Public Engagement with Agency Rulemaking
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Administrative Conference of the United States PUBLIC ENGAGEMENT WITH AGENCY RULEMAKING Final Report: November 19, 2018 Michael Sant’Ambrogio Glen Staszewski Michigan State University Michigan State University College of Law College of Law This report was prepared for the consideration of the Administrative Conference of the United States. The opinions, views and recommendation expressed are those of the authors and do not necessarily reflect those of the members of the Conference or its committees, except where formal recommendations of the Conference are cited. PUBLIC ENGAGEMENT WITH AGENCY RULEMAKING Final Report for the Administrative Conference of the United States Michael Sant’Ambrogio & Glen Staszewski TABLE OF CONTENTS Table of Contents .......................................................................................................... i Introduction .................................................................................................................. 1 I. Study Methodology .................................................................................................. 8 II. Reasons For Public Engagement in Rulemaking .................................................... 9 A. More Effective Regulations ............................................................................ 10 B. Democratic Accountability and Legitimacy ................................................... 12 C. Public Support for Regulations ....................................................................... 16 III. Enhancing Public Participation in Rulemaking ................................................... 17 A. The Notice-and-Comment Process ................................................................. 17 B. Obstacles to Broader Public Participation in Rulemaking ............................. 19 C. The Challenges of Mass Comments ............................................................... 21 D. Lowering the Barriers to Participation by Absent Stakeholders .................... 26 1. Improving the Effectiveness of Regulation .................................................. 26 2. Enhancing the Democratic Accountability, Legitimacy, and Public Support For Regulation ..................................................................... 28 E. Beyond Notice and Comment ......................................................................... 29 IV. Levels of Public Engagement .............................................................................. 30 V. The Chronology of Public Engagement in Rulemaking ....................................... 33 VI. Agenda Setting .................................................................................................... 35 A. Rulemaking Petitions...................................................................................... 37 B. Federal Advisory Committees ........................................................................ 44 C. Focus Groups .................................................................................................. 48 D. Requests for Information (“RFIs”) ................................................................. 50 E. Listening Sessions .......................................................................................... 52 F. Reverse Industry Days .................................................................................... 54 G. Hotlines or Suggestion Boxes ........................................................................ 57 H. Public Complaints .......................................................................................... 60 I. Public Notice and Comment ............................................................................ 61 VII. Early Rule Development .................................................................................... 62 A. Federal Advisory Committees ........................................................................ 62 B. Focus Groups .................................................................................................. 64 i C. Requests for Information (“RFIs”) ................................................................. 65 D. Listening Sessions .......................................................................................... 65 E. Internet and Web-Based Outreach .................................................................. 68 1. Prior ACUS Recommendations Concerning the Internet and Social Media 69 2. Successful Uses of the Internet and Social Media ........................................ 71 3. Challenges of Using the Internet and Social Media ..................................... 72 4. Best Practices for Using the Internet and Social Media to Engage Absent Stakeholders .................................................................... 73 F. Using Public Input and Providing Feedback to Participants .......................... 75 VIII. Advanced Rule Development ........................................................................... 77 A. Advance Notices of Proposed Rulemaking .................................................... 78 B. Federal Advisory Committees ........................................................................ 80 C. Focus Groups .................................................................................................. 80 D. Public Meetings .............................................................................................. 80 E. “Shuttle Diplomacy” & Technical Workshops ............................................... 81 F. Internet and Web-based Outreach ................................................................... 82 G. Negotiated Rulemaking .................................................................................. 84 IX. The Notice-and-Comment Process ...................................................................... 89 A. Plain Language NPRMs ................................................................................. 91 B. Using Social and Visual On-line Media to Publicize Rulemakings ............... 94 C. User-Friendly Rulemaking Dockets ............................................................... 98 D. Effective Commenting Tutorials .................................................................. 105 E. Public Meetings ............................................................................................ 107 F. Supplemental Deliberative Exercises ........................................................... 108 G. Reply Comment Periods ............................................................................... 111 H. Status Reports and Notifications .................................................................. 114 I. Acknowledgment and Impact Reports .......................................................... 114 X. Retrospective Review ......................................................................................... 114 A. “Open” or “Living” Rulemaking Dockets .................................................... 118 B. Petitions for Rulemaking .............................................................................. 121 C. Requests for Information .............................................................................. 122 D. Public Meetings ............................................................................................ 124 E. Federal Advisory Committees ...................................................................... 125 F. Focus Groups ................................................................................................ 128 G. Public Notice and Comment ......................................................................... 128 XI. Enhanced Forms of Deliberation ....................................................................... 128 A. Deliberative Public Engagement in Government Decision-making ............ 130 B. In-person Versus Online Deliberative Exercises .......................................... 133 C. Best Practices for Enhanced Deliberative Exercises .................................... 134 XII. The Importance of Planning and Outreach ...................................................... 138 A. General Public Engagement Policies............................................................ 138 B. Specific Plans for Public Engagement for Each Rulemaking Initiative ....... 143 C. Outreach and Communication ...................................................................... 149 ii XIII. Recommendations ........................................................................................... 157 A. Public Engagement Planning and Infrastructure .......................................... 157 1. Public Engagement Policies ....................................................................... 157 2. Public Engagement Plans ........................................................................... 157 3. Enhancing Agency Capacity for Public Engagement ................................. 158 B. Agenda Setting ............................................................................................. 159 1. Petitions for Rulemaking ............................................................................ 159 2. Hotlines and Suggestion Boxes .................................................................. 160 3. Requests for Information (RFIs) ................................................................. 160 4. Listening Sessions ...................................................................................... 161 5. Advisory Committees ................................................................................