The Reg Map Step Nine Step Eight Informal Rulemaking Step Seven Publication of Step Six OMB Review Final Rule, Preparation of of Final Rule, Interim Final Step Five Rule, or Direct Public Comments Final Rule, Interim Final Step Four Rule, or Direct Final Rule Publication of Interim Final Step Three Rule, or Direct Final Rule Proposed Rule Comments Step Two OMB Review of Final Rule Congressional Review Act Proposed Rule Under the Administrative Procedure (5 U.S.C. 801-808) Step One Preparation of Act provisions of 5 U.S.C. 553, an OMB Review Under Proposed Rule Administrative Procedure agency must provide the public the Executive Order 12866 An agency must submit most final Determination Act Provisions opportunity to submit written Final Rule rules, interim final rules, and direct OMB Review Under comments for consideration by the OMB reviews only those rulemaking final rules, along with supporting Whether a Rule agency. Initiating Executive Order 12866 The Administrative Procedure Act A final rule adds, changes, deletes, actions determined to be information, to both houses of Proposed Rule provisions at 5 U.S.C. 553 require or affirms regulatory text. “significant.” Congress and the General Accounting Events Is Needed As required by Public Law No. 107-347, Office before they can take effect. OMB reviews only those rulemaking proposed rules to be published in agencies must provide for submission A notice of proposed rulemaking actions determined to be the Federal Register. Independent agencies are exempt of comments by electronic means and Major rules are subject to a proposes to add, change, or delete “significant.” must make available online the Special Types of from OMB review. Administrative Procedure regulatory text and contains a delayed effective date (with certain Agency Initiatives comments and other materials Final Rules exceptions). Act Provisions request for public comments. Independent agencies are exempt included in the rulemaking docket Agency initiatives for rulemaking from OMB review. under 5 U.S.C. 553 (c). Interim Final Rule Action by Congress and the President originate from such things as: Under the Administrative Procedure An interim final rule adds, changes, could have an impact on the rule. Executive Order 12866 established • Agency priorities and plans Act provisions that are included as Administrative Procedure or deletes regulatory text and part of the Freedom of Information 60 days as the standard for the • New scientific data contains a request for comments. Act at 5 U.S.C. 552, agencies are Act Provisions comment period. The subsequent final rule may make • New technologies Administrative Procedure required to publish in the Federal changes to the text of the interim Under the Administrative Procedure The holding of a public hearing is • Accidents Register: final rule. Act Provisions Act provisions at 5 U.S.C. 553, rules discretionary unless required by • Substantive rules of general may be established only after statute or agency policy. Direct Final Rule applicability Under the Administrative Procedure proposed rulemaking procedures A direct final rule adds, changes, Act provisions that are included as Required Reviews • Interpretive rules (steps three through six) have been or deletes regulatory text at a part of the Freedom of Information • Statements of general policy followed, unless an exemption specified future time, with a duty to Act at 5 U.S.C. 552, agencies are • Rules of procedure applies. The following are exempted: Specific Analyses for Steps Three and Seven withdraw the rule if the agency required to publish final rules, inter- Statutory Mandates • Information about forms • Rules concerning military or receives adverse comments within im final rules, and direct final rules the period specified by the agency. • Information concerning foreign affairs functions in the Federal Register. agency organization and • Rules concerning agency Regulatory Planning and Review (E.O. 12866) Recommendations from methods of operation management or personnel • Rules concerning public Federal Register Act Other Agencies/External Would the rule have a $100 million annual impact, raise property, loans, grants, novel issues, and/or have other significant impacts? ➔ If yes Prepare economic impact analysis. (44 U.S.C. 1501-1511) Groups/States/Federal benefits, or contracts Advisory Committees • Interpretive rules The Federal Register Act at 44 • General statements of policy Regulatory Flexibility Act (5 U.S.C. 601–612) U.S.C. 1510 (implemented at 1 CFR 8.1) requires rules that have general • Rules of agency organization, applicability and legal effect to be procedure, or practice Is a notice of proposed rulemaking required by law? ➔ If yes Lawsuits published in the Code of Federal • Nonsignificant rules for which Would the rule “have a significant economic impact Regulations. the agency determines that on a substantial number of small entities”? ➔ and yes Prepare regulatory flexibility analysis. public input is not warranted Petitions Note: Under limited circumstances analyses also are required for certain interpretive rules • Rules published on an involving internal revenue laws (5 U.S.C. 603, 604). emergency basis Note: Even if an exemption applies OMB Prompt Letters under the Administrative Procedure Paperwork Reduction Act (44 U.S.C. 3501–3520) Act provisions, other statutory authority or agency policy may Does the rule contain a “collection of information” require that proposed rulemaking (reporting, disclosure, or recordkeeping)? ➔ If yes Prepare information collection clearance procedures be followed. package for OMB review and approval, and prepare request for public comments. Using The Reg Map Optional Supplementary Procedures to Help Unfunded Mandates Reform Act (2 U.S.C. Chs. 17A, 25) Drafting Agendas for The Reg Map is based on general requirements. Prepare a Proposed Rule Does the rulemaking process include a proposed rule? ➔ If yes Requirements Rules Under In some cases, more stringent or less stringent Advance Notice of requirements are imposed by statutory provisions Proposed Rulemaking Does the rule include any Federal mandate that may result for Rulemaking Development or in the expenditure (direct costs minus direct savings) by State, that are agency specific or subject matter specific. An advance notice of proposed Documents Review rulemaking requests information local, and tribal governments, in the aggregate, or by ➔ Also, in some cases more stringent requirements needed for developing a the private sector, of $100 million in any one year and yes Prepare unfunded mandates analysis are imposed by agency policy. proposed rule. (adjusted annually)? (unless an exclusion applies). Negotiated Rulemaking Regulatory Planning and Unified Regulatory Agenda In a typical case, a rulemaking action would Negotiated rulemaking is a Federalism (E.O. 13132) Review (E.O. 12866) proceed from step one through step nine with a mechanism under the Negotiated The Unified Regulatory Agenda Rulemaking Act (5 U.S.C. 561-570) Is the rule a discretionary rule that has federalism impli- Rulemaking documents must comply provides information concerning proposed rule and a final rule. for bringing together representa- cations and imposes substantial unreimbursed direct with the specified regulatory phi- agency rules under development tives of an agency and the various compliance costs on State and local governments? ➔ If yes Prepare federalism summary impact statement. losophy and principles of regulation. or review. However, if a rulemaking action is exempt from interests to negotiate the text of a proposed rule. Does the rule have federalism implications and The Unified Regulatory Agenda is the proposed rulemaking procedures under the preempt State law? ➔ If yes Prepare federalism summary impact statement. published in the Federal Register in Administrative Procedure Act provisions Civil Justice Reform the spring and fall of each year. (E.O. 12988) (explained under step three) or under other Indian Tribal Governments (E.O. 13175) statutory authority, an agency may: Rulemaking documents must be Is the rule a discretionary rule that has tribal written in clear language designed Regulatory Plan implications and imposes substantial unreimbursed to help reduce litigation. • promulgate a final rule omitting steps three direct compliance costs on Indian tribal governments? ➔ If yes Prepare tribal summary impact statement. The Regulatory Plan provides through six, or information concerning the most Does the rule have tribal implications and important significant regulatory preempt tribal law? ➔ If yes Prepare tribal summary impact statement. Presidential Memorandum actions that the agency is planning • promulgate an interim final rule omitting steps on Plain Language to take. three through six, but providing a comment National Environmental Policy Act (42 U.S.C. 4321–4347) (63 FR 31885) The Regulatory Plan is published in period and a final rule after step nine. the Unified Regulatory Agenda in Rulemaking documents must Is the rule categorically excluded from review? ➔ If no the fall of each year. Also, if an agency determines that a rule likely comply with plain language Does the rule constitute a major Federal action that principles. would not generate adverse comment, the could significantly affect the quality of the Regulatory Flexibility agency may promulgate a direct final rule, human environment? ➔ and yes Prepare environmental assessment or environmental impact statement, as Federal Register Agenda omitting steps three through six, but with a appropriate. duty to withdraw the rule if the agency receives Publications The Regulatory Flexibility Agenda provides information concerning adverse comments within the period specified National Technology Transfer and Advancement Act (15 U.S.C. 272 note) Rulemaking documents must comply any rule that an agency expects to by the agency. with the Federal Register regulations prepare or promulgate that is likely (1 CFR). Additional guidance and to have a significant economic Does the rule contain provisions for which the use of requirements are contained in the voluntary standards is applicable? ➔ If yes Adopt voluntary consensus standards or impact on a substantial number of Federal Register’s Document Drafting small entities. explain why not. Handbook. Agency regulatory flexibility agendas are published as part of the Unified Governmental Actions and Interference with Regulatory Agenda in the spring Constitutionally Protected Property Rights (E.O. 12630) and fall of each year.

Does the rule regulate private property use for the protection of public health or safety? ➔ If yes Prepare takings analysis. Is the rulemaking a proposed regulatory action that has takings implications (other than regulating private property for the protection of public health and safety)? ➔ If yes Prepare takings analysis.

Experts in drafting rulemaking documents and preparing supporting analyses Protection of Children from Environmental Health Risks and Safety Risks (E.O. 13045)

Visit us at www.regsupport.com. Is the rulemaking a “covered regulatory action”? ➔ If yes Prepare analysis of the environmental health Also, check out www.CommentWorks.com for a or safety effects on children. faster, cheaper, and better way to respond to public comments on proposed rules. Copyright ©2003 by ICF Incorporated. Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use (E.O. 13211) All rights reserved. This document may not be reproduced in any form without permission. Is the rulemaking action a “significant energy action”? ➔ If yes Prepare statement of energy effects.