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The Federal Register Publications System Workshop:
What It Is and How to Use It

Office of the Federal Register
National Archives and Records Administration


Table of Contents

Introduction

Welcome to the Federal Register Workshop

This program is sponsored by:

Federal Register publications are produced by:

What topics will this workshop cover ?

Historical background and legal basis of the Federal Register (FR) / Code of Federal Regulations (CFR) publication system

The regulatory process and the role of the public

Organization of the daily Federal Register and important elements of typical documents

Proposed Rules, Rules, Notices and Presidential documents

Organization of the CFR and the relationships among Public Laws, the FR and CFR

Research tools to find information in print and online publications

Historical Background and Legal Basis of the Federal Register / CFR Publications System

Why was the Federal Register System Established ?

New Deal legislation of the 1930's delegated responsibility from Congress to agencies to regulate complex social and economic issues

Citizens needed access to new regulations to know their effect in advance

Agencies and Citizens needed a centralized filing and publication system to keep track of rules

Courts began to rule on "secret law" as a violation of right to due process under the Constitution

What Triggers Rulemaking ?

Legislation, Congressional hearings/reports

Executive orders and OMB Circulars

Court Orders

Agencies act on own initiative to carry out mission. See the Unified Agenda for regulatory plans

Petitions for Rulemaking and informal requests from affected parties

Federal Advisory Committee Recommendations

Emergency situations, technological developments

Political Factors

What is the Federal Regulatory Process ?

What is the Federal Register Act ?

Enacted: July 26, 1935
Cite: 44 U.S.C. Chap. 15

The Federal Register Act established the basic legal structure of the regulatory system:

What is the Effect of Publishing in the Federal Register ?

Provides official notice of a document's existence, its contents and legal effect

Specifies the legal authority of the agency

Gives documents evidentiary status

Shows how and when the CFR will be amended

What is the Administrative Procedure Act ?

Enacted: June 11, 1946
Cite: 5 U.S.C. 551 et seq.

Added procedural requirements to ensure:

Comparison of Laws and Rules

Congress Passes Laws

Executive Agencies Issue Rules

Overview of Rulemaking Process

1. Grant of rulemaking authority

2. Proposed Rule stage

3. Final Rule stage

4. Congressional review

5. Effective date

The following discussion and examples track a rule from the grant of authority in law to the proposed rule, the final rule, and codification in the CFR

Public Law

Federal Register
PROPOSED RULE

Federal Register
RULE

Code of Federal Regulations

Organization and Contents of the Daily Federal Register

What is the Federal Register ?

The Federal Register is an official daily legal publication

Informs citizens of:

Cite the FR by: volume, page no. and date: 64 FR 34567 (June 5, 1999)

Organization of FR Documents

Four categories of documents

and Three additional sections

Regulation Numbering System

Title: 12: Broad subject area of regulations

Chapter: III: Rules of individual agency

Part: 303: Rules on a single program or function

Section: 303.1: One provision of program/function rules

Paragraph: 303.1(a): Detailed, specific requirements

What Types of documents are in the Proposed Rules section ?

Proposed Rules

Preliminary Rulemaking Documents

Miscellaneous proposals and updates

Proposed Rule

Announces possible changes to the CFR

Sets out proposed regulatory text or describes proposal

Solicits public comment on proposal

Initiates the "notice and comment rulemaking" process under the APA (5 U.S.C. 553)

Standard Preamble Headings & Captions

Headings:

Captions

Proposed Rule Document -- Preamble

Headings for:

Action caption identifies category of document

Date caption for comment due date

Addresses caption for how and where to send comments

Proposed Rule Document -- Regulatory Analysis and Proposed Text

Regulatory Analyses

Amendatory Language

Proposed Regulatory Text

Advance Notices and Preliminary Rulemaking Documents

Advance Notice of Proposed Rulemaking

Petition for Rulemaking

Negotiated Rulemaking ("RegNeg") document

Advance Notice of Proposed Rulemaking

ANPRM is not a specific proposal. Agency invites public to comment on rules to improve quality and clarity.

Petition for Rulemaking

Agencies publish Petitions for Rulemaking to give the public a forum to propose rule changes.

If public comments are favorable, agencies may agree to publish a proposed rule.

Petition for Rulemaking; Decision

In this example, the Agency’s decision is to deny the Petition.

The denial is not a final rule. It relates back to the Petition published in the Proposed Rules section.

Miscellaneous Proposed Rule Documents

Agencies also publish updates and changes to previously published proposed rule documents:

Extension of Time Document

Dates caption: for comments and public meeting

Supplementary Information -- recites rulemaking history

Agency grants more time for comment and sets up a second round of meetings to discuss proposed changes

What is the Rules and Regulations Section of the Federal Register ?

Contains documents with:

Most, but not all, rules amend the CFR and are codified in the annual revision

The terms "rules" and "regulations" are used interchangeably in the Federal Register publication system

What Types of Documents are in the Rules & Regulations Section ?

Final Rules

Interim Final Rules

Direct Final Rules

Documents that relate to previous rules & regulations, Such as:

Final Rule

Why is it issued?

What does it make final?

When is it effective?

Standard Preamble Headings & Captions

Headings:

Captions

Final Rule -- Preamble

Headings:

Action caption

Summary describes the subject, need for, and intended effect of rule

Date caption: shows effective date and compliance date

Discussion of preceding Proposed Rule

Response to comments on Proposed Rule

Basis and Purpose of rule: Economic and Regulatory Analyses

Final Rule Amendments and Regulatory Text

Appear after the "Supplementary Information" section of the Preamble

The "List of Subjects" for the rule and formal words of issuance always precede the amendments and regulatory text

Numbered amendatory instructions specifically state how the CFR will be amended

Final Rule Amendments and Regulatory Text

List of Subjects

Words of Issuance

Amendatory Instructions

Regulatory Text

Interim Final Rule

Why is it issued?

When is it effective?

Is there a comment period?

Interim Final Rule

Summary caption: Explains that interim final rule relieves a restriction on kiwifruit growers

Dates caption:

Also has a date for suspension of one paragraph of a section

Direct Final Rule

Why is it issued? To expedite rulemaking for non-controversial actions not expected to generate adverse comments

Is it preceded by a proposed rule? Not usually, but some agencies issue one concurrently

When is it effective? Generally, 60 to 90 days from date of publication, if it is not withdrawn due to adverse comments

Is there a comment period? Yes, it is usually 30 or 45 days from date of publication

How will I know if it was withdrawn? Monitor the Federal Register for a withdrawal document

Direct Final Rule

Action caption

Dates caption: 60 day effective date 30 day comment date

Documents that Relate to Previous Rules & Regulations

No regulatory text since it doesn’t amend the CFR

Examples:

Policy Statement

Policy Statement clarifies agency policy on existing requirement.

Note: agency is codifying Policy Statement in CFR. Not required by law.

Temporary Rule Document

Date caption: Sets beginning and end of effective period of rule

Temporary CFR Amendment

Action caption: Refers to this temporary rule as a "Temporary Deviation"

Deviation is set out in preamble and Dates caption. No amendment to CFR

Final Rule Clarification

Action caption identifies document as: "Final Rule Clarification"

Agency clarifies issues discussed in the preamble of a final rule in response to questions from a state agency

Final Rule Correction / Delay of Effective Date

Action caption

Dates caption contains key information on delayed effective date of rule

Specific correction instructions

All FR documents specify date and time of filing at OFR

What documents are in the Notices section of the FR ?

Documents describing official actions and functions that:

Examples:

What is the format for Notices ?

Standardized preamble format is not required.

Headings:

Captions

Notice Document

Beginning of Notice Section

Does not use standard Preamble format

Uses standard Preamble format

What Presidential Documents are published in the Federal Register ?

Executive Orders: must be published in FR

Proclamations: must be published in FR

Administrative Orders & Miscellaneous Documents: publication in FR optional

Executive Orders

Directed at Executive agencies to manage operations

President has constitutional authority to issue E.O.s as

Numbered consecutively as received by OFR

Reprinted annually in 3 CFR, not codified

Original of Executive Order

Typewritten manuscript

Original signature

Executive Order Published in FR

Sequential number assigned to this E. O.

This E. O. amends a prior E. O.

Changes are not integrated in the CFR

By law, E. O. s are compiled, not codified

Proclamations

Two types:

Numbered consecutively as received by OFR

Original of Ceremonial Proclamation

Printed on parchment style paper

Original signature

Proclamation Published in FR

Sequential number assigned to this Proclamation

Cite to title 3 of the CFR for annual compilation

Administrative Orders and Miscellaneous Documents

Various documents are published in the FR at the direction of the President:

For a comprehensive record of Presidential statements and directives, consult:

Federal Register Correction section

OFR or GPO typographical and clerical errors are corrected by identifying the document by its headings, document category, FR document number, page number, and publication date.

We set out specific information necessary to correct error based on text of signed original.

Agencies correct their errors by publishing a signed original in the appropriate category.

What are Separate Parts ?

"Separate" parts are placed at the end of the daily Federal Register issue

Agencies request separate parts for high profile documents. Can be used to group related Final Rules, Proposed Rules and Notices together

OFR places late arriving documents, such as Presidential documents in separate parts for production purposes

Daily Federal Register Research Tools and Finding Aids

Table of Contents

CFR Parts Affected in this Issue

Reader Aids

Researching Information

In today’s Federal Register

In previous Federal Registers

How can I find information in today’s Federal Register ?

These research tools are available in both the online and printed editions.

Federal Register Table of Contents

Documents are listed by agency name in alphabetical order

Cross-references direct you from cabinet departments to subordinate agencies

Each agency document is arranged by category:

Presidential Documents are arranged as follows:

How is the Federal Register Table of Contents arranged ?

Documents listed by agency in alphabetical order

Cross-references from cabinet departments to sub-agencies

Documents arranged by category:

What information can I find in Contents entries ?

Each document has a brief description of subject matter

Page Numbers show the span of pages from beginning to end

A list of any "Separate Parts" in the issue appears at the end of the Table of Contents

CFR Parts Affected in this Issue

Located in the front of the printed edition, after the Table of Contents

Lists CFR titles and parts affected in an issue

Indicates whether the documents affecting CFR parts are rules or proposed rules

Lists the number designations of E.O.s, Proclamations, or other Presidential documents published in this issue

Cites the page numbers where relevant documents begin

Reader Aids

Located in the back of each daily FR issue

Contain information on recent FR activity and new laws

Include:

CFR Parts Affected During (the current month)

Cumulative table published at the end of each FR issue in Reader Aids

Lists documents in numerical order by CFR title and part

You can quickly determine:

FR Pages and Dates (the current month)

Cumulative table of page spans and dates appears in each day’s FR during the current month at the end of the issue in Readers Aids

Page spans are on the left side of the table with corresponding dates of publication on the right side

Use the date table with entries from the CFR Parts Affected During (the current month) to find the date a document was published in FR

Reminders

Rules Going Into Effect (the current day) reminds you of rule documents that become effective on the current day, comprising:

Comments Due Next Week reminds you of previously published proposed rule documents that have comment deadlines the following week

List of Public Laws & PENS

Appears at the end of each issue in Reader Aids

Identifies new Public Laws by:

PENS subscription information (Public Laws Electronic Notification Service).

How can I find documents in past Federal Register issues?

Daily Federal Register (print edition)

Federal Register Index (print edition)

LSA (List of CFR Sections Affected)

Search the Federal Register Online, at:

The CFR -- Organization & Contents

What is the Code of Federal Regulations ?

The CFR contains Federal rules that have:

Rules are always published first in the FR as amendments to the CFR

The CFR is published in a set of about 200 volumes

How is the CFR organized ?

Federal regulations are organized into:

Each title is completely revised and reissued once each year on a staggered schedule.

What is the CFR numbering system ?

The CFR has a uniform numbering system

The section is the basic unit of the CFR

Cite the CFR by title and section: 12 CFR 303.1

Text is divided into descending levels of units

CFR Structure

The following table illustrates the CFR numbering system:

Title: 12: Broad subject area of regulations

Chapter: III: Rules of individual agency

Part: 303: Rules on a single program or function

Section: 303.1: One provision of program/function rules

Paragraph: 303.1(a): Detailed, specific requirements

Paragraph Levels

Sections may contain up to 6 levels of paragraphs.

We strongly recommend agencies use no more than 3 levels.

Paragraph Designations Cite paragraph as

Level 1: (a), (b), (c), etc. § 303.1(a)

Level 2: (1), (2), (3), etc. § 303.1(a)(1)

Level 3: (i), (ii), (iii), etc. § 303.1(a)(1)(i)

Level 4: (A), (B), (C), etc. § 303.1(a)(1)(i)(A)

Level 5: (1), (2), (3), etc. § 303.1(a)(1)(i)(A)(1)

Level 6: (i), (ii), (iii), etc. § 303.1(a)(1)(i)(A)(1)(i)

How are rules codified in the CFR ?

The Rulemaking Process from Start to Finish

The following discussion and examples track a rule from the grant of authority in law to the proposed rule, the final rule, and codification in the CFR

Public Law

Federal Register NPRM

Federal Register RULE

Code of Federal Regulations

What Triggers Rulemaking ?

Legislation, Congressional hearings/reports

Executive orders and OMB Circulars

Court Orders

Agencies act on own initiative to carry out mission
See the Unified Agenda for regulatory plans

Petitions for Rulemaking and informal requests from affected parties

Federal Advisory Committee Recommendations

Emergency situations, technological developments

Political Factors

Authorization in Public Law

Rulemaking usually begins with Congressional action.

The next example shows a grant of rulemaking authority:

Rulemaking Instructions in the Law

FDA must issue regulations to implement the law.

Proposed Rulemaking

The APA requires agencies to give the public the opportunity to comment by submitting:

The time needed to issue an NPRM varies

In the next example:

Final Rulemaking

It is not unusual for more than a year to pass between proposed and final rules.

The preamble of a final rule typically contains:

CFR Codification

In the next example:

Part Level Table of Contents, Authority Citations, and Source Notes

The next example shows:

CFR Text, Section Level Source Notes, and Authority Citations

In the next example:

CFR Research Tools

Tables of Contents

Incorporation by Reference Tables

Table of CFR Titles and Chapters

Alphabetical List of Agencies Appearing in the CFR

Redesignation Tables

List of CFR Sections Affected

What research tools are in each printed volume of the CFR ?

At the front of each CFR volume, look for:

At the back of each CFR volume, look for:

Table of Contents to a Subtitle

Table of Contents shows page numbers for the beginning of each part

Part Level Table of Contents

Table of Contents lists the sections in the part and subparts

Material Approved for Incorporation By Reference

The incorporation by reference (IBR) table directs you to regulatory material not published in the FR & CFR

IBR material has the force of law as though it were published in full text the FR & CFR

Congress authorized IBR to enforce voluntary standards already used in science & industry

Under the FOIA, the Director of the Federal Register must approve IBR to give it force and effect of law

Table of CFR Titles and Chapters

A list of all CFR titles, subtitles, chapters, and part spans in numerical order -- titles 1 to 50

Includes the names of agencies assigned to CFR chapters\

A more detailed list is located in the CFR Index and Finding Aids, a separate publication

Alphabetical List of Agencies Appearing in the CFR

If you don’t know an agency’s name or location in the CFR, use this table to find:

Redesignation Tables

A Redesignation Table helps you find the new location of parts and sections of regulations

An agency publishes this table when it has done extensive reorganization and renumbering

The table appears in the preamble of the rule document and is then included as a research tool in the back of the CFR

List of CFR Sections Affected (in a specific CFR volume)

This list helps you track amendments in each CFR volume since 1986 by year and FR page number

Lists the type of amendment and the text affected down to the paragraph level

For years before 1986, use the seven separate volumes of the List of CFR Sections Affected

A cumulative, monthly LSA is also published separately

Online Research

How can I do online research in the Federal Register ?

Search the FR for documents in all issues from 1995 to present, at:

Browse the FR table of contents using the hyperlinks to retrieve documents in today’s issue, or in any issue from 1998 to present, at:

Check Documents in the News for high profile and frequently requested FR documents, at:

How can I do online research in the CFR ?

Visit http://www.access.gpo.gov/nara/cfr/index.html and follow the links to:

How can I be Sure my CFR Research is up to date?

Visit http://www.access.gpo.gov/nara/lsa/aboutlsa.html, to:

What other information on Federal Register publications and services is on the Web ?

To learn more about Office of the Federal Register publications and services, go to the National Archives and Records Administration’s Federal Register home page:

http://www.nara.gov/fedreg

How can the public participate in rulemaking?

Citizens have a right to express their views before an agency adopts final rules

Each Federal Register document tells you:

Writing effective comments?

Customer Service Information

Phone numbers:

Internet addresses:

E-mail addresses:

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