of the
    risk addressed by the action relates to other risks within the
    jurisdiction of the agency;
      (E) The agency's schedule for action, including a statement of
    any applicable statutory or judicial deadlines; and
      (F) The name, address, and telephone number of a person the
    public may contact for additional information about the planned
    regulatory action.
      (2) Each agency shall forward its Plan to OIRA by June 1st of
    each year.
      (3) Within 10 calendar days after OIRA has received an agency's
    Plan, OIRA shall circulate it to other affected agencies, the
    Advisors, and the Vice President.
      (4) An agency head who believes that a planned regulatory action
    of another agency may conflict with its own policy or action taken
    or planned shall promptly notify, in writing, the Administrator of
    OIRA, who shall forward that communication to the issuing agency,
    the Advisors, and the Vice President.
      (5) If the Administrator of OIRA believes that a planned
    regulatory action of an agency may be inconsistent with the
    President's priorities or the principles set forth in this
    Executive order or may be in conflict with any policy or action
    taken or planned by another agency, the Administrator of OIRA shall
    promptly notify, in writing, the affected agencies, the Advisors,
    and the Vice President.
      (6) The Vice President, with the Advisors' assistance, may
    consult with the heads of agencies with respect to their Plans and,
    in appropriate instances, request further consideration or
    inter-agency coordination.
      (7) The Plans developed by the issuing agency shall be published
    annually in the October publication of the Unified Regulatory
    Agenda. This publication shall be made available to the Congress;
    State, local, and tribal governments; and the public.  Any views on
    any aspect of any agency Plan, including whether any planned
    regulatory action might conflict with any other planned or existing
    regulation, impose any unintended consequences on the public, or
    confer any unclaimed benefits on the public, should be directed to
    the issuing agency, with a copy to OIRA.
      (d) Regulatory Working Group. Within 30 days of the date of this
    Executive order, the Administrator of OIRA shall convene a
    Regulatory Working Group (''Working Group''), which shall consist
    of representatives of the heads of each agency that the
    Administrator determines to have significant domestic regulatory
    responsibility, the Advisors, and the Vice President. The
    Administrator of OIRA shall chair the Working Group and shall
    periodically advise the Vice President on the activities of the
    Working Group. The Working Group shall serve as a forum to assist
    agencies in identifying and analyzing important regulatory issues
    (including, among others (1) the development of innovative
    regulatory techniques, (2) the methods, efficacy, and utility of
    comparative risk assessment in regulatory decision-making, and (3)
    the development of short forms and other streamlined regulatory
    approaches for small businesses and other entities).  The Working
    Group shall meet at least quarterly and may meet as a whole or in
    subgroups of agencies with an interest in particular issues or
    subject areas.  To inform its discussions, the Working Group may
    commission analytical studies and reports by OIRA, the
    Administrative Conference of the United States, or any other
    agency.
      (e) Conferences. The Administrator of OIRA shall meet quarterly
    with representatives of State, local, and tribal governments to
    identify both existing and proposed regulations that may uniquely
    or significantly affect those governmental entities.  The
    Administrator of OIRA shall also convene, from time to time,
    conferences with representatives of businesses, nongovernmental
    organizations, and the public to discuss regulatory issues of
    common concern.
      Sec. 5. Existing Regulations. In order to reduce the regulatory
    burden on the American people, their families, their communities,
    their State, local, and tribal governments, and their industries;
    to determine whether regulations promulgated by the executive
    branch of the Federal Government have become unjustified or
    unnecessary as a result of changed circumstances; to confirm that
    regulations are both compatible with each other and not duplicative
    or inappropriately burdensome in the aggregate; to ensure that all
    regulations are consistent with the President's priorities and the
    principles set forth in this Executive order, within applicable
    law; and to otherwise improve the effectiveness of existing
    regulations: (a) Within 90 days of the date of this Executive
    order, each agency shall submit to OIRA a program, consistent with
    its resources and regulatory priorities, under which the agency
    will periodically review its existing significant regulations to
    determine whether any such regulations should be modified or
    eliminated so as to make the agency's regulatory program more
    effective in achieving the regulatory objectives, less burdensome,
    or in greater alignment with the President's priorities and the
    principles set forth in this Executive order.  Any significant
    regulations selected for review shall be included in the agency's
    annual Plan. The agency shall also identify any legislative
    mandates that require the agency to promulgate or continue to
    impose regulations that the agency believes are unnecessary or
    outdated by reason of changed circumstances.
      (b) The Administrator of OIRA shall work with the Regulatory
    Working Group and other interested entities to pursue the
    objectives of this section.  State, local, and tribal governments
    are specifically encouraged to assist in the identification of
    regulations that impose significant or unique burdens on those
    governmental entities and that appear to have outlived their
    justification or be otherwise inconsistent with the public
    interest.
      (c) The Vice President, in consultation with the Advisors, may
    identify for review by the appropriate agency or agencies other
    existing regulations of an agency or groups of regulations of more
    than one agency that affect a particular group, industry, or sector
    of the economy, or may identify legislative mandates that may be
    appropriate for reconsideration by the Congress.
      Sec. 6. Centralized Review of Regulations. The guidelines set
    forth below shall apply to all regulatory actions, for both new and
    existing regulations, by agencies other than those agencies
    specifically exempted by the Administrator of OIRA:
      (a) Agency Responsibilities. (1) Each agency shall (consistent
    with its own rules, regulations, or procedures) provide the public
    with meaningful participation in the regulatory process.  In
    particular, before issuing a notice of proposed rulemaking, each
    agency should, where appropriate, seek the involvement of those who
    are intended to benefit from and those expected to be burdened by
    any regulation (including, specifically, State, local, and tribal
    officials).  In addition, each agency should afford the public a
    meaningful opportunity to comment on any proposed regulation, which
    in most cases should include a comment period of not less than 60
    days.  Each agency also is directed to explore and, where
    appropriate, use consensual mechanisms for developing regulations,
    including negotiated rulemaking.
      (2) Within 60 days of the date of this Executive order, each
    agency head shall designate a Regulatory Policy Officer who shall
    report to the agency head.  The Regulatory Policy Officer shall be
    involved at each stage of the regulatory process to foster the
    development of effective, innovative, and least burdensome
    regulations and to further the principles set forth in this
    Executive order.
      (3) In addition to adhering to its own rules and procedures and
    to the requirements of the Administrative Procedure Act (5 U.S.C.
    551 et seq., 701 et seq.), the Regulatory Flexibility Act (5 U.S.C.
    601 et seq.), the Paperwork Reduction Act (44 U.S.C. 3501 et seq.),
    and other applicable law, each agency shall develop its regulatory
    actions in a timely fashion and adhere to the following procedures
    with respect to a regulatory action:
      (A) Each agency shall provide OIRA, at such times and in the
    manner specified by the Administrator of OIRA, with a list of its
    planned regulatory actions, indicating those which the agency
    believes are significant regulatory actions within the meaning of
    this Executive order.  Absent a material change in the development
    of the planned regulatory action, those not designated as
    significant will not be subject to review under this section
    unless, within 10 working days of receipt of the list, the
    Administrator of OIRA notifies the agency that OIRA has determined
    that a planned regulation is a significant regulatory action within
    the meaning of this Executive order.  The Administrator of OIRA may
    waive review of any planned regulatory action designated by the
    agency as significant, in which case the agency need not further
    comply with subsection (a)(3)(B) or subsection (a)(3)(C) of this
    section.
      (B) For each matter identified as, or determined by the
    Administrator of OIRA to be, a significant regulatory action, the
    issuing agency shall provide to OIRA:
      (i) The text of the draft regulatory action, together with a
    reasonably detailed description of the need for the regulatory
    action and an explanation of how the regulatory action will meet
    that need; and
      (ii) An assessment of the potential costs and benefits of the
    regulatory action, including an explanation of the manner in which
    the regulatory action is consistent with a statutory mandate and,
    to the extent permitted by law, promotes the President's priorities
    and avoids undue interference with State, local, and tribal
    governments in the exercise of their governmental functions.
      (C) For those matters identified as, or determined by the
    Administrator of OIRA to be, a significant regulatory action within
    the scope of section 3(f)(1), the agency shall also provide to OIRA
    the following additional information developed as part of the
    agency's decision-making process (unless prohibited by law):
      (i) An assessment, including the underlying analysis, of benefits
    anticipated from the regulatory action (such as, but not limited
    to, the promotion of the efficient functioning of the economy and
    private markets, the enhancement of health and safety, the
    protection of the natural environment, and the elimination or
    reduction of discrimination or bias) together with, to the extent
    feasible, a quantification of those benefits;
      (ii) An assessment, including the underlying analysis, of costs
    anticipated from the regulatory action (such as, but not limited
    to, the direct cost both to the government in administering the
    regulation and to businesses and others in complying with the
    regulation, and any adverse effects on the efficient functioning of
    the economy, private markets (including productivity, employment,
    and competitiveness), health, safety, and the natural environment),
    together with, to the extent feasible, a quantification of those
    costs; and
      (iii) An assessment, including the underlying analysis, of costs
    and benefits of potentially effective and reasonably feasible
    alternatives to the planned regulation, identified by the agencies
    or the public (including improving the current regulation and
    reasonably viable nonregulatory actions), and an explanation why
    the planned regulatory action is preferable to the identified
    potential alternatives.
      (D) In emergency situations or when an agency is obligated by law
    to act more quickly than normal review procedures allow, the agency
    shall notify OIRA as soon as possible and, to the extent
    practicable, comply with subsections (a)(3)(B) and (C) of this
    section.  For those regulatory actions that are governed by a
    statutory or court-imposed deadline, the agency shall, to the
    extent practicable, schedule rulemaking proceedings so as to permit
    sufficient time for OIRA to conduct its review, as set forth below
    in subsection (b)(2) through (4) of this section.
      (E) After the regulatory action has been published in the Federal
    Register or otherwise issued to the public, the agency shall:
      (i) Make available to the public the information set forth in
    subsections (a)(3)(B) and (C);
      (ii) Identify for the public, in a complete, clear, and simple
    manner, the substantive changes between the draft submitted to OIRA
    for review and the action subsequently announced; and
      (iii) Identify for the public those changes in the regulatory
    action that were made at the suggestion or recommendation of OIRA.
      (F) All information provided to the public by the agency shall be
    in plain, understandable language.
      (b) OIRA Responsibilities. The Administrator of OIRA shall
    provide meaningful guidance and oversight so that each agency's
    regulatory actions are consistent with applicable law, the
    President's priorities, and the principles set forth in this
    Executive order and do not conflict with the policies or actions of
    another agency.  OIRA shall, to the extent permitted by law, adhere
    to the following guidelines:
      (1) OIRA may review only actions identified by the agency or by
    OIRA as significant regulatory actions under subsection (a)(3)(A)
    of this section.
      (2) OIRA shall waive review or notify the agency in writing of
    the results of its review within the following time periods:
      (A) For any notices of inquiry, advance notices of proposed
    rulemaking, or other preliminary regulatory actions prior to a
    Notice of Proposed Rulemaking, within 10 working days after the
    date of submission of the draft action to OIRA;
      (B) For all other regulatory actions, within 90 calendar days
    after the date of submission of the information set forth in
    subsections (a)(3)(B) and (C) of this section, unless OIRA has
    previously reviewed this information and, since that review, there
    has been no material change in the facts and circumstances upon
    which the regulatory action is based, in which case, OIRA shall
    complete its review within 45 days; and
      (C) The review process may be extended (1) once by no more than
    30 calendar days upon the written approval of the Director and (2)
    at the request of the agency head.
      (3) For each regulatory action that the Administrator of OIRA
    returns to an agency for further consideration of some or all of
    its provisions, the Administrator of OIRA shall provide the issuing
    agency a written explanation for such return, setting forth the
    pertinent provision of this Executive order on which OIRA is
    relying.  If the agency head disagrees with some or all of the
    bases for the return, the agency head shall so inform the
    Administrator of OIRA in writing.
      (4) Except as otherwise provided by law or required by a Court,
    in order to ensure greater openness, accessibility, and
    accountability in the regulatory review process, OIRA shall be
    governed by the following disclosure requirements:
      (A) Only the Administrator of OIRA (or a particular designee)
    shall receive oral communications initiated by persons not employed
    by the executive branch of the Federal Government regarding the
    substance of a regulatory action under OIRA review;
      (B) All substantive communications between OIRA personnel and
    persons not employed by the executive branch of the Federal
    Government regarding a regulatory action under review shall be
    governed by the following guidelines: (i) A representative from the
    issuing agency shall be invited to any meeting between OIRA
    personnel and such person(s);
      (ii) OIRA shall forward to the issuing agency, within 10 working
    days of receipt of the communication(s), all written
    communications, regardless of format, between OIRA personnel and
    any person who is not employed by the executive branch of the
    Federal Government, and the dates and names of individuals involved
    in all substantive oral communications (including meetings to which
    an agency representative was invited, but did not attend, and
    telephone conversations between OIRA personnel and any such
    persons); and
      (iii) OIRA shall publicly disclose relevant information about
    such communication(s), as set forth below in subsection (b)(4)(C)
    of this section.
      (C) OIRA shall maintain a publicly available log that shall
    contain, at a minimum, the following information pertinent to
    regulatory actions under review:
      (i) The status of all regulatory actions, including if (and if
    so, when and by whom) Vice Presidential and Presidential
    consideration was requested;
      (ii) A notation of all written communications forwarded to an
    issuing agency under subsection (b)(4)(B)(ii) of this section; and
      (iii) The dates and names of individuals involved in all
    substantive oral communications, including meetings and telephone
    conversations, between OIRA personnel and any person not employed
    by the executive branch of the Federal Government, and the subject
    matter discussed during such communications.
      (D) After the regulatory action has been published in the Federal
    Register or otherwise issued to the public, or after the agency has
    announced its decision not to publish or issue the regulatory
    action, OIRA shall make available to the public all documents
    exchanged between OIRA and the agency during the review by OIRA
    under this section.
      (5) All information provided to the public by OIRA shall be in
    plain, understandable language.
      Sec. 7. Resolution of Conflicts. To the extent permitted by law,
    disagreements or conflicts between or among agency heads or between
    OMB and any agency that cannot be resolved by the Administrator of
    OIRA shall be resolved by the President, or by the Vice President
    acting at the request of the President, with the relevant agency
    head (and, as appropriate, other interested government officials).
    Vice Presidential and Presidential consideration of such
    disagreements may be initiated only by the Director, by the head of
    the issuing agency, or by the head of an agency that has a
    significant interest in the regulatory action at issue.  Such
    review will not be undertaken at the request of other persons,
    entities, or their agents.
      Resolution of such conflicts shall be informed by recommendations
    developed by the Vice President, after consultation with the
    Advisors (and other executive branch officials or personnel whose
    responsibilities to the President include the subject matter at
    issue).  The development of these recommendations shall be
    concluded within 60 days after review has been requested.
      During the Vice Presidential and Presidential review period,
    communications with any person not employed by the Federal
    Government relating to the substance of the regulatory action under
    review and directed to the Advisors or their staffs or to the staff
    of the Vice President shall be in writing and shall be forwarded by
    the recipient to the affected agency(ies) for inclusion in the
    public docket(s).  When the communication is not in writing, such
    Advisors or staff members shall inform the outside party that the
    matter is under review and that any comments should be submitted in
    writing.
      At the end of this review process, the President, or the Vice
    President acting at the request of the President, shall notify the
    affected agency and the Administrator of OIRA of the President's
    decision with respect to the matter.
      Sec. 8. Publication. Except to the extent required by law, an
    agency shall not publish in the Federal Register or otherwise issue
    to the public any regulatory action that is subject to review under
    section 6 of this Executive order until (1) the Administrator of
    OIRA notifies the agency that OIRA has waived its review of the
    action or has completed its review without any requests for further
    consideration, or (2) the applicable time period in section 6(b)(2)
    expires without OIRA having notified the agency that it is
    returning the regulatory action for further consideration under
    section 6(b)(3), whichever occurs first.  If the terms of the
    preceding sentence have not been satisfied and an agency wants to
    publish or otherwise issue a regulatory action, the head of that
    agency may request Presidential consideration through the Vice
    President, as provided under section 7 of this order.  Upon receipt
    of this request, the Vice President shall notify OIRA and the
    Advisors. The guidelines and time period set forth in section 7
    shall apply to the publication of regulatory actions for which
    Presidential consideration has been sought.
      Sec. 9. Agency Authority. Nothing in this order shall be
    construed as displacing the agencies' authority or
    responsibilities, as authorized by law.
      Sec. 10. Judicial Review. Nothing in this Executive order shall
    affect any otherwise available judicial review of agency action.
    This Executive order is intended only to improve the internal
    management of the Federal Government and does not create any right
    or benefit, substantive or procedural, enforceable at law or equity
    by a party against the United States, its agencies or
    instrumentalities, its officers or employees, or any other person.
      Sec. 11. Revocations. Executive Orders Nos. 12291 and 12498; all
    amendments to those Executive orders; all guidelines issued under
    those orders; and any exemptions from those orders heretofore
    granted for any category of rule are revoked.
                                                     William J. Clinton.
      EX. ORD. NO. 12875. ENHANCING THE INTERGOVERNMENTAL PARTNERSHIP
      Ex. Ord. No. 12875, Oct. 26, 1993, 58 F.R. 58093, provided:
      The Federal Government is charged with protecting the health and
    safety, as well as promoting other national interests, of the
    American people.  However, the cumulative effect of unfunded
    Federal mandates has increasingly strained the budgets of State,
    local, and tribal governments.  In addition, the cost, complexity,
    and delay in applying for and receiving waivers from Federal
    requirements in appropriate cases have hindered State, local, and
    tribal governments from tailoring Federal programs to meet the
    specific or unique needs of their communities.  These governments
    should have more flexibility to design solutions to the problems
    faced by citizens in this country without excessive micromanagement
    and unnecessary regulation from the Federal Government.
      THEREFORE, by the authority vested in me as President by the
    Constitution and the laws of the United States of America, and in
    order to reduce the imposition of unfunded mandates upon State,
    local, and tribal governments; to streamline the application
    process for and increase the availability of waivers to State,
    local, and tribal governments; and to establish regular and
    meaningful consultation and collaboration with State, local, and
    tribal governments on Federal matters that significantly or
    uniquely affect their communities, it is hereby ordered as follows:
      Section 1. Reduction of Unfunded Mandates. (a) To the extent
    feasible and permitted by law, no executive department or agency
    (''agency'') shall promulgate any regulation that is not required
    by statute and that creates a mandate upon a State, local, or
    tribal government, unless:
      (1) funds necessary to pay the direct costs incurred by the
    State, local, or tribal government in complying with the mandate
    are provided by the Federal Government; or
      (2) the agency, prior to the formal promulgation of regulations
    containing the proposed mandate, provides to the Director of the
    Office of Management and Budget a description of the extent of the
    agency's prior consultation with representatives of affected State,
    local, and tribal governments, the nature of their concerns, any
    written communications submitted to the agency by such units of
    government, and the agency's position supporting the need to issue
    the regulation containing the mandate.
      (b) Each agency shall develop an effective process to permit
    elected officials and other representatives of State, local, and
    tribal governments to provide meaningful and timely input in the
    development of regulatory proposals containing significant unfunded
    mandates.
      Sec. 2. Increasing Flexibility for State and Local Waivers. (a)
    Each agency shall review its waiver application process and take
    appropriate steps to streamline that process.
      (b) Each agency shall, to the extent practicable and permitted by
    law, consider any application by a State, local, or tribal
    government for a waiver of statutory or regulatory requirements in
    connection with any program administered by that agency with a
    general view toward increasing opportunities for utilizing flexible
    policy approaches at the State, local, and tribal level in cases in
    which the proposed waiver is consistent with the applicable Federal
    policy objectives and is otherwise appropriate.
      (c) Each agency shall, to the fullest extent practicable and
    permitted by law, render a decision upon a complete application for
    a waiver within 120 days of receipt of such application by the
    agency.  If the application for a waiver is not granted, the agency
    shall provide the applicant with timely written notice of the
    decision and the reasons therefor.
      (d) This section applies only to statutory or regulatory
    requirements of the programs that are discretionary and subject to
    waiver by the agency.
      Sec. 3. Responsibility for Agency Implementation. The Chief
    Operating Officer of each agency shall be responsible for ensuring
    the implementation of and compliance with this order.
      Sec. 4. Executive Order No. 12866. This order shall supplement
    but not supersede the requirements contained in Executive Order No.
    12866 (set out above) (''Regulatory Planning and Review'').
      Sec. 5. Scope. (a) Executive agency means any authority of the
    United States that is an ''agency'' under 44 U.S.C. 3502(1), other
    than those considered to be independent regulatory agencies, as
    defined in 44 U.S.C. 3502(10).
      (b) Independent agencies are requested to comply with the
    provisions of this order.
      Sec. 6. Judicial Review. This order is intended only to improve
    the internal management of the executive branch and is not intended
    to, and does not, create any right or benefit, substantive or
    procedural, enforceable at law or equity by a party against the
    United States, its agencies or instrumentalities, its officers or
    employees, or any other person.
      Sec. 7. Effective Date. This order shall be effective 90 days
    after the date of this order.                    William J. Clinton.
      (Ex. Ord. No. 13083, Sec. 7(c), May 14, 1998, 63 F.R. 27653, set
    out below, which directed the revocation of Ex. Ord. No. 12875,
    effective 90 days after May 14, 1998, was suspended by Ex. Ord. No.
    13095, Aug. 5, 1998, 63 F.R. 42565, set out below.)
                       EX. ORD. NO. 13083. FEDERALISM
      Ex. Ord. No. 13083, May 14, 1998, 63 F.R. 27651, provided:
      By the authority vested in me as President by the Constitution
    and the laws of the United States of America, and in order to
    guarantee the division of governmental responsibilities, embodied
    in the Constitution, between the Federal Government and the States
    that was intended by the Framers and application of those
    principles by the Executive departments and agencies in the
    formulation and implementation of policies, it is hereby ordered as
    follows:
      Section 1. Definitions. For purposes of this order:
      (a) ''State'' or ''States'' refer to the States of the United
    States of America, individually or collectively, and, where
    relevant, to State governments, including units of local government
    and other political subdivisions established by the States.
      (b) ''Policies that have federalism implications'' refers to
    Federal regulations, proposed legislation, and other policy
    statements or actions that have substantial direct effects on the
    States or on the relationship, or the distribution of power and
    responsibilities, between the Federal Government and the States.
      (c) ''Agency'' means any authority of the United States that is
    an ''agency'' under 44 U.S.C. 3502(1), other than those considered
    to be independent regulatory agencies, as defined in 44 U.S.C.
    3502(5).
      Sec. 2. Fundamental Federalism Principles. In formulating and
    implementing policies that have federalism implications, agencies
    shall be guided by the following fundamental federalism principles:
      (a) The structure of government established by the Constitution
    is premised upon a system of checks and balances.
      (b) The Constitution created a Federal Government of supreme, but
    limited, powers.  The sovereign powers not granted to the Federal
    Government are reserved to the people or to the States, unless
    prohibited to the States by the Constitution.
      (c) Federalism reflects the principle that dividing power between
    the Federal Government and the States serves to protect individual
    liberty.  Preserving State authority provides an essential balance
    to the power of the Federal Government, while preserving the
    supremacy of Federal law provides an essential balance to the power
    of the States.
      (d) The people of the States are at liberty, subject only to the
    limitations in the Constitution itself or in Federal law, to define
    the moral, political, and legal character of their lives.
      (e) Our constitutional system encourages a healthy diversity in
    the public policies adopted by the people of the several States
    according to their own conditions, needs, and desires.  States and
    local governments are often uniquely situated to discern the
    sentiments of the people and to govern accordingly.
      (f) Effective public policy is often achieved when there is
    competition among the several States in the fashioning of different
    approaches to public policy issues.  The search for enlightened
    public policy is often furthered when individual States and local
    governments are free to experiment with a variety of approaches to
    public issues.  Uniform, national approaches to public policy
    problems can inhibit the creation of effective solutions to those
    problems.
      (g) Policies of the Federal Government should recognize the
    responsibility of - and should encourage opportunities for -
    States, local governments, private associations, neighborhoods,
    families, and individuals to achieve personal, social,
    environmental, and economic objectives through cooperative effort.
      Sec. 3. Federalism Policymaking Criteria. In addition to adhering
    to the fundamental federalism principles set forth in section 2 of
    this order, agencies shall adhere, to the extent permitted by law,
    to the following criteria when formulating and implementing
    policies that have federalism implications:
      (a) There should be strict adherence to constitutional
    principles.  Agencies should closely examine the constitutional and
    statutory authority supporting any Federal action that would limit
    the policymaking discretion of States and local governments, and
    should carefully assess the necessity for such action.
      (b) Agencies may limit the policymaking discretion of States and
    local governments only after determining that there is
    constitutional and legal authority for the action.
      (c) With respect to Federal statutes and regulations administered
    by States and local governments, the Federal Government should
    grant States and local governments the maximum administrative
    discretion possible.  Any Federal oversight of such State and local
    administration should not unnecessarily intrude on State and local
    discretion.
      (d) It is important to recognize the distinction between matters
    of national or multi-state scope (which may justify Federal action)
    and matters that are merely common to the States (which may not
    justify Federal action because individual States, acting
    individually or together, may effectively deal with them).  Matters
    of national or multi-state scope that justify Federal action may
    arise in a variety of circumstances, including:
      (1) When the matter to be addressed by Federal action occurs
    interstate as opposed to being contained within one State's
    boundaries.
      (2) When the source of the matter to be addressed occurs in a
    State different from the State (or States) where a significant
    amount of the harm occurs.
      (3) When there is a need for uniform national standards.
      (4) When decentralization increases the costs of government thus
    imposing additional burdens on the taxpayer.
      (5) When States have not adequately protected individual rights
    and liberties.
      (6) When States would be reluctant to impose necessary
    regulations because of fears that regulated business activity will
    relocate to other States.
      (7) When placing regulatory authority at the State or local level
    would undermine regulatory goals because high costs or demands for
    specialized expertise will effectively place the regulatory matter
    beyond the resources of State authorities.
      (8) When the matter relates to Federally owned or managed
    property or natural resources, trust obligations, or international
    obligations.
      (9) When the matter to be regulated significantly or uniquely
    affects Indian tribal governments.
      Sec. 4. Consultation. (a) Each agency shall have an effective
    process to permit elected officials and other representatives of
    State and local governments to provide meaningful and timely input
    in the development of regulatory policies that have federalism
    implications.
      (b) To the extent practicable and permitted by law, no agency
    shall promulgate any regulation that is not required by statute,
    that has federalism implications, and that imposes substantial
    direct compliance costs on States and local governments, unless:
        (1) funds necessary to pay the direct costs incurred by the
      State or local government in complying with the regulation are
      provided by the Federal Government; or
        (2) the agency, prior to the formal promulgation of the
      regulation,
          (A) in a separately identified portion of the preamble to the
        regulation as it is to be issued in the Federal Register,
        provides to the Director of the Office of Management and Budget
        a description of the extent of the agency's prior consultation
        with representatives of affected States and local governments,
        a summary of the nature of their concerns, and the agency's
        position supporting the need to issue the regulation; and
          (B) makes available to the Director of the Office of
        Management and Budget any written communications submitted to
        the agency by States or local governments.
      Sec. 5. Increasing Flexibility for State and Local Waivers. (a)
    Agencies shall review the processes under which States and local
    governments apply for waivers of statutory and regulatory
    requirements and take appropriate steps to streamline those
    processes.
      (b) Each agency shall, to the extent practicable and permitted by
    law, consider any application by a State or local government for a
    waiver of statutory or regulatory requirements in connection with
    any program administered by that agency with a general view toward
    increasing opportunities for utilizing flexible policy approaches
    at the State or local level in cases in which the proposed waiver
    is consistent with applicable Federal policy objectives and is
    otherwise appropriate.
      (c) Each agency shall, to the extent practicable and permitted by
    law, render a decision upon a complete application for a waiver
    within 120 days of receipt of such application by the agency.  If
    the application for a waiver is not granted, the agency shall
    provide the applicant with timely written notice of the decision
    and the reasons therefor.
      (d) This section applies only to statutory or regulatory
    requirements that are discretionary and subject to waiver by the
    agency.
      Sec. 6. Independent Agencies. Independent regulatory agencies are
    encouraged to comply with the provisions of this order.
      Sec. 7. General Provisions. (a) This order is intended only to
    improve the internal management of the executive branch and is not
    intended to, and does not, create any right or benefit, substantive
    or procedural, enforceable at law or equity by a party against the
    United States, its agencies or instrumentalities, its officers or
    employees, or any other person.
      (b) This order shall supplement but not supersede the
    requirements contained in Executive Order 12866 (''Regulatory
    Planning and Review'') (set out above), Executive Order 12988
    (''Civil Justice Reform'') (28 U.S.C. 519 note), and OMB Circular
    A-19.
      (c) Executive Order 12612 of October 26, 1987, and Executive
    Order 12875 of October 26, 1993, are revoked.
      (d) The consultation and waiver provisions in sections 4 and 5 of
    this order shall complement the Executive order entitled,
    ''Consultation and Coordination with Indian Tribal Governments,''
    being issued on this day.
      (e) This order shall be effective 90 days after the date of this
    order.                                           William J. Clinton.
          EX. ORD. NO. 13095. SUSPENSION OF EXECUTIVE ORDER 13083
      Ex. Ord. No. 13095, Aug. 5, 1998, 63 F.R. 42565, provided:
      By the authority vested in me as President by the Constitution
    and the laws of the United States of America and in order to enable
    full and adequate consultation with State and local elected
    officials, their representative organizations, and other interested
    parties, it is hereby ordered that Executive Order 13083 (set out
    above), entitled ''Federalism,'' is suspended.
                                                     William J. Clinton.
        EX. ORD. NO. 13107. IMPLEMENTATION OF HUMAN RIGHTS TREATIES
      Ex. Ord. No. 13107, Dec. 10, 1998, 63 F.R. 68991, provided:
      By the authority vested in me as President by the Constitution
    and the laws of the United States of America, and bearing in mind
    the obligations of the United States pursuant to the International
    Covenant on Civil and Political Rights (ICCPR), the Convention
    Against Torture and Other Cruel, Inhuman or Degrading Treatment or
    Punishment (CAT), the Convention on the Elimination of All Forms of
    Racial Discrimination (CERD), and other relevant treaties concerned
    with the protection and promotion of human rights to which the
    United States is now or may become a party in the future, it is
    hereby ordered as follows:
      Section 1. Implementation of Human Rights Obligations. (a) It
    shall be the policy and practice of the Government of the United
    States, being committed to the protection and promotion of human
    rights and fundamental freedoms, fully to respect and implement its
    obligations under the international human rights treaties to which
    it is a party, including the ICCPR, the CAT, and the CERD.
      (b) It shall also be the policy and practice of the Government of
    the United States to promote respect for international human
    rights, both in our relationships with all other countries and by
    working with and strengthening the various international mechanisms
    for the promotion of human rights, including, inter alia, those of
    the United Nations, the International Labor Organization, and the
    Organization of American States.
      Sec. 2. Responsibility of Executive Departments and Agencies. (a)
    All executive departments and agencies (as defined in 5 U.S.C.
    101-105, including boards and commissions, and hereinafter referred
    to collectively as ''agency'' or ''agencies'') shall maintain a
    current awareness of United States international human rights
    obligations that are relevant to their functions and shall perform
    such functions so as to respect and implement those obligations
    fully.  The head of each agency shall designate a single contact
    officer who will be responsible for overall coordination of the
    implementation of this order.  Under this order, all such agencies
    shall retain their established institutional roles in the
    implementation, interpretation, and enforcement of Federal law and
    policy.
      (b) The heads of agencies shall have lead responsibility, in
    coordination with other appropriate agencies, for questions
    concerning implementation of human rights obligations that fall
    within their respective operating and program responsibilities and
    authorities or, to the extent that matters do not fall within the
    operating and program responsibilities and authorities of any
    agency, that most closely relate to their general areas of concern.
      Sec. 3. Human Rights Inquiries and Complaints. Each agency shall
    take lead responsibility, in coordination with other appropriate
    agencies, for responding to inquiries, requests for information,
    and complaints about violations of human rights obligations that
    fall within its areas of responsibility or, if the matter does not
    fall within its areas of responsibility, referring it to the
    appropriate agency for response.
      Sec. 4. Interagency Working Group on Human Rights Treaties. (a)
    There is hereby established an Interagency Working Group on Human
    Rights Treaties for the purpose of providing guidance, oversight,
    and coordination with respect to questions concerning the adherence
    to and implementation of human rights obligations and related
    matters.
      (b) The designee of the Assistant to the President for National
    Security Affairs shall chair the Interagency Working Group, which
    shall consist of appropriate policy and legal representatives at
    the Assistant Secretary level from the Department of State, the
    Department of Justice, the Department of Labor, the Department of
    Defense, the Joint Chiefs of Staff, and other agencies as the chair
    deems appropriate.  The principal members may designate alternates
    to attend meetings in their stead.
      (c) The principal functions of the Interagency Working Group
    shall include:
      (i) coordinating the interagency review of any significant issues
    concerning the implementation of this order and analysis and
    recommendations in connection with pursuing the ratification of
    human rights treaties, as such questions may from time to time
    arise;
      (ii) coordinating the preparation of reports that are to be
    submitted by the United States in fulfillment of treaty
    obligations;
      (iii) coordinating the responses of the United States Government
    to complaints against it concerning alleged human rights violations
    submitted to the United Nations, the Organization of American
    States, and other international organizations;
      (iv) developing effective mechanisms to ensure that legislation
    proposed by the Administration is reviewed for conformity with
    international human rights obligations and that these obligations
    are taken into account in reviewing legislation under consideration
    by the Congress as well;
      (v) developing recommended proposals and mechanisms for improving
    the monitoring of the actions by the various States, Commonwealths,
    and territories of the United States and, where appropriate, of
    Native Americans and Federally recognized Indian tribes, including
    the review of State, Commonwealth, and territorial laws for their
    conformity with relevant treaties, the provision of relevant
    information for reports and other monitoring purposes, and the
    promotion of effective remedial mechanisms;
      (vi) developing plans for public outreach and education
    concerning the provisions of the ICCPR, CAT, CERD, and other
    relevant treaties, and human rights-related provisions of domestic
    law;
      (vii) coordinating and directing an annual review of United
    States reservations, declarations, and understandings to human
    rights treaties, and matters as to which there have been nontrivial
    complaints or allegations of inconsistency with or breach of
    international human rights obligations, in order to determine
    whether there should be consideration of any modification of
    relevant reservations, declarations, and understandings to human
    rights treaties, or United States practices or laws.  The results
    and recommendations of this review shall be reviewed by the head of
    each participating agency;
      (viii) making such other recommendations as it shall deem
    appropriate to the President, through the Assistant to the
    President for National Security Affairs, concerning United States
    adherence to or implementation of human rights treaties and related
    matters; and
      (ix) coordinating such other significant tasks in connection with
    human rights treaties or international human rights institutions,
    including the Inter-American Commission on Human Rights and the
    Special Rapporteurs and complaints procedures established by the
    United Nations Human Rights Commission.
      (d) The work of the Interagency Working Group shall not supplant
    the work of other interagency entities, including the President's
    Committee on the International Labor Organization, that address
    international human rights issues.
      Sec. 5. Cooperation Among Executive Departments and Agencies. All
    agencies shall cooperate in carrying out the provisions of this
    order.  The Interagency Working Group shall facilitate such
    cooperative measures.
      Sec. 6. Judicial Review, Scope, and Administration. (a) Nothing
    in this order shall create any right or benefit, substantive or
    procedural, enforceable by any party against the United States, its
    agencies or instrumentalities, its officers or employees, or any
    other person.
      (b) This order does not supersede Federal statutes and does not
    impose any justiciable obligations on the executive branch.
      (c) The term ''treaty obligations'' shall mean treaty obligations
    as approved by the Senate pursuant to Article II, section 2, clause
    2 of the United States Constitution.
      (d) To the maximum extent practicable and subject to the
    availability of appropriations, agencies shall carry out the
    provisions of this order.                        William J. Clinton.
      REGULATORY REFORM - WAIVER OF PENALTIES AND REDUCTION OF REPORTS
      Memorandum of President of the United States, Apr. 21, 1995, 60
    F.R. 20621, provided:
      Memorandum for
      The Secretary of State
      The Secretary of the Treasury
      The Secretary of Defense
      The Attorney General
      The Secretary of the Interior
      The Secretary of Agriculture
      The Secretary of Commerce
      The Secretary of Labor
      The Secretary of Health and Human Services
      The Secretary of Housing and Urban Development
      The Secretary of Transportation
      The Secretary of Energy
      The Secretary of Education
      The Secretary of Veterans Affairs
      The Administrator, Environmental Protection Agency
      The Administrator, Small Business Administration
      The Secretary of the Army
      The Secretary of the Navy
      The Secretary of the Air Force
      The Director, Federal Emergency Management Agency
      The Administrator, National Aeronautics and Space Administration
      The Director, National Science Foundation
      The Acting Archivist of the United States
      The Administrator of General Services
      The Chair, Railroad Retirement Board
      The Chairperson, Architectural and Transportation Barriers
    Compliance Board
      The Executive Director, Pension Benefit Guaranty Corporation
      On March 16, I announced that the Administration would implement
    new policies to give compliance officials more flexibility in
    dealing with small business and to cut back on paperwork.  These
    Governmentwide policies, as well as the specific agency actions I
    announced, are part of this Administration's continuing commitment
    to sensible regulatory reform.  With your help and cooperation, we
    hope to move the Government toward a more flexible, effective, and
    user friendly approach to regulation.
      A. Actions: This memorandum directs the designated department and
    agency heads to implement the policies set forth below.
      1. Authority to Waive Penalties. (a) To the extent permitted by
    law, each agency shall use its discretion to modify the penalties
    for small businesses in the following situations.  Agencies shall
    exercise their enforcement discretion to waive the imposition of
    all or a portion of a penalty when the violation is corrected
    within a time period appropriate to the violation in question.  For
    those violations that may take longer to correct than the period
    set by the agency, the agency shall use its enforcement discretion
    to waive up to 100 percent of the financial penalties if the
    amounts waived are used to bring the entity into compliance.  The
    provisions in paragraph 1(a) of this memorandum shall apply only
    where there has been a good faith effort to comply with applicable
    regulations and the violation does not involve criminal wrongdoing
    or significant threat to health, safety, or the environment.
      (b) Each agency shall, by June 15, 1995, submit a plan to the
    Director of the Office of Management and Budget (''Director'')
    describing the actions it will take to implement the policies in
    paragraph 1(a) of this memorandum.  The plan shall provide that the
    agency will implement the policies described in paragraph 1(a) of
    this memorandum on or before July 14, 1995. Plans should include
    information on how notification will be given to frontline workers
    and small businesses.
      2. Cutting Frequency of Reports. (a) Each agency shall reduce by
    one-half the frequency of the regularly scheduled reports that the
    public is required, by rule or by policy, to provide to the
    Government (from quarterly to semiannually, from semiannually to
    annually, etc.), unless the department or agency head determines
    that such action is not legally permissible; would not adequately
    protect health, safety, or the environment; would be inconsistent
    with achieving regulatory flexibility or reducing regulatory
    burdens; or would impede the effective administration of the
    agency's program.  The duty to make such determinations shall be
    nondelegable.
      (b) Each agency shall, by June 15, 1995, submit a plan to the
    Director describing the actions it will take to implement the
    policies in paragraph 2(a), including a copy of any determination
    that certain reports are excluded.
      B. Application and Scope: 1. The Director may issue further
    guidance as necessary to carry out the purposes of this memorandum.
      2. This memorandum does not apply to matters related to law
    enforcement, national security, or foreign affairs, the importation
    or exportation of prohibited or restricted items, Government taxes,
    duties, fees, revenues, or receipts; nor does it apply to agencies
    (or components thereof) whose principal purpose is the collection,
    analysis, and dissemination of statistical information.
      3. This memorandum is not intended, and should not be construed,
    to create any right or benefit, substantive or procedural,
    enforceable at law by a party against the United States, its
    agencies, its officers, or its employees.
      4. The Director of the Office of Management and Budget is
    authorized and directed to publish this memorandum in the Federal
    Register.                                        William J. Clinton.
                    PLAIN LANGUAGE IN GOVERNMENT WRITING
      Memorandum of President of the United States, June 1, 1998, 63
    F.R. 31885, provided:
      Memorandum for the Heads of Executive Departments and Agencies
      The Vice President and I have made reinventing the Federal
    Government a top priority of my Administration. We are determined
    to make the Government more responsive, accessible, and
    understandable in its communications with the public.
      The Federal Government's writing must be in plain language.  By
    using plain language, we send a clear message about what the
    Government is doing, what it requires, and what services it
    offers.  Plain language saves the Government and the private sector
    time, effort, and money.
      Plain language requirements vary from one document to another,
    depending on the intended audience.  Plain language documents have
    logical organization, easy-to-read design features, and use:
        common, everyday words, except for necessary technical terms;
        ''you'' and other pronouns;
        the active voice; and
        short sentences.
      To ensure the use of plain language, I direct you to do the
    following:
        By October 1, 1998, use plain language in all new documents,
        other than regulations, that explain how to obtain a benefit or
        service or how to comply with a requirement you administer or
        enforce.  For example, these documents may include letters,
        forms, notices, and instructions.  By January 1, 2002, all such
        documents created prior to October 1, 1998, must also be in
        plain language.
        By January 1, 1999, use plain language in all proposed and
        final rulemaking documents published in the Federal Register,
        unless you proposed the rule before that date.  You should
        consider rewriting existing regulations in plain language when
        you have the opportunity and resources to do so.
      The National Partnership for Reinventing Government will issue
    guidance to help you comply with these directives and to explain
    more fully the elements of plain language.  You should also use
    customer feedback and common sense to guide your plain language
    efforts.
      I ask the independent agencies to comply with these directives.
      This memorandum does not confer any right or benefit enforceable
    by law against the United States or its representatives.  The
    Director of the Office of Management and Budget will publish this
    memorandum in the Federal Register.              William J. Clinton.
 
-SECREF-
                   SECTION REFERRED TO IN OTHER SECTIONS
      This section is referred to in sections 504, 611 of this title;
    title 2 section 658; title 28 section 2412; title 44 section 3506.
 
-CITE-
     5 USC Sec. 602                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 602. Regulatory agenda
 
-STATUTE-
      (a) During the months of October and April of each year, each
    agency shall publish in the Federal Register a regulatory
    flexibility agenda which shall contain -
        (1) a brief description of the subject area of any rule which
      the agency expects to propose or promulgate which is likely to
      have a significant economic impact on a substantial number of
      small entities;
        (2) a summary of the nature of any such rule under
      consideration for each subject area listed in the agenda pursuant
      to paragraph (1), the objectives and legal basis for the issuance
      of the rule, and an approximate schedule for completing action on
      any rule for which the agency has issued a general notice of
      proposed rulemaking, (FOOTNOTE 1) and
       (FOOTNOTE 1) So in original.  The comma probably should be a
    semicolon.
        (3) the name and telephone number of an agency official
      knowledgeable concerning the items listed in paragraph (1).
      (b) Each regulatory flexibility agenda shall be transmitted to
    the Chief Counsel for Advocacy of the Small Business Administration
    for comment, if any.
      (c) Each agency shall endeavor to provide notice of each
    regulatory flexibility agenda to small entities or their
    representatives through direct notification or publication of the
    agenda in publications likely to be obtained by such small entities
    and shall invite comments upon each subject area on the agenda.
      (d) Nothing in this section precludes an agency from considering
    or acting on any matter not included in a regulatory flexibility
    agenda, or requires an agency to consider or act on any matter
    listed in such agenda.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1166.)
 
-SECREF-
                   SECTION REFERRED TO IN OTHER SECTIONS
      This section is referred to in section 605 of this title.
 
-CITE-
     5 USC Sec. 603                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 603. Initial regulatory flexibility analysis
 
-STATUTE-
      (a) Whenever an agency is required by section 553 of this title,
    or any other law, to publish general notice of proposed rulemaking
    for any proposed rule, or publishes a notice of proposed rulemaking
    for an interpretative rule involving the internal revenue laws of
    the United States, the agency shall prepare and make available for
    public comment an initial regulatory flexibility analysis.  Such
    analysis shall describe the impact of the proposed rule on small
    entities.  The initial regulatory flexibility analysis or a summary
    shall be published in the Federal Register at the time of the
    publication of general notice of proposed rulemaking for the rule.
    The agency shall transmit a copy of the initial regulatory
    flexibility analysis to the Chief Counsel for Advocacy of the Small
    Business Administration. In the case of an interpretative rule
    involving the internal revenue laws of the United States, this
    chapter applies to interpretative rules published in the Federal
    Register for codification in the Code of Federal Regulations, but
    only to the extent that such interpretative rules impose on small
    entities a collection of information requirement.
      (b) Each initial regulatory flexibility analysis required under
    this section shall contain -
        (1) a description of the reasons why action by the agency is
      being considered;
        (2) a succinct statement of the objectives of, and legal basis
      for, the proposed rule;
        (3) a description of and, where feasible, an estimate of the
      number of small entities to which the proposed rule will apply;
        (4) a description of the projected reporting, recordkeeping and
      other compliance requirements of the proposed rule, including an
      estimate of the classes of small entities which will be subject
      to the requirement and the type of professional skills necessary
      for preparation of the report or record;
        (5) an identification, to the extent practicable, of all
      relevant Federal rules which may duplicate, overlap or conflict
      with the proposed rule.
      (c) Each initial regulatory flexibility analysis shall also
    contain a description of any significant alternatives to the
    proposed rule which accomplish the stated objectives of applicable
    statutes and which minimize any significant economic impact of the
    proposed rule on small entities.  Consistent with the stated
    objectives of applicable statutes, the analysis shall discuss
    significant alternatives such as -
        (1) the establishment of differing compliance or reporting
      requirements or timetables that take into account the resources
      available to small entities;
        (2) the clarification, consolidation, or simplification of
      compliance and reporting requirements under the rule for such
      small entities;
        (3) the use of performance rather than design standards; and
        (4) an exemption from coverage of the rule, or any part
      thereof, for such small entities.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1166;
    amended Pub. L. 104-121, title II, Sec. 241(a)(1), Mar. 29, 1996,
    110 Stat. 864.)
 
-REFTEXT-
                             REFERENCES IN TEXT
      The internal revenue laws, referred to in subsec. (a), are
    classified generally to Title 26, Internal Revenue Code.
 
-MISC2-
                                 AMENDMENTS
      1996 - Subsec. (a). Pub. L. 104-121, Sec. 241(a)(1)(B), inserted
    at end ''In the case of an interpretative rule involving the
    internal revenue laws of the United States, this chapter applies to
    interpretative rules published in the Federal Register for
    codification in the Code of Federal Regulations, but only to the
    extent that such interpretative rules impose on small entities a
    collection of information requirement.''
      Pub. L. 104-121, Sec. 241(a)(1)(A), which directed the insertion
    of '', or publishes a notice of proposed rulemaking for an
    interpretative rule involving the internal revenue laws of the
    United States'' after ''proposed rule'' was executed by making the
    insertion where those words appeared in first sentence to reflect
    the probable intent of Congress.
                      EFFECTIVE DATE OF 1996 AMENDMENT
      Amendment by Pub. L. 104-121 effective on expiration of 90 days
    after Mar. 29, 1996, but inapplicable to interpretative rules for
    which a notice of proposed rulemaking was published prior to Mar.
    29, 1996, see section 245 of Pub. L. 104-121, set out as a note
    under section 601 of this title.
 
-SECREF-
                   SECTION REFERRED TO IN OTHER SECTIONS
      This section is referred to in sections 604, 605, 606, 607, 608,
    609, 801 of this title; title 42 section 1302.
 
-CITE-
     5 USC Sec. 604                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 604. Final regulatory flexibility analysis
 
-STATUTE-
      (a) When an agency promulgates a final rule under section 553 of
    this title, after being required by that section or any other law
    to publish a general notice of proposed rulemaking, or promulgates
    a final interpretative rule involving the internal revenue laws of
    the United States as described in section 603(a), the agency shall
    prepare a final regulatory flexibility analysis.  Each final
    regulatory flexibility analysis shall contain -
        (1) a succinct statement of the need for, and objectives of,
      the rule;
        (2) a summary of the significant issues raised by the public
      comments in response to the initial regulatory flexibility
      analysis, a summary of the assessment of the agency of such
      issues, and a statement of any changes made in the proposed rule
      as a result of such comments;
        (3) a description of and an estimate of the number of small
      entities to which the rule will apply or an explanation of why no
      such estimate is available;
        (4) a description of the projected reporting, recordkeeping and
      other compliance requirements of the rule, including an estimate
      of the classes of small entities which will be subject to the
      requirement and the type of professional skills necessary for
      preparation of the report or record; and
        (5) a description of the steps the agency has taken to minimize
      the significant economic impact on small entities consistent with
      the stated objectives of applicable statutes, including a
      statement of the factual, policy, and legal reasons for selecting
      the alternative adopted in the final rule and why each one of the
      other significant alternatives to the rule considered by the
      agency which affect the impact on small entities was rejected.
      (b) The agency shall make copies of the final regulatory
    flexibility analysis available to members of the public and shall
    publish in the Federal Register such analysis or a summary thereof.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1167;
    amended Pub. L. 104-121, title II, Sec. 241(b), Mar. 29, 1996, 110
    Stat. 864.)
 
-REFTEXT-
                             REFERENCES IN TEXT
      The internal revenue laws, referred to in subsec. (a), are
    classified generally to Title 26, Internal Revenue Code.
 
-MISC2-
                                 AMENDMENTS
      1996 - Subsec. (a). Pub. L. 104-121, Sec. 241(b)(1), amended
    subsec. (a) generally.  Prior to amendment, subsec. (a) read as
    follows: ''When an agency promulgates a final rule under section
    553 of this title, after being required by that section or any
    other law to publish a general notice of proposed rulemaking, the
    agency shall prepare a final regulatory flexibility analysis.  Each
    final regulatory flexibility analysis shall contain -
        ''(1) a succinct statement of the need for, and the objectives
      of, the rule;
        ''(2) a summary of the issues raised by the public comments in
      response to the initial regulatory flexibility analysis, a
      summary of the assessment of the agency of such issues, and a
      statement of any changes made in the proposed rule as a result of
      such comments; and
        ''(3) a description of each of the significant alternatives to
      the rule consistent with the stated objectives of applicable
      statutes and designed to minimize any significant economic impact
      of the rule on small entities which was considered by the agency,
      and a statement of the reasons why each one of such alternatives
      was rejected.''
      Subsec. (b). Pub. L. 104-121, Sec. 241(b)(2), substituted ''such
    analysis or a summary thereof.'' for ''at the time of publication
    of the final rule under section 553 of this title a statement
    describing how the public may obtain such copies.''
                      EFFECTIVE DATE OF 1996 AMENDMENT
      Amendment by Pub. L. 104-121 effective on expiration of 90 days
    after Mar. 29, 1996, but inapplicable to interpretative rules for
    which a notice of proposed rulemaking was published prior to Mar.
    29, 1996, see section 245 of Pub. L. 104-121, set out as a note
    under section 601 of this title.
 
-SECREF-
                   SECTION REFERRED TO IN OTHER SECTIONS
      This section is referred to in sections 605, 606, 607, 608, 611,
    801 of this title; title 42 section 1302.
 
-CITE-
     5 USC Sec. 605                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 605. Avoidance of duplicative or unnecessary analyses
 
-STATUTE-
      (a) Any Federal agency may perform the analyses required by
    sections 602, 603, and 604 of this title in conjunction with or as
    a part of any other agenda or analysis required by any other law if
    such other analysis satisfies the provisions of such sections.
      (b) Sections 603 and 604 of this title shall not apply to any
    proposed or final rule if the head of the agency certifies that the
    rule will not, if promulgated, have a significant economic impact
    on a substantial number of small entities.  If the head of the
    agency makes a certification under the preceding sentence, the
    agency shall publish such certification in the Federal Register at
    the time of publication of general notice of proposed rulemaking
    for the rule or at the time of publication of the final rule, along
    with a statement providing the factual basis for such
    certification.  The agency shall provide such certification and
    statement to the Chief Counsel for Advocacy of the Small Business
    Administration.
      (c) In order to avoid duplicative action, an agency may consider
    a series of closely related rules as one rule for the purposes of
    sections 602, 603, 604 and 610 of this title.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1167;
    amended Pub. L. 104-121, title II, Sec. 243(a), Mar. 29, 1996, 110
    Stat. 866.)
 
-MISC1-
                                 AMENDMENTS
      1996 - Subsec. (b). Pub. L. 104-121 amended subsec. (b)
    generally.  Prior to amendment, subsec. (b) read as follows:
    ''Sections 603 and 604 of this title shall not apply to any
    proposed or final rule if the head of the agency certifies that the
    rule will not, if promulgated, have a significant economic impact
    on a substantial number of small entities.  If the head of the
    agency makes a certification under the preceding sentence, the
    agency shall publish such certification in the Federal Register, at
    the time of publication of general notice of proposed rulemaking
    for the rule or at the time of publication of the final rule, along
    with a succinct statement explaining the reasons for such
    certification, and provide such certification and statement to the
    Chief Counsel for Advocacy of the Small Business Administration.''
                      EFFECTIVE DATE OF 1996 AMENDMENT
      Amendment by Pub. L. 104-121 effective on expiration of 90 days
    after Mar. 29, 1996, but inapplicable to interpretative rules for
    which a notice of proposed rulemaking was published prior to Mar.
    29, 1996, see section 245 of Pub. L. 104-121, set out as a note
    under section 601 of this title.
 
-SECREF-
                   SECTION REFERRED TO IN OTHER SECTIONS
      This section is referred to in sections 608, 609, 611, 801 of
    this title.
 
-CITE-
     5 USC Sec. 606                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 606. Effect on other law
 
-STATUTE-
      The requirements of sections 603 and 604 of this title do not
    alter in any manner standards otherwise applicable by law to agency
    action.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1168.)
 
-CITE-
     5 USC Sec. 607                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 607. Preparation of analyses
 
-STATUTE-
      In complying with the provisions of sections 603 and 604 of this
    title, an agency may provide either a quantifiable or numerical
    description of the effects of a proposed rule or alternatives to
    the proposed rule, or more general descriptive statements if
    quantification is not practicable or reliable.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1168.)
 
-SECREF-
                   SECTION REFERRED TO IN OTHER SECTIONS
      This section is referred to in sections 611, 801 of this title.
 
-CITE-
     5 USC Sec. 608                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 608. Procedure for waiver or delay of completion
 
-STATUTE-
      (a) An agency head may waive or delay the completion of some or
    all of the requirements of section 603 of this title by publishing
    in the Federal Register, not later than the date of publication of
    the final rule, a written finding, with reasons therefor, that the
    final rule is being promulgated in response to an emergency that
    makes compliance or timely compliance with the provisions of
    section 603 of this title impracticable.
      (b) Except as provided in section 605(b), an agency head may not
    waive the requirements of section 604 of this title.  An agency
    head may delay the completion of the requirements of section 604 of
    this title for a period of not more than one hundred and eighty
    days after the date of publication in the Federal Register of a
    final rule by publishing in the Federal Register, not later than
    such date of publication, a written finding, with reasons therefor,
    that the final rule is being promulgated in response to an
    emergency that makes timely compliance with the provisions of
    section 604 of this title impracticable.  If the agency has not
    prepared a final regulatory analysis pursuant to section 604 of
    this title within one hundred and eighty days from the date of
    publication of the final rule, such rule shall lapse and have no
    effect.  Such rule shall not be repromulgated until a final
    regulatory flexibility analysis has been completed by the agency.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1168.)
 
-SECREF-
                   SECTION REFERRED TO IN OTHER SECTIONS
      This section is referred to in section 611 of this title.
 
-CITE-
     5 USC Sec. 609                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 609. Procedures for gathering comments
 
-STATUTE-
      (a) When any rule is promulgated which will have a significant
    economic impact on a substantial number of small entities, the head
    of the agency promulgating the rule or the official of the agency
    with statutory responsibility for the promulgation of the rule
    shall assure that small entities have been given an opportunity to
    participate in the rulemaking for the rule through the reasonable
    use of techniques such as -
        (1) the inclusion in an advanced notice of proposed rulemaking,
      if issued, of a statement that the proposed rule may have a
      significant economic effect on a substantial number of small
      entities;
        (2) the publication of general notice of proposed rulemaking in
      publications likely to be obtained by small entities;
        (3) the direct notification of interested small entities;
        (4) the conduct of open conferences or public hearings
      concerning the rule for small entities including soliciting and
      receiving comments over computer networks; and
        (5) the adoption or modification of agency procedural rules to
      reduce the cost or complexity of participation in the rulemaking
      by small entities.
      (b) Prior to publication of an initial regulatory flexibility
    analysis which a covered agency is required to conduct by this
    chapter -
        (1) a covered agency shall notify the Chief Counsel for
      Advocacy of the Small Business Administration and provide the
      Chief Counsel with information on the potential impacts of the
      proposed rule on small entities and the type of small entities
      that might be affected;
        (2) not later than 15 days after the date of receipt of the
      materials described in paragraph (1), the Chief Counsel shall
      identify individuals representative of affected small entities
      for the purpose of obtaining advice and recommendations from
      those individuals about the potential impacts of the proposed
      rule;
        (3) the agency shall convene a review panel for such rule
      consisting wholly of full time Federal employees of the office
      within the agency responsible for carrying out the proposed rule,
      the Office of Information and Regulatory Affairs within the
      Office of Management and Budget, and the Chief Counsel;
        (4) the panel shall review any material the agency has prepared
      in connection with this chapter, including any draft proposed
      rule, collect advice and recommendations of each individual small
      entity representative identified by the agency after consultation
      with the Chief Counsel, on issues related to subsections 603(b),
      paragraphs (3), (4) and (5) and 603(c);
        (5) not later than 60 days after the date a covered agency
      convenes a review panel pursuant to paragraph (3), the review
      panel shall report on the comments of the small entity
      representatives and its findings as to issues related to
      subsections 603(b), paragraphs (3), (4) and (5) and 603(c),
      provided that such report shall be made public as part of the
      rulemaking record; and
        (6) where appropriate, the agency shall modify the proposed
      rule, the initial regulatory flexibility analysis or the decision
      on whether an initial regulatory flexibility analysis is
      required.
      (c) An agency may in its discretion apply subsection (b) to rules
    that the agency intends to certify under subsection 605(b), but the
    agency believes may have a greater than de minimis impact on a
    substantial number of small entities.
      (d) For purposes of this section, the term ''covered agency''
    means the Environmental Protection Agency and the Occupational
    Safety and Health Administration of the Department of Labor.
      (e) The Chief Counsel for Advocacy, in consultation with the
    individuals identified in subsection (b)(2), and with the
    Administrator of the Office of Information and Regulatory Affairs
    within the Office of Management and Budget, may waive the
    requirements of subsections (b)(3), (b)(4), and (b)(5) by including
    in the rulemaking record a written finding, with reasons therefor,
    that those requirements would not advance the effective
    participation of small entities in the rulemaking process.  For
    purposes of this subsection, the factors to be considered in making
    such a finding are as follows:
        (1) In developing a proposed rule, the extent to which the
      covered agency consulted with individuals representative of
      affected small entities with respect to the potential impacts of
      the rule and took such concerns into consideration.
        (2) Special circumstances requiring prompt issuance of the
      rule.
        (3) Whether the requirements of subsection (b) would provide
      the individuals identified in subsection (b)(2) with a
      competitive advantage relative to other small entities.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1168;
    amended Pub. L. 104-121, title II, Sec. 244(a), Mar. 29, 1996, 110
    Stat. 867.)
 
-MISC1-
                                 AMENDMENTS
      1996 - Pub. L. 104-121, Sec. 244(a)(2), (3), designated existing
    provisions as subsec. (a) and inserted ''including soliciting and
    receiving comments over computer networks'' after ''entities'' in
    par. (4).
      Pub. L. 104-121, Sec. 244(a)(1), which directed insertion of
    ''the reasonable use of'' before ''techniques,'' in introductory
    provisions, was executed by making the insertion in text which did
    not contain a comma after the word ''techniques'' to reflect the
    probable intent of Congress.
      Subsecs. (b) to (e). Pub. L. 104-121, Sec. 244(a)(4), added
    subsecs. (b) to (e).
                      EFFECTIVE DATE OF 1996 AMENDMENT
      Amendment by Pub. L. 104-121 effective on expiration of 90 days
    after Mar. 29, 1996, but inapplicable to interpretative rules for
    which a notice of proposed rulemaking was published prior to Mar.
    29, 1996, see section 245 of Pub. L. 104-121, set out as a note
    under section 601 of this title.
                    SMALL BUSINESS ADVOCACY CHAIRPERSONS
      Section 244(b) of Pub. L. 104-121 provided that: ''Not later than
    30 days after the date of enactment of this Act (Mar. 29, 1996),
    the head of each covered agency that has conducted a final
    regulatory flexibility analysis shall designate a small business
    advocacy chairperson using existing personnel to the extent
    possible, to be responsible for implementing this section and to
    act as permanent chair of the agency's review panels established
    pursuant to this section.''
 
-SECREF-
                   SECTION REFERRED TO IN OTHER SECTIONS
      This section is referred to in sections 611, 801 of this title.
 
-CITE-
     5 USC Sec. 610                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 610. Periodic review of rules
 
-STATUTE-
      (a) Within one hundred and eighty days after the effective date
    of this chapter, each agency shall publish in the Federal Register
    a plan for the periodic review of the rules issued by the agency
    which have or will have a significant economic impact upon a
    substantial number of small entities.  Such plan may be amended by
    the agency at any time by publishing the revision in the Federal
    Register. The purpose of the review shall be to determine whether
    such rules should be continued without change, or should be amended
    or rescinded, consistent with the stated objectives of applicable
    statutes, to minimize any significant economic impact of the rules
    upon a substantial number of such small entities.  The plan shall
    provide for the review of all such agency rules existing on the
    effective date of this chapter within ten years of that date and
    for the review of such rules adopted after the effective date of
    this chapter within ten years of the publication of such rules as
    the final rule.  If the head of the agency determines that
    completion of the review of existing rules is not feasible by the
    established date, he shall so certify in a statement published in
    the Federal Register and may extend the completion date by one year
    at a time for a total of not more than five years.
      (b) In reviewing rules to minimize any significant economic
    impact of the rule on a substantial number of small entities in a
    manner consistent with the stated objectives of applicable
    statutes, the agency shall consider the following factors -
        (1) the continued need for the rule;
        (2) the nature of complaints or comments received concerning
      the rule from the public;
        (3) the complexity of the rule;
        (4) the extent to which the rule overlaps, duplicates or
      conflicts with other Federal rules, and, to the extent feasible,
      with State and local governmental rules; and
        (5) the length of time since the rule has been evaluated or the
      degree to which technology, economic conditions, or other factors
      have changed in the area affected by the rule.
      (c) Each year, each agency shall publish in the Federal Register
    a list of the rules which have a significant economic impact on a
    substantial number of small entities, which are to be reviewed
    pursuant to this section during the succeeding twelve months.  The
    list shall include a brief description of each rule and the need
    for and legal basis of such rule and shall invite public comment
    upon the rule.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1169.)
 
-REFTEXT-
                             REFERENCES IN TEXT
      The effective date of this chapter, referred to in subsec. (a),
    is Jan. 1, 1981. See Effective Date note set out under section 601
    of this title.
 
-SECREF-
                   SECTION REFERRED TO IN OTHER SECTIONS
      This section is referred to in sections 605, 611 of this title.
 
-CITE-
     5 USC Sec. 611                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 611. Judicial review
 
-STATUTE-
      (a)(1) For any rule subject to this chapter, a small entity that
    is adversely affected or aggrieved by final agency action is
    entitled to judicial review of agency compliance with the
    requirements of sections 601, 604, 605(b), 608(b), and 610 in
    accordance with chapter 7. Agency compliance with sections 607 and
    609(a) shall be judicially reviewable in connection with judicial
    review of section 604.
      (2) Each court having jurisdiction to review such rule for
    compliance with section 553, or under any other provision of law,
    shall have jurisdiction to review any claims of noncompliance with
    sections 601, 604, 605(b), 608(b), and 610 in accordance with
    chapter 7. Agency compliance with sections 607 and 609(a) shall be
    judicially reviewable in connection with judicial review of section
    604.
      (3)(A) A small entity may seek such review during the period
    beginning on the date of final agency action and ending one year
    later, except that where a provision of law requires that an action
    challenging a final agency action be commenced before the
    expiration of one year, such lesser period shall apply to an action
    for judicial review under this section.
      (B) In the case where an agency delays the issuance of a final
    regulatory flexibility analysis pursuant to section 608(b) of this
    chapter, an action for judicial review under this section shall be
    filed not later than -
        (i) one year after the date the analysis is made available to
      the public, or
        (ii) where a provision of law requires that an action
      challenging a final agency regulation be commenced before the
      expiration of the 1-year period, the number of days specified in
      such provision of law that is after the date the analysis is made
      available to the public.
      (4) In granting any relief in an action under this section, the
    court shall order the agency to take corrective action consistent
    with this chapter and chapter 7, including, but not limited to -
        (A) remanding the rule to the agency, and
        (B) deferring the enforcement of the rule against small
      entities unless the court finds that continued enforcement of the
      rule is in the public interest.
      (5) Nothing in this subsection shall be construed to limit the
    authority of any court to stay the effective date of any rule or
    provision thereof under any other provision of law or to grant any
    other relief in addition to the requirements of this section.
      (b) In an action for the judicial review of a rule, the
    regulatory flexibility analysis for such rule, including an
    analysis prepared or corrected pursuant to paragraph (a)(4), shall
    constitute part of the entire record of agency action in connection
    with such review.
      (c) Compliance or noncompliance by an agency with the provisions
    of this chapter shall be subject to judicial review only in
    accordance with this section.
      (d) Nothing in this section bars judicial review of any other
    impact statement or similar analysis required by any other law if
    judicial review of such statement or analysis is otherwise
    permitted by law.
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1169;
    amended Pub. L. 104-121, title II, Sec. 242, Mar. 29, 1996, 110
    Stat. 865.)
 
-MISC1-
                                 AMENDMENTS
      1996 - Pub. L. 104-121 amended section generally.  Prior to
    amendment, section read as follows:
      ''(a) Except as otherwise provided in subsection (b), any
    determination by an agency concerning the applicability of any of
    the provisions of this chapter to any action of the agency shall
    not be subject to judicial review.
      ''(b) Any regulatory flexibility analysis prepared under sections
    603 and 604 of this title and the compliance or noncompliance of
    the agency with the provisions of this chapter shall not be subject
    to judicial review.  When an action for judicial review of a rule
    is instituted, any regulatory flexibility analysis for such rule
    shall constitute part of the whole record of agency action in
    connection with the review.
      ''(c) Nothing in this section bars judicial review of any other
    impact statement or similar analysis required by any other law if
    judicial review of such statement or analysis is otherwise provided
    by law.''
                      EFFECTIVE DATE OF 1996 AMENDMENT
      Amendment by Pub. L. 104-121 effective on expiration of 90 days
    after Mar. 29, 1996, but inapplicable to interpretative rules for
    which a notice of proposed rulemaking was published prior to Mar.
    29, 1996, see section 245 of Pub. L. 104-121, set out as a note
    under section 601 of this title.
 
-CITE-
     5 USC Sec. 612                                              01/05/99
 
-EXPCITE-
    TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
    PART I - THE AGENCIES GENERALLY
    CHAPTER 6 - THE ANALYSIS OF REGULATORY FUNCTIONS
 
-HEAD-
    Sec. 612. Reports and intervention rights
 
-STATUTE-
      (a) The Chief Counsel for Advocacy of the Small Business
    Administration shall monitor agency compliance with this chapter
    and shall report at least annually thereon to the President and to
    the Committees on the Judiciary and Small Business of the Senate
    and House of Representatives.
      (b) The Chief Counsel for Advocacy of the Small Business
    Administration is authorized to appear as amicus curiae in any
    action brought in a court of the United States to review a rule.
    In any such action, the Chief Counsel is authorized to present his
    or her views with respect to compliance with this chapter, the
    adequacy of the rulemaking record with respect to small entities
    and the effect of the rule on small entities.
      (c) A court of the United States shall grant the application of
    the Chief Counsel for Advocacy of the Small Business Administration
    to appear in any such action for the purposes described in
    subsection (b).
 
-SOURCE-
    (Added Pub. L. 96-354, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1170;
    amended Pub. L. 104-121, title II, Sec. 243(b), Mar. 29, 1996, 110
    Stat. 866.)
 
-MISC1-
                                 AMENDMENTS
      1996 - Subsec. (a). Pub. L. 104-121, Sec. 243(b)(1), which
    directed substitution of ''the Committees on the Judiciary and
    Small Business of the Senate and House of Representatives'' for
    ''the committees on the Judiciary of the Senate and the House of
    Representatives, the Select Committee on Small Business of the
    Senate, and the Committee on Small Business of the House of
    Representatives'', was executed by making the substitution for
    ''the Committees on the Judiciary of the Senate and House of
    Representatives, the Select Committee on Small Business of the
    Senate, and the Committee on Small Business of the House of
    Representatives'' to reflect the probable intent of Congress.
      Subsec. (b). Pub. L. 104-121, Sec. 243(b)(2), substituted ''his
    or her views with respect to compliance with this chapter, the
    adequacy of the rulemaking record with respect to small entities
    and the'' for ''his views with respect to the''.
                      EFFECTIVE DATE OF 1996 AMENDMENT
      Amendment by Pub. L. 104-121 effective on expiration of 90 days
    after Mar. 29, 1996, but inapplicable to interpretative rules for
    which a notice of proposed rulemaking was published prior to Mar.
    29, 1996, see section 245 of Pub. L. 104-121, set out as a note
    under section 601 of this title.


Title 5 Index       U.S. Code Index