Federal Regulatory Directory: The Essential Guide to the History, Organization, and Impact of U.S. Federal Regulation

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    Preface

    Over the last few years, the U.S. Supreme Court has played a prominent role in defining the path forward for recent federal regulation amidst continuing highly-partisan congressional gridlock. The passage of health care reform legislation—specifically the Patient Protection and Affordable Care Act of 2010 (ACA)—has become President Barack Obama's defining and most significant policy achievement to date, and the law has been met with contention at every turn, repeatedly requiring the Supreme Court to weigh in. In March 2014 Burwell v. Hobby Lobby came before the Court arguing that some closely held for-profit companies should not be required to provide contraceptive coverage as mandated under the ACA if the company leadership had religious objections. The Court ruled 5-4 in favor of Hobby Lobby, and the Department of Health and Human Services (HSS) promptly engaged in compliance efforts by issuing regulations that allowed women to instead obtain coverage directly from the insurer when their employers notified them in writing of their religious objections.

    The following year, the Supreme Court heard another challenge to the ACA in King v. Burwell, involving four plaintiffs in Virginia who did not want to buy health insurance, arguing that the law only provides for subsidies through exchanges “established by the state.” In this case, the subsidized health coverage of an estimated eight million consumers hung in the balance in 34 states that use the federal health care marketplaces. The plaintiffs’ argument focused on the wording of the legislation and whether the intent of Congress was to provide subsidies to low-income consumers who purchased only through the state marketplaces, or whether the intent was to also extend subsidies to coverage purchased through exchanges established by the federal government. In a 5-4 decision handed down on June 25, 2015, the U.S. Supreme Court upheld the ACA subsidies in states that opted to use the federal exchange, thereby allowing the IRS to continue to issue the tax-credit subsidies.

    Recent debates around same-sex marriage also reached the Court's docket with implications for the regulatory status quo. On June 26, 2013, the U.S. Supreme Court ruled Section 3 of the Defense of Marriage Act (DOMA) unconstitutional in Windsor v. the United States. Section 3 of DOMA, signed into law in 1996, had defined marriage as a legal union of one man and one woman for the purposes of “any act of Congress any ruling, regulation, or interpretation of the various administrative bureaus and agencies of the United States.” In some cases, such as the determination of Social Security benefits, the Windsor ruling specifically impacted federal government laws and regulations only in states where same-sex marriage was recognized. In the weeks after the Windsor ruling, the Justice Department provided guidance to various federal agencies to remove barriers to federal programs for same-sex spouses. By the end of 2013 the Social Security Administration (SSA) began processing claims for retirement benefits and survivor's benefits for same-sex spouses. Also following this outcome, Medicare is no longer prevented by DOMA from recognizing same-sex marriages for determining entitlement to, or eligibility for, Medicare. Beneficiaries in private Medicare plans additionally have access to equal coverage when it comes to care in a nursing home where their same-sex spouses live.

    In a historic decision two years later, same-sex marriage was legalized across the nation on June 26, 2015, in a 5-4 ruling in Obergefell v. Hodges, which asked the Court to decide whether the Fourteenth Amendment requires states to issue marriage licenses to same-sex couples and whether states are required to recognize same-sex marriages lawfully performed out of state. Any state bans on same-sex marriage were effectively struck down and declared unconstitutional, and this decision will undoubtedly lead to the further removal of barriers regarding health care coverage, veterans’ benefits, and Social Security, amongst other benefits, for married same-sex couples in the months to follow.

    In recent years, the Supreme Court has also entered the election finance fracas by weighing in on a two high-profile campaign finance cases that have vastly altered the election landscape. The 2010 Citizens United v. FEC decision paved the way for Super PACs, which have become major players in the campaign finance game, to gain a firm toehold in the election process. The widely controversial ruling in Citizens United supported the idea that corporate media political spending is a form of free speech protected by the First Amendment and should not be subject to, or stifled by, government regulation. While corporations and unions cannot give money directly to campaigns to support or denounce candidates, they may seek to persuade the voting public through other means such as ads. In the three federal elections since Citizens United, Super PACs have spent more than $1 billion on electioneering communications. This dramatic growth of soft and dark money, which is unlimited, largely unregulated money contributed primarily to political parties, has opened new avenues of undisclosed giving and is already influencing election outcomes.

    And in the 2014 McCutcheon v. FEC case, the Court struck down McCain-Feingold's combined limits on political donations by individuals, with the interpretation that campaign giving is considered free speech under the First Amendment and that the imposed contribution limits do not further the federal government's pursuit to prevent quid pro quo corruption. Previously, the total amount an individual could give in a two-year election cycle was $123,200, and while there are still limits on the amount that individuals can give to national and state parties per year, the McCutcheon decision allows wealthy donors to contribute unlimited sums to as many candidates as they wish, as long as they stay within the per-candidate contribution limits.

    Despite the stalemate in Congress, after three long years of discussions the Farm Bill—known as the Agricultural Act of 2014—finally passed in 2014 with the intention of recasting a range of food, nutrition, and agriculture programs that is projected to save $16 billion in federal spending over the next ten years. For one, direct subsidies provided to farmers would end and instead farmers would be allowed to take advantage of crop insurance: individual or county level Agriculture Risk Coverage or Price Loss Coverage. When crop losses due to market shifts are extensive and beyond the control of farmers, the Actual Production History provision will allow for yield adjustments, and the USDA provides online tools to assist farmers in choosing an insurance option. Open enrollment in the program began June 17, 2015, and by the end of the month more than 1.76 million farmers had signed up for either ARC or PLC.

    The Farm Bill also cut roughly $8 billion in funding for the Supplemental Nutrition Assistance Program (SNAP), formerly known as food stamps, by altering the eligibility requirements and implementing mechanisms to prevent fraud and abuse of the SNAP program and also sought to improve nutrition availability and store participation in the program. Under the new bill, affluent college students, lottery winners, and convicted felons are not eligible for SNAP assistance; stores must stock more perishable food in order to provide more healthy options; and states must implement systems to verify immigration status. The law also requires states to phase out the participation of women, infants, and children in the Commodity Supplemental Food Program, which will serve only low-income senior citizens going forward. To further alleviate the need for food assistance, the bill also allows for up to ten states to pilot employment and training programs providing job training. “The work pilot projects are a response to a need to help struggling Americans find employment and earn higher wages so they are no longer dependent on federal food assistance,” said then House Agricultural Committee chair Frank Lucas.

    The Seventeenth edition of the Federal Regulatory Directory continues its legacy of guiding readers through the intricacies of the federal agencies and regulation. Offering both a directory of contacts for economic, environmental, safety, health, and other regulatory agencies as well as a discussion of how each agency regulates policies and programs, the Federal Regulatory Directory provides a broad but comprehensive exploration of the history and current issues facing regulatory agencies and information on major regulatory legislation.

    CQ Press seeks to continue the Federal Regulatory Directory‘s reputation as an invaluable and authoritative reference of its kind. We welcome feedback related to the book's quality and functionality, as well as suggestions for future editions.

    LauraNotton, Editor

    List of Abbreviations

    AARCAlternative Agricultural Research and Commercialization Center
    ABAAmerican Bar Association
    ABAArchitectural Barriers Act of 1968
    ACAPatient Protection and Affordable Care Act
    ACAsAgricultural Credit Associations
    ACEPAgricultural Conservation Easement Program
    ACFAdministration for Children and Families
    ACLAdministration for Community Living
    ACYFAdministration for Children, Youth, and Families
    ADAAmericans with Disabilities Act
    ADAAGADA Accessibility Guidelines
    ADEAAge Discrimination in Employment Act
    ADRAlternative Dispute Resolution
    ADS-BAutomatic Dependent Surveillance-Broadcast
    AECAtomic Energy Commission
    AEFLAAdult Education and Family Literacy Act
    AFAAmerican Fisheries Act of 1998
    AFDCAid to Families with Dependent Children
    AHPAffordable Housing Program
    AIAAmerican Institute of Architects
    AIDDAdministration on Intellectual and Developmental Disabilities
    ALFDAdvertising, Labeling and Formulation Division
    ALJadministrative law judge
    AMAAmerican Medical Association
    AMIDAir and Marine Interdiction Division
    AMSAgricultural Marketing Service
    ANDAAbbreviated New Drug Application
    ANPRAdvance Notice of Proposed Rulemaking
    ANWRAlaskan National Wildlife Refuge
    AoAAdministration on Aging
    APAAdministrative Procedure Act of 1946
    APHISAnimal and Plant Health Inspection Service
    APOarmy post office
    AQIAgricultural Quarantine Inspection
    ARCAgriculture Risk Coverage
    ARCPAgricultural Resource Conservation Program
    ARMadjustable-rate mortgage
    ARRAAmerican Recovery and Reinvestment Act of 2009
    ASAmerican Samoa
    ASCSAgricultural Stabilization and Conservation Service
    ASHOffice of the Assistant Secretary for Health
    ASOSAutomated Surface Observing Stations
    ATBCBArchitectural and Transportation Barriers Compliance Board
    ATFBureau of Alcohol, Tobacco, Firearms and Explosives
    ATFIAutomated Tariff Filing and Information System
    ATLAlcohol and Tobacco Laboratory
    ATPAdvanced Technology Program
    ATSAAviation and Transportation Security Act
    ATVall-terrain vehicle
    AWAAnimal Welfare Act
    AYPadequate yearly progress
    BBSelectronic bulletin board system
    BCAPBiomass Crop Assistance Program
    BCISBureau of Citizenship and Immigration Services
    BCRABipartisan Campaign Reform Act of 2002
    BEHTBill Emerson Humanitarian Trust
    BIABureau of Indian Affairs
    BIEBureau of Indian Education
    BISBureau of Industry and Security
    BJABureau of Justice Assistance
    BJSBureau of Justice Statistics
    BLMBureau of Land Management
    BLSBureau of Labor Statistics
    BOEMBureau of Ocean Energy Management
    BOEMREBureau of Ocean Energy Management, Regulation, and Enforcement (now BOEM and BSEE)
    BOPFederal Bureau of Prisons
    BRSBibliographic Retrieval System
    BSEEBureau of Safety and Environmental Enforcement
    BTSBureau of Transportation Statistics
    BXABureau of Export Administration (now BIS)
    CAACivil Aeronautics Authority
    CABCivil Aeronautics Board
    CAFÉCorporate Average Fuel Efficiency
    CAPCitizen Advocacy Panel
    CATcatastrophic level
    CBOCongressional Budget Office
    CBPCustoms and Border Protection
    CCCCommodity Credit Corporation
    CCFCapital Construction Fund
    CCLCommerce Control List
    CCPCooperative Compliance Program
    CCScarbon capture and storage
    CDAPCenter for Disability and Aging Policy
    CDCCenters for Disease Control and Prevention
    CEACouncil of Economic Advisers
    CEBACompetitive Equality Banking Act of 1987
    CEQCouncil on Environmental Quality
    CERCLAComprehensive Environmental Response, Compensation, and Liability Act (Superfund)
    CETAComprehensive Employment and Training Act
    CFCschlorofluorocarbons
    CFPBConsumer Financial Protection Bureau
    CFRCode of Federal Regulations
    CFTCCommodity Futures Trading Commission
    CHAPchronic hazard advisory panel
    CHIPChildren's Health Insurance Program
    CICConsumer Information Center
    CITESConvention of International Trade in Endangered Species of Wild Fauna and Flora
    CLIAClinical Laboratory Improvement Amendments
    CMSCenters for Medicare and Medicaid Services
    CNSCorporation for National Service
    COACertificate of Waiver or Authorization
    COBRAConsolidated Omnibus Budget Reconciliation Act of 1985
    COMPETESAct America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science Reauthorization Act of 2010 COOL Country of Origin Labeling
    COPSCommunity Oriented Policing Services
    COSHIClearinghouse for Occupational Safety and Health Information
    CPDCommunity Planning and Development
    CPSCConsumer Product Safety Commission
    CRACommunity Reinvestment Act
    CREPConservation Reserve Enhancement Program
    CRPConservation Reserve Program
    CSABCenter for the Study of American Business
    CSRACivil Service Reform Act
    CSSPABComputer System Security and Privacy Advisory Board
    D&Ddeactivation and decommissioning
    DACADeferred Action for Childhood Arrivals
    DAPADeferred Action for Parental Accountability
    DARTDeep-ocean Assessment and Reporting of Tsunami
    DASPDisaster Assistance Support Program
    DEADrug Enforcement Administration
    DEACDeemed Export Advisory Committee
    DHSDepartment of Homeland Security
    DIFDeposit Insurance Fund
    DMSPDefense Meteorological Satellite Program
    DNFSBDefense Nuclear Facilities Safety Board
    DOEDepartment of Energy
    DOJDepartment of Justice
    DOLDepartment of Labor
    DOMADefense of Marriage Act
    DOTDepartment of Transportation
    DPCDomestic Policy Council
    DRADeficit Reduction Act
    DTVdigital television
    EAOffice of Enterprise Assessment
    EAAExport Administration Act
    EACElection Assistance Commission
    EARExport Administration Regulations
    EBSAEmployee Benefits Security Administration
    EBTElectronic Benefit Transfer
    ECDEarly Childhood Development
    ECPEmergency Conservation Program
    ECRExport Control Reform
    EDAEconomic Development Administration
    EDGARElectronic Data Gathering Analysis and Retrieval system
    EEOCEqual Employment Opportunity Commission
    EEOICPAEnergy Employees Occupational Illness Compensation Program Act
    EEREEnergy Efficiency and Renewable Energy
    EFINEnvironmental Financing Information Network
    EHPenvironmental and historic preservation
    EHSSOffice of Environment, Health, Safety and Security
    EIAEnergy Information Administration
    EISEnvironmental Impact Statement
    ELAINExport License Application and Information Network
    ELAPEmergency Assistance for Livestock, Honey Bees, and Farm-Raised Fish
    ELVISElectronic License Voice Information System
    EMOffice of Environmental Management (Energy Dept.)
    E-mailPMO Electronic Messaging Program Management Office
    EPAEnvironmental Protection Agency
    EPAEqual Pay Act
    EPUBElectronic Publishing System
    EQCEnvironmental Quality Council
    ERAEconomic Regulatory Administration
    ERDAEnergy Research and Development Administration
    ERICEducational Resources Information Center
    ERISAEmployee Retirement Income Security Act of 1974
    ERODEducation Resources Organization Directory
    ERSEconomic Research Service
    ESAEmployment Standards Administration
    ESEAElementary and Secondary Education Act of 1965
    ESHOffice of Environment, Safety and Health
    ESRLEarth Systems Research Laboratory (NOAA-Commerce)
    ESTAElectronic System for Travel Authorization
    ETAEmployment and Training Administration
    ETFexchange traded funds
    ETRACEmerging Technology and Research Advisory Committee
    EUCEmergency Unemployment Compensation
    FAAFederal Aviation Administration
    FAFSAFree Application for Federal Student Aid
    FAIRFederal Agricultural Improvement and Reform
    FannieMae Federal National Mortgage Association
    FarmerMac Federal Agricultural Mortgage Corporation
    FASForeign Agricultural Service
    FASBFinancial Accounting Standards Board
    FATCAForeign Account Tax Compliance Act of 2010
    FBIFederal Bureau of Investigation
    FCAFarm Credit Administration
    FCCFederal Communications Commission
    FCICFederal Crop Insurance Corporation
    FCSFood and Consumer Service
    FCSBAFCS Building Association
    FDAFood and Drug Administration
    FDCFood, Drug, and Cosmetic Act
    FDICFederal Deposit Insurance Corporation
    FEAFederal Energy Administration
    FECFederal Election Commission
    FECAFederal Election Campaign Act
    FedFederal Reserve Board
    FEMAFederal Emergency Management Agency
    FEPCFair Employment Practices Committee
    FERCFederal Energy Regulatory Commission
    FERNFood Emergency Response Network
    FERPAFamily Educational Rights and Privacy Act
    FFELFederal Family Education Loans
    FFIsforeign financial institutions
    FFIECFederal Financial Institutions Examination Council
    FFPFeedstock Flexibility Program for Bioenergy Producers
    FGISFederal Grain Inspection Service
    FHAFederal Housing Administration
    FHEOOffice of Fair Housing and Equal Opportunity
    FHFAFederal Housing Finance Agency
    FHFBFederal Housing Finance Board
    FHLBFederal Home Loan Bank
    FHLMCFederal Home Loan Mortgage Corporation (Freddie Mac)
    FHWAFederal Highway Administration
    FIFRAFederal Insecticide, Fungicide, and Rodenticide Act
    FINFederal Information Network
    FIPSEFund for the Improvement of Postsecondary Education
    FIRREAFinancial Institutions Reform, Recovery, and Enforcement Act of 1989
    FISAForeign Intelligence Surveillance Act
    FLBAFederal Land Bank Association
    FLSAFair Labor Standards Act
    FMCSAFederal Motor Carrier Safety Administration
    FMAPFederal Medical Assistance Percentage
    FMCFederal Maritime Commission
    FmHAFarmers Home Administration
    FNSFood and Nutrition Service
    FOIfreedom of information
    FOIAFreedom of Information Act
    FOMCFederal Open Market Committee
    FPCFederal Power Commission
    FPCOFamily Policy Compliance Office
    FPDCFederal Procurement Data Center
    FPDSFederal Procurement Data Center—Next Generation
    FPOfleet post office
    FRAFederal Railroad Administration
    FRCSFederal Reserve Communications System
    FreddieMac Federal Home Loan Mortgage Corporation
    FRPFederal Radionavigation Plan
    FRSOFederal Relay Service Online
    FSAFamily Support Administration
    FSAFarm Service Agency
    FSISFood Safety and Inspection Service
    FSLICFederal Savings and Loan Insurance Corporation
    FTAFederal Transit Administration
    FTCFederal Trade Commission
    FTSFederal Technology Service
    FWPFarmable Wetlands Program
    FWSUnited States Fish and Wildlife Service
    GAOGovernment Accountability Office
    GATTGeneral Agreement on Tariffs and Trade
    GEARUP Gaining Early Awareness and Readiness for Undergraduate Programs
    GFNGood Faith Negotiations
    GIPSAGrain Inspection, Packers, and Stockyards Administration
    GNMAGovernment National Mortgage Association (Ginnie Mae)
    GPOU.S. Government Printing Office
    GPSGlobal Positioning System
    GSAGeneral Services Administration
    HAVAHelp America Vote Act of 2002
    HEAHigher Education Amendments of 1998
    HEARTHHelping Expedite and Advance Responsible Tribal Homeownership Act of 2012
    HEARTHHomeless Emergency Assistance and Rapid Transition to Housing Act
    HEPHigher Education Programs
    HERAHousing and Economic Recovery Act of 2008
    HEWDepartment of Health, Education, and Welfare
    HHIHealthy Homes Initiative
    HHSDepartment of Health and Human Services
    HIPAAHealth Insurance Portability and Accountability Act of 1996
    HIREHiring Incentives to Restore Employment Act of 2010
    HITECHHealth Information Technology for Economic and Clinical Health Act
    HMEPHazardous Materials Emergency Preparedness
    HPCshigh performance computers
    HUBZonehistorically underutilized business zone HUD Department of Housing and Urban Development
    ICCInterstate Commerce Commission
    ICEImmigration and Customs Enforcement
    ICVIInterstate Certificate of Veterinary Inspection
    IDEAIndividuals with Disabilities Education Act
    IFLEInternational and Foreign Language Education
    IHAsIndian Housing Authorities
    IHSIndian Health Service
    INAImmigration and Nationality Act
    INSImmigration and Naturalization Service
    IOMInstitute of Medicine
    IRSInternal Revenue Service
    ISDNIntegrated Services Digital Network
    ISPInternet service provider
    ISPRIncident Specific Preparedness Review
    ISTEAIntermodal Surface Transportation Efficiency Act of 1991
    ITAInternational Trade Administration
    ITDInternational Trade Division
    ITSInformation Technology Service
    ITUInternational Telecommunication Union
    JOBSJob Opportunities and Basic Skills program
    JTPAJob Training Partnership Act of 1982
    LDClocal distribution companies
    LEAlocal educational agency
    LEPlimited English proficiency
    LFPLivestock Forage Disaster Program
    LIBORLondon Interbank Offered Rate
    LIHEAPLow Income Home Energy Assistance Program
    LIPLivestock Indemnity Program
    LMRDALabor-Management Reporting and Disclosure Act
    LNGliquefied natural gas
    LPTVlow-power television
    LSAlocal service area
    LWAlimited work authorization
    MAP-21Moving Ahead for Progress in the 21st Century Act of 2012
    MARADMaritime Administration
    MBSMortgage-Backed Securities
    MCSACMotor Carrier Safety Advisory Committee
    MEDLARSMedical Literature Analysis and Retrieval System
    MEPManufacturing Extension Partnership
    MFNmost-favored-nation
    MHPAMental Health Parity Act
    MINERMine Improvement and New Emergency Response Act of 2006
    MMDSMultipoint Microwave Distribution Services
    MMSMinerals Management Service
    MOAmemorandum of agreement
    MODUmobile offshore drilling units
    MPNorthern Mariana Islands
    M.S.mail stop
    MSHAMine Safety and Health Administration
    MSPBMerit Systems Protection Board
    NAAQSNational Ambient Air Quality Standard
    NACOSHNational Advisory Committee on Occupational Safety and Health
    NAFTANorth American Free Trade Agreement
    NAISNational Animal Identification System
    NAPNoninsured Crop Disaster Assistance Program
    NASNational Airspace System
    NASDNational Association of Securities Dealers
    NCCCNational Civilian Community Corps
    NCEnew chemical entity
    NCEINational Centers for Environmental Information
    NCESNational Center for Education Statistics
    NCJRSNational Criminal Justice Reference Service
    NCLBNo Child Left Behind Act of 2002
    NCUANational Credit Union Administration
    NCUSIFNational Credit Union Share Insurance Fund
    NDAnew drug application
    NEANational Endowment for the Arts
    NECNational Economic Council
    NEDRESNational Environmental Data Referral Service
    NEPANational Environmental Policy Act
    NESDISNational Environmental Satellite, Data, and Information Service
    NEXRADnext generation radar
    NextGenNext Generation Air Transportation System
    NEWNative Employment Works program
    NFANational Futures Association
    NGPANatural Gas Policy Act of 1978
    NHSNational Highway System
    NHTSANational Highway Traffic Safety Administration
    NIBINNational Integrated Ballistic Information Network
    NICNational Institute of Corrections
    NICSNational Instant Criminal Background Check System
    NIDILRRNational Institute on Disability, Independent Living, and Rehabilitation Research
    NIDRRNational Institute on Disability and Rehabilitation Research
    NIDSIsNational Integrated Drought Information System
    NIESNational Import Export Services
    NIJNational Institute of Justice
    NIOSHNational Institute of Occupational Safety and Health
    NIRANational Industrial Recovery Act
    NISTNational Institute of Standards and Technology
    NLBNational Labor Board
    NLCSNational Landscape Conservation System
    NLECTCNational Law Enforcement Corrections Technology Center
    NLMNational Library of Medicine
    NLRANational Labor Relations Act
    NLRBNational Labor Relations Board
    NMBNational Mediation Board
    NOAANational Oceanic and Atmospheric Administration
    NOPNational Organic Program
    NOPRNotice of Proposed Rulemaking
    NOSNational Ocean Service
    NOSBNational Organic Standards Board
    NPDESNational Pollution Discharge Elimination System
    NPRNational Performance Review
    NPSNational Park Service
    NRANational Rifle Association
    NRANegotiated Rates Act of 1993
    NRCNuclear Regulatory Commission
    NRCSNatural Resources Conservation Service
    NRTsNational Response Teams
    NSCNational Security Council
    NTIANational Telecommunications and Information Administration
    NTISNational Technical Information Service (Commerce)
    NTSBNational Transportation Safety Board
    NVOCCnon-vessel operating common carrier
    NVRANational Voter Registration Act of 1993
    NWSNational Weather Service
    OAROffice of Air and Radiation (EPA)
    OASHIOffice of AIDS and Special Health Issues
    OAWOffice of the American Workplace
    OCAOffice of Consumer Affairs
    OCCOffice of the Comptroller of the Currency
    OCROffice for Civil Rights (HHS)
    OCRMOcean and Coastal Resource Management
    OCSOuter Continental Shelf
    OCSTOffice of Commercial Space Transportation
    OCTAEOffice of Career, Technical, and Adult Education
    OEAOffice of Environmental Analysis
    OECDOrganization for Economic Cooperation and Development
    OESEOffice of Elementary and Secondary Education
    OFBCIOffice of Faith-based and Community Initiatives
    OFBNPOffice of Faith-based and Neighborhood Partnerships
    OFCCPOffice of Federal Contract Compliance Programs
    OFLHOffice of Federal Lands Highway
    OFSAOffice for Federal Student Aid
    OGCOffice of General Counsel
    OGHAOffice of Global Health Affairs
    OGPOffice of Governmentwide Policy
    OGSMOffice of the General Sales Manager
    OHAOffice of Health Affairs
    OHMSOffice of Hazardous Materials Safety
    OHRPOffice for Human Research Protections
    OIDOffice of Integration and Disposition
    OIEWorld Organization for Animal Health (Office International des Epizooties)
    OIGOffice of the Inspector General (HHS)
    OIRAOffice of Information and Regulatory Affairs
    OJJDPOffice of Juvenile Justice and Delinquency Prevention
    OJPOffice of Justice Programs
    OLEOffice of Law Enforcement
    OLMSOffice of Labor Management Standards
    OLSonline library system
    OMBOffice of Management and Budget
    ONAPOffice of National AIDS Policy
    ONAPOffice of Native American Programs
    ONDCPOffice of National Drug Control Policy
    ONRROffice of Natural Resources Revenue
    OPAOffice of Public Affairs
    OPAGACOffice of Public Assistance, Governmental Affairs, and Compliance
    OPEOffice of Postsecondary Education
    OPHSOffice of Public Health and Science
    OPPTOffice of Pollution Prevention and Toxics
    OPSOffice of Pipeline Safety
    ORAOffice of Regulatory Activities
    ORIConline research and information center
    OSCOffice of Site Closure
    OSERSOffice of Special Education and Rehabilitative Services
    OSGOffice of the Surgeon General
    OSHAOccupational Safety and Health Administration
    OSHSOffice of Safety, Health and Security
    OSMREOffice of Surface Mining Reclamation and Enforcement
    OSRAOcean Shipping Reform Act
    OSRPOil Spill Response Plans
    OSTPOffice of Science and Technology Policy
    OTAOffice of Technology Assessment
    OTCover-the-counter
    OTSOffice of Thrift Supervision
    OVCOffice for Victims of Crime
    OVWOffice on Violence Against Women
    OWCPOffice of Workers’ Compensation Programs
    PACpolitical action committee
    PAYEPay As You Earn
    PBGCPension Benefit Guaranty Corporation
    PCAOBPublic Company Accounting Oversight Board
    PEISProgrammatic Environmental Impact Statement
    PHAsPublic Housing Authorities
    PHMSAPipeline and Hazardous Materials Safety Administration
    PHSPublic Health Service
    PHSPublic Health Service Act of 1944
    PIHPublic and Indian Housing
    PLPublic Law
    PLCPrice Loss Coverage
    POVpattern of violations
    PPIPolicy, Planning, and Innovation
    PPQPlant Protection and Quarantine
    PPRAProtection of Pupil Rights Amendment
    PRAPaperwork Reduction Act
    PRCPostal Regulatory Commission
    PRISMPerformance and Registration Information Systems Management
    PSAPackers and Stockyards Administration
    PSPPackers and Stockyards Programs
    PSQIAPatient Safety and Quality Improvement Act of 2005
    PSSProgram Support Services
    PTCpositive train control
    PTOPatent and Trademark Office
    PUHCAPublic Utility Holding Company Act
    PURPAPublic Utilities Regulation Policy Act
    PWBAPension and Welfare Benefits Administration
    QHWRAQuality Housing and Work Responsibility Act of 1998
    RARGRegulatory Analysis Review Group
    RBCRegulatory Barriers Clearinghouse
    RBSRural Business-Cooperative Service
    RCPPRegional Conservation Partnership Program
    RCRAResource Conservation and Recovery Act of 1976
    RDARural Development Administration
    REARural Electrification Administration
    REAPRural Economic Area Partnership
    RECARadiation Exposure Compensation Act
    REFCORPResolution Funding Corporation REMIC Real Estate Mortgage Investment Conduit
    RESPAReal Estate Settlement Procedures Act of 1974
    RESTOREAct Resources and Ecosystems Sustainability, Tourist Opportunities, and Revived Economies of the Gulf Coast States Act of 2012
    RFARegulatory Flexibility Act
    RHSRural Housing Service
    RIKRoyalty-in-Kind
    RIMSRecords and Information Management System
    RITAResearch and Innovative Technology Administration
    RMARisk Management Agency
    RPDOffice of Railroad Policy and Development
    RRFReady Reserve Fleet
    RSPAResearch and Special Programs Administration (Transportation)
    RTCResolution Trust Corporation
    RTECSRegistry of Toxic Effects of Chemical Substances
    RUSRural Utilities Service
    S&Ssignificant and substantial
    SACspecial-agent-in-charge
    SADASupplemental Agriculture Disaster Assistance
    SAFEAct Secure and Fair Enforcement for Mortgage Licensing Act of 2008
    SAFETEASafe, Accountable, Flexible, and Efficient Transportation Equity Act of 2005
    SAICSpecial Agent in Charge
    SAIFSavings Association Insurance Fund
    SAMHSASubstance Abuse and Mental Health Services Administration
    SAVESystematic Alien Verification for Entitlements program
    SBASmall Business Administration
    SBICSmall Business Investment Company
    SBREFASmall Business Regulatory Enforcement Fairness Act
    SBTESmall Business Tax Education program
    SCOSupplemental Coverage Option
    SCSSoil Conservation Service
    SCSRsself-contained self-rescue devices
    SECSecurities and Exchange Commission
    SESDSpecial Examination and Supervision Division
    SILSScience Information and Library Services
    SIPCSecurities Investor Protection Corporation
    SLSASaint Lawrence Seaway Authority
    SLSDCSaint Lawrence Seaway Development Corporation
    SMARTSex Offender Sentencing, Monitoring, Apprehending, Registering, and Tracking
    SMCRASurface Mining Control and Reclamation Act of 1977
    SMIsupplementary medical insurance
    SMSAstandard metropolitan statistical area
    SNAPSupplemental Nutrition Assistance Program
    SORNASex Offender Registration and Notification Act
    SPRStrategic Petroleum Reserve
    SPRSSurveillance, Preparedness and Response
    SROself-regulatory organization
    SRSSecure Rural Schools and Community Self-Determination Act
    SSASocial Security Administration
    SSISupplemental Security Income program
    STAASurface Transportation Assistance Act
    STASScience, Technology and Analysis
    STAXStacked Income Protection Plan
    STBSurface Transportation Board
    STELASystem for Tracking Export License Applications
    SuperfundComprehensive Environmental Response, Compensation, and Liability Act
    TAteaching assistant
    TAACCCTTrade Adjustment Assistance Community College and Career Training grant program
    TACsTechnical Advisory Committees
    TANFTemporary Assistance for Needy Families program
    TAPTaxpayer Advocacy Panel
    TAPTree Assistance Program
    TARPTroubled Asset Relief Program
    TASCTechnical Assistance for Specialty Crops Program
    TCETax Counseling for the Elderly program
    TDDTelecommunications Device for the Deaf
    TEA-21Transportation Equity Act for the 21st Century
    TEFAPThe Emergency Food Assistance Program
    TERAsTribal Energy Resource Agreements
    TIRCToxicology Information Response Center
    TOLATribal Law and Order Act of 2010
    TRRTrade Regulation Rules
    TSATransportation Security Administration
    TSCTransportation Systems Center
    TSITransportation Safety Institute
    TSRTransportation Security Regulation
    TTBAlcohol and Tobacco Tax and Trade Bureau
    TTRCTraining Technology Resource Center
    TTYtext telephone
    TWICTransportation Worker Identification Credentials program
    UITunit investment trusts
    UMTAUrban Mass Transportation Administration
    URIUniversity Research Institute
    USACEU.S. Army Corps of Engineers
    USAIDU.S. Agency for International Development
    U.S.C.United States Code
    USCBPU.S. Customs and Border Protection
    USCISU.S. Citizenship and Immigration Service
    USCSU.S. Customs Service
    USDAU.S. Department of Agriculture
    USECU.S. Enrichment Corporation
    USESU.S. Employment Service
    USFAU.S. Fire Administration
    USFCSU.S. and Foreign Commercial Service
    USGSU.S. Geological Survey
    USITCU.S. International Trade Commission
    USMLU.S. Munitions List
    USNU.S. Navy
    USPHSCCU.S. Public Health Service Commissioned Corps
    USPSU.S. Postal Service
    USPTOU.S. Patent and Trademark Office
    USTROffice of the U.S. Trade Representative
    UTCUniversity Transportation Center
    V2Vvehicle-to-vehicle
    VADepartment of Veterans Affairs
    VACAAVeterans Access, Choice, and Accountability Act of 2014
    VAWAViolence Against Women Act
    VETSVeterans’ Employment and Training Service
    VITAVolunteer Income Tax Assistance program
    VPA-HIPVoluntary Public Access and Habitat Incentive Program
    VRAPVeterans Retraining Assistance Program
    VSSvoting system standards
    WHDWage and Hour Division
    WHTIWestern Hemisphere Travel Initiative
    WIAWorkforce Investment Act
    WICWomen, Infants, and Children food program
    WIOAWorkforce Innovation and Opportunity Act
    WRRDAWater Resources Reform and Development Act of 2014
    WTOWorld Trade Organization
    Key to Congressional Addresses

    U.S. Capitol. Abbreviated as CAP; the letters H and S before the room number indicate the House or Senate side of the building. Zip codes are 20510 for the Senate, and 20515 for the House.

    Senate Office Buildings. Mail for delivery to Senate office buildings does not require a street address. The zip code is 20510. Abbreviations, building names, and street locations are as follows:

    SDDirksen Senate Office Bldg., Constitution Ave. between 1st and 2nd Sts. N.E.
    SHHart Senate Office Bldg., 2nd St. and Constitution Ave. N.E.
    SRRussell Senate Office Bldg., Constitution Ave. between Delaware Ave. and 1st St. N.E.

    House Office Buildings Mail for delivery to House office buildings does not require a street address. The zip code is 20515. Abbreviations, building names, and street locations are as follows:

    CHOBCannon House Office Bldg., Independence Ave. between New Jersey Ave. and 1st St. S.E.
    FHOBFord House Office Bldg., 2nd and D Sts. S.W.
    LHOBLongworth House Office Bldg., Independence Ave. between S. Capitol St. and New Jersey Ave. S.E.
    OHOBO'Neill House Office Bldg., 300 New Jersey Ave. S.E.
    RHOBRayburn House Office Bldg., Independence Ave. between S. Capitol and 1st Sts. S.W.

  • Appendix

    Federal World Wide Websites

    Major Regulatory Agencies
    Other Regulatory Agencies

    Federal Relay Service Online (FRSO) is a service offered to deaf and hard of hearing federal/military employees that allows them to place relay calls over the Internet between locations in the United States (including its territories). The service is also available to members of the general public who are deaf or hard of hearing trying to communicate with federal or military agencies. A TTY machine is not required, and a video relay service is available.

    http://www.frso.us

    Departmental Agencies
    Agriculture Department

    http://www.usda.gov

    Commerce Department

    http://www.commerce.gov

    Defense Department

    http://www.defense.gov

    Education Department

    http://www.ed.gov

    Energy Department

    http://www.energy.gov

    Health and Human Services Department

    http://www.hhs.gov

    Homeland Security Department

    http://www.dhs.gov

    Housing and Urban Development Department

    http://www.hud.gov

    Interior Department

    http://www.doi.gov

    Justice Department

    http://www.justice.gov

    Labor Department

    http://www.dol.gov

    State Department

    http://www.state.gov

    Transportation Department

    http://www.transportation.gov

    Treasury Department

    http://www.treasury.gov

    Veterans Affairs Department

    http://www.va.gov

    Regulatory Oversight and Coordination
    Government Information

    Ordering Government Publications

    In addition to the publications contacts listed in each agency profile, the federal government maintains the following general offices for the distribution of publications:

    Federal Citizen Information Center (FCIC)

    (Pueblo office)

    31451 United Ave.

    Pueblo, CO 81009

    E-mail: Pueblo@gpo.gov

    Questions only (no new orders):

    (719) 295-2675

    Internet: http://www.publications.usa.gov

    (Washington office)

    General Services Administration Number:

    (1800) 488-3111

    1800 F St. N.W., Room G-142 (XCC)

    Washington, DC 20405

    Part of the General Services Administration. Distributes free publications, including the Consumer Information Catalog and consumer booklets from many federal agencies. Also distributes new releases on consumer issues to the media, consumer organizations, and state and local consumer agencies. Orders for publications and catalogs are filled by the Pueblo office; orders are no longer accepted by phone and can be placed online via the FCIC's website at http://www.publications.usa.gov. The Washington office provides services to the U.S. Government Printing Office and other federal agencies.

    National Technical Information Service (NTIS)

    U.S. Department of Commerce

    5301 Shawnee Rd.

    Alexandria, VA 22312

    Agency Phone: (703) 605-6000

    Customer Service Phone: (888) 584-8332

    Website Support Phone: (703) 605-6585

    E-mail: orders@ntis.gov Internet: http://www.ntis.gov

    Orders: (800) 553-6847

    Part of the Commerce Department. Distributes or sells publications, subscriptions, and other information from most federal departments, many independent agencies, and a number of foreign governments. Publications can be retrieved online, in print, and in various electronic formats. Publication catalogs are available for download at the NTIS website.

    In addition to the main order lines above, key telephone contacts include:

    Rush Service (800) 553-NTIS

    Fedworld

    Internet: http://fedworld.ntis.gov

    A division of NTIS and a central access point for federal online information, including government jobs, scientific and technical publications, 30 million government Web pages, the text of Supreme Court decisions issued between 1937 and 1975, and archived Internal Revenue Service forms and publications.

    National Audiovisual Center (NAC)

    Internet: http://www.ntis.gov/products/nac

    A division of the NTIS that distributes over 9,000 federal media-based products, including videotapes, audiocassettes, and CD-ROMs. Training materials cover occupational safety and health, foreign languages, law enforcement, and fire services. Educational materials cover topics in history, health, agriculture, and natural resources.

    U.S. Government Printing Office (GPO)

    732 N. Capitol St. N.W.

    Washington, DC 20401

    Orders: (202) 512-1800;

    (866) 512-1800

    Internet: http://bookstore.gpo.gov

    Produces publications for Congress and the federal departments and agencies. The superintendent of documents distributes or sells products, including catalogs, books, and subscriptions; booklets and other frequently requested publications are generally available from the agencies themselves. An increasing number of GPO products are available in electronic formats. The agency's website provides indexes of GPO products and access to a variety of government databases. The GPO also maintains two government bookstores in the DC metropolitan area, which stock selected government publications, and a network of Regional Federal Depository Libraries, which receive a copy of all federal government documents that must be made available for public inspection. For the location of these libraries, please go to http://www.gpoaccess.gov/libraries.html.

    In addition to the main order lines above, some key GPO contacts include:

    Mail Orders

    U.S. Government Printing Office

    P.O. Box 979050

    St. Louis, MO 63197-9000

    GPO Bookstore

    710 N. Capitol St. N.W.

    Washington, DC 20401-0001

    (202) 512-0132

    How to Use the Federal Register and the CFR

    The basic tool for finding out about agency rulings, proposed rules, meetings, and adjudicatory proceedings is the Federal Register, which is published daily. The Federal Register system of publication was established by the Federal Register Act of 1935 (44 U.S.C. Ch. 15) and was further enlarged and amended by the Administrative Procedure Act of 1946 (5 U.S.C. 551).

    Contained in the Federal Register are federal agency regulations and other legal documents of the executive branch, including presidential documents (among them the texts of proclamations and executive orders).

    The system of codifying federal regulations parallels that of legislation. Laws enacted by Congress are compiled annually in the U.S. Statutes at Large and are then codified in the U.S. Code by subject titles. Rules and regulations to implement the legislation are published daily in the Federal Register and are then codified by subject title in the Code of Federal Regulations (CFR), which is updated annually. Working with the Federal Register and the CFR, a person may find an up-to-date account of all regulations pertaining to a particular agency or subject.

    Organization of the CFR

    The CFR, a compilation of the current general and permanent regulations of federal agencies, is divided into fifty titles, according to broad subject areas affected by regulatory action. For example, Title 1 concerns “General Provisions;” Title 3, “The President;” Title 12, “Banks and Banking;” Title 15, “Commerce and Foreign Trade;” Title 21, “Food and Drugs;” and so forth. (The subject of a title may change as regulations are rescinded and different regulations are issued. Not all titles are in use at one time.)

    Within each title (consisting of one or more volumes), subjects are further broken down into chapters (numbered in roman capitals as I, II, III, etc.). Chapters are further subdivided into parts, numbered in Arabic numerals (1, 2, 3, etc.). Parts are normally assigned to chapters as follows: Chapter I, Parts 1 to 199; Chapter II, Parts 200 to 299; and so forth. Each part contains a number of sections, set off by a decimal point preceded by the symbol §. The notation “§ 32.5” would refer to section 5 of part 32. The “section” is the basic unit of the CFR and ideally consists of a short, simple presentation of one proposition.

    As an example: Title 36 of the CFR, composed of one volume, concerns all regulations pertaining to “Parks, Forests, and Public Property.” The table of contents of the volume divides the title into fourteen chapters. Chapter I contains regulations affecting the “National Park Service, Department of the Interior.” There is a table of contents for each chapter, giving the subject matter of each part and the page number on which it may be found. Part 4 of Chapter I, for example, concerns “Vehicles and Traffic Safety.” Within Part 4, there are a number of sections. Section 4.30, for example, concerns “Bicycles.”

    Each CFR volume contains front matter on how to use the code, effective dates, and whom to contact for further information. The “CFR Index and Finding Aids” is revised annually and is contained in a separate volume. The index section contains a list of CFR titles, chapters, and parts; an alphabetical listing of agencies appearing in the CFR; and lists of current and superseded CFR volumes. The finding aids section consists of additional information and guides to material in the CFR. Included is a parallel table of statutory authorities and rules that lists all sections of the U.S. Code and the United States Statutes at Large, cited as the rulemaking authority for CFR regulations. The publication “CFR Index and Finding Aids” is available for purchase via the Government Printing Office bookstore, at http://bookstore.gpo.gov.

    The CFR also publishes monthly a cumulative list of changes in regulations since they were published in the latest annual code. The listing contains the title, chapter, part, and section of the amended regulation and the page number in the Federal Register where the change was published. There is no single annual issue of the cumulative list; rather, four of the monthly issues include cumulative lists for certain titles. The December issue contains changes for Titles 1-16; the March issue is the annual revision for Titles 17-27; the June issue contains changes in Titles 28-41; and the September issue notes changes in Titles 42-50.

    The entire CFR is revised annually according to the following schedule: Titles 1-16, as of January 1; Titles 17-27, as of April 1; Titles 28-41, as of July 1; Titles 42-50, as of October 1.

    The Federal Register

    Published daily, the Federal Register serves to update the Code of Federal Regulations. In order to determine the most recent version of a rule, the latest edition of the CFR, the CFR cumulative list of revisions, and the Federal Register must be used together.

    Each issue of the Federal Register includes preliminary pages of finding aids. Documents are arranged under various headings: “Presidential Documents,” “Rules and Regulations,” “Proposed Rules,” “Notices,” and “Sunshine Act Meetings.”

    Final Rules. This section on final rules usually contains for each entry the following information: the part (title, chapter, etc.) of the CFR affected; a brief descriptive heading for the change; the agency proposing the action; the type of action involved (e.g., a final rule, a termination of rulemaking or proceeding, or a request for further public comment); a brief summary of the nature of the action; the effective date; and the person to contact for further information. This is followed by more or less detailed supplementary information, including the text of the change in the regulation.

    Agencies are required to publish rules in the Federal Register thirty days before they are to take effect. Exceptions to this requirement, found in section 553 of the Administrative Procedure Act, include: “(1) a substantive rule which grants or recognizes an exemption or relieves a restriction; (2) interpretative rules and statements of policy; or (3) as otherwise provided by the agency for good cause found and published with the rule.”

    In publishing the supplementary information on the final rule, agencies must summarize comments received about the rule, what action was taken on them, and why. On occasion, agencies may allow further comment on a final rule and will give notice of such in the Federal Register.

    Proposed Rules. The format for publishing a proposed rule is similar to that for final rules. The entry is headed by the name of the agency initiating the action; the CFR sections affected; a brief descriptive title of the action; the nature of the action (proposed rulemaking, extension of public comment period, etc.); a summary of the proposed rule; the deadlines for receiving public comments and/or dates of public hearings; the person to contact for further information; and a more detailed supplementary section. Also included is the agency's “docket” number under which its files on the proposed action may be identified and examined.

    Occasionally, agencies will publish an “advance notice of proposed rulemaking” in cases where a rule is being considered but where the agency has not developed a concrete proposal.

    Requests may be made for an extension of the deadline for public comment, but agencies are not required to grant them.

    Notices. Contained in this section of the Federal Register are documents other than rules or proposed rules that are applicable to the public. Notices of hearings and investigations, committee meetings, agency decisions and rulings, delegations of authority, filing of petitions and applications, issuance or revocation of licenses, and grant application deadlines are examples. Announcements of advisory committee meetings are also required to be published in the “Notices” section. An example of an application notice is a request by an airline company to establish a new route or service. Notice of filings of environmental impact statements are also included in this section.

    Sunshine Act Meetings. Notices of open agency meetings are printed in the Federal Register in accordance with the provisions of the Government in the Sunshine Act (see p. 902). Each entry contains the name of the agency; time, date, and place of the meeting; a brief description of the subject; status (open or closed); the person to contact; and supplementary information. Agencies that have closed a meeting are required to list those that are closed, citing the relevant exemption under the Sunshine Act.

    Finding Aids. There are several kinds of finding aids that are published each day in the Federal Register. These include:

    • Selected Subjects: a list of the subjects affected by rules and proposed rules included in each issue.
    • Contents: a comprehensive list of documents in the issue and their page numbers arranged by agency and type of document (rule, proposal, or notice).
    • List of CFR parts affected: a numerical guide listing each title of the CFR affected by documents published in the day's issue, giving the citation to the CFR and the page number in that day's Federal Register where the action may be found.
    • Cumulative list of CFR parts affected; monthly: rules and proposals that have appeared so far in that month's Federal Register, arranged in similar fashion to the above.
    • Federal Register pages and dates: a parallel table of the inclusive pages and corresponding dates for the Federal Registers of the month.

    In addition to information provided in each daily Federal Register, there are other monthly, quarterly, and annual publications. The first Federal Register of each month contains a table of effective dates and time periods for the month. The first issue of each week includes the CFR checklist, which shows the revision date and price of CFR volumes issued to date. The Federal Register also publishes a monthly index of all the documents appearing in a given month arranged alphabetically by agency name and thereunder by rules, proposed rules, and notices; broad subject headings are inserted alphabetically among agency headings. The index also includes a list of Freedom of Information Act indexes and a table showing the relationship between Federal Register dates and pages. The index is cumulated quarterly and annually.

    The List of CFR Sections Affected (LSA) directs users to changes to the CFR that were published in the Federal Register. Entries for rules are arranged numerically by CFRtitle, chapter, part, section, and paragraph. A descriptive word or phrase indicates the nature of the amendatory action such as additions, revisions, or removals. The number at the end of each entry gives the page in the Federal Register where the amendatory action appears. Proposed rules are listed at the end of the appropriate titles. The proposed rule entries are to the part number. They do not contain a descriptive word or phrase.

    The LSA is published monthly in cumulative form and keyed to the annual revision schedule of the CFR volumes. The issues of December, March, June, and September are annual cumulations for certain CFR titles. If a particular LSA is an annual cumulation, a notation appears on the cover.

    Each LSA also contains a detailed introductory explanation on how to use the publication. In addition, the LSA contains a parallel table of authorities and rules, which shows additions and removals of authorities, and a table of Federal Register issue pages and dates.

    The Office of the Federal Register has published a booklet, “The Federal Register: What It Is and How to Use It,” which may be obtained from the Government Printing Office, and also offers seminars on how to use the Federal Register. These are announced in the Federal Register.

    Federal Digital System (FDsys)

    Federal Digital System (FDsys) is an online information-dissemination service that provides access to the Federal Register (http://www.gpo.gov/fdsys) using multiple browse and search features. The electronic version of the Federal Register is updated daily and includes volumes from fifty-nine (1994) to the present. CFR volumes are added to the online service concurrent with the release of the print editions. Issues are available from 1996 (partial) to the current year. Both publications’ documents are available in PDF and ASCII text files. Also available is the Electronic Code of Federal Regulations (e-CFR) (http://www.ecfr.gov), a daily updated version of the CFR that incorporates information from the CFR, Federal Register, and the List of CFR Sections Affected. The e-CFR is not an official legal edition of the CFR.

    Searching and Commenting on Regulations: http://Regulations.gov

    The President's Management Agenda was launched in 2001 as a collection of governmentwide initiatives for improving the management and performance of the federal government. One of the five main initiatives was Expanded Electronic Government, known as the E-Government Act of 2002. It is an ongoing effort by federal agencies to use Internet-based technology to make it easier for citizens and businesses to interact with the government and modernize citizen-to-government communications.

    The E-Government Act (116 Stat. 2899, 44 U.S.C. 3601 et seq.) authorized the eRulemaking Initiative, which focuses on improving citizen access and participation in the rulemaking process and streamlining the efficiency of internal agency processes. The three key objectives are:

    • To expand public understanding of the rulemaking process.
    • To improve the quality of rulemaking decisions.
    • To increase the amount, breadth, and ease of citizen and intergovernmental participation in rulemaking by using the Internet to enhance public access to information.

    The eRulemaking Initiative continues to consolidate existing federal information technology systems into a single federal system and integrate 135 federal agencies that use or used paper-based rule-writing processes.

    Background

    Rulemaking is the process followed by federal departments and agencies to formulate, amend, or repeal a regulation. The rulemaking process generally consists of two stages: the proposed and the final regulation. More than 8,000 rules are created each year by approximately 300 different federal agencies, with as many as 500 regulations open for comment at any given time. For most categories of rulemaking, the department or agency provides notice of a proposed regulation and any person or organization may review this document and submit comments on it during a specified period (usually thirty, sixty, or ninety days).

    As part of the rulemaking process, the department or agency is required to consider the public comments received on the proposed regulation.

    A docket serves as the depository for documents or information related to an agency's rulemaking activities. Agencies most commonly use dockets for rulemaking actions, but dockets may also be used for various other activities. The docket generally contains the materials referenced in the Federal Register, any received public comments, or other information used by decision makers related to the agency rulemaking activity. Some agencies maintain their dockets electronically with access via the Internet, while other agencies maintain hard copies of materials submitted to their docket.

    Internet: http://www.regulations.gov

    Help Desk Phone: (877) 378-5457

    http://Regulations.gov, a federal regulatory clearinghouse, was launched in January 2003 as the first achievement of the eRulemaking Initiative—a cross-agency effort authorized under the E-Government Act. The initial goal of http://Regulations.gov was to provide online access to every open rule published by the federal agencies. The eRulemaking Initiative is managed by the Environmental Protection Agency in conjunction with more than twenty-five federal departments and agency partners.

    In fall 2005 http://Regulations.gov launched its Federal Docket Management System (FDMS). FDMS enables the public to access entire rulemaking dockets from participating federal departments and agencies. With this system, federal departments and agencies can post Federal Register documents, supporting materials, and public comments on the Internet. The public can search, view, and download these documents.

    http://Regulations.gov initially made available the dockets for the Department of Housing and Urban Development, the Animal and Plant Health Inspection Service of the Department of Agriculture, a portion of the Department of Homeland Security, and the Office of Personnel Management. In 2005 http://Regulations.gov began adding federal departments and agencies, including the following:

    • Additional sections of the Department of Homeland Security
    • Department of Housing and Urban Development Environmental Protection Agency
    • Federal Emergency Management Agency, Department of Homeland Security
    • Federal Trade Commission
    • Internal Revenue Service
    • National Archives and Records Administration
    • U.S. Citizenship and Immigration Services, Department of Homeland Security
    • U.S. Customs and Border Protection, Department of Homeland Security

    http://Regulations.gov allows the public to view a description of rules currently open for comment, read full texts of the accompanying documents, and submit comments to the appropriate federal department or agency. This interactive site now provides online access to every rule published and open for comment, from more than 300 different federal agencies. This includes all federal documents that are open for comment and published in the Federal Register, the official daily publication for final regulations, proposed regulations, and other notices of federal departments and agencies and organizations, as well as executive orders and other presidential documents. Through the website, some agencies post comments back to the public site.

    The http://Regulations.gov website allows users to:

    • Search for open regulations and documents.
    • Comment on open regulations and documents.
    • Request e-mail notifications on dockets. Access further help in using the http://Regulations.gov website.

    The website also provides visitors with a variety of means to search for and retrieve those documents and also allows visitors to submit a comment on any open rulemaking, which is then forwarded to the appropriate agency. All public comments received are then reviewed by that department or agency and taken into account when the final regulation is developed.

    Each Federal Register regulatory action that is open for comment through the http://Regulations.gov website contains specific instructions on how to submit comments for that particular rulemaking action.

    http://Regulations.gov provides four predefined searches to access documents and regulations open for comment:

    • All documents open for comment.
    • Documents published for comment today.
    • Regulations open for public comment by topic.
    • All documents for which the comment period closes today.

    http://Regulations.gov is updated daily by the National Archives and Records Administration using electronic versions of the same Federal Register documents printed every business day to ensure that regulations open for comment are available for public access.

    Administrative Procedure Act

    The Administrative Procedure Act (APA) had its genesis in the proliferation of regulatory agencies during the New Deal. Passed in 1946, the act was the product of a nine-year study of administrative justice by congressional committees, the Justice Department, and lawyers’ organizations. On enactment, Pat McCarran, D-NV, chair of the Senate Judiciary Committee, described it as a “bill of rights for the hundreds of thousands of Americans whose affairs are controlled or regulated in one way or another by agencies of the federal government” and said it was designed “to provide guaranties of due process in administrative procedure.”

    Major provisions of the act:

    • Required agencies to publish in the Federal Register a description of their organization and rulemaking procedures and to hold hearings or provide other means of public comment on proposed rules.
    • Prescribed standards and procedures for agency adjudications, including licensing and injunctive orders. (Among the requirements: adequate notice to parties concerned; separation of prosecution and decision functions through a ban on investigatory or prosecuting officials deciding cases; discretionary authority for agencies to issue declaratory orders.)
    • Spelled-out hearing procedures, including a requirement that the proponent of a rule or order should have the burden of proof and that no decision could be made except as supported by “relevant, reliable and probative evidence.”
    • Provided that any person suffering legal wrong because of any agency action would be entitled to judicial review, except where statutes precluded judicial review or where agency action was by law committed to agency discretion, but required the aggrieved party to exhaust administrative remedies first. The court was to set aside agency actions “unsupported by substantial evidence,” and was to review the whole record and take “due account” of the rule of prejudicial error.
    • Directed each agency to appoint competent examiners to act as hearing officers and to make, or recommend, decisions.

    The act established minimum requirements that all agencies would have to meet. Based on these requirements, agencies have developed their own procedures, which are spelled out in statutes contained in the Code of Federal Regulations. Amendments to the APA include the Government in Sunshine Act, the Freedom of Information Act, and the Privacy Act.

    The APA divides administrative proceedings into two categories: rulemaking and adjudication. A “rule” is defined by Section 551 as “the whole or a part of an agency statement of general or particular applicability and future effect designed to implement, interpret, or prescribe law or policy or describing the organization, procedure, or practice requirements of an agency.” “Adjudication” is the process of formulating an order, which is defined as a “final disposition of an agency in a matter other than rulemaking but including licensing.”

    Rulemaking

    Section 553 sets forward the basic requirements for rulemaking. General notice of a proposed rulemaking is to be published in the Federal Register, unless persons subject to the rule “are named and either personally served or otherwise have actual notice thereof in accordance with law. The notice shall include (1) a statement of the time, place, and nature of public rule making proceedings; (2) reference to the authority under which the rule is proposed; and (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved.” The APA provides an opportunity for public participation through written or oral comment (the act does not require agencies to hold hearings).

    There are two kinds of rulemaking: formal and informal. If a particular statute calls for “on the record” or formal rulemaking, the agency must go through a trial-type procedure. Decisions must be based on the record of transcripts of oral testimony or written submissions. Unlike adjudicatory proceedings, however, the initial and recommended decision of the hearing examiner may be omitted. Under the informal rulemaking process, the decision need not be based on the record and, unless the agency decides otherwise, only the minimum requirements of the APA must be met.

    Under Section 553 of the Administrative Procedure Act, a “substantive rule which grants or recognizes an exemption or relieves a restriction” must be published at least thirty days before it becomes effective. However, there are many exceptions to this, among them interpretative rules or general statements of policy. Such notice is not required if it would defeat the purpose of the rule or if immediate action is required to protect property.

    Formal Hearings

    Where the APA requires a formal hearing—as in a formal rulemaking or adjudicatory proceeding—usually an administrative law judge (hearing examiner) presides and receives evidence. (However, the act also provides that the agency or one or more members of the body that constitutes the agency may do so.) The act requires that each agency “shall appoint as many hearing examiners as are necessary for proceedings required to be conducted” under adjudicatory or formal rulemaking procedures. Hearing examiners, or presiding officers, have the power to administer oaths and affirmations; issue subpoenas authorized by law; rule on offers of proof and receive relevant evidence; regulate the hearings; hold conferences to settle or simplify issues; handle procedural requests; make or recommend decisions; and take other action authorized by agency rules.

    Following the hearing, the examiner makes an initial or recommended decision, but the agency makes the final determination.

    Adjudication

    In contrast to the more generalized character of rulemaking, adjudication usually involves a more limited number of parties (between the agency and a private party, or among two or more private parties) and is more judicial in nature. Section 554 of the APA requires that the agency notify the affected parties of the hearing's time and place, the statute involved, and the factual dispute that will be decided. The parties involved may submit oral or written evidence, present a defense and rebuttal, and cross-examine witnesses. The hearing examiner is prohibited from consulting any party on an issue of fact unless all parties have a chance to participate.

    Judicial Review

    Section 702 of the APA provides that: “A person suffering legal wrong because of agency action, or adversely affected or aggrieved by agency action within the meaning of a relevant statute, is entitled to judicial review thereof.” The reviewing court may “compel agency action unlawfully withheld or unreasonably delayed,” and rule unlawful any agency action found to be “arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law;” unconstitutional; “in excess of statutory jurisdiction, authority, or limitations, or short of statutory right;” taken “without observance of procedure required by law;” and unsupported by substantial evidence.

    The provisions of the Administrative Procedure Act are contained in the U.S. Code, Title 5, Chapter 5, Subchapter II, and Title 5, Chapter 7.

    The following text includes Subchapter II, section 551 and sections 553-559 as well as Chapter 7.

    Section 552, known as the Freedom of Information Act, may be found on p. 891; section 552a, known as the Privacy Act, may be found on p. 914; and section 552b, known as the Government in the Sunshine Act, may be found on p. 902.

    Subchapter II Administrative Procedure § 551. Definitions

    For the purpose of this subchapter—

    • “agency” means each authority of the Government of the United States, whether or not it is within or subject to review by another agency, but does not include—
      • the Congress;
      • the courts of the United States;
      • the governments of the territories or possessions of the United States;
      • the government of the District of Columbia; or except as to the requirements of section 552 of this title—
      • agencies composed of representatives of the parties or of representatives of organizations of the parties to the disputes determined by them;
      • courts martial and military commissions;
      • military authority exercised in the field in time of war or in occupied territory; or
      • functions conferred by sections 1738, 1739, 1743, and 1744 of title 12; chapter 2 of title 41; or sections 1622, 1884, 1891-1902, and former section 1641(b)(2), of title 50, appendix;
    • “person” includes an individual, partnership, corporation, association, or public or private organization other than an agency;
    • “party” includes a person or agency named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, in an agency proceeding, and a person or agency admitted by an agency as a party for limited purposes;
    • “rule” means the whole or a part of an agency statement of general or particular applicability and future effect designed to implement, interpret, or prescribe law or policy or describing the organization, procedure, or practice requirements of an agency and includes the approval or prescription for the future of rates, wages, corporate or financial structures or reorganizations thereof, prices, facilities, appliances, services or allowances therefor or of valuations, costs, or accounting, or practices bearing on any of the foregoing;
    • “rule making” means agency process for formulating, amending, or repealing a rule;
    • “order” means the whole or a part of a final disposition, whether affirmative, negative, injunctive, or declaratory in form, of an agency in a matter other than rule making but including licensing;
    • “adjudication” means agency process for the formulation of an order;
    • “license” includes the whole or a part of an agency permit, certificate, approval, registration, charter, membership, statutory exemption, or other form of permission;
    • “licensing” includes agency process respecting the grant, renewal, denial, revocation, suspension, annulment, withdrawal, limitation, amendment, modification, or conditioning of a license;
    • “sanction” includes the whole or a part of an agency—
      • prohibition, requirement, limitation, or other condition affecting the freedom of a person;
      • withholding of relief;
      • imposition of penalty or fine;
      • destruction, taking, seizure, or withholding of property;
      • assessment of damages, reimbursement, restitution, compensation, costs, charges, or fees;
      • requirement, revocation, or suspension of a license; or
      • taking other compulsory or restrictive action;
    • “relief” includes the whole or a part of an agency—
      • grant of money, assistance, license, authority, exemption, exception, privilege, or remedy;
      • recognition of a claim, right, immunity, privilege, exemption, or exception; or
      • taking of other action on the application or petition of, and beneficial to, a person;
    • “agency proceeding” means an agency process as defined by paragraphs (5), (7), and (9) of this section;
    • “agency action” includes the whole or a part of an agency rule, order, license, sanction, relief, or the equivalent or denial thereof, or failure to act; and
    • “ex parte communication” means an oral or written communication not on the public record with respect to which reasonable prior notice to all parties is not given, but it shall not include requests for status reports on any matter or proceeding covered by this subchapter.
    § 553. Rule Making
    • This section applies, according to the provisions thereof, except to the extent that there is involved—
      • a military or foreign affairs function of the United States; or
      • a matter relating to agency management or personnel or to public property, loans, grants, benefits, or contracts.
    • General notice of proposed rulemaking shall be published in the Federal Register, unless persons subject thereto are named and either personally served or otherwise have actual notice thereof in accordance with law. The notice shall include—
      • a statement of the time, place, and nature of public rule making proceedings;
      • reference to the legal authority under which the rule is proposed; and
      • either the terms or substance of the proposed rule or a description of the subjects and issues involved. Except when notice or hearing is required by statute, this subsection does not apply—
        • to interpretative rules, general statements of policy, or rules of agency organization, procedure, or practice; or
        • when the agency for good cause finds (and incorporates the finding and a brief statement of reasons therefor in the rules issued) that notice and public procedure thereon are impracticable, unnecessary, or contrary to the public interest.
    • After notice required by this section, the agency shall give interested persons an opportunity to participate in the rule making through submission of written data, views, or arguments with or without opportunity for oral presentation. After consideration of the relevant matter presented, the agency shall incorporate in the rules adopted a concise general statement of their basis and purpose. When rules are required by statute to be made on the record after opportunity for an agency hearing, sections 556 and 557 of this title apply instead of this subsection.
    • The required publication or service of a substantive rule shall be made not less than 30 days before its effective date, except—
      • a substantive rule which grants or recognizes an exemption or relieves a restriction;
      • interpretative rules and statements of policy; or
      • as otherwise provided by the agency for good cause found and published with the rule.
    • Each agency shall give an interested person the right to petition for the issuance, amendment, or repeal of a rule.
    § 554. Adjudications
    • This section applies, according to the provisions thereof, in every case of adjudication required by statute to be determined on the record after opportunity for an agency hearing, except to the extent that there is involved—
      • a matter subject to a consequent trial of the law and the facts de novo in a court;
      • the selection or tenure of an employee, except a hearing examiner appointed under section 3105 of this title;
      • proceedings in which decisions rest solely on inspections, tests, or elections;
      • the conduct of military or foreign affairs functions;
      • cases in which an agency is acting as an agent for a court; or
      • the certification of worker representatives.
    • Persons entitled to notice of an agency hearing shall be timely informed of—
      • the time, place, and nature of the hearings;
      • the legal authority and jurisdiction under which the hearing is to be held; and
      • the matters of fact and law asserted.

        When private persons are the moving parties, other parties to the proceeding shall give prompt notice of issues controverted in fact or law; and in other instances agencies may by rule require responsive pleading. In fixing the time and place for hearings, due regard shall be had for the convenience and necessity of the parties or their representatives.

    • The agency shall give all interested parties opportunity for—
      • the submission and consideration of facts, arguments, offers of settlement, or proposals of adjustment when time, the nature of the proceeding, and the public interest permit; and
      • to the extent that the parties are unable so to determine a controversy by consent, hearing and decision on notice and in accordance with sections 556 and 557 of this title.
    • The employee who presides at the reception of evidence pursuant to section 556 of this title shall make the recommended decision or initial decision required by section 557 of this title, unless he becomes unavailable to the agency. Except to the extent required for the disposition of ex parte matters as authorized by law, such an employee may not—
      • consult a person or party on a fact in issue, unless on notice and opportunity for all parties to participate; or
      • be responsible to or subject to the supervision or direction of an employee or agent engaged in the performance of investigative or prosecuting functions for an agency.

        An employee or agent engaged in the performance of investigative or prosecuting functions for an agency in a case may not, in that or a factually related case, participate or advise in the decision, recommended decision, or agency review pursuant to section 557 of this title, except as witness or counsel in public proceedings. This subsection does not apply—

        • in determining applications for initial licenses;
        • to proceedings involving the validity or application of rates, facilities, or practices of public utilities or carriers; or
        • to the agency or a member or members of the body comprising the agency.
    • The agency, with like effect as in the case of other orders, and in its sound discretion, may issue a declaratory order to terminate a controversy or remove uncertainty.
    § 555. Ancillary Matters
    • This section applies, according to the provisions thereof, except as otherwise provided by this subchapter.
    • A person compelled to appear in person before an agency or representative thereof is entitled to be accompanied, represented, and advised by counsel or, if permitted by the agency, by other qualified representative. A party is entitled to appear in person or by or with counsel or other duly qualified representative in an agency proceeding. So far as the orderly conduct of public business permits, an interested person may appear before an agency or its responsible employees for the presentation, adjustment, or determination of an issue, request, or controversy in a proceeding, whether interlocutory, summary, or otherwise, or in connection with an agency function. With due regard for the convenience and necessity of the parties or their representatives and within a reasonable time, each agency shall proceed to conclude a matter presented to it. This subsection does not grant or deny a person who is not a lawyer the right to appear for or represent others before an agency or in an agency proceeding.
    • Process, requirement of a report, inspection, or other investigative act or demand may not be issued, made, or enforced except as authorized by law. A person compelled to submit data or evidence is entitled to retain or, on payment of lawfully prescribed costs, procure a copy or transcript thereof, except that in a nonpublic investigatory proceeding the witness may for good cause be limited to inspection of the official transcript of his testimony.
    • Agency subpoenas authorized by law shall be issued to a party on request and, when required by rules of procedure, on a statement or showing of general relevance and reasonable scope of the evidence sought. On contest, the court shall sustain the subpoena or similar process or demand to the extent that it is found to be in accordance with law. In a proceeding for enforcement, the court shall issue an order requiring the appearance of the witness or the production of the evidence or data within a reasonable time under penalty of punishment for contempt in case of contumacious failure to comply.
    • Prompt notice shall be given of the denial in whole or in part of a written application, petition, or other request of an interested person made in connection with any agency proceeding. Except in affirming a prior denial or when the denial is self-explanatory, the notice shall be accompanied by a brief statement of the grounds for denial.
    § 556. Hearings; Presiding Employees; Powers and Duties; Burden of Proof; Evidence; Record as Basis of Decision
    • This section applies, according to the provisions thereof, to hearings required by section 553 or 554 of this title to be conducted in accordance with this section.
    • There shall preside at the taking of evidence—
      • the agency;
      • one or more members of the body which comprises the agency; or
      • one or more hearing examiners appointed under section 3105 of this title.

        This subchapter does not supersede the conduct of specified classes of proceedings, in whole or in part, by or before boards or other employees specially provided for by or designated under statute. The functions of presiding employees and of employees participating in decisions in accordance with section 557 of this title shall be conducted in an impartial manner. A presiding or participating employee may at any time disqualify himself. On the filing in good faith of a timely and sufficient affidavit of personal bias or other disqualification of a presiding or participating employee, the agency shall determine the matter as a part of the record and decision in the case.

    • Subject to published rules of the agency and within its powers, employees presiding at hearings may—
      • administer oaths and affirmations;
      • issue subpoenas authorized by law;
      • rule on offers of proof and receive relevant evidence;
      • take depositions or have depositions taken when the ends of justice would be served;
      • regulate the course of the hearing;
      • hold conferences for the settlement or simplification of the issues by consent of the parties;
      • dispose of procedural requests or similar matters;
      • make or recommend decisions in accordance with section 557 of this title; and
      • take other action authorized by agency rule consistent with this subchapter.
    • Except as otherwise provided by statute, the proponent of a rule or order has the burden of proof. Any oral or documentary evidence may be received, but the agency as a matter of policy shall provide for the exclusion of irrelevant, immaterial, or unduly repetitious evidence. A sanction may not be imposed or rule or order issued except on consideration of the whole record of those parts thereof cited by a party and supported by and in accordance with the reliable, probative, and substantial evidence. The agency may, to the extent consistent with the interests of justice and the policy of the underlying statutes administered by the agency, consider a violation of section 557(d) of this title sufficient grounds for a decision adverse to a party who has knowingly committed such violation or knowingly caused such violation to occur. A party is entitled to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts. In rule making or determining claims for money or benefits or applications for initial licenses an agency may, when a party will not be prejudiced thereby, adopt procedures for the submission of all or part of the evidence in written form.
    • The transcript of testimony and exhibits, together with all papers and requests filed in the proceeding, constitutes the exclusive record for decision in accordance with section 557 of this title and, on payment of lawfully prescribed costs, shall be made available to the parties. When an agency decision rests on official notice of a material fact not appearing in the evidence in the record, a party is entitled, on timely request, to an opportunity to show the contrary.
    § 557. Initial Decisions; Conclusiveness; Review by Agency; Submissions by Parties; Contents of Decisions; Record
    • This section applies, according to the provisions thereof, when a hearing is required to be conducted in accordance with section 556 of this title.
    • When the agency did not preside at the reception of the evidence, the presiding employee or, in cases not subject to section 554(d) of this title, an employee qualified to preside at hearings pursuant to section 556 of this title, shall initially decide the case unless the agency requires, either in specific cases or by general rule, the entire record to be certified to it for decision. When the presiding employee makes an initial decision, that decision then becomes the decision of the agency without further proceedings unless there is an appeal to, or review on motion of, the agency within time provided by rule. On appeal from or review of the initial decision, the agency has all the powers which it would have in making the initial decision except as it may limit the issues on notice or by rule. When the agency makes the decision without having presided at the reception of the evidence, the presiding employee or an employee qualified to preside at hearings pursuant to section 556 of this title shall first recommend a decision, except that in rule making or determining applications for initial licenses—
      • instead thereof the agency may issue a tentative decision or one of its responsible employees may recommend a decision; or
      • this procedure may be omitted in a case in which the agency finds on the record that due and timely execution of its functions imperatively and unavoidably so requires.
    • Before a recommended, initial, or tentative decision, or a decision on agency review of the decision of subordinate employees, the parties are entitled to a reasonable opportunity to submit for the consideration of the employees participating in the decisions—
      • proposed findings and conclusions; or
      • exceptions to the decisions or recommended decisions of subordinate employees or to tentative agency decisions; and
      • supporting reasons for the exceptions or proposed findings or conclusions. The record shall show the ruling on each finding, conclusion, or exception presented. All decisions, including initial, recommended, and tentative decisions, are a part of the record and shall include a statement of—
        • findings and conclusions, and the reasons or basis therefor, on all the material issues of fact, law, or discretion presented on the record; and
        • the appropriate rule, order, sanction, relief, or denial thereof.
    • In any agency proceeding which is subject to subsection (a) of this section, except to the extent required for the disposition of ex parte matters as authorized by law—
      • no interested person outside the agency shall make or knowingly cause to be made to any member of the body comprising the agency, administrative law judge, or other employee who is or may reasonably be expected to be involved in the decisional process of the proceeding, an ex parte communication relevant to the merits of the proceeding;
      • no member of the body comprising the agency, administrative law judge, or other employee who is or may reasonably be expected to be involved in the decisional process of the proceeding, shall make or knowingly cause to be made to any interested person outside the agency an ex parte communication relevant to the merits of the proceeding;
      • a member of the body comprising the agency, administrative law judge, or other employee who is or may reasonably be expected to be involved in the decisional process of such proceeding who receives, or who makes or knowingly causes to be made, a communication prohibited by this subsection shall place on the public record of the proceeding:
        • all such written communications;
        • memoranda stating the substance of all such oral communications; and
        • all written responses, and memoranda stating the substance of all oral responses, to the materials described in clauses (i) and (ii) of this subparagraph;
      • upon receipt of a communication knowingly made or knowingly caused to be made by a party in violation of this subsection, the agency, administrative law judge, or other employee presiding at the hearing may, to the extent consistent with the interests of justice and the policy of the underlying statutes, require the party to show cause why his claim or interest in the proceeding should not be dismissed, denied, disregarded, or otherwise adversely affected on account of such violation; and
      • the prohibitions of this subsection shall apply beginning at such time as the agency may designate, but in no case shall they begin to apply later than the time at which a proceeding is noticed for hearing unless the person responsible for the communication has knowledge that it will be noticed, in which case the prohibitions shall apply beginning at the time of his acquisition of such knowledge.
    • This subsection does not constitute authority to withhold information from Congress.
    § 558. Imposition of Sanctions; Determination of Applications for Licenses; Suspension, Revocation, and Expiration of Licenses
    • This section applies, according to the provisions thereof, to the exercise of a power or authority.
    • A sanction may not be imposed or a substantive rule or order issued except within jurisdiction delegated to the agency and as authorized by law.
    • When application is made for a license required by law, the agency, with due regard for the rights and privileges of all the interested parties or adversely affected persons and within a reasonable time, shall set and complete proceedings required to be conducted in accordance with sections 556 and 557 of this title or other proceedings required by law and shall make its decision. Except in cases of willfulness or those in which public health, interest, or safety requires otherwise, the withdrawal, suspension, revocation, or annulment of a license is lawful only if, before the institution of agency proceedings therefor, the licensee has been given—
      • notice by the agency in writing of the facts or conduct which may warrant the action; and
      • opportunity to demonstrate or achieve compliance with all lawful requirements.

    When the licensee has made timely and sufficient application for a renewal or a new license in accordance with agency rules, a license with reference to an activity of a continuing nature does not expire until the application has been finally determined by the agency.

    § 559. Effect on Other Laws; Effect of Subsequent Statute
    • This subchapter, chapter 7, and sections 1305, 3105, 3344, 4301(2)(E), 5372, and 7521 of this title, and the provisions of section 5335(a)(B) of this title that relate to hearing examiners, do not limit or repeal additional requirements imposed by statute or otherwise recognized by law. Except as otherwise required by law, requirements or privileges relating to evidence or procedure apply equally to agencies and persons. Each agency is granted the authority necessary to comply with the requirements of this subchapter through the issuance of rules or otherwise. Subsequent statute may not be held to supersede or modify this subchapter, chapter 7, sections 1305, 3105, 3344, 4301(2)(E), 5372, or 7521 of this title, or the provisions of section 5335(a)(B) of this title that relate to hearing examiners, except to the extent that it does so expressly.
    Chapter 7—Judicial Review
    § 701. Applications; Definitions
    • This chapter applies, according to the provisions thereof, except to the extent that—
      • statutes preclude judicial review; or
      • agency action is committed to agency discretion by law.
    • For the purpose of this chapter—
      • “agency” means each authority of the Government of the United States, whether or not it is within or subject to review by another agency, but does not include—
        • the Congress;
        • the courts of the United States;
        • the governments of the territories or possessions of the United States;
        • the government of the District of Columbia;
        • agencies composed of representatives of the parties or of representatives of organizations of the parties to the disputes determined by them;
        • courts martial and military commissions;
        • military authority exercised in the field in time of war or in occupied territory; or
        • functions conferred by sections 1738, 1739, 1743, and 1744 of title 12; chapter 2 of title 41; or sections 1622, 1884, 1891-1902, and former section 1641(b)(2), of title 50, appendix; and
      • “person,” “rule,” “order,” “license,” “sanction,” “relief” and “agency action” have the meanings given them by section 551 of this title.
    § 702. Right of Review

    A person suffering legal wrong because of agency action, or adversely affected or aggrieved by agency action within the meaning of a relevant statute, is entitled to judicial review thereof. An action in a court of the United States seeking relief other than money damages and stating a claim that an agency or an officer or employee thereof acted or failed to act in an official capacity or under color of legal authority shall not be dismissed nor relief therein be denied on the ground that it is against the United States or that the United States is an indispensable party. The United States may be named as a defendant in any such action, and a judgment or decree may be entered against the United States: Provided, That any mandatory or injunctive decree shall specify the Federal officer or officers (by name or by title), and their successors in office, personally responsible for compliance. Nothing herein (1) affects other limitations on judicial review or the power or duty of the court to dismiss any action or deny relief on any other appropriate legal or equitable ground; of (2) confers authority to grant relief if any other statute that grants consent to suit expressly or impliedly forbids the relief which is sought.

    § 703. Form and Venue of Proceeding

    The form of proceeding for judicial review is the special statutory review proceeding relevant to the subject matter in a court specified by statute or, in the absence or inadequacy thereof, any applicable form of legal action, including actions for declaratory judgments or writs of prohibitory or mandatory injunction or habeas corpus, in a court of competent jurisdiction. If no special statutory review proceeding is applicable, the action for judicial review may be brought against the United States, the agency by its official title, or the appropriate officer. Except to the extent that prior, adequate, and exclusive opportunity for judicial review is provided by law, agency action is subject to judicial review in civil or criminal proceedings for judicial enforcement.

    § 704. Actions Reviewable

    Agency actions made reviewable by statute and final agency action for which there is no other adequate remedy in a court are subject to judicial review. A preliminary, procedural, or intermediate agency action or ruling not directly reviewable is subject to review on the review of the final agency action. Except as otherwise expressly required by statute, agency action otherwise final is final for the purposes of this section whether or not there has been presented or determined an application for a declaratory order, for any form of reconsiderations, or, unless the agency otherwise requires by rule and provides that the action meanwhile is inoperative, for an appeal to superior agency authority.

    § 705. Relief Pending Review

    When an agency finds that justice so requires, it may postpone the effective date of action taken by it, pending judicial review. On such conditions as may be required and to the extent necessary to prevent irreparable injury, the reviewing court, including the court to which a case may be taken on appeal from or on application for cer-tiorari or other writ to a reviewing court, may issue all necessary and appropriate process to postpone the effective date of an agency action or to preserve status or rights pending conclusion of the review proceedings.

    § 706. Scope of Review

    To the extent necessary to decision and when presented, the reviewing court shall decide all relevant questions of law, interpret constitutional and statutory provisions, and determine the meaning or applicability of the terms of an agency action. The reviewing court shall—

    • compel agency action unlawfully withheld or unreasonably delayed; and
    • hold unlawful and set aside agency action, findings, and conclusions found to be—
      • arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law;
      • contrary to constitutional right, power, privilege, or immunity;
      • in excess of statutory jurisdiction, authority, or limitations, or short of statutory right;
      • without observance of procedure required by law;
      • unsupported by substantial evidence in a case subject to sections 556 and 557 of this title or otherwise reviewed on the record of an agency hearing provided by statute; or
      • unwarranted by the facts to the extent that the facts are subject to trial de novo by the reviewing court. In making the foregoing determinations, the court shall review the whole record or those parts of it cited by a party, and due account shall be taken of the rule of prejudicial error.

    Freedom of Information Act

    The 1966 Freedom of Information Act (100 Stat. 3207-48, 5 U.S.C. 552 note) requires executive branch agencies and independent commissions to make available to citizens, upon request, all documents and records—except those that fall into the following exempt categories:

    • Secret national security or foreign policy information;
    • Internal personnel practices; Information exempted by law;
    • Trade secrets or other confidential commercial or financial information;
    • Interagency or intra-agency memos;
    • Personal information, personnel, or medical files;
    • Law enforcement investigatory information;
    • Information related to reports on financial institutions; and
    • Geological and geophysical information.

    Following passage of the FOIA, studies of its operation noted that major problems in obtaining information were bureaucratic delay, the cost of bringing suit to force disclosure, and excessive charges levied by the agencies for finding and providing the requested information. Congress in 1974 amended the act to remove some of the obstacles to public access.

    Chief among the provisions of the amendments were those allowing a federal judge to review a decision of the government to classify certain material. Another provision set deadlines for the agency to respond to a request for information under the law. Another amendment permitted judges to order payment of attorneys’ fees and court costs for plaintiffs who won suits brought for information under the act.

    As amended in 1974, the act:

    • Required federal agencies to publish their indexes of final opinions on settlements of internal cases, policy statements, and administrative staff manuals—or, if the indexes were not published, to furnish them on request to any person for the cost of duplication. The 1966 law simply required agencies to make such indexes available for public inspection and copying.
    • Reworded a provision of the 1966 law to require agencies to release unlisted documents to someone requesting them with a reasonable description. This change was to ensure that an agency could not refuse to provide material simply because the applicant could not give its precise title.
    • Directed each agency to publish a uniform set of fees for providing documents at the cost of finding and copying them; the amendment allowed waiver or reduction of those fees when in the public interest.
    • Empowered federal district courts to order agencies to produce improperly withheld documents—and to examine the contested materials privately (in camera) to determine if they were properly exempted under one of the nine categories. This amendment removed the barrier to court review, which the Supreme Court had pointed out, giving courts the power to hold that a document had been improperly classified and therefore should be released. The government was required to prove that contested material was properly classified.
    • Set time limits for agency responses to requests: ten working days for an initial request; twenty working days for an appeal from an initial refusal to produce documents; a possible ten working-day extension that could be granted only once in a single case.
    • Set a thirty-day time limit for an agency response to a complaint filed in court under the act, provided that such cases should be given priority attention by the courts at the appeal, as well as at the trial, level.
    • Allowed courts to order the government to pay attorneys’ fees and court costs for persons winning suits against it under the act.
    • Authorized a court to find if an agency employee acted capriciously or arbitrarily in withholding information. Such a finding would set into action Civil Service Commission proceedings to determine the need for disciplinary action. If the commission found such a need, the relevant agency would take the disciplinary action which the commission recommended.
    • Amended the wording of the national defense and national security exemption to make clear that it applied only to properly classified information, clarifying congressional intent to allow review of the decision to stamp something “classified.”
    • Amended the wording of the law enforcement exemption to allow withholding only of information which, if disclosed, would interfere with enforcement proceedings, deprive someone of a fair trial or hearing, invade personal privacy in an unwarranted way, disclose the identity of a confidential source, disclose investigative techniques, or endanger law enforcement personnel. Also protected from disclosure all information from a confidential source obtained by a criminal law enforcement agency or by an agency conducting a lawful national security investigation.
    • Provided that segregable nonexempt portions of requested material be released after deletion of the exempt portions.
    • Required an annual agency report to Congress including a list of all agency decisions to withhold information requested under the act, the reasons, the appeals, the results, all relevant rules, the fee schedule, and the names of officials responsible for each denial of information.
    • Required an annual report from the attorney general to Congress listing the number of cases arising under the act, the exemption involved in each case, and the disposition, costs, fees, and penalties of each case.

    All agencies of the executive branch have issued regulations to implement the Freedom of Information Act, which may be found in the Code of Federal Regulations (consult the general index of the code under “Freedom of Information”).

    FOIA and presidential records. During the Nixon administration, Congress enacted legislation to protect presidential papers for historical reason, the Presidential Recordings and Materials Preservation Act of 1974. In 1978, Congress expanded the protection of historic presidential documents by passing the Presidential Records Act, which authorized the preservation of all presidential records and declared public ownership of such documents. Various executive orders have amended public access to presidential documents. In 1989, President Ronald Reagan issued Executive Order 12667, which established policies and procedures governing the assertion of executive privilege by incumbent and former presidents in connection with the release of presidential records by the National Archives and Records Administration pursuant to the Presidential Records Act. In November 2001 President George W. Bush issued Executive Order 13233, which expanded the executive privilege coverage and revoked President Reagan's Executive Order 12667. The move was denounced by open government advocates. Upon his first day in office, Jan. 21, 2009, President Barack Obama issued Executive Order 13489, which revoked Executive Order 13233 and reinstated the text of President Reagan's Executive Order 12667.

    Electronic FOIA provisions. The passage of the Electronic Freedom of Information Act of 1996 amended the FOIA by expanding coverage to government information stored electronically. In addition, the act specified that federal data should be placed in electronic form when possible. The 1996 act also set about to improve the public's access to government data by speeding up the time government agencies are allowed to take in responding to a request, and by requiring that indexes of government records be made available to the public.

    FOIA and Homeland Security. The Homeland Security Act of 2002, which established the Department of Homeland Security (DHS), granted broad exemption to the FOIA in exchange for the cooperation of private companies in sharing information with the government regarding vulnerabilities in the nation's critical infrastructure. Subtitle B of the act (the Critical Infrastructure Information Act) exempted from the FOIA and other federal and state disclosure requirements any critical infrastructure information that is voluntarily submitted to a covered federal agency for use in the security of critical infrastructure and protected systems, analysis, warning, interdependency study, recovery, reconstitution, or other informational purpose when accompanied by an express statement that such information is being submitted voluntarily in expectation of such nondisclosure protection. The Homeland Security Act required the secretary of DHS to establish specified procedures for the receipt, care, and storage by federal agencies of such critical infrastructure information and to provide criminal penalties for the unauthorized disclosure of such information.

    After passage of the Homeland Security Act in 2002, many lawmakers voiced concern that the new law might limit disclosure of some government information. Initial attempts to update the FOIA were not successful in 2003. With Democrats in majority in the 110th Congress, Sen. Patrick Leahy (D-VT) reintroduced the Openness Promotes Effectiveness in Our National (OPEN) Government Act of 2007, on Dec. 14 2007; the president signed it Dec. 31, 2007. The legislation did not include any new information to be released under the FOIA but instead focused on making it easier for the public to make FOIA requests. Among the legislation's provisions:

    • Provides definitions of “representative of the news media” and “news” for purposes of request processing fees.
    • Provides that, for purposes of awarding attorney fees and litigation costs, a FOIA complainant has substantially prevailed in a legal proceeding to compel disclosure if such complainant obtained relief through either a judicial order or an enforceable written agreement or consent decree; or a voluntary or unilateral change in position by the agency if the complainant's claim is not insubstantial.
    • Directs the attorney general to notify the Special Counsel of civil actions taken for arbitrary and capricious rejections of requests for agency records; and submit annual reports to Congress on such civil actions. Directs the Special Counsel to submit an annual report on investigations of agency rejections of FOIA requests.
    • Requires the twenty-day period during which an agency must determine whether to comply with a FOIA request to begin on the date the request is received by the appropriate component of the agency, but no later than ten days after the request is received by any component that is designated to receive FOIA requests in the agency's FOIA regulations. Prohibits the tolling of the twenty-day period by the agency (with some exceptions). Prohibits an agency from assessing search or duplication fees if it fails to comply with time limits, provided that no unusual or exceptional circumstances apply to the processing of the request.
    • Requires agencies to establish a system to assign an individualized tracking number for each FOIA request received that will take longer than ten days to process and a telephone line or Internet service that provides information on the status of a request.
    • Revises annual reporting requirements on agency compliance with FOIA to require information on: (1) FOIA denials based upon particular statutes; (2) response times; and (3) compliance by the agency and by each principal component thereof.
    • Redefines “record” under FOIA to include any information maintained by an agency contractor.
    • Establishes within the National Archives and Records Administration (NARA) an Office of Government Information Services to (1) review compliance with FOIA policies; (2) recommend policy changes to Congress and the President; and (3) offer mediation services between FOIA requesters and administrative agencies as a nonexclusive alternative to litigation. Authorizes the office to issue advisory opinions if mediation has not resolved the dispute.
    • Requires each agency to designate a chief FOIA officer and authorizes responsibilities for this position.
    • Requires the Office of Personnel Management (OPM) to report to Congress on personnel policies related to FOIA.
    • Sets forth requirements to describe exemptions authorizing deletions of material provided under FOIA.

    Prior to congressional revisions to the FOIA, President George W. Bush issued Executive Order 13392: Improving Agency Disclosure of Information on Dec. 14, 2005 (see p. 938). The order sought to streamline the effectiveness of government agencies in responding to FOIA requests and to reduce backlogs of FOIA requests. The order did not expand the information available under FOIA.

    The executive order provided that

    • A chief FOIA officer (at the assistant secretary or equivalent level) of each government agency monitor FOIA compliance throughout the agency. The chief FOIA officer was required to inform agency heads and the attorney general of the agency's FOIA compliance performance.
    • A FOIA Requester Service Center serve as the first point of contact for a FOIA requester seeking information concerning the status of the person's FOIA request and appropriate information about the agency's FOIA response.
    • FOIA public liaisons or supervisory officials facilitate further action if a requester has concerns regarding how an initial request was handled by the center staff.
    • The chief FOIA officer review and evaluate the agency's implementation and administration of FOIA pursuant to the executive order. The agency head was mandated to report the findings to the attorney general and to the director of the Office of Management and Budget. The report also must be published on the agency's website or in the Federal Register. Annual reports are posted on the Justice Department website.
    • The attorney general review the agency-specific plans and submit to the president a report on government-wide FOIA implementation.

    On December 29, 2009, President Obama signed Executive Order 13526, which prescribes a uniform system for classifying, safeguarding, and declassifying national security information, including information relating to defense against transnational terrorism. It replaces the provisions of previous Executive Order 12958 (signed by President Bill Clinton) and Executive Order 13292 (signed by President George W. Bush). Executive Order 13526 established a National Declassification Center at the National Archives and Records Administration. The center is tasked with clearing the backlog of referrals in reviewed documents both in federal records and in presidential materials.

    Congress also addressed transparency and classification regarding information shared among federal, state, local, and tribal agencies and private-sector partners. In 2010 the Reducing Over-Classification Act was enacted to increase transparency, decrease over-classification, and promote information sharing across the federal government and with state, local, tribal, and private sector entities. The legislation was in response to the 9/11 Commission report, which noted that over-classification and inadequate information sharing contributed to the government's failure to prevent the attacks of September 11, 2001.

    Legislation Addressing Exemptions

    The OPEN FOIA Act of 2009, a title within the Department of Homeland Security Appropriations Act, 2010, amended FOIA to require statutory exemptions to its disclosure requirements to specifically cite its provision that authorizes such exemptions. These exemptions are known as (3)(b) exemptions, or exemption 3. The OPEN FOIA Act impacts statutes enacted after October 28, 2009, the date the OPEN FOIA Act was signed into law. For any statute enacted after that date to qualify as an exemption 3 statute, it must satisfy one of the original requirements: It must “require that the matters be withheld from the public in such a manner as to leave no discretion on the issue” or “establish particular criteria for withholding or refer to particular types of matters to be withheld.” If enacted after October 28, 2009, the statute must meet one additional requirement—it must specifically cite to exemption 3 in order to qualify as a withholding statute.

    The Protected National Security Documents Act of 2009, also included in the Department of Homeland Security Appropriations Act, 2010, was Congress's response to litigation under FOIA to obtain photographs of prisoner abuse in Iraq and Afghanistan. The legislation exempts from disclosure under FOIA any “protected document,” defined as any record for which the secretary of defense has issued a certification stating that its disclosure would endanger U.S. citizens, members of the U.S. Armed Forces, or U.S. government employees deployed outside the United States, and that is a photograph that was taken between September 11, 2001, and January 22, 2009, relating to the treatment of individuals engaged, captured, or detained after September 11, 2001, by the U.S. Armed Forces in operations outside of the United States. The law provides that such a certification shall expire three years after issuance or renewal.

    In 2010 Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act to expand federal oversight of financial markets, including trading in derivatives, hedge funds, and municipal bonds. Section 929I of the Dodd-Frank Act exempted the Security and Exchange Commission's (SEC) regulatory and oversight activities from the Freedom of Information Act. The intent was to shield institutional and trade-secret information, such as client lists, from competitors. This was included to cover entities that were not previously subject to SEC regulation, such as hedge funds. Other financial institutions previously regulated by the SEC did enjoy some protections through the FOIA exemption 8, which allows exemption for information “contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions.”

    However, critics said the language was too broad and could potentially exempt all of the SEC's regulatory and investigative activity and related documents. The critics garnered bi-partisan support for their position; just three months after the Dodd-Frank Act was signed, Congress passed legislation to repeal the SEC's exemption from disclosing records or information obtained from registered persons pursuant to its regulatory or oversight activities. The legislation broadened the definition of “financial institution” to include new entities that the SEC will regulate under the Dodd-Frank Act to allow for FOIA exemption 8 protections.

    The following is the text of the Freedom of Information Act, as amended, as it appears in the U.S. Code, Title 5, Chapter 5, Subchapter II, section 552.

    § 552. Public Information; Agency Rules, Opinions, Orders, Records, and Proceedings
    • Each agency shall make available to the public information as follows:
      • Each agency shall separately state and currently publish in the Federal Register for the guidance of the public—
        • descriptions of its central and field organization and the established places at which, the employees (and in the case of a uniformed service, the members) from whom, and the methods whereby, the public may obtain information, make submittals or requests, or obtain decisions;
        • statements of the general course and method by which its functions are channeled and determined, including the nature and requirements of all formal and informal procedures available;
        • rules of procedure, descriptions of forms available or the places at which forms may be obtained, and instructions as to the scope and contents of all papers, reports, or examinations;
        • substantive rules of general applicability adopted as authorized by law, and statements of general policy or interpretations of general applicability formulated and adopted by the agency; and
        • each amendment, revision, or repeal of the foregoing.

        Except to the extent that a person has actual and timely notice of the terms thereof, a person may not in any manner be required to resort to, or be adversely affected by, a matter required to be published in the Federal Register and not so published. For the purpose of this paragraph, matter reasonably available to the class of persons affected thereby is deemed published in the Federal Register when incorporated by reference therein with the approval of the Director of the Federal Register.

      • Each agency, in accordance with published rules, shall make available for public inspection and copying—
        • final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases;
        • those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register;
        • administrative staff manuals and instructions to staff that affect a member of the public;
        • copies of all records, regardless of form or format, which have been released to any person under paragraph (3) and which, because of the nature of their subject matter, the agency determines have become or are likely to become the subject of subsequent requests for substantially the same records; and
        • a general index of the records referred to under subparagraph (D); unless the materials are promptly published and copies offered for sale. For records created on or after November 1, 1996, within one year after such date, each agency shall make such records available, including by computer telecommunications or, if computer telecommunications means have not been established by the agency, by other electronic means. To the extent required to prevent a clearly unwarranted invasion of personal privacy, an agency may delete identifying details when it makes available or publishes an opinion, statement of policy, interpretation, staff manual, instruction, or copies of records referred to in subparagraph (D). However, in each case the justification for the deletion shall be explained fully in writing, and the extent of such deletion shall be indicated on the portion of the record which is made available or published, unless including that indication would harm an interest protected by the exemption in subsection (b) under which the deletion is made. If technically feasible, the extent of the deletion shall be indicated at the place in the record where the deletion was made. Each agency shall also maintain and make available for public inspection and copying current indexes providing identifying information for the public as to any matter issued, adopted, or promulgated after July 4, 1967, and required by this paragraph to be made available or published. Each agency shall promptly publish, quarterly or more frequently, and distribute (by sale or otherwise) copies of each index or supplements thereto unless it determines by order published in the Federal Register that the publication would be unnecessary and impracticable, in which case the agency shall nonetheless provide copies of an index on request at a cost not to exceed the direct cost of duplication. Each agency shall make the index referred to in subparagraph (E) available by computer telecommunications by December 31, 1999. A final order, opinion, statement of policy, interpretation, or staff manual or instruction that affects a member of the public may be relied on, used, or cited as precedent by an agency against a party other than an agency only if—
          • it has been indexed and either made available or published as provided by this paragraph; or
          • the party has actual and timely notice of the terms thereof.
        • Except with respect to the records made available under paragraphs (1) and (2) of this subsection, and except as provided in subparagraph (E), each agency, upon any request for records which (i) reasonably describes such records and (ii) is made in accordance with published rules stating the time, place, fees (if any), and procedures to be followed, shall make the records promptly available to any person.
        • In making any record available to a person under this paragraph, an agency shall provide the record in any form or format requested by the person if the record is readily reproducible by the agency in that form or format. Each agency shall make reasonable efforts to maintain its records in forms or formats that are reproducible for purposes of this section.
        • In responding under this paragraph to a request for records, an agency shall make reasonable efforts to search for the records in electronic form or format, except when such efforts would significantly interfere with the operation of the agency's automated information system.
        • For purposes of this paragraph, the term “search” means to review, manually or by automated means, agency records for the purpose of locating those records which are responsive to a request.
        • An agency, or part of an agency, that is an element of the intelligence community (as that term is defined in section 3(4) of the National Security Act of 1947 (50 U.S.C. 401a(4))) shall not make any record available under this paragraph to—
          • any government entity, other than a State, territory, commonwealth, or district of the United States, or any subdivision thereof; or
          • a representative of a government entity described in clause (i).
          • In order to carry out the provisions of this section, each agency shall promulgate regulations, pursuant to notice and receipt of public comment, specifying the schedule of fees applicable to the processing of requests under this section and establishing procedures and guidelines for determining when such fees should be waived or reduced. Such schedule shall conform to the guidelines which shall be promulgated, pursuant to notice and receipt of public comment, by the Director of the Office of Management and Budget and which shall provide for a uniform schedule of fees for all agencies.
          • Such agency regulations shall provide that—
            • fees shall be limited to reasonable standard charges for document search, duplication, and review, when records are requested for commercial use;
            • fees shall be limited to reasonable standard charges for document duplication when records are not sought for commercial use and the request is made by an educational or noncommercial scientific institution, whose purpose is scholarly or scientific research; or a representative of the news media; and
            • for any request not described in (I) or (II), fees shall be limited to reasonable standard charges for document search and duplication.

            In this clause, the term “a representative of the news media” means any person or entity that gathers information of potential interest to a segment of the public, uses its editorial skills to turn the raw materials into a distinct work, and distributes that work to an audience. In this clause, the term “news” means information that is about current events or that would be of current interest to the public. Examples of news-media entities are television or radio stations broadcasting to the public at large and publishers of periodicals (but only if such entities qualify as disseminators of “news”) who make their products available for purchase by or subscription by or free distribution to the general public. These examples are not all-inclusive. Moreover, as methods of news delivery evolve (for example, the adoption of the electronic dissemination of newspapers through telecommunications services), such alternative media shall be considered to be news-media entities. A freelance journalist shall be regarded as working for a news-media entity if the journalist can demonstrate a solid basis for expecting publication through that entity, whether or not the journalist is actually employed by the entity. A publication contract would present a solid basis for such an expectation; the Government may also consider the past publication record of the requester in making such a determination.

          • Documents shall be furnished without any charge or at a charge reduced below the fees established under clause (ii) if disclosure of the information is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government and is not primarily in the commercial interest of the requester.
          • Fee schedules shall provide for the recovery of only the direct costs of search, duplication, or review. Review costs shall include only the direct costs incurred during the initial examination of a document for the purposes of determining whether the documents must be disclosed under this section and for the purposes of withholding any portions exempt from disclosure under this section. Review costs may not include any costs incurred in resolving issues of law or policy that may be raised in the course of processing a request under this section. No fee may be charged by any agency under this section—
            • if the costs of routine collection and processing of the fee are likely to equal or exceed the amount of the fee; or
            • for any request described in clause (ii)(II) or (III) of this subparagraph for the first two hours of search time or for the first one hundred pages of duplication.
          • No agency may require advance payment of any fee unless the requester has previously failed to pay fees in a timely fashion, or the agency has determined that the fee will exceed $250.
          • Nothing in this subparagraph shall supersede fees chargeable under a statute specifically providing for setting the level of fees for particular types of records.
          • In any action by a requester regarding the waiver of fees under this section, the court shall determine the matter de novo: Provided, That the court's review of the matter shall be limited to the record before the agency.
          • An agency shall not assess search fees (or in the case of a requester described under clause duplication fees) under this subparagraph if the agency fails to comply with any time limit under paragraph (6), if no unusual or exceptional circumstances (as those terms are defined for purposes of paragraphs (6)(B) and (C), respectively) apply to the processing of the request.
        • On complaint, the district court of the United States in the district in which the complainant resides, or has his principal place of business, or in which the agency records are situated, or in the District of Columbia, has jurisdiction to enjoin the agency from withholding agency records and to order the production of any agency records improperly withheld from the complainant. In such a case the court shall determine the matter de novo, and may examine the contents of such agency records in camera to determine whether such records or any part thereof shall be withheld under any of the exemptions set forth in subsection (b) of this section, and the burden is on the agency to sustain its action. In addition to any other matters to which a court accords substantial weight, a court shall accord substantial weight to an affidavit of an agency concerning the agency's determination as to technical feasibility under paragraph (2)(C) and subsection (b) and reproducibility under paragraph (3)(B).
        • Notwithstanding any other provision of law, the defendant shall serve an answer or otherwise plead to any complaint made under this subsection within thirty days after service upon the defendant of the pleading in which such complaint is made, unless the court otherwise directs for good cause is shown.
        • Repealed. Pub. L. 98-620, title IV, Sec. 402(2), Nov. 8, 1984, 98 Stat. 3357.]
          • The court may assess against the United States reasonable attorney fees and other litigation costs reasonably incurred in any case under this section in which the complainant has substantially prevailed.
          • For purposes of this subparagraph, a complainant has substantially prevailed if the complainant has obtained relief through either—
            • a judicial order, or an enforceable written agreement or consent decree; or
            • a voluntary or unilateral change in position by the agency, if the complainant's claim is not insubstantial.
          • Whenever the court orders the production of any agency records improperly withheld from the complainant and assesses against the United States reasonable attorney fees and other litigation costs, and the court additionally issues a written finding that the circumstances surrounding the withholding raise questions whether agency personnel acted arbitrarily or capriciously with respect to the withholding, the Special Counsel shall promptly initiate a proceeding to determine whether disciplinary action is warranted against the officer or employee who was primarily responsible for the withholding. The Special Counsel, after investigation and consideration of the evidence submitted, shall submit his findings and recommendations to the administrative authority of the agency concerned and shall send copies of the findings and recommendations to the officer or employee or his representative. The administrative authority shall take the corrective action that the Special Counsel recommends.
          • The Attorney General shall—
            • notify the Special Counsel of each civil action described under the first sentence of clause (i); and
            • annually submit a report to Congress on the number of such civil actions in the preceding year.
            • The Special Counsel shall annually submit a report to Congress on the actions taken by the Special Counsel under clause (i).
        • In the event of noncompliance with the order of the court, the district court may punish for contempt the responsible employee, and in the case of a uniformed service, the responsible member.
      • Each agency having more than one member shall maintain and make available for public inspection a record of the final votes of each member in every agency proceeding.
        • Each agency, upon any request for records made under paragraph (1), (2), or (3) of this subsection, shall—
          • determine within 20 days (excepting Saturdays, Sundays, and legal public holidays) after the receipt of any such request whether to comply with such request and shall immediately notify the person making such request of such determination and the reasons therefor, and of the right of such person to appeal to the head of the agency any adverse determination; and
          • make a determination with respect to any appeal within twenty days (excepting Saturdays, Sundays, and legal public holidays) after the receipt of such appeal. If on appeal the denial of the request for records is in whole or in part upheld, the agency shall notify the person making such request of the provisions for judicial review of that determination under paragraph (4) of this subsection.

          The 20-day period under clause (i) shall commence on the date on which the request is first received by the appropriate component of the agency, but in any event not later than ten days after the request is first received by any component agency that is designated in the agency's regulations under this section to receive requests under this section. The 20-day period shall not be tolled by the agency except—

          • that the agency may make one request to the requester for information and toll the 20-day period while it is awaiting such information that it has reasonably requested from the requester under this section; or
          • if necessary to clarify with the requester issues regarding fee assessment. In either case, the agency's receipt of the requester's response to the agency's request for information or clarification ends the tolling period.
          • In unusual circumstances as specified in this subparagraph, the time limits prescribed in either clause (i) or clause (ii) of subparagraph (A) may be extended by written notice to the person making such request setting forth the unusual circumstances for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for more than ten working days, except as provided in clause (ii) of this subparagraph.
          • With respect to a request for which a written notice under clause (i) extends the time limits prescribed under clause (i) of subparagraph (A), the agency shall notify the person making the request if the request cannot be processed within the time limit specified in that clause and shall provide the person an opportunity to limit the scope of the request so that it may be processed within that time limit or an opportunity to arrange with the agency an alternative time frame for processing the request or a modified request. To aid the requester, each agency shall make available its FOIA Public Liaison, who shall assist in the resolution of any disputes between the requester and the agency. Refusal by the person to reasonably modify the request or arrange such an alternative time frame shall be considered as a factor in determining whether exceptional circumstances exist for purposes of subparagraph (C).
          • As used in this subparagraph, “unusual circumstances” means, but only to the extent reasonably necessary to the proper processing of the particular requests—
            • the need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request;
            • the need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are demanded in a single request; or
            • the need for consultation, which shall be conducted with all practicable speed, with another agency having a substantial interest in the determination of the request or among two or more components of the agency having substantial subject-matter interest therein.
          • Each agency may promulgate regulations, pursuant to notice and receipt of public comment, providing for the aggregation of certain requests by the same requestor, or by a group of requestors acting in concert, if the agency reasonably believes that such requests actually constitute a single request, which would otherwise satisfy the unusual circumstances specified in this subparagraph, and the requests involve clearly related matters. Multiple requests involving unrelated matters shall not be aggregated.
          • Any person making a request to any agency for records under paragraph (1), (2), or (3) of this subsection shall be deemed to have exhausted his administrative remedies with respect to such request if the agency fails to comply with the applicable time limit provisions of this paragraph. If the Government can show exceptional circumstances exist and that the agency is exercising due diligence in responding to the request, the court may retain jurisdiction and allow the agency additional time to complete its review of the records. Upon any determination by an agency to comply with a request for records, the records shall be made promptly available to such person making such request. Any notification of denial of any request for records under this subsection shall set forth the names and titles or positions of each person responsible for the denial of such request.
          • For purposes of this subparagraph, the term “exceptional circumstances” does not include a delay that results from a predictable agency workload of requests under this section, unless the agency demonstrates reasonable progress in reducing its backlog of pending requests.
          • Refusal by a person to reasonably modify the scope of a request or arrange an alternative time frame for processing a request (or a modified request) under clause (ii) after being given an opportunity to do so by the agency to whom the person made the request shall be considered as a factor in determining whether exceptional circumstances exist for purposes of this subparagraph.
          • Each agency may promulgate regulations, pursuant to notice and receipt of public comment, providing for multitrack processing of requests for records based on the amount of work or time (or both) involved in processing requests.
          • Regulations under this subparagraph may provide a person making a request that does not qualify for the fastest multitrack processing an opportunity to limit the scope of the request in order to qualify for faster processing.
          • This subparagraph shall not be considered to affect the requirement under subparagraph (C) to exercise due diligence.
          • Each agency shall promulgate regulations, pursuant to notice and receipt of public comment, providing for expedited processing of requests for records—
            • in cases in which the person requesting the records demonstrates a compelling need; and
            • in other cases determined by the agency.
          • Notwithstanding clause (i), regulations under this subparagraph must ensure—
          • that a determination of whether to provide expedited processing shall be made, and notice of the determination shall be provided to the person making the request, within 10 days after the date of the request; and
          • expeditious consideration of administrative appeals of such determinations of whether to provide expedited processing.
          • An agency shall process as soon as practicable any request for records to which the agency has granted expedited processing under this subparagraph. Agency action to deny or affirm denial of a request for expedited processing pursuant to this subparagraph, and failure by an agency to respond in a timely manner to such a request shall be subject to judicial review under paragraph (4), except that the judicial review shall be based on the record before the agency at the time of the determination.
          • A district court of the United States shall not have jurisdiction to review an agency denial of expedited processing of a request for records after the agency has provided a complete response to the request.
          • For purposes of this subparagraph, the term “compelling need” means—
            • that a failure to obtain requested records on an expedited basis under this paragraph could reasonably be expected to pose an imminent threat to the life or physical safety of an individual; or
            • with respect to a request made by a person primarily engaged in disseminating information, urgency to inform the public concerning actual or alleged Federal Government activity.
          • A demonstration of a compelling need by a person making a request for expedited processing shall be made by a statement certified by such person to be true and correct to the best of such person's knowledge and belief.
        • In denying a request for records, in whole or in part, an agency shall make a reasonable effort to estimate the volume of any requested matter the provision of which is denied, and shall provide any such estimate to the person making the request, unless providing such estimate would harm an interest protected by the exemption in subsection (b) pursuant to which the denial is made.
      • Each agency shall do the following:
        • Establish a system to assign an individualized tracking number for each request received that will take longer than 10 days to process and provide each person making a request the tracking number assigned to the request; and
        • Establish a phone line or Internet service that provides information about the status of a request to the person making the request using the assigned tracking number, including
          • the date on which the agency originally received the request and
    • an estimated date on which the agency will complete action on the request.
    • This section does not apply to matters that are
        • specifically authorized under criteria established by an Executive order to be kept secret in the interest of national defense or foreign policy and (B) are in fact properly classified pursuant to such Executive order;
      • related solely to the internal personnel rules and practices of an agency;
      • specifically exempted from disclosure by statute (other than section 552b of this title), if that statute
          • requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or
          • establishes particular criteria for withholding or refers to particular types of matters to be withheld;
        • if enacted after the date of enactment of the OPEN FOIA Act of 2009, specifically cites to this paragraph.
      • trade secrets and commercial or financial information obtained from a person and privileged or confidential;
      • inter-agency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency;
      • personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy;
      • records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or information (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive a person of a right to a fair trial or an impartial adjudication, (C) could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source, including a State, local, or foreign agency or authority or any private institution which furnished information on a confidential basis, and, in the case of a record or information compiled by a criminal law enforcement authority in the course of a criminal investigation or by an agency conducting a lawful national security intelligence investigation, information furnished by a confidential source, (E) would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions if such disclosure could reasonably be expected to risk circumvention of the law, or (F) could reasonably be expected to endanger the life or physical safety of any individual;
      • contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; or
      • geological and geophysical information and data, including maps, concerning wells.

        Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection. The amount of information deleted, and the exemption under which the deletion is made, shall be indicated on the released portion of the record, unless including that indication would harm an interest protected by the exemption in this subsection under which the deletion is made. If technically feasible, the amount of the information deleted, and the exemption under which the deletion is made, shall be indicated at the place in the record where such deletion is made.

      • Whenever a request is made which involves access to records described in subsection (b)(7)(A) and—
        • the investigation or proceeding involves a possible violation of criminal law; and
        • there is reason to believe that (i) the subject of the investigation or proceeding is not aware of its pendency, and (ii) disclosure of the existence of the records could reasonably be expected to interfere with enforcement proceedings, the agency may, during only such time as that circumstance continues, treat the records as not subject to the requirements of this section.
      • Whenever informant records maintained by a criminal law enforcement agency under an informant's name or personal identifier are requested by a third party according to the informant's name or personal identifier, the agency may treat the records as not subject to the requirements of this section unless the informant's status as an informant has been officially confirmed.
      • Whenever a request is made which involves access to records maintained by the Federal Bureau of Investigation pertaining to foreign intelligence or counterintelligence, or international terrorism, and the existence of the records is classified information as provided in subsection (b)(1), the Bureau may, as long as the existence of the records remains classified information, treat the records as not subject to the requirements of this section.
    • This section does not authorize the withholding of information or limit the availability of records to the public, except as specifically stated in this section. This section is not authority to withhold information from Congress.
      • On or before February 1 of each year, each agency shall submit to the Attorney General of the United States a report which shall cover the preceding fiscal year and which shall include—
        • the number of determinations made by the agency not to comply with requests for records made to such agency under subsection (a) and the reasons for each such determination;
          • the number of appeals made by persons under subsection (a)(6), the result of such appeals, and the reason for the action upon each appeal that results in a denial of information; and
          • a complete list of all statutes that the agency relies upon to authorize the agency to withhold information under subsection (b)(3), the number of occasions on which each statute was relied upon, a description of whether a court has upheld the decision of the agency to withhold information under each such statute, and a concise description of the scope of any information withheld;
        • the number of requests for records pending before the agency as of September 30 of the preceding year, and the median and average number of days that such requests had been pending before the agency as of that date;
        • the number of requests for records received by the agency and the number of requests which the agency processed;
        • the median number of days taken by the agency to process different types of requests, based on the date on which the requests were received by the agency;
        • the average number of days for the agency to respond to a request beginning on the date on which the request was received by the agency, the median number of days for the agency to respond to such requests, and the range in number of days for the agency to respond to such requests;
        • based on the number of business days that have elapsed since each request was originally received by the agency—
          • the number of requests for records to which the agency has responded with a determination within a period up to and including 20 days, and in 20-day increments up to and including 200 days;
          • the number of requests for records to which the agency has responded with a determination within a period greater than 200 days and less than 301 days;
          • the number of requests for records to which the agency has responded with a determination within a period greater than 300 days and less than 401 days; and
          • the number of requests for records to which the agency has responded with a determination within a period greater than 400 days;
        • the average number of days for the agency to provide the granted information beginning on the date on which the request was originally filed, the median number of days for the agency to provide the granted information, and the range in number of days for the agency to provide the granted information;
        • the median and average number of days for the agency to respond to administrative appeals based on the date on which the appeals originally were received by the agency, the highest number of business days taken by the agency to respond to an administrative appeal, and the lowest number of business days taken by the agency to respond to an administrative appeal;
        • data on the 10 active requests with the earliest filing dates pending at each agency, including the amount of time that has elapsed since each request was originally received by the agency;
        • data on the 10 active administrative appeals with the earliest filing dates pending before the agency as of September 30 of the preceding year, including the number of business days that have elapsed since the requests were originally received by the agency;
        • the number of expedited review requests that are granted and denied, the average and median number of days for adjudicating expedited review requests, and the number adjudicated within the required 10 days;
        • the number of fee waiver requests that are granted and denied, and the average and median number of days for adjudicating fee waiver determinations;
        • the total amount of fees collected by the agency for processing requests; and
        • the number of full-time staff of the agency devoted to processing requests for records under this section, and the total amount expended by the agency for processing such requests.
      • Information in each report submitted under paragraph (1) shall be expressed in terms of each principal component of the agency and for the agency overall.
      • Each agency shall make each such report available to the public including by computer telecommunications, or if computer telecommunications means have not been established by the agency, by other electronic means. In addition, each agency shall make the raw statistical data used in its reports available electronically to the public upon request.
      • The Attorney General of the United States shall make each report which has been made available by electronic means available at a single electronic access point. The Attorney General of the United States shall notify the Chairman and ranking minority member of the Committee on Government Reform and Oversight of the House of Representatives and the Chairman and ranking minority member of the Committees on Governmental Affairs and the Judiciary of the Senate, no later than April 1 of the year in which each such report is issued, that such reports are available by electronic means.
      • The Attorney General of the United States, in consultation with the Director of the Office of Management and Budget, shall develop reporting and performance guidelines in connection with reports required by this subsection by October 1, 1997, and may establish additional requirements for such reports as the Attorney General determines may be useful.
      • The Attorney General of the United States shall submit an annual report on or before April 1 of each calendar year which shall include for the prior calendar year a listing of the number of cases arising under this section, the exemption involved in each case, the disposition of such case, and the cost, fees, and penalties assessed under subparagraphs (E), (F), and (G) of subsection (a)(4). Such report shall also include a description of the efforts undertaken by the Department of Justice to encourage agency compliance with this section.
    • For purposes of this section, the term—
      • “agency” as defined in section 551(1) of this title includes any executive department, military department, Government corporation, Government controlled corporation, or other establishment in the executive branch of the Government (including the Executive Office of the President), or any independent regulatory agency; and
      • “record” and any other term used in this section in reference to information includes—
        • any information that would be an agency record subject to the requirements of this section when maintained by an agency in any format, including an electronic format; and
        • any information described under subparagraph (A) that is maintained for an agency by an entity under Government contract, for the purposes of records management.
    • The head of each agency shall prepare and make publicly available upon request, reference material or a guide for requesting records or information from the agency, subject to the exemptions in subsection (b), including—
      • an index of all major information systems of the agency;
      • a description of major information and record locator systems maintained by the agency; and
      • a handbook for obtaining various types and categories of public information from the agency pursuant to chapter 35 of title 44, and under this section.
      • There is established the Office of Government Information Services within the National Archives and Records Administration.
      • The Office of Government Information Services shall—
        • review policies and procedures of administrative agencies under this section;
        • review compliance with this section by administrative agencies; and
        • recommend policy changes to Congress and the President to improve the administration of this section.
      • The Office of Government Information Services shall offer mediation services to resolve disputes between persons making requests under this section and administrative agencies as a non-exclusive alternative to litigation and, at the discretion of the Office, may issue advisory opinions if mediation has not resolved the dispute.
    • The Government Accountability Office shall conduct audits of administrative agencies on the implementation of this section and issue reports detailing the results of such audits.
    • Each agency shall designate a Chief FOIA Officer who shall be a senior official of such agency (at the assistant secretary or equivalent level).
    • The Chief FOIA Officer of each agency shall, subject to the authority of the head of the agency—
      • have agency-wide responsibility for efficient and appropriate compliance with this section;
      • monitor implementation of this section throughout the agency and keep the head of the agency, the chief legal officer of the agency, and the Attorney General appropriately informed of the agency's performance in implementing this section;
      • recommend to the head of the agency such adjustments to agency practices, policies, personnel, and funding as may be necessary to improve its implementation of this section;
      • review and report to the Attorney General, through the head of the agency, at such times and in such formats as the Attorney General may direct, on the agency's performance in implementing this section;
      • facilitate public understanding of the purposes of the statutory exemptions of this section by including concise descriptions of the exemptions in both the agency's handbook issued under subsection (g), and the agency's annual report on this section, and by providing an overview, where appropriate, of certain general categories of agency records to which those exemptions apply; and
      • designate one or more FOIA Public Liaisons.
    • FOIA Public Liaisons shall report to the agency Chief FOIA Officer and shall serve as supervisory officials to whom a requester under this section can raise concerns about the service the requester has received from the FOIA Requester Center, following an initial response from the FOIA Requester Center Staff. FOIA Public Liaisons shall be responsible for assisting in reducing delays, increasing transparency and understanding of the status of requests, and assisting in the resolution of disputes.

    Government in the Sunshine Act

    A four-year campaign to open the government to more public scrutiny achieved its goal in 1976, with enactment of legislation requiring most federal agencies to open their meetings to the public.

    Called “Government in the Sunshine Act,” the bill (90 Stat. 1241, 5 U.S.C. 552b note) required for the first time that all multiheaded federal agencies—about fifty of them—conduct their business regularly in public session. The unprecedented open-door requirements embraced regulatory agencies, advisory committees, independent offices, the Postal Service—almost all executive branch agencies except the cabinet departments.

    The only exception to the rule of openness was for discussion of ten kinds of matters, such as court proceedings or personnel problems, specifically listed in the bill.

    A separate section of the legislation also placed a ban on informal—ex parte—contacts between agency officials and interested outsiders to discuss pending agency business. Calling that provision a sleeper, some Washington lawyers suggested that it could have a broad impact on what had come to be an accepted practice in regulatory proceedings.

    The final version of the bill represented a victory for advocates of tough open-meeting requirements. The definition of meetings included almost any gathering, formal or informal, of agency members, including conference telephone calls. Agencies also were required to keep transcripts of closed meetings. However, the bill did allow agencies discussing very sensitive matters, such as monetary policy, to keep either minutes or transcripts.

    Among its key features, the bill:

    • Required all agencies headed by two or more persons, a majority of whom were appointed by the president and confirmed by the Senate, to open all meetings to the public unless a majority voted to close a meeting. (The Environmental Protection Agency is among the single-headed agencies not covered by the act.)
    • Defined a “meeting” as the deliberations of at least the number of members required to take action for an agency where such deliberations determined or resulted in the joint conduct or disposition of agency business.
    • Specified that a meeting could be closed only for discussion of the following ten matters: (1) national defense, foreign policy, or matters classified by executive order; (2) agency personnel rules and practices; (3) information required by other laws to be kept confidential; (4) trade secrets or financial or commercial information obtained under a pledge of confidentiality; (5) accusation of a crime or formal censure; (6) information whose disclosure would constitute an unwarranted invasion of personal privacy; (7) certain law enforcement investigatory records; (8) bank examination records and similar financial audits; (9) information whose premature disclosure could lead to significant financial speculation, endanger the stability of a financial institution, or frustrate a proposed agency action; or (10) the agency's involvement in federal or state civil actions or similar legal proceedings where there was a public record.
    • Allowed a meeting to be closed by a majority record vote of all members, barring use of proxies; permitted a single vote to be taken to close a series of meetings on the same subject to be held within a thirty-day period.
    • Permitted an agency to close a meeting at the request of a person affected by the agency's deliberations if the discussion could be exempted under exemptions 5, 6, or 7.
    • Required an agency to disclose its vote to close a meeting within one day of the vote and to make public in advance of a closed meeting a written explanation of the closing, with a list of all persons expected to attend the closed meeting.
    • Permitted agencies that regularly must meet in closed session to devise general regulations to expedite closed meetings and exempted such agencies from many procedural requirements for closed meetings.
    • Required advance public notice (seven days) of the date, place, subject matter, and open-closed nature of all meetings, as well as the person to contact for information.
    • For closings of meetings, required the general counsel or chief legal officer of an agency to certify it was properly closed according to a specific exemption under the bill.
    • Required all agencies to keep and make public complete verbatim transcripts of closed meetings, with deletions of material exempted under the act; agencies closing meetings under exemptions 8, 9, or 10 could elect to keep minutes instead of a transcript.
    • Provided for district court enforcement and review of the open-meeting requirements and placed the burden of proof in disputes upon the agency; permitted the court to assess an agency found in violation of the act for the plaintiff's attorneys’ fees and court costs and permitted the court to charge a plaintiff for such costs if his suit was found to be “frivolous or dilatory.”
    • Allowed federal courts reviewing a non-Sunshine agency action, upon request of a party in the proceeding, to inquire into a Sunshine law violation and afford appropriate relief.
    • Specified that the provision of this act would take precedence over the Freedom of Information Act (100 Stat. 3207-48, 5 U.S.C. 552 note) in cases of information requests.
    • Required each agency to report annually to Congress the numbers of open and closed meetings, reasons for closings, and descriptions of any litigation against an agency under the bill.
    • Prohibited ex parte communications between agency officials and outsiders affected by pending agency business, required an official to make public any such contact, and made ex parte communications grounds for ruling against a party in an agency proceeding.

    Agencies covered by the act have established their own regulations to implement it. They are required by the act to publish notice of all meetings—open and closed—in the Federal Register.

    The following is the text of the Government in the Sunshine Act as it appears in the U.S. Code, Title 5, Chapter 5, Subchapter II, section 552b.

    § 552b. Open Meetings
    • For purposes of this section—
      • the term “agency” means any agency, as defined in section 552(e) of this title, headed by a collegial body composed of two or more individual members, a majority of whom are appointed to such position by the President with the advice and consent of the Senate, and any subdivision thereof authorized to act on behalf of the agency;
      • the term “meeting” means the deliberations of at least the number of individual agency members required to take action on behalf of the agency where such deliberations determine or result in the joint conduct or disposition of official agency business, but does not include deliberations required or permitted by subsection (d) or (e); and
      • the term “member” means an individual who belongs to a collegial body heading an agency.
    • Members shall not jointly conduct or dispose of agency business other than in accordance with this section.
    • Except as provided in subsection (c), every portion of every meeting of an agency shall be open to public observation. Except in a case where the agency finds that the public interest requires otherwise, the second sentence of subsection (b) shall not apply to any portion of an agency meeting, and the requirements of subsections (d) and (e) shall not apply to any information pertaining to such meeting otherwise required by this section to be disclosed to the public, where the agency properly determines that such portion or portions of its meeting or the disclosure of such information is likely to—
      • disclose matters that are (A) specifically authorized under criteria established by an Executive order to be kept secret in the interests of national defense or foreign policy and (B) in fact properly classified pursuant to such Executive order;
      • relate solely to the internal personnel rules and practices of an agency;
      • disclose matters specifically exempted from disclosure by statute (other than section 552 of this title), provided that such statute (A) requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or (B) establishes particular criteria for withholding or refers to particular types of matters to be withheld;
      • disclose trade secrets and commercial or financial information obtained from a person and privileged or confidential;
      • involve accusing any person of a crime, or formally censuring any person;
      • disclose information of a personal nature where disclosure would constitute a clearly unwarranted invasion of personal privacy;
      • disclose investigatory records compiled for law enforcement purposes, or information which if written would be contained in such records, but only to the extent that the production of such records or information would (A) interfere with enforcement proceedings, (B) deprive a person of a right to a fair trial or an impartial adjudication, (C) constitute an unwarranted invasion of personal privacy, (D) disclose the identity of a confidential source and, in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security intelligence investigation, confidential information furnished only by the confidential source, (E) disclose investigative techniques and procedures, or (F) endanger the life or physical safety of law enforcement personnel;
      • disclose information contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions;
      • disclose information the premature disclosure of which would—
        • in the case of an agency which regulates currencies, securities, commodities, or financial institutions, be likely to (i) lead to significant financial speculation in currencies, securities, or commodities, or (ii) significantly endanger the stability of any financial institution; or
        • in the case of any agency, be likely to significantly frustrate implementation of a proposed agency action except that subparagraph (B) shall not apply in any instance where the agency has already disclosed to the public the content or nature of its proposed action, or where the agency is required by law to make such disclosure on its own initiative prior to taking final agency action on such proposal; or
      • specifically concern the agency's issuance of a subpoena, or the agency's participation in a civil action or proceeding, an action in a foreign court or international tribunal, or an arbitration, or the initiation, conduct, or disposition by the agency of a particular case of formal agency adjudication pursuant to the procedures in section 554 of this title or otherwise involving a determination on the record after opportunity for a hearing.
      • Action under subsection (c) shall be taken only when a majority of the entire membership of the agency (as defined in subsection (a)(1)) votes to take such action. A separate vote of the agency members shall be taken with respect to each agency meeting, a portion or portions of which are proposed to be closed to the public pursuant to subsection (c), or with respect to any information which is proposed to be withheld under subsection (c). A single vote may be taken with respect to a series of meetings, a portion or portions of which are proposed to be closed to the public, or with respect to any information concerning such series of meetings, so long as each meeting in such series involves the same particular matters and is scheduled to be held no more than thirty days after the initial meeting in such series. The vote of each agency member participating in such vote shall be recorded and no proxies shall be allowed.
      • Whenever any person whose interests may be directly affected by a portion of a meeting requests that the agency close such portion to the public for any of the reasons referred to in paragraph (5), (6), or (7) of subsection (c), the agency, upon request of any one of its members, shall vote by recorded vote whether to close such meeting.
      • Within one day of any vote taken pursuant to paragraph (1) or (2), the agency shall make publicly available a written copy of such vote reflecting the vote of each member on the question. If a portion of a meeting is to be closed to the public, the agency shall, within one day of the vote taken pursuant to paragraph (1) or (2) of this subsection, make publicly available a full written explanation of its action closing the portion together with a list of all persons expected to attend the meeting and their affiliation.
      • Any agency, a majority of whose meetings may properly be closed to the public pursuant to paragraph (4), (8), (9)(A), or (10) of subsection (c), or any combination thereof, may provide by regulation for the closing of such meetings or portions thereof in the event that a majority of the members of the agency votes by recorded vote at the beginning of such meeting, or portion thereof, to close the exempt portion or portions of the meeting, and a copy of such vote, reflecting the vote of each member on the question, is made available to the public. The provisions of paragraphs (1), (2), and (3) of this subsection and subsection (e) shall not apply to any portion of a meeting to which such regulations apply: Provided, That the agency shall, except to the extent that such information is exempt from disclosure under the provisions of subsection (c), provide the public with public announcement of the time, place, and subject matter of the meeting and of each portion thereof at the earliest practicable time.
      • In the case of each meeting, the agency shall make public announcement, at least one week before the meeting, of the time, place, and subject matter of the meeting, whether it is to be open or closed to the public, and the name and phone number of the official designated by the agency to respond to requests for information about the meeting. Such announcement shall be made unless a majority of the members of the agency determines by a recorded vote that agency business requires that such meeting be called at an earlier date, in which case the agency shall make public announcement of the time, place, and subject matter of such meeting, and whether open or closed to the public, at the earliest practicable time.
      • The time or place of a meeting may be changed following the public announcement required by paragraph (1) only if the agency publicly announces such change at the earliest practicable time. The subject matter of a meeting, or the determination of the agency to open or close a meeting, or portion of a meeting, to the public, may be changed following the public announcement required by this subsection only if (A) a majority of the entire membership of the agency determines by a recorded vote that agency business so requires and that no earlier announcement of the change was possible, and (B) the agency publicly announces such change and the vote of each member upon such change at the earliest practicable time. Immediately following each public announcement required by this subsection, notice of the time, place, and subject matter of a meeting, whether the meeting is open or closed, any change in one of the preceding, and the name and phone number of the official designated by the agency to respond to requests for information about the meeting, shall also be submitted for publication in the Federal Register.
      • For every meeting closed pursuant to paragraphs (1) through (10) of subsection (c), the General Counsel or chief legal officer of the agency shall publicly certify that, in his or her opinion, the meeting may be closed to the public and shall state each relevant exemptive provision. A copy of such certification, together with a statement from the presiding officer of the meeting setting forth the time and place of the meeting, and the persons present, shall be retained by the agency. The agency shall maintain a complete transcript or electronic recording adequate to record fully the proceedings of each meeting, or portion of a meeting, closed to the public, except that in the case of a meeting, or portion of a meeting, closed to the public pursuant to paragraph (8), (9) (A), or (10) of subsection (c), the agency shall maintain either such a transcript or recording, or a set of minutes. Such minutes shall fully and clearly describe all matters discussed and shall provide a full and accurate summary of any actions taken, and the reasons therefore, including a description of each of the views expressed on any item and the record of any roll call vote (reflecting the vote of each member on the question). All documents considered in connection with any action shall be identified in such minutes.
      • The agency shall make promptly available to the public, in a place easily accessible to the public, the transcript, electronic recording, or minutes (as required by paragraph (1)) of the discussion of any item on the agenda, or of any item of the testimony of any witness received at the meeting, except for such item or items of such discussion or testimony as the agency determines to contain information which may be withheld under subsection (c). Copies of such transcript, or minutes, or a transcription of such recording disclosing the identity of each speaker, shall be furnished to any person at the actual cost of duplication or transcription. The agency shall maintain a complete verbatim copy of the transcript, a complete copy of the minutes, or a complete electronic recording of each meeting, or portion of a meeting, closed to the public, for a period of at least two years after such meeting, or until one year after the conclusion of any agency proceeding with respect to which the meeting or portion was held, whichever occurs later.
    • Each agency subject to the requirements of this section shall, within 180 days after the date of enactment of this section, following consultation with the Office of the Chairman of the Administrative Conference of the United States1 and published notice in the Federal Register of at least thirty days and opportunity for written comment by any person, promulgate regulations to implement the requirements of subsections (b) through (f) of this section. Any person may bring a proceeding in the United States District Court for the District of Columbia to require an agency to promulgate such regulations if such agency has not promulgated such regulations within the time period specified herein. Subject to any limitations of time provided by law, any person may bring a proceeding in the United States Court of Appeals for the District of Columbia to set aside agency regulations issued pursuant to this subsection that are not in accord with the requirements of subsections (b) through (f) of this section and to require the promulgation of regulations that are in accord with such subsections.
      • The district courts of the United States shall have jurisdiction to enforce the requirements of subsections (b) through (f) of this section by declaratory judgment, injunctive relief, or other relief as may be appropriate. Such actions may be brought by any person against an agency prior to, or within sixty days after, the meeting out of which the violation of this section arises, except that if public announcement of such meeting is not initially provided by the agency in accordance with the requirements of this section, such action may be instituted pursuant to this section at any time prior to sixty days after any public announcement of such meeting. Such actions may be brought in the district court of the United States for the district in which the agency meeting is held or in which the agency in question has its headquarters, or in the District Court for the District of Columbia. In such actions a defendant shall serve his answer within thirty days after the service of the complaint. The burden is on the defendant to sustain his action. In deciding such cases the court may examine in camera any portion of the transcript, electronic recording, or minutes of a meeting closed to the public, and may take such additional evidence as it deems necessary. The court, having due regard for orderly administration and the public interest, as well as the interests of the parties, may grant such equitable relief as it deems appropriate, including granting an injunction against future violations of this section or ordering the agency to make available to the public such portion of the transcript, recording, or minutes of a meeting as is not authorized to be withheld under subsection (c) of this section.
      • Any Federal court otherwise authorized by law to review agency action may, at the application of any person properly participating in the proceeding pursuant to other applicable law, inquire into violations by the agency of the requirements of this section and afford such relief as it deems appropriate. Nothing in this section authorizes any Federal court having jurisdiction solely on the basis of paragraph (1) to set aside, enjoin, or invalidate any agency action (other than an action to close a meeting or to withhold information under this section) taken or discussed at any agency meeting out of which the violation of this section arose.
    • The court may assess against any party reasonable attorney fees and other litigation costs reasonably incurred by any other party who substantially prevails in any action brought in accordance with the provisions of subsection (g) or (h) of this section, except that costs may be assessed against the plaintiff only where the court finds that the suit was initiated by the plaintiff primarily for frivolous or dilatory purposes. In the case of assessment of costs against an agency, the costs may be assessed by the court against the United States.
    • Each agency subject to the requirements of this section shall annually report to Congress regarding its compliance with such requirements, including a tabulation of the total number of agency meetings open to the public, the total number of meetings closed to the public, the reasons for closing such meetings, and a description of any litigation brought against the agency under this section, including any costs assessed against the agency in such litigation (whether or not paid by the agency).
    • Nothing herein expands or limits the present rights of any person under section 552 of this title, except that the exemptions set forth in subsection (c) of this section shall govern in the case of any request made pursuant to section 552 to copy or inspect the transcripts, recordings, or minutes described in subsection (f) of this section. The requirements of chapter 33 of title 44, United States Code, shall not apply to the transcripts, recordings, and minutes described in subsection (f) of this section.
    • This section does not constitute authority to withhold any information from Congress, and does not authorize the closing of any agency meeting or portion thereof required by any other provision of law to be open.
    • Nothing in this section authorizes any agency to withhold from any individual any record, including transcripts, recordings, or minutes required by this section, which is otherwise accessible to such individual under section 552a of this title.

    1The Administrative Conference of the United States was abolished by Congress in 1995; the consultation requirement of this provision was not transferred to any other agency.

    Paperwork Reduction Act

    The Paperwork Reduction Act of 1980 (94 Stat. 2812, 44 U.S.C. 101 note) was enacted during the administration of Jimmy Carter on the recommendation of the Commission on Federal Paperwork, which issued a report in 1977 calling for major reforms of federal information collection practices. The act was intended to reduce the burden of federal government paperwork, to ensure that information collected by the federal government was necessary, and to establish uniform federal policies and efficient procedures for the collection, storage, and dissemination of information. It established the Office of Information and Regulatory Affairs within the Office of Management and Budget (OMB) to carry out the provisions of the act.

    Major provisions of the Paperwork Reduction Act:

    • Authorized OMB to develop and implement federal information policies, principles, standards, and guidelines.
    • Required agencies to submit to OMB for review and approval any requests for information that will be solicited from ten or more individuals or businesses.
    • Provided that agencies must submit to OMB copies of any proposed rule that contains a request for information for review no later than when the rule is published in the Federal Register.
    • Established a requirement that requests for information must include a control number issued by OMB and must state why the information is being collected.
    • Exempted members of the public from penalties for failing to comply with an information request issued after Dec. 31, 1981, that does not display a current OMB control number.
    • Required agencies to designate a senior official to carry out their responsibilities under the act.
    • Prohibited agencies from requesting information unless they had determined that: the information is necessary for their mission; it is unavailable elsewhere in the federal government; and they have reduced the burden of the request as much as possible.
    • Set a goal for reduction of the paperwork burden by 15 percent by Oct. 1, 1982, and by an additional 10 percent by Oct. 1, 1983.
    • Established a Federal Information Locator System at OMB to serve as a directory of information resources and an information referral service.
    • Required OMB to complete actions on recommendations of the Commission on Federal Paperwork.
    • Authorized OMB to oversee compliance with records management provisions of the act and to coordinate records management policies and programs with information collection policies and programs.
    • Permitted OMB to monitor compliance with the Privacy Act and to develop and implement policies concerning information disclosure, confidentiality, and security.
    • Authorized OMB to develop policies for automatic data processing and telecommunications within the federal government.
    • Required OMB to report to Congress annually on implementation of the act.

    The following is the text of the Paperwork Reduction Act as it appears in the U.S. Code, Title 44, Chapter 35, section 3501.

    § 3501. Purpose

    The purpose of this chapter is—

    • to minimize the Federal paperwork burden for individuals, small businesses, State and local governments, and other persons;
    • to minimize the cost to the Federal Government of collecting, maintaining, using, and disseminating information;
    • to maximize the usefulness of information collected by the Federal Government;
    • to coordinate, integrate and, to the extent practicable and appropriate, make uniform Federal information policies and practices;
    • to ensure that automatic data processing and telecommunications technologies are acquired and used by the Federal Government in a manner which improves service delivery and program management, increases productivity, reduces waste and fraud, and, wherever practicable and appropriate, reduces the information processing burden for the Federal Government and for persons who provide information to the Federal Government; and
    • to ensure that the collection, maintenance, use and dissemination of information by the Federal Government is consistent with applicable laws relating to confidentiality, including section 552a of title 5, United States Code, known as the Privacy Act…
    § 3503. Office of Information and Regulatory Affairs
    • There is established in the Office of Management and Budget an office to be known as the Office of Information and Regulatory Affairs.
    • There shall be at the head of the Office an Administrator who shall be appointed by, and who shall report directly to, the Director. The Director shall delegate to the Administrator the authority to administer all functions under this chapter, except that any such delegation shall not relieve the Director of responsibility for the administration of such functions. The Administrator shall serve as principal adviser to the Director on Federal information policy.
    § 3504. Authority and Functions of Director
    • The Director shall develop and implement Federal information policies, principles, standards, and guidelines and shall provide direction and oversee the review and approval of information collection requests, the reduction of the paperwork burden, Federal statistical activities, records management activities, privacy of records, inter-agency sharing of information, and acquisition and use of automatic data processing telecommunications, and other technology for managing information resources. The authority under this section shall be exercised consistent with applicable law.
    • The general information policy functions of the Director shall include—
      • developing and implementing uniform and consistent information resources management policies and overseeing the development of information management principles, standards, and guidelines and promoting their use;
      • initiating and reviewing proposals for changes in legislation, regulations, and agency procedures to improve information practices, and informing the President and the Congress on the progress made therein;
      • coordinating, through the review of budget proposals and as otherwise provided in this section, agency information practices;
      • promoting, through the use of the Federal Information Locator System, the review of budget proposals and other methods, greater sharing of information by agencies;
      • evaluating agency information management practices to determine their adequacy and efficiency, and to determine compliance of such practices with the policies, principles, standards, and guidelines promulgated by the Director; and
      • overseeing planning for, and conduct of research with respect to, Federal collection, processing, storage, transmission, and use of information.
    • The information collection request clearance and other paperwork control functions of the Director shall include—
      • reviewing and approving information collection requests proposed by agencies;
      • determining whether the collection of information by an agency is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility for the agency;
      • ensuring that all information collection requests—
        • are inventoried, display a control number and, when appropriate, an expiration date;
        • indicate the request is in accordance with the clearance requirements of section 3507; and
        • contain a statement to inform the person receiving the request why the information is being collected, how it is to be used, and whether responses to the request are voluntary, required to obtain a benefit, or mandatory;
      • designating as appropriate, in accordance with section 3509, a collection agency to obtain information for two or more agencies;
      • setting goals for reduction of the burdens of Federal information collection requests;
      • overseeing action on the recommendations of the Commission on Federal Paperwork; and
      • designing and operating, in accordance with section 3511, the Federal Information Locator System.
    • The statistical policy and coordination functions of the Director shall include—
      • developing long range plans for the improved performance of Federal statistical activities and programs;
      • coordinating, through the review of budget proposals and as otherwise provided in this section, the functions of the Federal Government with respect to gathering, interpreting, and disseminating statistics and statistical information;
      • developing and implementing Government-wide policies, principles, standards, and guidelines concerning statistical collection procedures and methods, statistical data classifications, and statistical information presentation and dissemination; and
      • evaluating statistical program performance and agency compliance with Government-wide policies, principles, standards, and guidelines.
    • The records management functions of the Director shall include—
      • providing advice and assistance to the Administrator of General Services in order to promote coordination in the administration of chapters 29, 31, and 33 of this title with the information policies, principles, standards, and guidelines established under this chapter;
      • reviewing compliance by agencies with the requirements of chapters 29, 31, and 33 of this title and with regulations promulgated by the Administrator of General Services thereunder; and
      • coordinating records management policies and programs with related information programs such as information collection, statistics, automatic data processing and telecommunications, and similar activities.
    • The privacy functions of the Director shall include—
      • developing and implementing policies, principles, standards, and guidelines on information disclosure and confidentiality, and on safeguarding the security of information collected or maintained by or on behalf of agencies;
      • providing agencies with advice and guidance about information security, restriction, exchange, and disclosure; and
      • monitoring compliance with section 552a of title 5, United States Code, and related information management laws.
    • The Federal automatic data processing and telecommunications functions of the Director shall include—
      • developing and implementing policies, principles, standards, and guidelines for automatic data processing and telecommunications functions and activities of the Federal Government, and overseeing the establishment of standards under section 111(f) of the Federal Property and Administrative Services Act of 1949;
      • monitoring the effectiveness of, and compliance with, directives issued pursuant to sections 110 and 111 of such Act of 1949 and reviewing proposed determinations under section 111(g) of such Act;
      • providing advice and guidance on the acquisition and use of automatic data processing and telecommunications equipment, and coordinating, through the review of budget proposals and other methods, agency proposals for acquisition and use of such equipment;
      • promoting the use of automatic data processing and telecommunications equipment by the Federal Government to improve the effectiveness of the use and dissemination of data in the operation of Federal programs; and
      • initiating and reviewing proposals for changes in legislation, regulations, and agency procedures to improve automatic data processing and telecommunications practices, and informing the President and the Congress of the progress made therein.
      • As soon as practicable, but no later than publication of a notice of proposed rulemaking in the Federal Register, each agency shall forward to the Director a copy of any proposed rule which contains a collection of information requirement and upon request, information necessary to make the determination required pursuant to this section.
      • Within sixty days after the notice of proposed rulemaking is published in the Federal Register, the Director may file public comments pursuant to the standards set forth in section 3508 on the collection of information requirement contained in the proposed rule.
      • When a final rule is published in the Federal Register, the agency shall explain how any collection of information requirement contained in the final rule responds to the comments, if any, filed by the Director or the public, or explain why it rejected those comments.
      • The Director has no authority to disapprove any collection of information requirement specifically contained in an agency rule, if he has received notice and failed to comment on the rule within sixty days of the notice of proposed rulemaking.
      • Nothing in this section prevents the Director, in his discretion—
        • from disapproving any information collection request which was not specifically required by an agency rule;
        • from disapproving any collection of information requirement contained in an agency rule, if the agency failed to comply with the requirements of paragraph (1) of this subsection; or
        • from disapproving any collection of information requirement contained in a final agency rule, if the Director finds within sixty days of the publication of the final rule that the agency's response to his comments filed pursuant to paragraph (2) of this subsection was unreasonable.
        • from disapproving any collection of information requirement where the Director determines that the agency has substantially modified in the final rule the collection of information requirement contained in the proposed rule where the agency has not given the Director the information required in paragraph (1), with respect to the modified collection of information requirement, at least sixty days before the issuance of the final rule.
      • The Director shall make publicly available any decision to disapprove a collection of information requirement contained in an agency rule, together with the reasons for such decision.
      • The authority of the Director under this subsection is subject to the provisions of section 3507(c).
      • This subsection shall apply only when an agency publishes a notice of proposed rulemaking and requests public comments.
      • There shall be no judicial review of any kind of the Director's decision to approve or not to act upon a collection of information requirement contained in an agency rule.
    § 3505. Assignment of Tasks and Deadlines

    In carrying out the functions under this chapter, the director shall—

    • upon enactment of this Act—
      • set a goal to reduce the then existing burden of Federal collections of information by 15 per centum by October 1, 1982; and
      • for the year following, set a goal to reduce the burden which existed upon enactment by an additional 10 per centum;
    • within one year after the effective date of this Act—
      • establish standards and requirements for agency audits of all major information systems and assign responsibility for conducting Government-wide or multi-agency audits, except the Director shall not assign such responsibility for the audit of major information systems used for the conduct of criminal investigations or intelligence activities as defined in section 4-206 of Executive Order 12036, issued January 24, 1978, or successor orders, or for cryptologic activities that are communications security activities;
      • establish the Federal Information Locator System;
      • identify areas of duplication in information collection requests and develop a schedule and methods for eliminating duplication;
      • develop a proposal to augment the Federal Information Locator System to include data profiles of major information holdings of agencies (used in the conduct of their operations) which are not otherwise required by this chapter to be included in the System; and
      • identify initiatives which may achieve a 10 per centum reduction in the burden of Federal collections of information associated with the administration of Federal grant programs; and
    • within two years after the effective date of this Act—
      • establish a schedule and a management control system to ensure that practices and programs of information handling disciplines, including records management, are appropriately integrated with the information policies mandated by this chapter;
      • identify initiatives to improve productivity in Federal operations using information processing technology;
      • develop a program to (i) enforce Federal information processing standards, particularly software language standards, at all Federal installations; and (ii) revitalize the standards development program established pursuant to section 759(f)(2) of title 40, United States Code, separating it from peripheral technical assistance functions and directing it to the most productive areas;
      • complete action on recommendations of the Commission on Federal Paperwork by implementing, implementing with modification or rejecting such recommendations including, where necessary, development of legislation to implement such recommendations;
      • develop, in consultation with the Administrator of General Services, a five-year plan for meeting the automatic data processing and telecommunications needs of the Federal Government in accordance with the requirements of section 111 of the Federal Property and Administrative Services Act of 1949 (40 U.S.C. 759) and the purposes of this chapter; and
      • submit to the President and the Congress legislative proposals to remove inconsistencies in laws and practices involving privacy, confidentiality, and disclosure of information.
    § 3506. Federal Agency Responsibilities
    • Each agency shall be responsible for carrying out its information management activities in an efficient, effective, and economical manner, and for complying with the information policies, principles, standards, and guidelines prescribed by the Director.
    • The head of each agency shall designate, within three months after the effective date of this Act, a senior official or, in the case of military departments, and the Office of the Secretary of Defense, officials who report directly to such agency head to carry out the responsibilities of the agency under this chapter. If more than one official is appointed for the military departments the respective duties of the officials shall be clearly delineated.
    • Each agency shall—
      • systematically inventory its major information systems and periodically review its information management activities, including planning, budgeting, organizing, directing, training, promoting, controlling, and other managerial activities involving the collection, use, and dissemination of information;
      • ensure its information systems do not overlap each other or duplicate the systems of other agencies;
      • develop procedures for assessing the paperwork and reporting burden of proposed legislation affecting such agency;
      • assign to the official designated under subsection (b) the responsibility for the conduct of and accountability for any acquisitions made pursuant to a delegation of authority under section 111 of the Federal Property and Administrative Services Act of 1949 (40 U.S.C. 759); and
      • ensure that information collection requests required by law or to obtain a benefit, and submitted to nine or fewer persons, contain a statement to inform the person receiving the request that the request is not subject to the requirements of section 3507 of this chapter.
    • The head of each agency shall establish such procedures as necessary to ensure the compliance of the agency with the requirements of the Federal Information Locator System, including necessary screening and compliance activities.
    § 3507. Public Information Collection Activities—Submission to Director; Approval and Delegation
    • An agency shall not conduct or sponsor the collection of information unless, in advance of the adoption or revision of the request for collection of such information—
      • the agency has taken actions, including consultation with the Director, to—
        • eliminate, through the use of the Federal Information Locator System and other means, information collections which seek to obtain information available from another source within the Federal Government;
        • reduce to the extent practicable and appropriate the burden on persons who will provide information to the agency; and
        • formulate plans for tabulating the information in a manner which will enhance its usefulness to other agencies and to the public;
      • the agency (A) has submitted to the Director the proposed information collection request, copies of pertinent regulations and other related materials as the Director may specify, and an explanation of actions taken to carry out paragraph (1) of this subsection, and (B) has prepared a notice to be published in the Federal Register stating that the agency has made such submission; and
      • the Director has approved the proposed information collection request, or the period for review of information collection requests by the Director provided under subsection (b) has elapsed.
    • The Director shall, within sixty days of receipt of a proposed information collection request, notify the agency involved of the decision to approve or disapprove the request and shall make such decisions publicly available. If the Director determines that a request submitted for review cannot be reviewed within sixty days, the Director may, after notice to the agency involved, extend the review period for an additional thirty days. If the Director does not notify the agency of an extension, denial, or approval within sixty days (or, if the Director has extended the review period for an additional thirty days and does not notify the agency of a denial or approval within the time of the extension), a control number shall be assigned without further delay, the approval may be inferred, and the agency may collect the information for not more than one year.
    • Any disapproval by the Director, in whole or in part, of a proposed information collection request of an independent regulatory agency, or an exercise of authority under section 3504(h) or 3509 concerning such an agency, may be voided, if the agency by a majority vote of its members overrides the Director's disapproval or exercise of authority. The agency shall certify each override to the Director, shall explain the reasons for exercising the override authority. Where the override concerns an information collection request, the Director shall without further delay assign a control number to such request, and such override shall be valid for a period of three years.
    • The Director may not approve an information collection request for a period in excess of three years.
    • If the Director finds that a senior official of an agency designated pursuant to section 3506(b) is sufficiently independent of program responsibility to evaluate fairly whether proposed information collection requests should be approved and has sufficient resources to carry out this responsibility effectively, the Director may, by rule in accordance with the notice and comment provisions of chapter 5 of title 5, United States Code, delegate to such official the authority to approve proposed requests in specific program areas, for specific purposes, or for all agency purposes. A delegation by the Director under this section shall not preclude the Director from reviewing individual information collection requests if the Director determines that circumstances warrant such a review. The Director shall retain authority to revoke such delegations, both in general and with regard to any specific matter. In acting for the Director, any official to whom approval authority has been delegated under this section shall comply fully with the rules and regulations promulgated by the Director.
    • An agency shall not engage in a collection of information without obtaining from the Director a control number to be displayed upon the information collection request.
    • If an agency head determines a collection of information (1) is needed prior to the expiration of the sixty-day period for the review of information collection requests established pursuant to subsection (b), (2) is essential to the mission of the agency, and (3) the agency cannot reasonably comply with the provisions of this chapter within such sixty-day period because (A) public harm will result if normal clearance procedures are followed, or (B) an unanticipated event has occurred and the use of normal clearance procedures will prevent or disrupt the collection of information related to the event or will cause a statutory deadline to be missed, the agency head may request the Director to authorize such collection of information prior to expiration of such sixty-day period. The Director shall approve or disapprove any such authorization request within the time requested by the agency head and, if approved, shall assign the information collection request a control number. Any collection of information conducted pursuant to this subsection may be conducted without compliance with the provisions of this chapter for a maximum of ninety days after the date on which the Director received the request to authorize such collection.
    § 3508. Determination of Necessity for Information; Hearing

    Before approving a proposed information collection request, the Director shall determine whether the collection of information by an agency is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility. Before making a determination the Director may give the agency and other interested persons an opportunity to be heard or to submit statements in writing. To the extent, if any, that the Director determines that the collection of information by an agency is unnecessary, for any reason, the agency may not engage in the collection of the information.

    § 3509. Designation of Central Collection Agency

    The Director may designate a central collection agency to obtain information for two or more agencies if the Director determines that the needs of such agencies for information will be adequately served by a single collection agency, and such sharing of data is not inconsistent with any applicable law. In such cases the Director shall prescribe (with reference to the collection of information) the duties and functions of the collection agency so designated and of the agencies for which it is to act as agent (including reimbursement for costs). While the designation is in effect, an agency covered by it may not obtain for itself information which it is the duty of the collection agency to obtain. The Director may modify the designation from time to time as circumstances require. The authority herein is subject to the provisions of section 3507(c) of this chapter.

    § 3510. Cooperation of Agencies in Making Information Available
    • The Director may direct an agency to make available to another agency, or an agency may make available to another agency, information obtained pursuant to an information collection request if the disclosure is not inconsistent with any applicable law.
    • If information obtained by an agency is released by that agency to another agency, all the provisions of law (including penalties which relate to the unlawful disclosure of information) apply to the officers and employees of the agency to which information is released to the same extent and in the same manner as the provisions apply to the officers and employees of the agency which originally obtained the information. The officers and employees of the agency to which the information is released, in addition, shall be subject to the same provisions of law, including penalties, relating to the unlawful disclosure of information as if the information had been collected directly by that agency.
    § 3511. Establishment and Operation of Federal Information Locator System
    • There is established in the Office of Information and Regulatory Affairs a Federal Information Locator System (hereafter in this section referred to as the System) which shall be composed of a directory of information resources, a data element dictionary, and an information referral service. The System shall serve as the authoritative register of all information collection requests.
    • In designing and operating the System, the Director shall—
      • design and operate an indexing system for the System;
      • require the head of each agency to prepare in a form specified by the Director, and to submit to the Director for inclusion in the System, a data profile for each information collection request of such agency;
      • compare data profiles for proposed information collection requests against existing profiles in the System, and make available the results of such comparison to—
        • agency officials who are planning new information collection activities; and
        • on request, members of the general public; and
      • ensure that no actual data, except descriptive data profiles necessary to identify duplicative data or to locate information, are contained within the System.
    § 3512. Public Protection

    Notwithstanding any other provision of law, no person shall be subject to any penalty for failing to maintain or provide information to any agency if the information collection request involved was made after December 31, 1981, and does not display a current control number assigned by the Director, or fails to state that such request is not subject to this chapter.

    § 3513. Director Review of Agency Activities; Reporting; Agency Response
    • The Director shall, with the advice and assistance of the Administrator of General Services, selectively review, at least once every three years, the information management activities of each agency to ascertain their adequacy and efficiency. In evaluating the adequacy and efficiency of such activities, the Director shall pay particular attention to whether the agency has complied with section 3506.
    • The Director shall report the results of the reviews to the appropriate agency head, the House Committee on Government Operations, the Senate Committee on Governmental Affairs, the House and Senate Committees on Appropriations, and the committees of the Congress having jurisdiction over legislation relating to the operations of the agency involved.
    • Each agency which receives a report pursuant to subsection (b) shall, within sixty days after receipt of such report, prepare and transmit to the Director, the House Committee on Government Operations, the Senate Committee on Governmental Affairs, the House and Senate Committees on Appropriations, and the committees of the Congress having jurisdiction over legislation relating to the operations of the agency, a written statement responding to the Director's report, including a description of any measures taken to alleviate or remove any problems or deficiencies identified in such report.
    § 3514. Responsiveness to Congress
    • The Director shall keep the Congress and its committees fully and currently informed of the major activities under this chapter, and shall submit a report thereon to the President of the Senate and the Speaker of the House of Representatives annually and at such other times as the Director determines necessary. The Director shall include in any such report—
      • proposals for legislative action needed to improve Federal information management, including, with respect to information collection, recommendations to reduce the burden on individuals, small businesses, State and local governments, and other persons;
      • a compilation of legislative impediments to the collection of information which the Director concludes that an agency needs but does not have authority to collect;
      • an analysis by agency, and by categories the Director finds useful and practicable, describing the estimated reporting hours required of persons by information collection requests, including to the extent practicable the direct budgetary costs of the agencies and identification of statutes and regulations which impose the greatest number of reporting hours;
      • a summary of accomplishments and planned initiatives to reduce burdens of Federal information collection requests;
      • a tabulation of areas of duplication in agency information collection requests identified during the preceding year and efforts made to preclude the collection of duplicate information, including designations of central collection agencies;
      • a list of each instance in which an agency engaged in the collection of information under the authority of section 3507(g) and an identification of each agency involved;
      • a list of all violations of provisions of this chapter and rules, regulations, guidelines, policies, and procedures issued pursuant to this chapter; and
      • with respect to recommendations of the Commission on Federal Paperwork—
        • a description of the specific actions taken on or planned for each recommendation;
        • a target date for implementing each recommendation accepted but not implemented; and
        • an explanation of the reasons for any delay in completing action on such recommendations.
    • The preparation of any report required by this section shall not increase the collection of information burden on persons outside the Federal Government.
    § 3515. Administrative Powers

    Upon the request of the Director, each agency (other than an independent regulatory agency) shall, to the extent practicable, make its services, personnel, and facilities available to the Director for the performance of functions under this chapter.

    § 3516. Rules and Regulations

    The Director shall promulgate rules, regulations, or procedures necessary to exercise the authority provided by this chapter.

    § 3517. Consultation with Other Agencies and the Public

    In development of information policies, plans, rules, regulations, procedures, and guidelines and in reviewing information collection requests, the Director shall provide interested agencies and persons early and meaningful opportunity to comment.

    § 3518. Effect on Existing Laws and Regulations
    • Except as otherwise provided in this chapter, the authority of an agency under any other law to prescribe policies, rules, regulations, and procedures for Federal information activities is subject to the authority conferred on the Director by this chapter.
    • Nothing in this chapter shall be deemed to affect or reduce the authority of the Secretary of Commerce or the Director of the Office of Management and Budget pursuant to Reorganization Plan No. 1 of 1977 (as amended) and Executive order, relating to telecommunications and information policy, procurement and management of telecommunications and information systems, spectrum use, and related matters.
      • Except as provided in paragraph (2), this chapter does not apply to the collection of information—
        • during the conduct of a Federal criminal investigation or prosecution, or during the disposition of a particular criminal matter;
        • during the conduct of (i) a civil action to which the United States or any official or agency thereof is a party or (ii) an administrative action or investigation involving an agency against specific individuals or entities;
        • by compulsory process pursuant to the Antitrust Civil Process Act and section 13 of the Federal Trade Commission Improvements Act of 1980; or
        • during the conduct of intelligence activities as defined in section 4-206 of Executive Order 12036, issued January 24, 1978, or successor orders, or during the conduct of cryptologic activities that are communications security activities.
      • This chapter applies to the collection of information during the conduct of general investigations (other than information collected in an antitrust investigation to the extent provided in subparagraph (C) of paragraph (1)) undertaken with reference to a category of individuals or entities such as a class of licensees or an entire industry.
    • Nothing in this chapter shall be interpreted as increasing or decreasing the authority conferred by Public Law 89-306 on the Administrator of the General Services Administration, the Secretary of Commerce, or the Director of the Office of Management and Budget.
    • Nothing in this chapter shall be interpreted as increasing or decreasing the authority of the President, the Office of Management and Budget or the Director thereof, under the laws of the United States, with respect to the substantive policies and programs of departments, agencies and offices, including the substantive authority of any Federal agency to enforce the civil rights laws.
    § 3519. Access to Information

    Under the conditions and procedures prescribed in section 313 of the Budget and Accounting Act of 1921, as amended, the Director and personnel in the Office of Information and Regulatory Affairs shall furnish such information as the Comptroller General may require for the discharge of his responsibilities. For this purpose, the Comptroller General or representatives thereof shall have access to all books, documents, papers, and records of the Office.

    § 3520. Authorization of Appropriations

    There are hereby authorized to be appropriated to carry out the provisions of this chapter, and for no other purpose, sums—

    • not to exceed $8,000,000 for the fiscal year ending September 30, 1981;
    • not to exceed $8,500,000 for the fiscal year ending September 30, 1982; and
    • not to exceed $9,000,000 for the fiscal year ending September 30, 1983.
    • The item relating to chapter 35 in the table of chapters for such title is amended to read as follows: “35. Coordination of Federal Information Policy.”
      • Section 2904(10) of such title is amended to read as follows:
        • report to the appropriate oversight and appropriations committees of the Congress and to the Director of the Office of Management and Budget annually and at such other times as the Administrator deems desirable (A) on the results of activities conducted pursuant to paragraphs (1) through (9) of this section, (B) on evaluations of responses by Federal agencies to any recommendations resulting from inspections or studies conducted under paragraphs (8) and (9) of this section, and (C) to the extent practicable, estimates of costs to the Federal Government resulting from the failure of agencies to implement such recommendations.”
      • Section 2905 of such title is amended by redes-ignating the text thereof as subsection (a) and by adding at the end of such section the following new subsection: “(b) The Administrator of General Services shall assist the Administrator for the Office of Information and Regulatory Affairs in conducting studies and developing standards relating to record retention requirements imposed on the public and on State and local governments by Federal agencies.”

    SEC. 3. (a) The President and the Director of the Office of Management and Budget shall delegate to the Administrator for the Office of Information and Regulatory Affairs all functions, authority, and responsibility under section 103 of the Budget and Accounting Procedures Act of 1950 (31 U.S.C. 18b).

    (b) The Director of the Office of Management and Budget shall delegate to the Administrator for the Office of Information and Regulatory Affairs all functions, authority, and responsibility of the Director under section 552a of title 5, United States Code, under Executive Order 12046 and Reorganization Plan No. 1 for telecommunications, and under section 111 of the Federal Property and Administrative Services Act of 1949 (40 U.S.C. 759).

    SEC. 4. (a) Section 400A of the General Education Provisions Act is amended by (1) striking out “and” after “institutions” in subsection (a)(1)(A) and inserting in lieu thereof “or,” and (2) by amending subsection (a)(3)(B) to read as follows:

    “(B) No collection of information or data acquisition activity subject to such procedures shall be subject to any other review, coordination, or approval procedure outside of the relevant Federal agency, except as required by this subsection and by the Director of the Office of Management and Budget under the rules and regulations established pursuant to chapter 35 of title 44, United States Code. If a requirement for information is submitted pursuant to this Act for review, the timetable for the Director's approval established in section 3507 of the Paperwork Reduction Act of 1980 shall commence on the date the request is submitted, and no independent submission to the Director shall be required under such Act.”

    • Section 201(e) of the Surface Mining Control and Reclamation Act of 1977 (30 U.S.C. 1211) is repealed.
    • Section 708(f) of the Public Health Service Act (42 U.S.C. 292h(f)) is repealed.
    • Section 5315 of title 5, United States Code, is amended by adding at the end thereof the following:
      • “Administrator, Office of Information and Regulatory
      • Affairs, Office of Management and Budget.”
      • SEC. 5. This Act shall take effect on April 1, 1981.
      • Approved December 11, 1980.

    Privacy Act

    While the Freedom of Information Act was designed to provide the public access to agency documents and proceedings, the 1974 Privacy Act (88 Stat. 1896, 5 U.S.C. 552a note) was designed to give individuals an opportunity to find out what files the government has about them and to challenge, correct, or amend the material. In addition, provisions of the act were designed to protect individual privacy by preventing a person from looking at records involving another individual. The Privacy Act protects only U.S. citizens and permanent residents.

    The Privacy Act authorizes the director of the Office of Management and Budget to develop and, after notice and opportunity for public comment, prescribe guidelines and regulations for the use of agencies in implementing the provisions of this section. All executive branch agencies have developed their own regulations and procedures for handling the act (consult the Code of Federal Regulations under “Privacy Act”), and each agency publishes its procedures for appeal following the denial of a request.

    Major provisions of the Privacy Act:

    • Permitted an individual access to personal information contained in federal agency files and to correct or amend the information.
    • Prevented an agency maintaining a file on an individual from using it or making it available to another agency for a second purpose without the individual's consent.
    • Required agencies to maintain records that were necessary and lawful as well as current and accurate and to disclose the existence of all data banks and files they maintain containing information on individuals.
    • Prohibited agencies from keeping records that described an individual's exercise of First Amendment rights unless the records were authorized by statute or approved by the individual or were within the scope of an official law enforcement activity.
    • Permitted an individual to seek injunctive relief to correct or amend a record maintained by an agency and permitted the individual to recover actual damages when an agency acted in a negligent manner that was “willful or intentional.”
    • Provided that an officer or employee of an agency who willfully violated provisions of the act should be subject to a fine of not more than $5,000.
    • Exempted from disclosure provisions: records maintained by the Central Intelligence Agency; records maintained by law enforcement agencies; Secret Service records; statistical information; names of persons providing material used for determining the qualification of an individual for federal government service; federal testing material; and National Archives historical records.
    • Prohibited an agency from selling or renting an individual's name or address for mailing list use.
    • Required agencies to submit to Congress and to the Office of Management and Budget any plan to establish or alter any system of records.
    • Established a privacy protection study commission composed of seven members to provide Congress and the president information about problems related to privacy in the public and private sectors. The commission issued a report in 1977, Personal Privacy in an Information Society.
    • Made it illegal for any federal, state, or local agency to deny an individual any benefit provided by law because he refused to disclose his Social Security account number to the agency. (The provision did not apply to disclosure required by federal statute or to government agencies requiring disclosure of the number before Jan. 1, 1975.)

    The Computer Matching and Privacy Protection Act of 1988 amended the Privacy Act by adding new provisions regulating the use of computer matching of records maintained by the government. Computer matching is the computerized comparison of databases to determine the status, rights, or benefits of the individuals within those systems of records. Computer matching allows federal, state, and local government agencies to compare computerized information about individuals for the purpose of determining eligibility for federal benefit programs. Every agency that uses a matching program must have a Data Integrity Board. The Data Integrity Board reviews and approves the data matching agreements to ensure that the agency is in compliance with laws, guidelines, and regulations.

    Following the 2001 terrorist attacks, Congress enacted two laws that affected privacy issues: the Homeland Security Act of 2002 and the USA Patriot Act.

    The Homeland Security Act of 2002, which established the Department of Homeland Security, exempted from criminal penalties any disclosure made by an electronic communication service to a federal, state, or local governmental entity if made in the good faith belief that an emergency involving danger of death or serious physical injury to any person required disclosure without delay. It also required any government entity receiving such a disclosure to report it to the U.S. attorney general. The act directed the Homeland Security secretary to appoint a senior department official to assume primary responsibility for information privacy policy.

    The USA Patriot Act amended the federal criminal code to authorize the interception of wire, oral, and electronic communications for the production of evidence of specified chemical weapons or terrorism offenses and computer fraud and abuse. The act also amended the Foreign Intelligence Surveillance Act of 1978 (FISA) to require an application for an electronic surveillance order or search warrant to certify that a significant purpose (formerly, the sole or main purpose) of the surveillance was to obtain foreign intelligence information.

    Some provisions of the USA Patriot Act were set to expire at the end of 2005. After a lengthy battle Congress voted to reauthorize the Patriot Act with some of the more controversial provisions intact, including the FISA amendments and the electronic wiretap provisions. Civil libertarians were concerned over four provisions: sections 206 (roving wiretaps), 213 (delayed notice warrants), 215 (business records), and 505 (national security letters). The Senate addressed some of these concerns in a separate bill, USA Patriot Act Additional Reauthorizing Amendments Act of 2006. On March 9, 2006, President George W. Bush signed into law the USA Patriot Improvement and Reauthorization Act of 2005 as well as the USA Patriot Act Additional Reauthorizing Amendments Act of 2006.

    The reauthorized Patriot Act allows for greater congressional oversight and judicial review of section 215 orders, section 206 roving wiretaps, and national security letters. In addition, the act includes requirements for high-level approval for section 215 FISA orders for library, bookstore, firearm sale, medical, tax return, and educational records. The act also provides for greater judicial review for delayed notice (“sneak and peak”) search warrants. Fourteen of sixteen Patriot Act provisions were made permanent, with a sunset date of Dec. 31, 2009, for sections 206 and 215.

    On May 26, 2011, President Barack Obama signed PATRIOT Sunsets Extension Act of 2011. This extended provisions concerning roving electronic surveillance orders and requests for the production of business records and other tangible items, as well as a provision revising the definition of an “agent of a foreign power” to include any non-U.S. person who engages in international terrorism or preparatory activities (“lone wolf” provision). These extensions expired June 1, 2015, and attempts to either reauthorize section 215 or enact new legislation are in discussion. In the meantime, the FBI can still obtain phone records issuing subpoenas to phone companies.

    Controversy over the U.S. government's surveillance methods erupted when a national security contractor revealed the details of a telecommunications surveillance program in June 2013. Under the program, code named PRISM, the Foreign Intelligence Surveillance Court issued FISA orders to telecommunications companies to collect Internet and telephone data from foreigners, but there were no failsafe methods that prevented spying on U.S. citizens. PRISM was established in 2007; that same year, Congress enacted the Protect America Act of 2007. The law removed the requirement for a warrant for electronic surveillance and provided telecommunications firms with immunity from liability for cooperating with the U.S. government on FISA orders. The law had a sunset date of 180 days from enactment. The FISA Amendments Act of 2008 reauthorized these provisions.

    Consistent with the authority granted to U.S. Customs and Border Protection (CBP) under the Aviation and Transportation Security Act of 2001 and its interim implementing regulations, each air carrier operating passenger flights in foreign air transportation to or from the United States must provide CBP with electronic access to passenger name record (PNR) data to the extent it is collected and contained in the air carrier's automated reservation and departure control systems for each person traveling to and from the United States.

    After working through privacy concerns, President George W. Bush signed agreements in May 2004 with the European Union (EU) to exchange PNR data collected by airlines. The agreement took into account the privacy laws of both the United States and the EU. However, the European Court of Justice struck down the agreement in 2006 based on technical issues not pertaining to privacy.

    In 2007 the Bush administration negotiated another agreement that collected less data on individuals. After the agreement was signed, the Department of Homeland Security (DHS) published a Privacy Act system of records notice (SORN) for the Arrival and Departure Information System (ADIS), claiming exemption from certain requirements of the Privacy Act for ADIS. DHS stated these exemptions were needed to protect information relating to DHS investigatory and enforcement activities from disclosure to subjects or others related to these activities. In December 2008 the DHS published an additional SORN for legacy records for the Immigration and Customs Enforcement (ICE) Search, Arrest, and Seizure Records system of records. Although these DHS SORN national security and law enforcement exemptions are routine and covered under the Privacy Act, civil libertarians in the United States and abroad expressed concern over the amount of information being collected, the length the information was being held, and the inability of individuals to access information about themselves.

    The following is the text of the Privacy Act, as amended, as it appears in the U.S. Code, Title 5, Chapter 5, Subchapter II, section 552a.

    § 552a. Records Maintained on Individuals
    (a) Definitions

    For purposes of this section—

    • the term “agency” means agency as defined in section 552(e) of this title;
    • the term “individual” means a citizen of the United States or an alien lawfully admitted for permanent residence;
    • the term “maintain” includes maintain, collect, use, or disseminate;
    • the term “record” means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, his education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or photograph;
    • the term “system of records” means a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual;
    • the term “statistical record” means a record in a system of records maintained for statistical research or reporting purposes only and not used in whole or in part in making any determination about an identifiable individual, except as provided by section 8 of title 13;
    • the term “routine use” means, with respect to the disclosure of a record, the use of such record for a purpose which is compatible with the purpose for which it was collected.
    • the term “matching program”—
      • means any computerized comparison of—
        • two or more automated systems of records or a system of records with non-Federal records for the purpose of—
          • establishing or verifying the eligibility of, or continuing compliance with statutory and regulatory requirements by, applicants for, recipients or beneficiaries of, participants in, or providers of services with respect to, cash or in-kind assistance or payments under Federal benefit programs, or
          • recouping payments or delinquent debts under such Federal benefit programs, or
        • two or more automated Federal personnel or payroll systems of records or a system of Federal personnel or payroll records with non-Federal records,
      • but does not include—
        • matches performed to produce aggregate statistical data without any personal identifiers;
        • matches performed to support any research or statistical project, the specific data of which may not be used to make decisions concerning the rights, benefits, or privileges of specific individuals;
        • matches performed, by an agency (or component thereof) which performs as its principal function any activity pertaining to the enforcement of criminal laws, subsequent to the initiation of a specific criminal or civil law enforcement investigation of a named person or persons for the purpose of gathering evidence against such person or persons;
        • matches of tax information (I) pursuant to section 6103(d) of the Internal Revenue Code of 1986, (II) for purposes of tax administration as defined in section 6103(b)(4) of such Code, (III) for the purpose of intercepting a tax refund due an individual under authority granted by section 404(e), 464, or 1137 of the Social Security Act; or (IV) for the purpose of intercepting a tax refund due an individual under any other tax refund intercept program authorized by statute which has been determined by the Director of the Office of Management and Budget to contain verification, notice, and hearing requirements that are substantially similar to the procedures in section 1137 of the Social Security Act;
        • matches—
          • using records predominantly relating to Federal personnel, that are performed for routine administrative purposes (subject to guidance provided by the Director of the Office of Management and Budget pursuant to subsection (v)); or
          • conducted by an agency using only records from systems of records maintained by that agency; if the purpose of the match is not to take any adverse financial, personnel, disciplinary, or other adverse action against Federal personnel;
        • matches performed for foreign counterintelligence purposes or to produce background checks for security clearances of Federal personnel or Federal contractor personnel;
        • matches performed incident to a levy described in section 6103(k)(8) of the Internal Revenue Code of 1986; or
        • matches performed pursuant to section 202(x)(3) or 1611(e)(1) of the Social Security Act (42 U.S.C. §402(x)(3), §1382(e)(1));
    • the term “recipient agency” means any agency, or contractor thereof, receiving records contained in a system of records from a source agency for use in a matching program;
    • the term “non-Federal agency” means any State or local government, or agency thereof, which receives records contained in a system of records from a source agency for use in a matching program;
    • the term “source agency” means any agency which discloses records contained in a system of records to be used in a matching program, or any State or local government, or agency thereof, which discloses records to be used in a matching program;
    • the term “Federal benefit program” means any program administered or funded by the Federal Government, or by any agent or State on behalf of the Federal Government, providing cash or in-kind assistance in the form of payments, grants, loans, or loan guarantees to individuals; and
    • the term “Federal personnel” means officers and employees of the Government of the United States, members of the uniformed services (including members of the Reserve Components), individuals entitled to receive immediate or deferred retirement benefits under any retirement program of the Government of the United States (including survivor benefits).
    (b) Conditions of Disclosure

    No agency shall disclose any record which is contained in a system of records by any means of communication to any person, or to another agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, unless disclosure of the record would be—

    • to those officers and employees of the agency which maintains the record who have a need for the record in the performance of their duties;
    • required under section 552 of this title;
    • for a routine use as defined in subsection (a)(7) of this section and described under subsection (e)(4)(D) of this section;
    • to the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of title 13;
    • to a recipient who has provided the agency with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable;
    • to the National Archives and Records Administration as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Archivist of the United States or the designee of the Archivist to determine whether the record has such value;
    • to another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or instrumentality has made a written request to the agency which maintains the record specifying the particular portion desired and the law enforcement activity for which the record is sought;
    • to a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual if upon such disclosure notification is transmitted to the last known address of such individual;
    • to either House of Congress, or, to the extent of matter within its jurisdiction, any committee or subcommittee thereof, any joint committee of Congress or subcommittee of any such joint committee;
    • to the Comptroller General, or any of his authorized representatives, in the course of the performance of the duties of the Government Accounting Office;
    • pursuant to the order of a court of competent jurisdiction; or
    • to a consumer reporting agency in accordance with section 3711(e) of Title 31.
    (c) Accounting of Certain Disclosures

    Each agency, with respect to each system of records under its control, shall—

    • except for disclosures made under subsections (b)(1) or (b)(2) of this section, keep an accurate accounting of—
      • the date, nature, and purpose of each disclosure of a record to any person or to another agency made under subsection (b) of this section; and
      • the name and address of the person or agency to whom the disclosure is made;
    • retain the accounting made under paragraph (1) of this subsection for at least five years or the life of the record, whichever is longer, after the disclosure for which the accounting is made;
    • except for disclosures made under subsection (b)(7) of this section, make the accounting made under paragraph (1) of this subsection available to the individual named in the record at his request; and
    • inform any person or other agency about any correction or notation of dispute made by the agency in accordance with subsection (d) of this section of any record that has been disclosed to the person or agency if an accounting of the disclosure was made.
    (d) Access to Records

    Each agency that maintains a system of records shall—

    • upon request by any individual to gain access to his record or to any information pertaining to him which is contained in the system, permit him and upon his request, a person of his own choosing to accompany him, to review the record and have a copy made of all or any portion thereof in a form comprehensible to him, except that the agency may require the individual to furnish a written statement authorizing discussion of that individual's record in the accompanying person's presence;
    • permit the individual to request amendment of a record pertaining to him and—
      • not later than ten days (excluding Saturdays, Sundays, and legal public holidays) after the date of receipt of such request, acknowledge in writing such receipt; and
      • promptly, either—
        • make any correction of any portion thereof which the individual believes is not accurate, relevant, timely, or complete; or
        • inform the individual of its refusal to amend the record in accordance with his request, the reason for the refusal, the procedures established by the agency for the individual to request a review of that refusal by the head of the agency or an officer designated by the head of the agency, and the name and business address of that official;
    • permit the individual who disagrees with the refusal of the agency to amend his record to request a review of such refusal, and not later than thirty days (excluding Saturdays, Sundays, and legal public holidays) from the date on which the individual requests such review, complete such review and make a final determination unless, for good cause shown, the head of the agency extends such thirty-day period; and if, after his review, the reviewing official also refuses to amend the record in accordance with the request, permit the individual to file with the agency a concise statement setting forth the reasons for his disagreement with the refusal of the agency, and notify the individual of the provisions for judicial review of the reviewing official's determination under subsection (g)(1)(A) of this section;
    • in any disclosure, containing information about which the individual has filed a statement of disagreement, occurring after the filing of the statement under paragraph (3) of this subsection, clearly note any portion of the record which is disputed and provide copies of the statement and, if the agency deems it appropriate, copies of a concise statement of the reasons of the agency for not making the amendments requested, to persons or other agencies to whom the disputed record has been disclosed; and
    • nothing in this section shall allow an individual access to any information compiled in reasonable anticipation of a civil action or proceeding.
    (e) Agency Requirements

    Each agency that maintains a system of records shall—

    • maintain in its records only such information about an individual as is relevant and necessary to accomplish a purpose of the agency required to be accomplished by statute or by executive order of the President;
    • collect information to the greatest extent practicable directly from the subject individual when the information may result in adverse determinations about an individual's rights, benefits, and privileges under Federal programs;
    • inform each individual whom it asks to supply information, on the form which it uses to collect the information or on a separate form that can be retained by the individual—
      • the authority (whether granted by statute, or by executive order of the President) which authorizes the solicitation of the information and whether disclosure of such information is mandatory or voluntary;
      • the principal purpose or purposes for which the information is intended to be used;
      • the routine uses which may be made of the information, as published pursuant to paragraph (4) (D) of this subsection; and
      • the effects on him, if any, of not providing all or any part of the requested information;
    • subject to the provisions of paragraph (11) of this subsection, publish in the Federal Register upon establishment or revision a notice of the existence and character of the system of records, which notice shall include—
      • the name and location of the system;
      • the categories of individuals on whom records are maintained in the system;
      • the categories of records maintained in the system;
      • each routine use of the records contained in the system, including the categories of users and the purpose of such use;
      • the policies and practices of the agency regarding storage, retrievability, access controls, retention, and disposal of the records;
      • the title and business address of the agency official who is responsible for the system of records;
      • the agency procedures whereby an individual can be notified at his request if the system of records contains a record pertaining to him;
      • the agency procedures whereby an individual can be notified at his request how he can gain access to any record pertaining to him contained in the system of records, and how he can contest its content; and
      • the categories of sources of records in the system;
    • maintain all records which are used by the agency in making any determination about any individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the determination;
    • prior to disseminating any record about an individual to any person other than an agency, unless the dissemination is made pursuant to subsection (b)(2) of this section, make reasonable efforts to assure that such records are accurate, complete, timely, and relevant for agency purposes;
    • maintain no record describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual about whom the record is maintained or unless pertinent to and within the scope of an authorized law enforcement activity;
    • make reasonable efforts to serve notice on an individual when any record on such individual is made available to any person under compulsory legal process when such process becomes a matter of public record;
    • establish rules of conduct for persons involved in the design, development, operation, or maintenance of any system of records, or in maintaining any record, and instruct each such person with respect to such rules and the requirements of this section, including any other rules and procedures adopted pursuant to this section and the penalties for noncompliance;
    • establish appropriate administrative, technical, and physical safeguards to insure the security and confidentiality of records and to protect against any anticipated threats or hazards to their security or integrity which could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual on whom information is maintained;
    • at least thirty days prior to publication of information under paragraph (4)(D) of this subsection, publish in the Federal Register notice of any new use or intended use of the information in the system, and provide an opportunity for interested persons to submit written data, views, or arguments to the agency; and
    • if such agency is a recipient agency or a source agency in a matching program with a non-Federal agency, with respect to any establishment or revision of a matching program, at least 30 days prior to conducting such program, publish in the Federal Register notice of such establishment or revision.
    (f) Agency Rules

    In order to carry out the provisions of this section, each agency that maintains a system of records shall promulgate rules, in accordance with the requirements (including general notice) of section 553 of this title, which shall—

    • establish procedures whereby an individual can be notified in response to his request if any system of records named by the individual contains a record pertaining to him;
    • define reasonable times, places, and requirements for identifying an individual who requests his record or information pertaining to him before the agency shall make the record or information available to the individual;
    • establish procedures for the disclosure to an individual upon his request of his record or information pertaining to him, including special procedure, if deemed necessary, for the disclosure to an individual of medical records, including psychological records pertaining to him;
    • establish procedures for reviewing a request from an individual concerning the amendment of any record or information pertaining to the individual, for making a determination on the request, for an appeal within the agency of an initial adverse agency determination, and for whatever additional means may be necessary for each individual to be able to exercise fully his rights under this section; and
    • establish fees to be charged, if any, to any individual for making copies of his record, excluding the cost of any search for and review of the record.

    The Office of the Federal Register shall biennially compile and publish the rules promulgated under this subsection and agency notices published under subsection (e)(4) of this section in a form available to the public at low cost.

    (g)(1) Civil Remedies

    Whenever any agency

    • makes a determination under subsection (d) (3) of this section not to amend an individual's record in accordance with his request, or fails to make such review in conformity with that subsection;
    • refuses to comply with an individual request under subsection (d)(1) of this section;
    • fails to maintain any record concerning any individual with such accuracy, relevance, timeliness, and completeness as is necessary to assure fairness in any determination relating to the qualifications, character, rights, or opportunities of, or benefits to the individual that may be made on the basis of such record, and consequently a determination is made which is adverse to the individual; or
    • fails to comply with any other provision of this section, or any rule promulgated thereunder, in such a way as to have an adverse effect on an individual, the individual may bring a civil action against the agency, and the district courts of the United States shall have jurisdiction in the matters under the provisions of this subsection.

    (2)(A) In any suit brought under the provisions of subsection (g)(1)(A) of this section, the court may order the agency to amend the individual's record in accordance with his request or in such other way as the court may direct. In such a case the court shall determine the matter de novo.

    (B) The court may assess against the United States reasonable attorney fees and other litigation costs reasonably incurred in any case under this paragraph in which the complainant has substantially prevailed.

    (3)(A) In any suit brought under the provisions of subsection (g)(1)(B) of this section, the court may enjoin the agency from withholding the records and order the production to the complainant of any agency records improperly withheld from him. In such a case the court shall determine the matter de novo, and may examine the contents of any agency records in camera to determine whether the records or any portion thereof may be withheld under any of the exemptions set forth in subsection (k) of this section, and the burden is on the agency to sustain its action.

    (B) The court may assess against the United States reasonable attorney fees and other litigation costs reasonably incurred in any case under this paragraph in which the complainant has substantially prevailed.

    (4) In any suit brought under the provisions of subsection (g)(1)(C) or (D) of this section in which the court determines that the agency acted in a manner which was intentional or willful, the United States shall be liable to the individual in an amount equal to the sum of—

    • actual damages sustained by the individual as a result of the refusal or failure, but in no case shall a person entitled to recovery receive less than the sum of $1,000; and
    • the costs of the action together with reasonable attorney fees as determined by the court.

    (5) An action to enforce any liability created under this section may be brought in the district court of the United States in the district in which the complainant resides, or has his principal place of business, or in which the agency records are situated, or in the District of Columbia, without regard to the amount in controversy, within two years from the date on which the cause of action arises, except that where an agency has materially and willfully misrepresented any information required under this section to be disclosed to an individual and the information so misrepresented is material to establishment of the liability of the agency to the individual under this section, the action may be brought at any time within two years after discovery by the individual of the misrepresentation. Nothing in this section shall be construed to authorize any civil action by reason of any injury sustained as the result of a disclosure of a record prior to September 27, 1975.

    (h) Rights of Legal Guardians

    For the purposes of this section, the parent of any minor, or the legal guardian of any individual who has been declared to be incompetent due to physical or mental incapacity or age by a court of competent jurisdiction, may act on behalf of the individual.

    (i) Criminal Penalties
    • Any officer or employee of an agency, who by virtue of his employment or official position, has possession of, or access to, agency records which contain individually identifiable information the disclosure of which is prohibited by this section or by rules or regulations established thereunder, and who knowing that disclosure of the specific material is so prohibited, willfully discloses the material in any manner to any person or agency not entitled to receive it, shall be guilty of a misdemeanor and fined not more than $5,000.
    • Any officer or employee of any agency who willfully maintains a system of records without meeting the notice requirements of subsection (e)(4) of this section shall be guilty of a misdemeanor and fined not more than $5,000.
    • Any person who knowingly and willfully requests or obtains any record concerning an individual from an agency under false pretenses shall be guilty of a misdemeanor and fined not more than $5,000.
    (j) General Exemptions

    The head of any agency may promulgate rules, in accordance with the requirements (including general notice) of sections 553(b)(1), (2), and (3), (c), and (e) of this title, to exempt any system of records within the agency from any part of this section except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i) if the system of records is—

    • maintained by the Central Intelligence Agency; or
    • maintained by an agency or component thereof which performs as its principal function any activity pertaining to the enforcement of criminal laws, including police efforts to prevent, control, or reduce crime or to apprehend criminals, and the activities of prosecutors, courts, correctional, probation, pardon, or parole authorities, and which consists of (A) information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, the nature and disposition of criminal charges, sentencing, confinement, release, and parole and probation status; (B) information compiled for the purpose of a criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (C) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision.

    At the time rules are adopted under this subsection, the agency shall include in the statement required under section 553(c) of this title, the reasons why the system of records is to be exempted from a provision of this section.

    (k) Specific Exemptions

    The head of any agency may promulgate rules, in accordance with the requirement (including general notice) of sections 553(b)(1), (2), and (3), (c), and (e) of this title, to exempt any system of records within the agency from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of this section if the system of records is—

    • subject to the provisions of section 552(b)(1) of this title;
    • investigatory material compiled for law enforcement purposes, other than material within the scope of subsection (j)(2) of this section: Provided, however, That if any individual is denied any right, privilege, or benefit that he would otherwise be entitled by Federal law, or for which he would otherwise be eligible, as a result of the maintenance of such material, such material shall be provided to such individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to the effective date of this section, under an implied promise that the identity of the source would be held in confidence;
    • maintained in connection with providing protective services to the President of the United States or other individuals pursuant to section 3056 of title 18;
    • required by statute to be maintained and used solely as statistical records;
    • investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, military service, Federal contracts, or access to classified information, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to the effective date of this section, under an implied promise that the identity of the source would be held in confidence;
    • testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal service the disclosure of which would compromise the objectivity or fairness of the testing or examination process; or
    • evaluation material used to determine potential for promotion in the armed services, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to the effective date of this section, under an implied promise that the identity of the source would be held in confidence. At the time rules are adopted under this subsection, the agency shall include in the statement required under section 553(c) of this title, the reasons why the system of records is to be exempted from a provision of this section.

    At the time rules are adopted under this subsection, the agency shall include in the statement required under section 553(c) of this title, the reasons why the system of records is to be exempted from a provision of this section.

    (1) Archival Records
    • Each agency record which is accepted by the Archivist of the United States for storage, processing, and servicing in accordance with section 3103 of title 44 shall, for the purposes of this section, be considered to be maintained by the agency which deposited the record and shall be subject to the provisions of this section. The Archivist of the United States shall not disclose the record except to the agency which maintains the record, or under rules established by that agency which are not inconsistent with the provisions of this section.
    • Each agency record pertaining to an identifiable individual which was transferred to the National Archives of the United States as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, prior to the effective date of this section, shall, for the purposes of this section, be considered to be maintained by the National Archives and shall not be subject to the provisions of this section, except that a statement generally describing such records (modeled after the requirements relating to records subject to subsections (e)(4)(A) through (G) of this section) shall be published in the Federal Register.
    • Each agency record pertaining to an identifiable individual which is transferred to the National Archives of the United States as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, on or after the effective date of this section, shall, for the purposes of this section, be considered to be maintained by the National Archives and shall be exempt from the requirements of this section except subsections (e)(4)(A) through (G) and (e)(9) of this section.
    (m) Government Contractors
    • When an agency provides by a contract for the operation by or on behalf of the agency of a system of records to accomplish an agency function, the agency shall, consistent with its authority, cause the requirements of this section to be applied to such system. For purposes of subsection (i) of this section any such contractor and any employee of such contractor, if such contract is agreed to on or after the effective date of this section, shall be considered to be an employee of an agency.
    • A consumer reporting agency to which a record is disclosed under section 3711(e) of Title 31 shall not be considered a contractor for the purposes of this section.
    (n) Mailing Lists

    An individual's name and address may not be sold or rented by an agency unless such action is specifically authorized by law. This provision shall not be construed to require the withholding of names and addresses otherwise permitted to be made public.

    (o) Matching Agreements
    • No record which is contained in a system of records may be disclosed to a recipient agency or non-Federal agency for use in a computer matching program except pursuant to a written agreement between the source agency and the recipient agency or non-Federal agency specifying—
      • the purpose and legal authority for conducting the program;
      • the justification for the program and the anticipated results, including a specific estimate of any savings;
      • a description of the records that will be matched, including each data element that will be used, the approximate number of records that will be matched, and the projected starting and completion dates of the matching program;
      • procedures for providing individualized notice at the time of application, and notice periodically thereafter as directed by the Data Integrity Board of such agency (subject to guidance provided by the Director of the Office of Management and Budget pursuant to subsection (v)), to—
        • applicants for and recipients of financial assistance or payments under Federal benefit programs, and
        • applicants for and holders of positions as Federal personnel, that any information provided by such applicants, recipients, holders, and individuals may be subject to verification through matching programs;
      • procedures for verifying information produced in such matching program as required by subsection (p);
      • procedures for the retention and timely destruction of identifiable records created by a recipient agency or non-Federal agency in such matching program;
      • procedures for ensuring the administrative, technical, and physical security of the records matched and the results of such programs;
      • prohibitions on duplication and redisclosure of records provided by the source agency within or outside the recipient agency or the non-Federal agency, except where required by law or essential to the conduct of the matching program;
      • procedures governing the use by a recipient agency or non-Federal agency of records provided in a matching program by a source agency, including procedures governing return of the records to the source agency or destruction of records used in such program;
      • information on assessments that have been made on the accuracy of the records that will be used in such matching program; and
      • that the Comptroller General may have access to all records of a recipient agency or a non-Federal agency that the Comptroller General deems necessary in order to monitor or verify compliance with the agreement.
      • A copy of each agreement entered into pursuant to paragraph (1) shall—
        • be transmitted to the Committee on Governmental Affairs of the Senate and the Committee on Government Operations of the House of Representatives; and
        • be available upon request to the public.
      • No such agreement shall be effective until 30 days after the date on which such a copy is transmitted pursuant to subparagraph (A)(i).
      • Such an agreement shall remain in effect only for such period, not to exceed 18 months, as the Data Integrity Board of the agency determines is appropriate in light of the purposes, and length of time necessary for the conduct, of the matching program.
      • Within 3 months prior to the expiration of such an agreement pursuant to subparagraph (C), the Data Integrity Board of the agency may, without additional review, renew the matching agreement for a current, ongoing matching program for not more than one additional year if—
        • such program will be conducted without any change; and
        • each party to the agreement certifies to the Board in writing that the program has been conducted in compliance with the agreement.
    (p) Verification and Opportunity to Contest Findings
    • In order to protect any individual whose records are used in a matching program, no recipient agency, non-Federal agency, or source agency may suspend, terminate, reduce, or make a final denial of any financial assistance or payment under a Federal benefit program to such individual, or take other adverse action against such individual, as a result of information produced by such matching program, until—
        • the agency has independently verified the information; or
        • the Data Integrity Board of the agency, or in the case of a non-Federal agency the Data Integrity Board of the source agency, determines in accordance with guidance issued by the Director of the Office of Management and Budget that—
          • the information is limited to identification and amount of benefits paid by the source agency under a Federal benefit program; and
          • there is a high degree of confidence that the information provided to the recipient agency is accurate;
      • the individual receives a notice from the agency containing a statement of its findings and informing the individual of the opportunity to contest such findings; and
        • the expiration of any time period established for the program by statute or regulation for the individual to respond to that notice; or
        • in the case of a program for which no such period is established, the end of the thirty-day period beginning on the date on which notice under subparagraph (B) is mailed or otherwise provided to the individual.
    • Independent verification referred to in paragraph (1) requires investigation and confirmation of specific information relating to an individual that is used as a basis for an adverse action against the individual, including where applicable investigation and confirmation of—
      • the amount of any asset or income involved;
      • whether such individual actually has or had access to such asset or income for such individual's own use; and
      • the period or periods when the individual actually had such asset or income.
    • Notwithstanding paragraph (1), an agency may take any appropriate action otherwise prohibited by such paragraph if the agency determines that the public health or public safety may be adversely affected or significantly threatened during any notice period required by such paragraph.
    (q) Sanctions
    • Notwithstanding any other provision of law, no source agency may disclose any record which is contained in a system of records to a recipient agency or non-Federal agency for a matching program if such source agency has reason to believe that the requirements of subsection (p), or any matching agreement entered into pursuant to subsection (o), or both, are not being met by such recipient agency.
    • No source agency may renew a matching agreement unless—
      • the recipient agency or non-Federal agency has certified that it has complied with the provisions of that agreement; and
      • the source agency has no reason to believe that the certification is inaccurate.
    (r) Report on New Systems and Matching Programs

    Each agency that proposes to establish or make a significant change in a system of records or a matching program shall provide adequate advance notice of any such proposal (in duplicate) to the Committee on Government Operations of the House of Representatives, the Committee on Governmental Affairs of the Senate, and the Office of Management and Budget in order to permit an evaluation of the probable or potential effect of such proposal on the privacy or other rights of individuals.

    (s) [Biennial Report] Repealed

    (t) Effect of Other Laws
    • No agency shall rely on any exemption contained in section 552 of this title to withhold from an individual any record which is otherwise accessible to such individual under the provisions of this section.
    • No agency shall rely on any exemption in this section to withhold from an individual any record which is otherwise accessible to such individual under the provisions of section 552 of this title.
    (u) Data Integrity Boards
    • Every agency conducting or participating in a matching program shall establish a Data Integrity Board to oversee and coordinate among the various components of such agency the agency's implementation of this section.
    • Each Data Integrity Board shall consist of senior officials designated by the head of the agency, and shall include any senior official designated by the head of the agency as responsible for implementation of this section, and the inspector general of the agency, if any. The inspector general shall not serve as chairman of the Data Integrity Board.
    • Each Data Integrity Board—
      • shall review, approve, and maintain all written agreements for receipt or disclosure of agency records for matching programs to ensure compliance with subsection (o), and all relevant statutes, regulations, and guidelines;
      • shall review all matching programs in which the agency has participated during the year, either as a source agency or recipient agency, determine compliance with applicable laws, regulations, guidelines, and agency agreements, and assess the costs and benefits of such programs;
      • shall review all recurring matching programs in which the agency has participated during the year, either as a source agency or recipient agency, for continued justification for such disclosures;
      • shall compile an annual report, which shall be submitted to the head of the agency and the Office of Management and Budget and made available to the public on request, describing the matching activities of the agency, including—
        • matching programs in which the agency has participated as a source agency or recipient agency;
        • matching agreements proposed under subsection (o) that were disapproved by the Board;
        • any changes in membership or structure of the Board in the preceding year;
        • the reasons for any waiver of the requirement in paragraph (4) of this section for completion and submission of a cost-benefit analysis prior to the approval of a matching program;
        • any violations of matching agreements that have been alleged or identified and any corrective action taken; and
        • any other information required by the Director of the Office of Management and Budget to be included in such report;
      • shall serve as a clearinghouse for receiving and providing information on the accuracy, completeness, and reliability of records used in matching programs;
      • shall provide interpretation and guidance to agency components and personnel on the requirements of this section for matching programs;
      • shall review agency recordkeeping and disposal policies and practices for matching programs to assure compliance with this section; and
      • may review and report on any agency matching activities that are not matching programs.
      • Except as provided in subparagraphs (B) and (C), a Data Integrity Board shall not approve any written agreement for a matching program unless the agency has completed and submitted to such Board a cost-benefit analysis of the proposed program and such analysis demonstrates that the program is likely to be cost effective.
      • The Board may waive the requirements of subparagraph (A) of this paragraph if it determines in writing, in accordance with guidelines prescribed by the Director of the Office of Management and Budget, that a cost-benefit analysis is not required.
      • A cost-benefit analysis shall not be required under subparagraph (A) prior to the initial approval of a written agreement for a matching program that is specifically required by statute. Any subsequent written agreement for such a program shall not be approved by the Data Integrity Board unless the agency has submitted a cost-benefit analysis of the program as conducted under the preceding approval of such agreement.
      • If a matching agreement is disapproved by a Data Integrity Board, any party to such agreement may appeal the disapproval to the Director of the Office of Management and Budget. Timely notice of the filing of such an appeal shall be provided by the Director of the Office of Management and Budget to the Committee on Governmental Affairs of the Senate and the Committee on Government Operations of the House of Representatives.
      • The Director of the Office of Management and Budget may approve a matching agreement notwithstanding the disapproval of a Data Integrity Board if the Director determines that
        • the matching program will be consistent with all applicable legal, regulatory, and policy requirements;
        • there is adequate evidence that the matching agreement will be cost-effective; and
        • the matching program is in the public interest.
      • The decision of the Director to approve a matching agreement shall not take effect until 30 days after it is reported to committees described in subparagraph (A).
      • If the Data Integrity Board and the Director of the Office of Management and Budget disapprove a matching program proposed by the inspector general of an agency, the inspector general may report the disapproval to the head of the agency and to the Congress.
    • The Director of the Office of Management and Budget shall, annually during the first 3 years after the date of enactment of this subsection and biennially thereafter, consolidate in a report to the Congress the information contained in the reports from the various Data Integrity Boards under paragraph (3)(D). Such report shall include detailed information about costs and benefits of matching programs that are conducted during the period covered by such consolidated report, and shall identify each waiver granted by a Data Integrity Board of the requirement for completion and submission of a cost-benefit analysis and the reasons for granting the waiver.
    • In the reports required by paragraph (3)(D), agency matching activities that are not matching programs may be reported on an aggregate basis, if and to the extent necessary to protect ongoing law enforcement or counterintelligence investigations.
    (v) Office of Management and Budget Responsibilities

    The Director of the Office of Management and Budget shall—

    • develop and, after notice and opportunity for public comment, prescribe guidelines and regulations for the use of agencies in implementing the provisions of this section; and
    • provide continuing assistance to and oversight of the implementation of this section by agencies.

    Executive Orders

    Executive Order 12044

    (Revoked Feb. 17, 1981)

    Improving Government Regulations

    As President of the United States of America, I direct each Executive Agency to adopt procedures to improve existing and future regulations.

    Section 1. Policy. Regulations shall be as simple and clear as possible. They shall achieve legislative goals effectively and efficiently. They shall not impose unnecessary burdens on the economy, on individuals, on public or private organizations, or on State and local governments.

    To achieve these objectives, regulations shall be developed through a process which ensures that:

    • the need for and purposes of the regulation are clearly established;
    • heads of agencies and policy officials exercise effective oversight;
    • opportunity exists for early participation and comment by other Federal agencies, State and local governments, businesses, organizations and individual members of the public;
    • meaningful alternatives are considered and analyzed before the regulation is issued; and
    • compliance costs, paperwork and other burdens on the public are minimized.

    Sec. 2. Reform of the Process for Developing Significant Regulations. Agencies shall review and revise their procedures for developing regulations to be consistent with the policies of this Order and in a manner that minimizes paperwork.

    Agencies’ procedures should fit their own needs but, at a minimum, these procedures shall include the following:

    • Semiannual Agenda of Regulations. To give the public adequate notice, agencies shall publish at least semiannually an agenda of significant regulations under development or review. On the first Monday in October, each agency shall publish in the Federal Register a schedule showing the times during the coming fiscal year when the agency's semiannual agenda will be published. Supplements to the agenda may be published at other times during the year if necessary, but the semiannual agendas shall be as complete as possible. The head of each agency shall approve the agenda before it is published.

      At a minimum, each published agenda shall describe the regulations being considered by the agency, the need for and the legal basis for the action being taken, and the status of regulations previously listed on the agenda.

      Each item on the agenda shall also include the name and telephone number of a knowledgeable agency official and, if possible, state whether or not a regulatory analysis will be required. The agenda shall also include existing regulations scheduled to be reviewed in accordance with Section 4 of this Order.

    • Agency Head Oversight. Before an agency proceeds to develop significant new regulations, the agency head shall have reviewed the issues to be considered, the alternative approaches to be explored, a tentative plan for obtaining public comment, and target dates for completion of steps in the development of the regulation.
    • Opportunity for Public Participation. Agencies shall give the public an early and meaningful opportunity to participate in the development of agency regulations. They shall consider a variety of ways to provide this opportunity, including (1) publishing an advance notice of proposed rulemaking; (2) holding open conferences or public hearings; (3) sending notices of proposed regulations to publications likely to be read by those affected; and (4) notifying interested parties directly.

      Agencies shall give the public at least 60 days to comment on proposed significant regulations. In the few instances where agencies determine this is not possible, the regulation shall be accompanied by a brief statement of the reasons for a shorter time period.

    • Approval of Significant Regulations. The head of each agency, or the designated official with statutory responsibility, shall approve significant regulations before they are published for public comment in the Federal Register. At a minimum, this official should determine that:
      • the proposed regulation is needed;
      • the direct and indirect effects of the regulation have been adequately considered;
      • alternative approaches have been considered and the least burdensome of the acceptable alternatives has been chosen;
      • public comments have been considered and an adequate response has been prepared;
      • the regulation is written in plain English and is understandable to those who must comply with it;
      • an estimate has been made of the new reporting burdens or recordkeeping requirements necessary for compliance with the regulation;
      • the name, address and telephone number of a knowledgeable agency official is included in the publication; and
      • a plan for evaluating the regulation after its issuance has been developed.
    • Criteria for Determining Significant Regulations. Agencies shall establish criteria for identifying which regulations are significant. Agencies shall consider among other things: (1) the type and number of individuals, businesses, organizations, State and local governments affected; (2) the compliance and reporting requirements likely to be involved; (3) direct and indirect effects of the regulation including the effect on competition; and (4) the relationship of the regulations to those of other programs and agencies. Regulations that do not meet an agency's criteria for determining significance shall be accompanied by a statement to that effect at the time the regulation is proposed.

    Sec. 3. Regulatory Analysis. Some of the regulations identified as significant may have major economic consequences for the general economy, or for individual industries, geographical regions or levels of government. For these regulations, agencies shall prepare a regulatory analysis. Such an analysis shall involve a careful examination of alternative approaches early in the decision-making process.

    The following requirements shall govern the preparation of regulatory analyses:

    • Criteria. Agency heads shall establish criteria for determining which regulations require regulatory analyses. The criteria established shall:
      • ensure that regulatory analyses are performed for all regulations which will result in (a) an annual effect on the economy of $100 million or more; or (b) a major increase in costs or prices for individual industries, levels of government or geographic regions; and
      • provide that in the agency head's discretion, regulatory analysis may be completed on any proposed regulation.
    • Procedures. Agency heads shall establish procedures for developing the regulatory analysis and obtaining public comment.
      • Each regulatory analysis shall contain a succinct statement of the problem; a description of the major alternative ways of dealing with the problems that were considered by the agency; an analysis of the economic consequences of each of these alternatives and a detailed explanation of the reasons for choosing one alternative over the others.
      • Agencies shall include in their public notice of proposed rules an explanation of the regulatory approach that has been selected or is favored and a short description of the other alternatives considered. A statement of how the public may obtain a copy of the draft regulatory analysis shall also be included.
      • Agencies shall prepare a final regulatory analysis to be made available when the final regulations are published.

    Regulatory analyses shall not be required in rulemaking proceedings pending at the time this Order is issued if an Economic Impact Statement has already been prepared in accordance with Executive Orders 11821 and 11949.

    Sec. 4. Review of Existing Regulations. Agencies shall periodically review their existing regulations to determine whether they are achieving the policy goals of this Order. This review will follow the same procedural steps outlined for the development of new regulations.

    In selecting regulations to be reviewed, agencies shall consider such criteria as:

    • the continued need for the regulation;
    • the type and number of complaints or suggestions received;
    • the burdens imposed on those directly or indirectly affected by the regulations;
    • the need to simplify or clarify language;
    • the need to eliminate overlapping and duplicative regulations; and
    • the length of time since the regulation has been evaluated or the degree to which technology, economic conditions or other factors have changed in the area affected by the regulation.

    Agencies shall develop their selection criteria and a listing of possible regulations for initial review. The criteria and listing shall be published for comment as required in Section 5. Subsequently, regulations selected for review shall be included in the semiannual agency agendas.

    Sec. 5. Implementation.

    • Each agency shall review its existing process for developing regulations and revise it as needed to comply with this Order. Within 60 days after the issuance of the Order, each agency shall prepare a draft report outlining (1) a brief description of its process for developing regulations and the changes that have been made to comply with this Order; (2) its proposed criteria for defining significant agency regulations; (3) its proposed criteria for identifying which regulations require regulatory analysis; and (4) its proposed criteria for selecting existing regulations to be reviewed and a list of regulations that the agency will consider for its initial review. This report shall be published in the Federal Register for public comment. A copy of this report shall be sent to the Office of Management and Budget.
    • After receiving public comment, agencies shall submit their revised report to the Office of Management and Budget for approval before final publication in the Federal Register.
    • The Office of Management and Budget shall assure the effective implementation of this Order. OMB shall report at least semiannually to the President on the effectiveness of the Order and agency compliance with its provisions. By May 1, 1980, OMB shall recommend to the President whether or not there is a continued need for the Order and any further steps or actions necessary to achieve its purpose.

    Sec. 6. Coverage.

    • As used in this Order, the term regulation means both rules and regulations issued by agencies including those which establish conditions for financial assistance. Closely related sets of regulations shall be considered together.
    • This Order does not apply to:
      • regulations issued in accordance with the formal rulemaking provisions of the Administrative Procedure Act (5 U.S.C. 556, 557);
      • regulations issued with respect to a military or foreign affairs function of the United States;
      • matters related to agency management or personnel;
      • regulations related to Federal Government procurement;
      • regulations issued by the independent regulatory agencies; or
      • regulations that are issued in response to an emergency or which are governed by short-term statutory or judicial deadlines. In these cases, the agency shall publish in the Federal Register a statement of the reasons why it is impracticable or contrary to the public interest for the agency to follow the procedures of this Order. Such a statement shall include the name of the policy official responsible for this determination.

    Sec. 7. This Order is intended to improve the quality of Executive Agency regulatory practices. It is not intended to create delay in the process or provide new grounds for judicial review. Nothing in this order shall be considered to supersede existing statutory obligations governing rulemaking.

    Sec. 8. Unless extended, this Executive Order expires on June 30, 1980.

    JIMMY CARTER

    The White House, March 23, 1978.

    Executive Order 12291

    (Revoked Sept. 30, 1993)

    Federal Regulation

    By the authority vested in me as President by the Constitution and laws of the United States of America, and in order to reduce the burdens of existing and future regulations, increase agency accountability for regulatory actions, provide for presidential oversight of the regulatory process, minimize duplication and conflict of regulations, and insure well-reasoned regulations, it is hereby ordered as follows:

    Section 1. Definitions. For the purposes of this Order:

    • “Regulation” or “rule” means an agency statement of general applicability and future effect designed to implement, interpret, or prescribe law or policy or describing the procedure or practice requirements of an agency, but does not include:
      • Administrative actions governed by the provisions of Sections 556 and 557 of Title 5 of the United States Code;
      • Regulations issued with respect to a military or foreign affairs function of the United States; or
      • Regulations related to agency organization, management, or personnel.
    • “Major rule” means any regulation that is likely to result in:
      • An annual effect on the economy of $100 million or more;
      • A major increase in costs or prices for consumers, individual industries, Federal, State, or local government agencies, or geographic regions; or
      • Significant adverse effects on competition, employment, investment, productivity, innovation, or on the ability of United States-based enterprises to compete with foreign-based enterprises in domestic or export markets.
    • “Director” means the Director of the Office of Management and Budget.
    • “Agency” means any authority of the United States that is an “agency” under 44 U.S.C. 3502(1), excluding those agencies specified in 44 U.S.C. 3502(10).
    • “Task Force” means the Presidential Task Force on Regulatory Relief.

    Sec. 2. General Requirements. In promulgating new regulations, reviewing existing regulations, and developing legislative proposals concerning regulation, all agencies, to the extent permitted by law, shall adhere to the following requirements:

    • Administrative decisions shall be based on adequate information concerning the need for and consequences of proposed government action;
    • Regulatory action shall not be undertaken unless the potential benefits to society from the regulation outweigh the potential costs to society;
    • Regulatory objectives shall be chosen to maximize the net benefits to society;
    • Among alternative approaches to any given regulatory objective, the alternative involving the least net cost to society shall be chosen; and
    • Agencies shall set regulatory priorities with the aim of maximizing the aggregate net benefits to society, taking into account the condition of the particular industries affected by regulations, the condition of the national economy, and other regulatory actions contemplated for the future.

    Sec. 3. Regulatory Impact Analysis and Review.

    • In order to implement Section 2 of this Order, each agency shall, in connection with every major rule, prepare, and to the extent permitted by law consider, a Regulatory Impact Analysis. Such Analyses may be combined with any Regulatory Flexibility Analyses performed under 5 U.S.C. 603 and 604.
    • Each agency shall initially determine whether a rule it intends to propose or to issue is a major rule, provided that, the Director, subject to the direction of the Task Force, shall have authority, in accordance with Sections 1(b) and 2 of this Order, to prescribe criteria for making such determinations, to order a rule to be treated as a major rule, and to require any set of related rules to be considered together as a major rule.
    • Except as provided in Section 8 of this Order, agencies shall prepare Regulatory Impact Analyses of major rules and transmit them, along with all notices of proposed rulemaking and all final rules, to the Director as follows:
      • If no notice of proposed rulemaking is to be published for a proposed major rule that is not an emergency rule, the agency shall prepare only a final Regulatory Impact Analysis, which shall be transmitted, along with the proposed rule, to the Director at least 60 days prior to the publication of the major rule as a final rule;
      • With respect to all other major rules, the agency shall prepare a preliminary Regulatory Impact Analysis, which shall be transmitted, along with a notice of proposed rulemaking, to the Director at least 60 days prior to the publication of a notice of proposed rulemaking, and a final Regulatory Impact Analysis, which shall be transmitted along with the final rule at least 30 days prior to the publication of the major rule as a final rule;
      • For all rules other than major rules, agencies shall submit to the Director, at least 10 days prior to publication, every notice of proposed rulemaking and final rule.
    • To permit each proposed major rule to be analyzed in light of the requirements stated in Section 2 of this Order, each preliminary and final Regulatory Impact Analysis shall contain the following information:
      • A description of the potential benefits of the rule, including any beneficial effects that cannot be quantified in monetary terms, and the identification of those likely to receive the benefits;
      • A description of the potential costs of the rule, including any adverse effects that cannot be quantified in monetary terms, and the identification of those likely to bear the costs;
      • A determination of the potential net benefits of the rule, including an evaluation of effects that cannot be quantified in monetary terms;
      • A description of alternative approaches that could substantially achieve the same regulatory goal at lower cost, together with an analysis of this potential benefit and costs and a brief explanation of the legal reasons why such alternatives, if proposed, could not be adopted; and
      • Unless covered by the description required under paragraph (4) of this subsection, an explanation of any legal reasons why the rule cannot be based on the requirements set forth in Section 2 of this Order.
      • The Director, subject to the direction of the Task Force, which shall resolve any issues raised under this Order or ensure that they are presented to the President, is authorized to review any preliminary or final Regulatory Impact Analysis, notice of proposed rulemaking, or final rule based on the requirements of this Order.
      • The Director shall be deemed to have concluded the review unless the Director advises an agency to the contrary under subsection (f) of this Section:
        • Within 60 days of a submission under subsection (c)(1) or a submission of a preliminary Regulatory Impact Analysis or notice of proposed rulemaking under subsection (c)(2);
        • Within 30 days of the submission of a final Regulatory Impact Analysis and a final rule under subsection (c)(2); and
        • Within 10 days of the submission of a notice of proposed rulemaking or final rule under subsection (c)(3).
      • Upon the request of the Director, an agency shall consult with the Director concerning the review of a preliminary Regulatory Impact Analysis or notice of proposed rulemaking under this Order, and shall, subject to Section 8(a)(2) of this Order, refrain from publishing its preliminary Regulatory Impact Analysis or notice of proposed rulemaking until such review is concluded.
      • Upon receiving notice that the Director intends to submit views with respect to any final Regulatory Impact Analysis or final rule, the agency shall, subject to Section 8(a)(2) of this Order, refrain from publishing its final Regulatory Impact Analysis or final rule until the agency has responded to the Director's views, and incorporated those views and the agency's response in the rulemaking file.
      • Nothing in this subsection shall be construed as displacing the agencies’ responsibilities delegated by law.
    • For every rule for which an agency publishes a notice of proposed rulemaking, the agency shall include in its notice:
      • A brief statement setting forth the agency's initial determination whether the proposed rule is a major rule, together with the reasons underlying that determination; and
      • For each proposed major rule, a brief summary of the agency's preliminary Regulatory Impact Analysis.
    • Agencies shall make their preliminary and final Regulatory Impact Analyses available to the public.
    • Agencies shall initiate reviews of currently effective rules in accordance with the purposes of this Order, and perform Regulatory Impact Analyses of currently effective major rules. The Director, subject to the direction of the Task Force, may designate currently effective rules for review in accordance with this Order, and establish schedules for reviews and Analyses under this Order.

    Sec. 4. Regulatory Review. Before approving any final major rule, each agency shall:

    • Make a determination that the regulation is clearly within the authority delegated by law and consistent with congressional intent, and include in the Federal Register at the time of promulgation a memorandum of law supporting that determination.
    • Make a determination that the factual conclusions upon which the rule is based have substantial support in the agency record, viewed as a whole, with full attention to public comments in general and the comments of persons directly affected by the rule in particular.

    Sec. 5. Regulatory Agendas.

    • Each agency shall publish, in October and April of each year, an agenda of proposed regulations that the agency has issued or expects to issue, and currently effective rules that are under agency review pursuant to this Order. These agendas may be incorporated with the agendas published under 5 U.S.C. 602, and must contain at the minimum:
      • A summary of the nature of each major rule being considered, the objectives and legal basis for the issuance of the rule, and an approximate schedule for completing action on any major rule for which the agency has issued a notice of proposed rulemaking;
      • The name and telephone number of a knowledgeable agency official for each item on the agenda; and
      • A list of existing regulations to be reviewed under the terms of this Order, and a brief discussion of each such regulation.
    • The Director, subject to the direction of the Task Force, may, to the extent permitted by law:
      • Require agencies to provide additional information in an agenda; and
      • Require publication of the agenda in any form.

    Sec. 6. The Task Force and Office of Management and Budget.

    • To the extent permitted by law, the Director shall have authority, subject to the direction of the Task Force, to:
      • Designate any proposed or existing rule as a major rule in accordance with Section 1(b) of this Order;
      • Prepare and promulgate uniform standards for the identification of major rules and the development of Regulatory Impact Analyses;
      • Require an agency to obtain and evaluate, in connection with a regulation, any additional relevant data from any appropriate source;
      • Waive the requirements of Sections 3, 4, or 7 of this Order with respect to any proposed or existing major rule;
      • Identify duplicative, overlapping and conflicting rules, existing or proposed, and existing or proposed rules that are inconsistent with the policies underlying statutes governing agencies other than the issuing agency or with the purposes of this Order, and, in each such case, require appropriate interagency consultation to minimize or eliminate such duplication, overlap, or conflict;
      • Develop procedures for estimating the annual benefits and costs of agency regulations, on both an aggregate and economic or industrial sector basis, for purposes of compiling a regulatory budget;
      • In consultation with interested agencies, prepare for consideration by the President recommendations for changes in the agencies’ statutes; and
      • Monitor agency compliance with the requirements of this Order and advise the President with respect to such compliance.
    • The Director, subject to the direction of the Task Force, is authorized to establish procedures for the performance of all functions vested in the Director by this Order. The Director shall take appropriate steps to coordinate the implementation of the analysis, transmittal, review, and clearance provisions of this Order with the authorities and requirements provided for or imposed upon the Director and agencies under the Regulatory Flexibility Act, 5 U.S.C. 601 et seq., and the Paperwork Reduction Plan Act of 1980, 44 U.S.C. 3501 et seq.

    Sec. 7. Pending Regulations.

    • To the extent necessary to permit reconsideration in accordance with this Order, agencies shall, except as provided in Section 8 of this Order, suspend or postpone the effective dates of all major rules that they have promulgated in final form as of the date of this Order, but that have not yet become effective, excluding:
      • Major rules that cannot legally be postponed or suspended;
      • Major rules that, for good cause, ought to become effective as final rules without reconsideration. Agencies shall prepare, in accordance with Section 3 of this Order, a final Regulatory Impact Analysis for each major rule that they suspend or postpone.
    • Agencies shall report to the Director no later than 15 days prior to the effective date of any rule that the agency has promulgated in final form as of the date of this Order, and that has not yet become effective, and that will not be reconsidered under subsection (a) of this Section:
      • That the rule is excepted from reconsideration under subsection (a), including a brief statement of the legal or other reasons for that determination; or
      • That the rule is not a major rule.
    • The Director, subject to the direction of the Task Force, is authorized, to the extent permitted by law, to:
      • Require reconsideration, in accordance with this Order, of any major rule that an agency has issued in final form as of the date of this Order and that has not become effective; and
      • Designate a rule that an agency has issued in final form as of the date of this Order and that has not yet become effective as a major rule in accordance with Section 1(b) of this Order.
    • Agencies may, in accordance with the Administrative Procedure Act and other applicable statutes, permit major rules that they have issued in final form as of the date of this Order, and that have not yet become effective, to take effect as interim rules while they are being reconsidered in accordance with this Order, provided that, agencies shall report to the Director, no later than 15 days before any such rule is proposed to take effect as an interim rule, that the rule should appropriately take effect as an interim rule while the rule is under reconsideration.
    • Except as provided in Section 8 of this Order, agencies shall, to the extent permitted by law, refrain from promulgating as a final rule any proposed major rule that has been published or issued as of the date of this Order until a final Regulatory Impact Analysis, in accordance with Section 3 of this Order, has been prepared for the proposed major rule.
    • Agencies shall report to the Director, no later than 30 days prior to promulgating as a final rule any proposed rule that the agency has published or issued as of the date of this Order and that has not been considered under the terms of this Order:
      • That the rule cannot legally be considered in accordance with this Order, together with a brief explanation of the legal reasons barring such consideration; or
      • That the rule is not a major rule, in which case the agency shall submit to the Director a copy of the proposed rule.
    • The Director, subject to the direction of the Task Force, is authorized, to the extent permitted by law, to:
      • Require consideration, in accordance with this Order, of any proposed major rule that the agency has published or issued as of the date of this Order; and
      • Designate a proposed rule that an agency has published or issued as of the date of this Order, as a major rule in accordance with Section 1(b) of this Order.
    • The Director shall be deemed to have determined that an agency's report to the Director under subsections (b), (d), or (f) of this Section is consistent with the purposes of this Order, unless the Director advises the agency to the contrary:
      • Within 15 days of its report, in the case of any report under subsections (b) or (d); or
      • Within 30 days of its report, in the case of any report under subsection (f).
    • This Section does not supersede the President's Memorandum of January 29, 1981, entitled “Postponement of Pending Regulations,” which shall remain in effect until March 30, 1981.
    • In complying with this Section, agencies shall comply with all applicable provisions of the Administrative Procedure Act, and with any other procedural requirements made applicable to the agencies by other statutes.

    Sec. 8. Exemptions.

    • The procedures prescribed by this Order shall not apply to:
      • Any regulation that responds to an emergency situation, provided that, any such regulation shall be reported to the Director as soon as is practicable, the agency shall publish in the Federal Register a statement of the reasons why it is impracticable for the agency to follow the procedures of this Order with respect to such a rule, and the agency shall prepare and transmit as soon as is practicable a Regulatory Impact Analysis of any such major rule; and
      • Any regulation for which consideration or reconsideration under the terms of this Order would conflict with deadlines imposed by statute or by judicial order, provided that, any such regulation shall be reported to the Director together with a brief explanation of the conflict, the agency shall publish in the Federal Register a statement of the reasons why it is impracticable for the agency to follow the procedures of this Order with respect to such a rule, and the agency, in consultation with the Director, shall adhere to the requirements of this Order to the extent permitted by statutory or judicial deadlines.
    • The Director, subject to the direction of the Task Force, may, in accordance with the purposes of this Order, exempt any class or category of regulations from any or all requirements of this Order.

    Sec. 9. Judicial Review. This Order is intended only to improve the internal management of the Federal government, 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. The determinations made by agencies under Section 4 of this Order, and any Regulatory Impact Analyses for any rule, shall be made part of the whole record of agency action in connection with the rule.

    Sec. 10. Revocations. Executive Orders No. 12044, as amended, and No. 12174 are revoked.

    RONALD REAGAN

    The White House, February 17, 1981.

    Executive Order 12498

    (Revoked Sept. 30, 1993)

    Regulatory Planning Process

    By the authority vested in me as President by the Constitution and laws of the United States of America, and in order to create a coordinated process for developing on an annual basis the Administration's Regulatory Program, establish Administration regulatory priorities, increase the accountability of agency heads for the regulatory actions of their agencies, provide for Presidential oversight of the regulatory process, reduce the burdens of existing and future regulations, minimize duplication and conflict of regulations, and enhance public and Congressional understanding of the Administration's regulatory objectives, it is hereby ordered as follows:

    Section 1. General Requirements.

    • There is hereby established a regulatory planning process by which the Administration will develop and publish a Regulatory Program for each year. To implement this process, each Executive agency subject to Executive Order No. 12291 shall submit to the Director of the Office of Management and Budget (OMB) each year, starting in 1985, a statement of its regulatory policies, goals, and objectives for the coming year and information concerning all significant regulatory actions underway or planned; however, the Director may exempt from this Order such agencies or activities as the Director may deem appropriate in order to achieve the effective implementation of this Order.
    • The head of each Executive agency subject to this Order shall ensure that all regulatory actions are consistent with the goals of the agency and of the Administration, and will be appropriately implemented.
    • This program is intended to complement the existing regulatory planning and review procedures of agencies and the Executive branch, including the procedures established by Executive Order No. 12291.
    • To assure consistency with the goals of the Administration, the head of each agency subject to this Order shall adhere to the regulatory principles stated in Section 2 of Executive Order No. 12291, including those elaborated by the regulatory policy guidelines set forth in the August 11, 1983, Report of the Presidential Task Force on Regulatory Relief, “Reagan Administration Regulatory Achievements.”

    Sec. 2. Agency Submission of Draft Regulatory Program.

    • The head of each agency shall submit to the Director an overview of the agency's regulatory policies, goals, and objectives for the program year and such information concerning all significant regulatory actions of the agency, planned or underway, including actions taken to consider whether to initiate rulemaking; requests for public comment; and the development of documents that may influence, anticipate, or could lead to the commencement of rulemaking proceedings at a later date, as the Director deems necessary to develop the Administration's Regulatory Program. This submission shall constitute the agency's draft regulatory program. The draft regulatory program shall be submitted to the Director each year, on a date to be specified by the Director, and shall cover the period from April 1 through March 31 of the following year.
    • The overview portion of the agency's submission should discuss the agency's broad regulatory purposes, explain how they are consistent with the Administration's regulatory principles, and include a discussion of the significant regulatory actions, as defined by the Director, that it will take. The overview should specifically discuss the significant regulatory actions of the agency to revise or rescind existing rules.
    • Each agency head shall categorize and describe the regulatory actions described in subsection (a) in such format as the Director shall specify and provide such additional information as the Director may request; however, the Director shall, by Bulletin or Circular, exempt from the requirements of this Order any class or category of regulatory action that the Director determines is not necessary to review in order to achieve the effective implementation of the program.

    Sec. 3. Review, Compilation, and Publication of the Administration's Regulatory Program.

    • In reviewing each agency's draft regulatory program, the Director shall (i) consider the consistency of the draft regulatory program with the Administration's policies and priorities and the draft regulatory programs submitted by other agencies; and (ii) identify such further regulatory or deregulatory actions as may, in his view, be necessary in order to achieve such consistency. In the event of disagreement over the content of the agency's draft regulatory program, the agency head or the Director may raise issues for further review by the President or by such appropriate Cabinet Council or other forum as the President may designate.
    • Following the conclusion of the review process established by subsection (a), each agency head shall submit to the Director, by a date to be specified by the Director, the agency's final regulatory plan for compilation and publication as the Administration's Regulatory Program for that year. The Director shall circulate a draft of the Administration's Regulatory Program for agency comment, review, and interagency consideration, if necessary, before publication.
    • After development of the Administration's Regulatory Program for the year, if the agency head proposes to take a regulatory action subject to the provisions of Section 2 and not previously submitted for review under this process, or if the agency head proposes to take a regulatory action that is materially different from the action described in the agency's final Regulatory Program, the agency head shall immediately advise the Director and submit the action to the Director for review in such format as the Director may specify. Except in the case of emergency situations, as defined by the Director, or statutory or judicial deadlines, the agency head shall refrain from taking the proposed regulatory action until the review of this submission by the Director is completed. As to those regulatory actions not also subject to Executive Order No. 12291, the Director shall be deemed to have concluded that the proposal is consistent with the purposes of this Order, unless he notifies the agency head to the contrary within 10 days of its submission. As to those regulatory actions subject to Executive Order No. 12291, the Director's review shall be governed by the provisions of Section 3(e) of that Order.
    • Absent unusual circumstances, such as new statutory or judicial requirements or unanticipated emergency situations, the Director may, to the extent permitted by law, return for reconsideration any rule submitted for review under Executive Order No. 12291 that would be subject to Section 2 but was not included in the agency's final Regulatory Program for that year; or any other significant regulatory action that is materially different from those described in the Administration's Regulatory Program for that year.

    Sec. 4. Office of Management and Budget.

    The Director of the Office of Management and Budget is authorized, to the extent permitted by law, to take such actions as may be necessary to carry out the provisions of this order.

    Sec. 5. Judicial Review.

    This Order is intended only to improve the internal management of the Federal government, 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

    The White House, January 4, 1985.

    Executive Order 12866

    (Amended Feb. 26, 2002, and Jan. 18, 2007)

    Regulatory Planning and Review

    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.

    • 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.
    • 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:
      • 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.
      • 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.
      • 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.
      • 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.
      • 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.
      • 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.
      • 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.
      • 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.
      • 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.
      • Each agency shall avoid regulations that are inconsistent, incompatible, or duplicative with its other regulations or those of other Federal agencies.
      • 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.
      • 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.

    • 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.
    • 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.
    • 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:

    • “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 Advisors; (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.
    • “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).
    • “Director” means the Director of OMB.
    • “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:
      • Regulations or rules issued in accordance with the formal rulemaking provisions of 5 U.S.C. 556, 557;
      • 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;
      • Regulations or rules that are limited to agency organization, management, or personnel matters; or
      • Any other category of regulations exempted by the Administrator of OIRA.
    • “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.
    • “Significant regulatory action” means any regulatory action that is likely to result in a rule that may:
      • 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;
      • Create a serious inconsistency or otherwise interfere with an action taken or planned by another agency;
      • Materially alter the budgetary impact of entitlements, grants, user fees, or loan programs or the rights and obligations of recipients thereof; or
      • 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:

    • 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.
    • 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 41 U.S.C. 402 into these agendas.
    • 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).
      • 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 statement of the agency's regulatory objectives and priorities and how they relate to the President's priorities;
        • 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;
        • A summary of the legal basis for each such action, including whether any aspect of the action is required by statute or court order;
        • 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;
        • The agency's schedule for action, including a statement of any applicable statutory or judicial deadlines; and
        • The name, address, and telephone number of a person the public may contact for additional information about the planned regulatory action.
      • Each agency shall forward its Plan to OIRA by June 1st of each year.
      • 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.
      • 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.
      • 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.
      • 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.
      • 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.
    • 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.
    • 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:

    • 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.
    • 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.
    • 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:

    • Agency Responsibilities.
      • 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.
      • 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.
      • In addition to adhering to its own rules and procedures and to the requirements of the Administrative Procedure Act, the Regulatory Flexibility Act, the Paperwork Reduction Act, 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:
        • 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.
        • 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:
          • 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
          • 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.
        • 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):
          • 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;
          • 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
          • 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.
        • 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.
        • After the regulatory action has been published in the Federal Register or otherwise issued to the public, the agency shall:
          • Make available to the public the information set forth in subsections (a)(3)(B) and (C);
          • 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
          • Identify for the public those changes in the regulatory action that were made at the suggestion or recommendation of OIRA.
        • All information provided to the public by the agency shall be in plain, understandable language.
    • 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:
      • OIRA may review only actions identified by the agency or by OIRA as significant regulatory actions under subsection (a)(3)(A) of this section.
      • OIRA shall waive review or notify the agency in writing of the results of its review within the following time periods:
        • 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;
        • 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
        • 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.
      • 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.
      • 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:
        • 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;
        • 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:
          • A representative from the issuing agency shall be invited to any meeting between OIRA personnel and such person(s);
          • 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
          • OIRA shall publicly disclose relevant information about such communication(s), as set forth below in subsection (b)(4)(C) of this section.
        • OIRA shall maintain a publicly available log that shall contain, at a minimum, the following information pertinent to regulatory actions under review:
          • The status of all regulatory actions, including if (and if so, when and by whom) Vice Presidential and Presidential consideration was requested;
          • A notation of all written communications forwarded to an issuing agency under subsection (b)(4)(B)(ii) of this section; and
          • 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.
        • 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.
      • 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

    The White House, September 30, 1993.

    Executive Order 13258

    (Revoked Jan. 30, 2009)

    Amending Executive Order 12866 on Regulatory Planning and Review

    By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered that Executive Order 12866, of September 30, 1993, is amended as follows:

    Section 1. Section (2)(b) is amended by striking “the Vice President, and other regulatory policy advisors” and inserting in lieu thereof “and regulatory policy advisors.”

    Sec. 2. Section (2)(c) is amended by:

    • striking in the heading the words “The Vice President” and inserting in lieu thereof “Assistance”;
    • striking the sentence that begins “The Vice President is”;
    • striking “In fulfilling their responsibilities” and inserting in lieu thereof “In fulfilling his responsibilities;” and
    • striking “and the Vice President” both times it appears.

    Sec. 3. Section 3(a) is amended by:

    • striking “and Vice President”;
    • striking “the Assistant to the President for Science and Technology” and inserting in lieu thereof “the Director of the Office of Science and Technology Policy”;
    • striking “the Assistant to the President for Intergovernmental Affairs” and inserting in lieu thereof “the Deputy Assistant to the President and Director for Intergovernmental Affairs”;
    • striking “the Deputy Assistant to the President and Director of the White House Office of Environmental Policy” and inserting in lieu thereof “the Chairman of the Council on Environmental Quality and Director of the Office of Environmental Quality;” and
    • striking “and (12)” and inserting in lieu thereof “(12) the Assistant to the President for Homeland Security; and (13).”

    Sec. 4. Section 4(a) is amended by striking “the Vice President shall convene” and inserting in lieu thereof “the Director shall convene.”

    Sec. 5. Section 4(c)(3) is amended by striking “the Advisors, and the Vice President” and inserting in lieu thereof “and the Advisors.”

    Sec. 6. Section 4(c)(4) is amended by striking “the Advisors, and the Vice President” and inserting in lieu thereof “and the Advisors.”

    Sec. 7. Section 4(c)(5) is amended by striking “the Advisors, and the Vice President” and inserting in lieu thereof “and the Advisors.”

    Sec. 8. Section 4(c)(6) is amended by striking “Vice President, with the Advisors’ assistance,” and inserting in lieu thereof “Director.”

    Sec. 9. Section 4(d) is amended by:

    • striking “the Advisors, and the Vice President” and inserting in lieu thereof “and the Advisors;” and
    • striking “periodically advise the Vice President” and inserting in lieu thereof “periodically advise the Director.”

    Sec. 10. Section 5(c) is amended by striking “Vice President” and inserting in lieu thereof “Director.”

    Sec. 11. Section 6(b)(4)(C)(i) is amended by striking “Vice Presidential and.”

    Sec. 12. Section 7 is amended by:

    • striking “resolved by the President, or by the Vice President acting at the request of the President” and inserting in lieu thereof “resolved by the President, with the assistance of the Chief of Staff to the President (“Chief of Staff “)”;
    • striking “Vice Presidential and Presidential consideration” and inserting in lieu thereof “Presidential consideration”;
    • striking “recommendations developed by the Vice President” and inserting in lieu thereof “recommendations developed by the Chief of Staff “;
    • striking “Vice Presidential and Presidential review period” and inserting in lieu thereof “Presidential review period”;
    • striking “or to the staff of the Vice President” and inserting in lieu thereof “or to the staff of the Chief of Staff”;
    • striking “the President, or the Vice President acting at the request of the President, shall notify” and insert in lieu thereof “the President, or the Chief of Staff acting at the request of the President, shall notify.”

    Sec. 13. Section 7 is also amended in the first paragraph by inserting the designation “(a)” after the words “Resolution of Conflicts,” and by designating the following three paragraphs as “(b),” “(c),” and “(d)” in order.

    Sec. 14. Section 8 is amended by striking “Vice President” both times it appears and inserting in lieu thereof “Director.”

    GEORGE W. BUSH

    The White House, February 26, 2002.

    Executive Order 13392
    Improving Agency Disclosure of Information

    By the authority vested in me as President by the Constitution and the laws of the United States of America, and to ensure appropriate agency disclosure of information, and consistent with the goals of section 552 of title 5, United States Code, it is hereby ordered as follows:

    Section 1. Policy.

    • The effective functioning of our constitutional democracy depends upon the participation in public life of a citizenry that is well informed. For nearly four decades, the Freedom of Information Act (FOIA) has provided an important means through which the public can obtain information regarding the activities of Federal agencies. Under the FOIA, the public can obtain records from any Federal agency, subject to the exemptions enacted by the Congress to protect information that must be held in confidence for the Government to function effectively or for other purposes.
    • FOIA requesters are seeking a service from the Federal Government and should be treated as such. Accordingly, in responding to a FOIA request, agencies shall respond courteously and appropriately. Moreover, agencies shall provide FOIA requesters, and the public in general, with citizen centered ways to learn about the FOIA process, about agency records that are publicly available (e.g., on the agency's website), and about the status of a person's FOIA request and appropriate information about the agency's response.
    • Agency FOIA operations shall be both results-oriented and produce results. Accordingly, agencies shall process requests under the FOIA in an efficient and appropriate manner and achieve tangible, measurable improvements in FOIA processing. When an agency's FOIA program does not produce such results, it should be reformed, consistent with available resources appropriated by the Congress and applicable law, to increase efficiency and better reflect the policy goals and objectives of this order.
    • A citizen-centered and results-oriented approach will improve service and performance, thereby strengthening compliance with the FOIA, and will help avoid disputes and related litigation.

    Sec. 2. Agency Chief FOIA Officers.

    • Designation. The head of each agency shall designate within 30 days of the date of this order a senior official of such agency (at the Assistant Secretary or equivalent level), to serve as the Chief FOIA Officer of that agency. The head of the agency shall promptly notify the Director of the Office of Management and Budget (OMB Director) and the Attorney General of such designation and of any changes thereafter in such designation.
    • General Duties. The Chief FOIA Officer of each agency shall, subject to the authority of the head of the agency:
      • have agency-wide responsibility for efficient and appropriate compliance with the FOIA;
      • monitor FOIA implementation throughout the agency, including through the use of meetings with the public to the extent deemed appropriate by the agency's Chief FOIA Officer, and keep the head of the agency, the chief legal officer of the agency, and the Attorney General appropriately informed of the agency's performance in implementing the FOIA, including the extent to which the agency meets the milestones in the agency's plan under section 3(b) of this order and training and reporting standards established consistent with applicable law and this order;
      • recommend to the head of the agency such adjustments to agency practices, policies, personnel, and funding as may be necessary to carry out the policy set forth in section 1 of this order;
      • review and report, through the head of the agency, at such times and in such formats as the Attorney General may direct, on the agency's performance in implementing the FOIA; and
      • facilitate public understanding of the purposes of the FOIA's statutory exemptions by including concise descriptions of the exemptions in both the agency's FOIA handbook issued under section 552(g) of title 5, United States Code, and the agency's annual FOIA report, and by providing an overview, where appropriate, of certain general categories of agency records to which those exemptions apply.
    • FOIA Requester Service Center and FOIA Public Liaisons. In order to ensure appropriate communication with FOIA requesters:
      • Each agency shall establish one or more FOIA Requester Service Centers (Center), as appropriate, which shall serve as the first place that a FOIA requester can contact to seek information concerning the status of the person's FOIA request and appropriate information about the agency's FOIA response. The Center shall include appropriate staff to receive and respond to inquiries from FOIA requesters;
      • The agency Chief FOIA Officer shall designate one or more agency officials, as appropriate, as FOIA Public Liaisons, who may serve in the Center or who may serve in a separate office. FOIA Public Liaisons shall serve as supervisory officials to whom a FOIA requester can raise concerns about the service the FOIA requester has received from the Center, following an initial response from the Center staff. FOIA Public Liaisons shall seek to ensure a service-oriented response to FOIA requests and FOIA-related inquiries. For example, the FOIA Public Liaison shall assist, as appropriate, in reducing delays, increasing transparency and understanding of the status of requests, and resolving disputes. FOIA Public Liaisons shall report to the agency Chief FOIA Officer on their activities and shall perform their duties consistent with applicable law and agency regulations;
      • In addition to the services to FOIA requesters provided by the Center and FOIA Public Liaisons, the agency Chief FOIA Officer shall also consider what other FOIA-related assistance to the public should appropriately be provided by the agency;
      • In establishing the Centers and designating FOIA Public Liaisons, the agency shall use, as appropriate, existing agency staff and resources. A Center shall have appropriate staff to receive and respond to inquiries from FOIA requesters;
      • As determined by the agency Chief FOIA Officer, in consultation with the FOIA Public Liaisons, each agency shall post appropriate information about its Center or Centers on the agency's website, including contact information for its FOIA Public Liaisons. In the case of an agency without a website, the agency shall publish the information on the http://Firstgov.gov website or, in the case of any agency with neither a website nor the capability to post on the http://Firstgov.gov website, in the Federal Register; and
      • The agency Chief FOIA Officer shall ensure that the agency has in place a method (or methods), including through the use of the Center, to receive and respond promptly and appropriately to inquiries from FOIA requesters about the status of their requests. The Chief FOIA Officer shall also consider, in consultation with the FOIA Public Liaisons, as appropriate, whether the agency's implementation of other means (such as tracking numbers for requests, or an agency telephone or Internet hotline) would be appropriate for responding to status inquiries.

    Sec. 3. Review, Plan, and Report.

    • Review. Each agency's Chief FOIA Officer shall conduct a review of the agency's FOIA operations to determine whether agency practices are consistent with the policies set forth in section 1 of this order. In conducting this review, the Chief FOIA Officer shall:
      • evaluate, with reference to numerical and statistical benchmarks where appropriate, the agency's administration of the FOIA, including the agency's expenditure of resources on FOIA compliance and the extent to which, if any, requests for records have not been responded to within the statutory time limit (backlog);
      • review the processes and practices by which the agency assists and informs the public regarding the FOIA process;
      • examine the agency's:
        • use of information technology in responding to FOIA requests, including without limitation the tracking of FOIA requests and communication with requesters;
        • practices with respect to requests for expedited processing; and
        • implementation of multi-track processing if used by such agency;
      • review the agency's policies and practices relating to the availability of public information through websites and other means, including the use of websites to make available the records described in section 552(a)(2) of title 5, United States Code; and
      • identify ways to eliminate or reduce its FOIA backlog, consistent with available resources and taking into consideration the volume and complexity of the FOIA requests pending with the agency.
    • Plan.
      • Each agency's Chief FOIA Officer shall develop, in consultation as appropriate with the staff of the agency (including the FOIA Public Liaisons), the Attorney General, and the OMB Director, an agency-specific plan to ensure that the agency's administration of the FOIA is in accordance with applicable law and the policies set forth in section 1 of this order. The plan, which shall be submitted to the head of the agency for approval, shall address the agency's implementation of the FOIA during fiscal years 2006 and 2007.
      • The plan shall include specific activities that the agency will implement to eliminate or reduce the agency's FOIA backlog, including (as applicable) changes that will make the processing of FOIA requests more streamlined and effective, as well as increased reliance on the dissemination of records that can be made available to the public through a website or other means that do not require the public to make a request for the records under the FOIA.
      • The plan shall also include activities to increase public awareness of FOIA processing, including as appropriate, expanded use of the agency's Center and its FOIA Public Liaisons.
      • The plan shall also include, taking appropriate account of the resources available to the agency and the mission of the agency, concrete milestones, with specific timetables and outcomes to be achieved, by which the head of the agency, after consultation with the OMB Director, shall measure and evaluate the agency's success in the implementation of the plan.
    • Agency Reports to the Attorney General and OMB Director.
      • The head of each agency shall submit a report, no later than 6 months from the date of this order, to the Attorney General and the OMB Director that summarizes the results of the review under section 3(a) of this order and encloses a copy of the agency's plan under section 3(b) of this order. The agency shall publish a copy of the agency's report on the agency's website or, in the case of an agency without a website, on the http://Firstgov.gov website, or, in the case of any agency with neither a website nor the capability to publish on the http://Firstgov.gov website, in the Federal Register.
      • The head of each agency shall include in the agency's annual FOIA reports for fiscal years 2006 and 2007 a report on the agency's development and implementation of its plan under section 3(b) of this order and on the agency's performance in meeting the milestones set forth in that plan, consistent with any related guidelines the Attorney General may issue under section 552(e) of title 5, United States Code.
      • If the agency does not meet a milestone in its plan, the head of the agency shall:
        • identify this deficiency in the annual FOIA report to the Attorney General;
        • explain in the annual report the reasons for the agency's failure to meet the milestone;
        • outline in the annual report the steps that the agency has already taken, and will be taking, to address the deficiency; and
        • report this deficiency to the President's Management Council.

    Sec. 4. Attorney General.

    • Report. The Attorney General, using the reports submitted by the agencies under subsection 3(c)(i) of this order and the information submitted by agencies in their annual FOIA reports for fiscal year 2005, shall submit to the President, no later than 10 months from the date of this order, a report on agency FOIA implementation. The Attorney General shall consult the OMB Director in the preparation of the report and shall include in the report appropriate recommendations on administrative or other agency actions for continued agency dissemination and release of public information. The Attorney General shall thereafter submit two further annual reports, by June 1, 2007, and June 1, 2008, that provide the President with an update on the agencies’ implementation of the FOIA and of their plans under section 3(b) of this order.
    • Guidance. The Attorney General shall issue such instructions and guidance to the heads of departments and agencies as may be appropriate to implement sections 3(b) and 3(c) of this order.

    Sec. 5. OMB Director. The OMB Director may issue such instructions to the heads of agencies as are necessary to implement this order, other than sections 3(b) and 3(c) of this order.

    Sec. 6. Definitions. As used in this order:

    • the term “agency” has the same meaning as the term “agency” under section 552(f)(1) of title 5, United States Code; and
    • the term “record” has the same meaning as the term “record” under section 552(f)(2) of title 5, United States Code.

    Sec. 7. General Provisions.

    • The agency reviews under section 3(a) of this order and agency plans under section 3(b) of this order shall be conducted and developed in accordance with applicable law and applicable guidance issued by the President, the Attorney General, and the OMB Director, including the laws and guidance regarding information technology and the dissemination of information.
    • This order:
      • shall be implemented in a manner consistent with applicable law and subject to the availability of appropriations;
      • shall not be construed to impair or otherwise affect the functions of the OMB Director relating to budget, legislative, or administrative proposals; and
      • 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 in equity by a party against the United States, its departments, agencies, instrumentalities, or entities, its officers or employees, or any other person.

    GEORGE W. BUSH

    Trie White House, December 14, 2005.

    Executive Order 13422

    (Revoked Jan. 30, 2009)

    Further Amendment to Executive Order 12866 on Regulatory Planning and Review

    By the authority vested in me as President by the Constitution and laws of the United States of America, it is hereby ordered that Executive Order 12866 of September 30, 1993, as amended, is further amended as follows:

    Section 1. Section 1 is amended as follows:

    • Section 1(b)(1) is amended to read as follows:

      “(1) Each agency shall identify in writing the specific market failure (such as externalities, market power, lack of information) or other specific problem that it intends to address (including, where applicable, the failures of public institutions) that warrant new agency action, as well as assess the significance of that problem, to enable assessment of whether any new regulation is warranted.”

    • by inserting in section 1(b)(7) after “regulation” the words “or guidance document.”
    • by inserting in section 1(b)(10) in both places after “regulations” the words “and guidance documents.”
    • by inserting in section 1(b)(11) after “its regulations” the words “and guidance documents.”
    • by inserting in section 1(b)(12) after “regulations” the words “and guidance documents.”

    Sec. 2. Section 2 is amended as follows:

    • by inserting in section 2(a) in both places after “regulations” the words “and guidance documents.”
    • by inserting in section 2(b) in both places after “regulations” the words “and guidance documents.”

    Sec. 3. Section 3 is amended as follows:

    • by striking in section 3(d) “rule” after “Regulation”;
    • by striking in section 3(d)(1) “or rules” after “Regulations”;
    • by striking in section 3(d)(2) “or rules” after “Regulations”;
    • by striking in section 3(d)(3) “or rules” after “Regulations”;
    • by striking in section 3(e) “rule or” from “final rule or regulation”;
    • by striking in section 3(f) “rule or” from “rule or regulation”;
    • by inserting after section 3(f) the following:

      “(g) “Guidance document” means an agency statement of general applicability and future effect, other than a regulatory action, that sets forth a policy on a statutory, regulatory, or technical issue or an interpretation of a statutory or regulatory issue.”

    • “Significant guidance document”—
      • Means a guidance document disseminated to regulated entities or the general public that, for purposes of this order, may reasonably be anticipated to:
        • Lead to an annual effect 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;
        • Create a serious inconsistency or otherwise interfere with an action taken or planned by another agency;
        • Materially alter the budgetary impact of entitlements, grants, user fees, or loan programs or the rights or obligations of recipients thereof; or
        • Raise novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles set forth in this Executive order; and
      • Does not include:
        • Guidance documents on regulations issued in accordance with the formal rulemaking provisions of 5 U.S.C. 556, 557;
        • Guidance documents 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;
        • Guidance documents on regulations that are limited to agency organization, management, or personnel matters; or
        • Any other category of guidance documents exempted by the Administrator of OIRA.

    Sec. 4. Section 4 is amended as follows:

    • Section 4(a) is amended to read as follows: “The Director may convene a meeting of agency heads and other government personnel as appropriate to seek a common understanding of priorities and to coordinate regulatory efforts to be accomplished in the upcoming year.”
    • The last sentence of section 4(c)(1) is amended to read as follows: “Unless specifically authorized by the head of the agency, no rulemaking shall commence nor be included on the Plan without the approval of the agency's Regulatory Policy Office, and the Plan shall contain at a minimum:.”
    • Section 4(c)(1)(B) is amended by inserting “of each rule as well as the agency's best estimate of the combined aggregate costs and benefits of all its regulations planned for that calendar year to assist with the identification of priorities” after “of the anticipated costs and benefits.”
    • Section 4(c)(1)(C) is amended by inserting “and specific citation to such statute, order, or other legal authority” after “court order.”

    Sec. 5. Section 6 is amended as follows:

    • by inserting in section 6(a)(1) “In consultation with OIRA, each agency may also consider whether to utilize formal rulemaking procedures under 5 U.S.C. 556 and 557 for the resolution of complex determinations” after “comment period of not less than 60 days.”
    • by amending the first sentence of section 6(a) (2) to read as follows: “Within 60 days of the date of this Executive order, each agency head shall designate one of the agency's Presidential Appointees to be its Regulatory Policy Officer, advise OMB of such designation, and annually update OMB on the status of this designation.”

    Sec. 6. Sections 9-11 are redesignated respectively as sections 10-12.

    Sec. 7. After section 8, a new section 9 is inserted as follows:

    “Sec. 9. Significant Guidance Documents. Each agency shall provide OIRA, at such times and in the manner specified by the Administrator of OIRA, with advance notification of any significant guidance documents. Each agency shall take such steps as are necessary for its Regulatory Policy Officer to ensure the agency's compliance with the requirements of this section. Upon the request of the Administrator, for each matter identified as, or determined by the Administrator to be, a significant guidance document, the issuing agency shall provide to OIRA the content of the draft guidance document, together with a brief explanation of the need for the guidance document and how it will meet that need. The OIRA Administrator shall notify the agency when additional consultation will be required before the issuance of the significant guidance document.”

    Sec. 8. Newly designated section 10 is amended to read as follows:

    “Sec. 10. Preservation of Agency Authority. Nothing in this order shall be construed to impair or otherwise affect the authority vested by law in an agency or the head thereof, including the authority of the Attorney General relating to litigation.”

    GEORGE W. BUSH

    The White House, January 18, 2007.

    Executive Order 13497
    Revocation of Certain Executive Orders Concerning Regulatory Planning and Review

    By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered that:

    Section 1. Executive Order 13258 of February 26, 2002, and Executive Order 13422 of January 18, 2007, concerning regulatory planning and review, which amended Executive Order 12866 of September 30, 1993, are revoked.

    Sec. 2. The Director of the Office of Management and Budget and the heads of executive departments and agencies shall promptly rescind any orders, rules, regulations, guidelines, or policies implementing or enforcing Executive Order 13258 or Executive Order 13422, to the extent consistent with law.

    Sec. 3. This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

    BARACK OBAMA

    The White House, January 30, 2009.

    Executive Order 13563
    Improving Regulations and Regulatory Review

    By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to improve regulation and regulatory review, it is hereby ordered as follows:

    Section 1. General Principles of Regulation.

    • Our regulatory system must protect public health, welfare, safety, and our environment while promoting economic growth, innovation, competitiveness, and job creation. It must be based on the best available science. It must allow for public participation and an open exchange of ideas. It must promote predictability and reduce uncertainty. It must identify and use the best, most innovative, and least burdensome tools for achieving regulatory ends. It must take into account benefits and costs, both quantitative and qualitative. It must ensure that regulations are accessible, consistent, written in plain language, and easy to understand. It must measure, and seek to improve, the actual results of regulatory requirements.
    • This order is supplemental to and reaffirms the principles, structures, and definitions governing contemporary regulatory review that were established in Executive Order 12866 of September 30, 1993. As stated in that Executive Order and to the extent permitted by law, each agency must, among other things: (1) propose or adopt a regulation only upon a reasoned determination that its benefits justify its costs (recognizing that some benefits and costs are difficult to quantify); (2) tailor its regulations to impose the least burden on society, consistent with obtaining regulatory objectives, taking into account, among other things, and to the extent practicable, the costs of cumulative regulations; (3) select, in choosing among alternative regulatory approaches, those approaches that maximize net benefits (including potential economic, environmental, public health and safety, and other advantages; distributive impacts; and equity); (4) to the extent feasible, specify performance objectives, rather than specifying the behavior or manner of compliance that regulated entities must adopt; and (5) 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.
    • In applying these principles, each agency is directed to use the best available techniques to quantify anticipated present and future benefits and costs as accurately as possible. Where appropriate and permitted by law, each agency may consider (and discuss qualitatively) values that are difficult or impossible to quantify, including equity, human dignity, fairness, and distributive impacts.

    Sec. 2. Public Participation.

    • Regulations shall be adopted through a process that involves public participation. To that end, regulations shall be based, to the extent feasible and consistent with law, on the open exchange of information and perspectives among State, local, and tribal officials, experts in relevant disciplines, affected stakeholders in the private sector, and the public as a whole.
    • To promote that open exchange, each agency, consistent with Executive Order 12866 and other applicable legal requirements, shall endeavor to provide the public with an opportunity to participate in the regulatory process. To the extent feasible and permitted by law, each agency shall afford the public a meaningful opportunity to comment through the Internet on any proposed regulation, with a comment period that should generally be at least 60 days. To the extent feasible and permitted by law, each agency shall also provide, for both proposed and final rules, timely online access to the rulemaking docket on http://regulations.gov, including relevant scientific and technical findings, in an open format that can be easily searched and downloaded. For proposed rules, such access shall include, to the extent feasible and permitted by law, an opportunity for public comment on all pertinent parts of the rulemaking docket, including relevant scientific and technical findings.
    • Before issuing a notice of proposed rulemaking, each agency, where feasible and appropriate, shall seek the views of those who are likely to be affected, including those who are likely to benefit from and those who are potentially subject to such rulemaking.

    Sec. 3. Integration and Innovation. Some sectors and industries face a significant number of regulatory requirements, some of which may be redundant, inconsistent, or overlapping. Greater coordination across agencies could reduce these requirements, thus reducing costs and simplifying and harmonizing rules. In developing regulatory actions and identifying appropriate approaches, each agency shall attempt to promote such coordination, simplification, and harmonization. Each agency shall also seek to identify, as appropriate, means to achieve regulatory goals that are designed to promote innovation.

    Sec. 4. Flexible Approaches. Where relevant, feasible, and consistent with regulatory objectives, and to the extent permitted by law, each agency shall identify and consider regulatory approaches that reduce burdens and maintain flexibility and freedom of choice for the public. These approaches include warnings, appropriate default rules, and disclosure requirements as well as provision of information to the public in a form that is clear and intelligible.

    Sec. 5. Science. Consistent with the President's Memorandum for the Heads of Executive Departments and Agencies, “Scientific Integrity” (March 9, 2009), and its implementing guidance, each agency shall ensure the objectivity of any scientific and technological information and processes used to support the agency's regulatory actions.

    Sec. 6. Retrospective Analyses of Existing Rules.

    • To facilitate the periodic review of existing significant regulations, agencies shall consider how best to promote retrospective analysis of rules that may be outmoded, ineffective, insufficient, or excessively burdensome, and to modify, streamline, expand, or repeal them in accordance with what has been learned. Such retrospective analyses, including supporting data, should be released online whenever possible.
    • Within 120 days of the date of this order, each agency shall develop and submit to the Office of Information and Regulatory Affairs a preliminary plan, consistent with law and 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, streamlined, expanded, or repealed so as to make the agency's regulatory program more effective or less burdensome in achieving the regulatory objectives.

    Sec. 7. General Provisions.

    • For purposes of this order, “agency” shall have the meaning set forth in section 3(b) of Executive Order 12866.
    • Nothing in this order shall be construed to impair or otherwise affect:
      • authority granted by law to a department or agency, or the head thereof; or
      • functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals.
    • This order shall be implemented consistent with applicable law and subject to the availability of appropriations.
    • This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

    BARACK OBAMA

    The White House, January 18, 2011.

    Executive Order 13579
    Regulation and Independent Regulatory Agencies

    By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to improve regulation and regulatory review, it is hereby ordered as follows:

    Section 1. Policy.

    • Wise regulatory decisions depend on public participation and on careful analysis of the likely consequences of regulation. Such decisions are informed and improved by allowing interested members of the public to have a meaningful opportunity to participate in rulemaking. To the extent permitted by law, such decisions should be made only after consideration of their costs and benefits (both quantitative and qualitative).
    • Executive Order 13563 of January 18, 2011, “Improving Regulation and Regulatory Review,” directed to executive agencies, was meant to produce a regulatory system that protects “public health, welfare, safety, and our environment while promoting economic growth, innovation, competitiveness, and job creation.” Independent regulatory agencies, no less than executive agencies, should promote that goal.
    • Executive Order 13563 set out general requirements directed to executive agencies concerning public participation, integration and innovation, flexible approaches, and science. To the extent permitted by law, independent regulatory agencies should comply with these provisions as well.

    Sec. 2. Retrospective Analyses of Existing Rules.

    • To facilitate the periodic review of existing significant regulations, independent regulatory agencies should consider how best to promote retrospective analysis of rules that may be outmoded, ineffective, insufficient, or excessively burdensome, and to modify, streamline, expand, or repeal them in accordance with what has been learned. Such retrospective analyses, including supporting data and evaluations, should be released online whenever possible.
    • Within 120 days of the date of this order, each independent regulatory agency should develop and release to the public a plan, consistent with law and reflecting its resources and regulatory priorities and processes, under which the agency will periodically review its existing significant regulations to determine whether any such regulations should be modified, streamlined, expanded, or repealed so as to make the agency's regulatory program more effective or less burdensome in achieving the regulatory objectives.

    Sec. 3. General Provisions.

    • For purposes of this order, “executive agency” shall have the meaning set forth for the term “agency” in section 3(b) of Executive Order 12866 of September 30, 1993, and “independent regulatory agency” shall have the meaning set forth in 44 U.S.C. 3502(5).
    • Nothing in this order shall be construed to impair or otherwise affect:
      • authority granted by law to a department or agency, or the head thereof; or
      • functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals.
    • This order shall be implemented consistent with applicable law and subject to the availability of appropriations.
    • This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

    BARACK OBAMA

    Trie White House, July 11, 2011.

    Executive Order 13609
    Promoting International Regulatory Cooperation

    By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to promote international regulatory cooperation, it is hereby ordered as follows:

    Section 1. Policy. Executive Order 13563 of January 18, 2011 (Improving Regulation and Regulatory Review), states that our regulatory system must protect public health, welfare, safety, and our environment while promoting economic growth, innovation, competitiveness, and job creation. In an increasingly global economy, international regulatory cooperation, consistent with domestic law and prerogatives and U.S. trade policy, can be an important means of promoting the goals of Executive Order 13563.

    The regulatory approaches taken by foreign governments may differ from those taken by U.S. regulatory agencies to address similar issues. In some cases, the differences between the regulatory approaches of U.S. agencies and those of their foreign counterparts might not be necessary and might impair the ability of American businesses to export and compete internationally. In meeting shared challenges involving health, safety, labor, security, environmental, and other issues, international regulatory cooperation can identify approaches that are at least as protective as those that are or would be adopted in the absence of such cooperation. International regulatory cooperation can also reduce, eliminate, or prevent unnecessary differences in regulatory requirements.

    Sec. 2. Coordination of International Regulatory Cooperation.

    • The Regulatory Working Group (Working Group) established by Executive Order 12866 of September 30, 1993 (Regulatory Planning and Review), which was reaffirmed by Executive Order 13563, shall, as appropriate:
      • serve as a forum to discuss, coordinate, and develop a common understanding among agencies of U.S. Government positions and priorities with respect to:
        • international regulatory cooperation activities that are reasonably anticipated to lead to significant regulatory actions;
        • efforts across the Federal Government to support significant, cross-cutting international regulatory cooperation activities, such as the work of regulatory cooperation councils; and
        • the promotion of good regulatory practices internationally, as well as the promotion of U.S. regulatory approaches, as appropriate; and
      • examine, among other things:
        • appropriate strategies for engaging in the development of regulatory approaches through international regulatory cooperation, particularly in emerging technology areas, when consistent with section 1 of this order;
        • best practices for international regulatory cooperation with respect to regulatory development, and, where appropriate, information exchange and other regulatory tools; and
        • factors that agencies should take into account when determining whether and how to consider other regulatory approaches under section 3(d) of this order.
    • As Chair of the Working Group, the Administrator of the Office of Information and Regulatory Affairs (OIRA) of the Office of Management and Budget (OMB) shall convene the Working Group as necessary to discuss international regulatory cooperation issues as described above, and the Working Group shall include a representative from the Office of the United States Trade Representative and, as appropriate, representatives from other agencies and offices.
    • The activities of the Working Group, consistent with law, shall not duplicate the efforts of existing interagency bodies and coordination mechanisms. The Working Group shall consult with existing interagency bodies when appropriate.
    • To inform its discussions, and pursuant to section 4 of Executive Order 12866, the Working Group may commission analytical reports and studies by OIRA, the Administrative Conference of the United States, or any other relevant agency, and the Administrator of OIRA may solicit input, from time to time, from representatives of business, nongovernmental organizations, and the public.
    • The Working Group shall develop and issue guidelines on the applicability and implementation of sections 2 through 4 of this order.
    • For purposes of this order, the Working Group shall operate by consensus.

    Sec. 3. Responsibilities of Federal Agencies. To the extent permitted by law, and consistent with the principles and requirements of Executive Order 13563 and Executive Order 12866, each agency shall:

    • if required to submit a Regulatory Plan pursuant to Executive Order 12866, include in that plan a summary of its international regulatory cooperation activities that are reasonably anticipated to lead to significant regulations, with an explanation of how these activities advance the purposes of Executive Order 13563 and this order;
    • ensure that significant regulations that the agency identifies as having significant international impacts are designated as such in the Unified Agenda of Federal Regulatory and Deregulatory Actions, on http://RegInfo.gov, and on http://Regulations.gov;
    • in selecting which regulations to include in its retrospective review plan, as required by Executive Order 13563, consider:
      • reforms to existing significant regulations that address unnecessary differences in regulatory requirements between the United States and its major trading partners, consistent with section 1 of this order, when stakeholders provide adequate information to the agency establishing that the differences are unnecessary; and
      • such reforms in other circumstances as the agency deems appropriate; and
    • for significant regulations that the agency identifies as having significant international impacts, consider, to the extent feasible, appropriate, and consistent with law, any regulatory approaches by a foreign government that the United States has agreed to consider under a regulatory cooperation council work plan.

    Sec. 4. Definitions. For purposes of this order:

    • “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).
    • “International impact” is a direct effect that a proposed or final regulation is expected to have on international trade and investment, or that otherwise may be of significant interest to the trading partners of the United States.
    • “International regulatory cooperation” refers to a bilateral, regional, or multilateral process, other than processes that are covered by section 6(a)(ii), (iii), and (v) of this order, in which national governments engage in various forms of collaboration and communication with respect to regulations, in particular a process that is reasonably anticipated to lead to the development of significant regulations.
    • “Regulation” shall have the same meaning as “regulation” or “rule” in section 3(d) of Executive Order 12866.
    • “Significant regulation” is a proposed or final regulation that constitutes a significant regulatory action.
    • “Significant regulatory action” shall have the same meaning as in section 3(f) of Executive Order 12866.

    Sec. 5. Independent Agencies. Independent regulatory agencies are encouraged to comply with the provisions of this order.

    Sec. 6. General Provisions.

    • Nothing in this order shall be construed to impair or otherwise affect:
      • the authority granted by law to a department or agency, or the head thereof;
      • the coordination and development of international trade policy and negotiations pursuant to section 411 of the Trade Agreements Act of 1979 (19 U.S.C. 2451) and section 141 of the Trade Act of 1974 (19 U.S.C. 2171);
      • international trade activities undertaken pursuant to section 3 of the Act of February 14, 1903 (15 U.S.C. 1512), subtitle C of the Export Enhancement Act of 1988, as amended (15 U.S.C. 4721 et seq.), and Reorganization Plan No. 3 of1979 (19 U.S.C. 2171 note);
      • the authorization process for the negotiation and conclusion of international agreements pursuant to 1 U.S.C. 112b(c) and its implementing regulations (22 C.F.R. 181.4) and implementing procedures (11 FAM 720);
      • activities in connection with subchapter II of chapter 53 of title 31 of the United States Code, title 26 of the United States Code, or Public Law 111-203 and other laws relating to financial regulation; or
      • the functions of the Director of OMB relating to budgetary, administrative, or legislative proposals.
    • This order shall be implemented consistent with applicable law and subject to the availability of appropriations.
    • This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

    BARACK OBAMA

    The White House, May 1, 2012.

    Executive Order 13610
    Identifying and Reducing Regulatory Burdens

    By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to modernize our regulatory system and to reduce unjustified regulatory burdens and costs, it is hereby ordered as follows:

    Section 1. Policy. Regulations play an indispensable role in protecting public health, welfare, safety, and our environment, but they can also impose significant burdens and costs. During challenging economic times, we should be especially careful not to impose unjustified regulatory requirements. For this reason, it is particularly important for agencies to conduct retrospective analyses of existing rules to examine whether they remain justified and whether they should be modified or streamlined in light of changed circumstances, including the rise of new technologies.

    Executive Order 13563 of January 18, 2011 (Improving Regulation and Regulatory Review), states that our regulatory system “must measure, and seek to improve, the actual results of regulatory requirements.” To promote this goal, that Executive Order requires agencies not merely to conduct a single exercise, but to engage in “periodic review of existing significant regulations.” Pursuant to section 6(b) of that Executive Order, agencies are required to develop retrospective review plans to review existing significant regulations in order to “determine whether any such regulations should be modified, streamlined, expanded, or repealed.” The purpose of this requirement is to “make the agency's regulatory program more effective or less burdensome in achieving the regulatory objectives.”

    In response to Executive Order 13563, agencies have developed and made available for public comment retrospective review plans that identify over five hundred initiatives. A small fraction of those initiatives, already finalized or formally proposed to the public, are anticipated to eliminate billions of dollars in regulatory costs and tens of millions of hours in annual paperwork burdens. Significantly larger savings are anticipated as the plans are implemented and as action is taken on additional initiatives.

    As a matter of longstanding practice and to satisfy statutory obligations, many agencies engaged in periodic review of existing regulations prior to the issuance of Executive Order 13563. But further steps should be taken, consistent with law, agency resources, and regulatory priorities, to promote public participation in retrospective review, to modernize our regulatory system, and to institutionalize regular assessment of significant regulations.

    Sec. 2. Public Participation in Retrospective Review. Members of the public, including those directly and indirectly affected by regulations, as well as State, local, and tribal governments, have important information about the actual effects of existing regulations. For this reason, and consistent with Executive Order 13563, agencies shall invite, on a regular basis (to be determined by the agency head in consultation with the Office of Information and Regulatory Affairs (OIRA)), public suggestions about regulations in need of retrospective review and about appropriate modifications to such regulations. To promote an open exchange of information, retrospective analyses of regulations, including supporting data, shall be released to the public online wherever practicable.

    Sec. 3. Setting Priorities. In implementing and improving their retrospective review plans, and in considering retrospective review suggestions from the public, agencies shall give priority, consistent with law, to those initiatives that will produce significant quantifiable monetary savings or significant quantifiable reductions in paperwork burdens while protecting public health, welfare, safety, and our environment. To the extent practicable and permitted by law, agencies shall also give special consideration to initiatives that would reduce unjustified regulatory burdens or simplify or harmonize regulatory requirements imposed on small businesses. Consistent with Executive Order 13563 and Executive Order 12866 of September 30, 1993 (Regulatory Planning and Review), agencies shall give consideration to the cumulative effects of their own regulations, including cumulative burdens, and shall to the extent practicable and consistent with law give priority to reforms that would make significant progress in reducing those burdens while protecting public health, welfare, safety, and our environment.

    Sec. 4. Accountability. Agencies shall regularly report on the status of their retrospective review efforts to OIRA. Agency reports should describe progress, anticipated accomplishments, and proposed timelines for relevant actions, with an emphasis on the priorities described in section 3 of this order. Agencies shall submit draft reports to OIRA on September 10, 2012, and on the second Monday of January and July for each year thereafter, unless directed otherwise through subsequent guidance from OIRA. Agencies shall make final reports available to the public within a reasonable period (not to exceed three weeks from the date of submission of draft reports to OIRA).

    Sec. 5. General Provisions.

    • For purposes of this order, “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).
    • Nothing in this order shall be construed to impair or otherwise affect:
      • the authority granted by law to a department or agency, or the head thereof; or
      • the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals.
    • This order shall be implemented consistent with applicable law and subject to the availability of appropriations.
    • This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

    BARACK OBAMA

    The White House, May 10, 2012.

    Name Index

    • Aardappel, James, 560
    • Abbott, Alden F., 256
    • Abdel-Kader, Mohamed, 592
    • Abdi, Ali, 512
    • Abel, Daniel B., 663
    • Abraham, Julie, 833
    • Abramson, Jerry, 867
    • Abruzzo, Jennifer, 308
    • Ackerman, Jean, 758
    • Ackerman, Kenneth M., 542
    • Acosta, Daniel, 287
    • Acosta, Deborah, 65
    • Acton, Mark, 451
    • Adam, Brian, 526
    • Adams, Devon, 746
    • Adams, Keith, 542
    • Adams, Michelle, 173
    • Adams, Nancy, 331
    • Adams, Phyllis, 503
    • Adams, Robert, 603
    • Adams-Bomar, Cathy, 621
    • Adamske, Steven W., 384
    • Adkins, Anita, 542
    • Adkins, Patricia, 60
    • Adler, Robert S., 59–60, 60
    • Aftowicz, Rebecca, 842
    • Agostini, Stephen, 389
    • Agpaoa, Liz, 524
    • Aguilar, Luis A., 361, 363
    • Ahlstrand, Amanda, 760
    • Ahmad, Mokhtee, 805
    • Ahmed, Hassan, 516
    • Ahmed, Javed I., 226
    • Ahmir-Abdul, Malik, 338
    • Aiello, Chris, 171
    • Ajello, Andrea, 226
    • Akers, Eric, 741
    • Akers, Randall R., 684
    • Akhidenor, Jude, 516
    • Alag, Sartaj, 389
    • Albanese, Eileen, 551
    • Alboum, Jonathan, 495
    • Albright, Aaron, 624
    • Albuquerque, José J., 145
    • Alcalde, Nancy, 827, 828
    • Alcantara, Betsaida, 672, 678, 682
    • Alessandrino, Matthew T., 171
    • Alexander, Bruce, 495, 496
    • Alexander, Charles R., 576
    • Alexander, Fiona, 866
    • Alexis, Anthony, 389
    • Alfonso-Royals, Angelica, 654
    • Alicandri, Elizabeth, 792
    • Aliperto, Drew, 472
    • Allen, Claudine, 684
    • Allen, Derek, 541
    • Allen, George T., 715
    • Allen, Joyce, 541
    • Allen, Oliver C., Jr., 741
    • Allerton, William H., 200
    • Alles, Randolph D., 665
    • Allison, Roderick, 650
    • Almanza, Alfred V., 500
    • Alonzo, Ann, 477
    • Alonzo, Mary, 526
    • Alston, Michael, 536, 746
    • Altamar, Martha E., 198
    • Alvarez, Scott, 227, 228
    • Amereihn, Tina, 786
    • Amerling, Kristin, 834
    • Amerson, Leon, 400
    • Ammann, Jeffrey, 837
    • Ammon, Matthew, 687
    • Amparo, Alex, 641
    • Anchondo, Vincente, 691
    • Andersen, John M., 558
    • Anderson, Andrew J., 561
    • Anderson, Corbett L., 114
    • Anderson, Howard, 506
    • Anderson, Jim, 702
    • Anderson, John, 614
    • Anderson, Lisa, 506
    • Anderson, Michael, 400
    • Anderson, Michael G., 465
    • Anderson, Michele, 366
    • Anderson, Steven A., 284
    • Andrejcak, David, 199
    • Andres, Gary J., 201
    • Andrew, Erin, 454
    • Andrews, Wyatt, 768
    • Ang, Pia Francesca, 515
    • Angel, James H., Jr., 172
    • Angeles, Eduardo, 785
    • Angelo, Robert M., 837
    • Anglade, Woody, 867
    • Angus, Wendy, 426
    • Anson, Jeanne F., 287
    • Anthony, Edward, 596
    • Antonakes, Steven, 388, 389
    • Aoki, Thomas, 513
    • App, Steven O., 171
    • Appel, Elizabeth, 691
    • Applebaum, David, 200
    • Applegate, David, 719
    • Appline, Cheryl, 677
    • Arabit, Joseph M., 743
    • Aradhey, Amit, 512
    • Aragon, Ray, 61
    • Arias, Ileana, 633
    • Arluk, Pamela, 146
    • Armin, Kirit, 465
    • Armington, Elizabeth, 727
    • Armstrong, Charles R., 665
    • Arnes, Marjorie, 778
    • Arnold, Christopher, 367
    • Arnold, Robert, 792
    • Arnold, Robert E., 792
    • Aronson, Ellen G., 704
    • Arroyo, Bryan, 715
    • Arthaud, Victoria C., 255
    • Asandas, Nash D., 423
    • Ascienzo, John, 465
    • Ash, Darren B., 440
    • Ashe, Daniel M. (Dan), 714
    • Ashitey, Elmasoeur, 511
    • Ashley, David, 286
    • Ashley, Peter, 687
    • Ashton, Richard M., 228
    • Askew, Melissa, 145, 150
    • Askins, Mary Helen, 489
    • Atha, Ken, 334
    • Atkins, Paige R., 866
    • Atkinson, Kathleen, 524
    • Atkinson, Todd, 489
    • Audran, Xavier, 511
    • Auerbach, John, 633
    • Aultman, Dale L., 398
    • Aung, Swe Mon, 514
    • Avula, Deepa, 637
    • Ayala, Deanna, 506
    • Ayub, Mohammad, 331
    • Azama, Wes, 536
    • Babb, Ralph W., Jr., 227
    • Bach, M. Stacey, 389
    • Bachorik, Lawrence, 281
    • Badalamente, Mark, 86
    • Badin, Joseph, 542
    • Baer, William J., 727
    • Baffer, Bruce D., 659
    • Bagdon, Joe, 532
    • Bailey, Laura, 85
    • Bailey, Robin, 498
    • Bajinder, Paul, 229
    • Bak, Patricia, 256
    • Baker, C. Steven, 258
    • Baker, Dennis, 287
    • Baker, Dorenda, 785
    • Baker, Elizabeth A., 816
    • Baker, Gregory, 405
    • Baker, Jeff, 584
    • Baker, Karen J., 576
    • Baldonado, Michael, 117
    • Baldus, Andy, 555
    • Baldwin, Sam, 603
    • Ball, James, 145
    • Ball, Shirlene, 815
    • Balsiger, James W., 569
    • Balzano, Bruce C., 744
    • Bamford, Holly A., 565
    • Banks, Anissa Hunter, 752
    • Banks, Sheila, 394
    • Banta, Brittany, 561
    • Baptiste-Jones, Lorna, 405
    • Baptiste-Kalaris, Mark, 310
    • Barab, Jordan, 330
    • Barak, Yossi, 512
    • Baran, Jeff, 439
    • Barbee, Charles, 707
    • Bard, Sarah, 454
    • Bardee, Michael, 199
    • Bardorf, Tracey, 644, 645
    • Barfell, Glenda, 283, 292
    • Barker, Constance S., 112, 113
    • Barker, Gilbert T., 845
    • Barkley, Timothy, 799, 800
    • Barlow, Ralph M., 147
    • Barnes, Beverly L., 113
    • Barnes, Darlene L., 498
    • Barnes, Rex, 477
    • Barnet, Henry, 86
    • Barnett, Gary, 368
    • Barnhart, Robert, 114
    • Barrera, Staci, 645
    • Barrett, Tim, 633
    • Barros, Sonia, 367
    • Barry, Gayle, 531
    • Barth, Janelle R., 286
    • Bartlett, Edward, 635
    • Bartolomucci, Rose, 389
    • Barton, Lisa, 465, 466
    • Barton, Mike, 426, 430
    • Bashista, John, 84
    • Bashore, Eric, 538
    • Basl, Bill, 864
    • Basnight, Elisa, 855
    • Basta, Dan, 566
    • Bastarache, Danielle, 682
    • Baten, Philip C., 198
    • Batkin, Joshua C., 641
    • Battle, Sandra, 580
    • Bauchspies, Robert, 466
    • Bauer, Ursula, 633
    • Bauguess, Scott W., 367
    • Bauserman, Trent, 864
    • Baxter, Greg, 334
    • Bay, Norman C., 197, 198
    • Bayani, Theresa Walsh, 711
    • Bayard, David S., 860
    • Bazzle, Diane N., 82
    • Beaman, Charles, 200
    • Bean, Casey, 506, 511, 515
    • Bean, Michael, 714
    • Beard, Doug, 719
    • Beard, Martha Perine, 231
    • Beasley-McKean, Jennifer, 503
    • Beauvais, Joel, 83
    • Bechtel, Len, 866
    • Beck, Allen J., 746
    • Beck, David E., 231
    • Becker, Chyhe, 367
    • Becker, Deborah M., 774
    • Becker, Karen, 500
    • Bedlin, Howard, 380
    • Beers, Thomas, 146
    • Begeman, Ann D., 829
    • Behl, Betsy, 89
    • Beland, Frederick A., 287
    • Bell, Beth P., 633
    • Bell, Hubert T., 440
    • Bell, Melody C., 610
    • Bell, Tandace, 526
    • Bellamy, Thomas, 506
    • Bello, Tiwalade (Tiwa), 799
    • Belsky, Eric, 228, 235
    • Benda, Leigh, 746
    • Bendz, Karin, 508
    • Ben-Israel, Joseph, 541, 542
    • Bennet, Belinda, 310
    • Bennett, Jean, 637
    • Bennett, Jim, 702
    • Bennett, Mark, 722
    • Benson, Amy, 561
    • Benson, Rodney G., 741
    • Benson, William H., 87
    • Bent, Kate, 284
    • Benthall, Edward, 434
    • Bentley, Terry, 766
    • Bentley, William, 619
    • Benway, Kathleen, 255
    • Berger, Dan, 632
    • Berger, James, 636
    • Berger, Sherri A., 633
    • Bergeron, Frances, 592
    • Bergman, Paul G., 560
    • Berkowitz, Deborah, 330
    • Bernard, Susan, 286
    • Bernier-Toth, Michelle, 778
    • Berning, Judy, 405
    • Berns, Kim, 532
    • Berquam, Taunja, 201
    • Berrigan, Michael, 690
    • Berry, David P., 308
    • Berry, Janet, 531
    • Berry, Kevin J., 116
    • Berryhill, Nancy A., 460
    • Bertinuson, Janet, 766
    • Bertoni, Malcolm J., 283
    • Bertrand, Charlotte, 88
    • Beru, Nega, 286
    • Beshore, Allan, 822
    • Best, Valerie, 173
    • Best-Wong, Benita, 89
    • Bettge, Paul W., 229
    • Betts, Charles, 819
    • Betts, Susan, 677
    • Beuse, Nat, 814
    • Beyerhelm, Chris, 489
    • Bezabeh, Dawit, 837
    • Bhargava, Anurima, 737
    • Bhasin, Sanjay, 418
    • Bhaskara, Nandini, 677
    • Bialek, Mark, 227, 389
    • Bianchi, Dominic, 465
    • Biasetti, Dana, 512
    • Biblowitz, Joel P., 309
    • Bickford, Rachel, 516
    • Biggio, Terri, 785
    • Bilheimer, Linda, 863
    • Billingsley, Traci, 751
    • Billups, Karen, 201
    • Binger, Sharon, 368
    • Birdwell, Stephanie, 691
    • Biro, Susan L., 82
    • Bish, Terry, 531
    • Bishop, Aaron, 632
    • Bishop, Margaret, 766
    • Bitner, Loretta, 796
    • Black, David F., 460
    • Black, Elliot, 785
    • Black, Michael S., 691
    • Blackburn, Christine, 565
    • Blackburn, William M., 607
    • Blackett, Frank, 201
    • Blackman, Anita K., 827
    • Blackwell, Geoffrey, 145
    • Blackwell, Juliana, 566
    • Blackwell, Quita Bowman, 500
    • Blair, Rob, 201
    • Blake, Carole, 500
    • Blake, Wendy, 86
    • Blakely, Cheryle, 483
    • Bland, Eileen, 592
    • Bland, Toney, 841
    • Blandford, Kathryn, 389
    • Blankenberger, L. J., 429
    • Blass, Dalia, 367
    • Blincoe, Larry, 814
    • Blizzard, Diane, 368
    • Block, Arthur S. (Steve), 447
    • Blockwood, James-Christian, 865
    • Blom, Dominique, 682
    • Bloom, David, 85
    • Bloom, Michael J., 257
    • Blount, Emilee, 520
    • Blue, James, 859
    • Blumenfeld, Jared, 90
    • Blumenthal, Diane, 580
    • Blye, Cecilia, 366
    • Boardman, Karen, 607
    • Bodell, Nancie-Ann, 677
    • Boehm, Manizheh, 793
    • Boehm, Martin, 446
    • Boehr, Ronald, 400
    • Bohnsack, Frances, 810
    • Bohon, Ellen, 558
    • Bojes, Gary, 542
    • Bolanos, Jimmy, 514
    • Bolon, Paul, 331
    • Bolton, Edward, 786
    • Bolton, Hannibal, 715
    • Bond, Brian, 83
    • Bond, Calvin C., 743
    • Bond, Elizabeth, 758
    • Bond, Meredith, 561
    • Bond, Michelle T., 778
    • Bond, Rebecca, 737
    • Bone, Christopher, 447
    • Boozer, Astor, 532
    • Borchelt, Rick, 603, 607, 610
    • Borda, James, 503
    • Borges, Marcelino, 669
    • Borio, Luciana, 281, 284
    • Borkowski, Mark S., 665
    • Borlase, George, 62
    • Borman, Matthew S., 551
    • Boross, Thomas, 660
    • Borris, Bonnie, 506
    • Borris, Frank, 814
    • Borror, Kristina, 635
    • Borzi, Phyllis C., 755
    • Bose, Kimberly D., 199
    • Boshnakova, Mila, 509
    • Bostic, Raphael, 389
    • Bostick, Thomas B., 576
    • Botticelli, Michael, 868
    • Bottiger, Betty, 674
    • Bouchard, Barbara, 228
    • Bouchard, Robert, 807
    • Boucher, Stephanie, 732
    • Bough, Brian, 691
    • Boulanger, Donna L., 417
    • Boulden, John, III, 607
    • Bourne, Dana, 772
    • Bowen, Sharon Y., 383
    • Bowerman, Jerry D., 837
    • Bowers, Sharon, 145
    • Bowker, Bryan L., 694
    • Bowling, Timothy P., 865
    • Bowring, Ken, 684
    • Boyce, Maria Luisa, 665
    • Boyd, Roger, 682
    • Boyer, Lucretia M., 235
    • Boyle, Coleen, 633
    • Boyle, Mary, 61
    • Bradford, Steve, 786
    • Bradley, Leigh A., 855
    • Brady, Donald, 85
    • Brady, Ray A., 696
    • Brady, Ted, 547
    • Brainard, Lael, 226
    • Brand, Lauren K., 807
    • Brandon, Thomas A., 731
    • Brandt, Kate, 84
    • Brandt, Kate E., 864
    • Branham, Sharif, 532
    • Brannon, Ruth, 596
    • Branson, Adam, 512
    • Brantly, Sid, 531, 532
    • Braunstein, Diane, 447
    • Bravos, Susie, 721
    • Braxton, James C., 576
    • Breast, Ira New, 691
    • Brennan, Dennis, 807
    • Brennan, Megan J., 470
    • Brennan, Niall, 624
    • Brennan, Robert, 308
    • Brenner, Brett, 113
    • Brenner, Eliot B., 440
    • Brenner, Gary Joseph, 565
    • Brenner, Joseph, 367
    • Breysse, Patrick, 633
    • Bridgeman, Todd A., 565
    • Bridgewater, James A., 146
    • Briggs, Valerie, 792
    • Brill, Julie, 253, 255
    • Brink, Patricia, 727
    • Bristol, Teri, 785
    • Britton, Carol, 677
    • Brizzi, Giancarlo, 867
    • Broadbent, Meridith, 465
    • Brockett, Aretha, 82
    • Brockmeyer, Kara, 367
    • Brodsky, Jason D., 291
    • Bromm, Susan, 86
    • Brooks, Dexter R., 114
    • Brooks, Douglas M., 868
    • Brooks, Karl, 83, 90
    • Brooks, Lewistine, 472
    • Brooks, Marc, 607
    • Brooks, Melodee, 171
    • Brooks, Michele, 542
    • Brooks, William K., 669
    • Broom, J. Slade, 558
    • Broussard, John, 541
    • Brown, Athena, 760
    • Brown, Chandra, 558
    • Brown, Charles S., 485
    • Brown, Cynthia T., 829
    • Brown, Dama J., 258
    • Brown, Douglas, 61
    • Brown, E. Neil, 677
    • Brown, Jeanette L., 83
    • Brown, Jocelyn, 506
    • Brown, Manson, 565
    • Brown, Michael, 814
    • Brown, Raymond (Keith), 743
    • Brown, Rodney, 766
    • Brown, William Yancey, 702
    • Brown-Dixon, Pat, 457
    • Brown-Jones, Valerie, 510
    • Brownlee, Jim, 478
    • Broyles, Gini, 691
    • Broyles, Phillip L., 257
    • Bruce, Pauline, 634
    • Brudzinski, Walter J., 659
    • Brumm, Marcia, 334
    • Brunner, Terrence, 546
    • Bruno, Marian R., 257
    • Bryant, Maureen, 466
    • Bryon, Jemine, 682
    • Buchanan, Arthur, 332
    • Buchanan, Chris, 634
    • Buchanan, Maurice, 772
    • Buchanan-Smith, Henrika, 803
    • Buckman-Garner, ShaAvhree, 285
    • Buelow, Tedd, 541
    • Buerkle, Ann Marie, 60
    • Buford, Melissa, 61
    • Buhler, Mary Jean, 383
    • Bui, Thi Huong, 518
    • Bull, Jonca, 284
    • Bullard, James, 226, 231
    • Bullard, John K., 569
    • Bullock, Charles Edward, 465
    • Bumpus, Jeanne, 255
    • Bunker, Byron, 84
    • Bunning, Vincent K., 286
    • Burckman, Jim, 690
    • Burgos, Jose F., 562
    • Burke, Jenny, 666
    • Burke, Thomas, 88
    • Burkholder, David S., 786
    • Burlew, Thais, 398
    • Burneson, Eric, 88
    • Burnett, Bryan, 313
    • Burns, Kevin, 766
    • Burns, Meg, 415
    • Burns, Ronald, 768, 769
    • Burns, Stephen, 439
    • Burns, Stuart, 848
    • Burns, Sylvia, 690
    • Burr, David, 495
    • Burrell, Sandra, 500
    • Burroughs, Sabrina, 666
    • Burrows, Charlotte A., 112, 113
    • Burrows, Shay, 794
    • Burt, Robert, 332
    • Burwell, Bill F., 561
    • Bury, Mark, 785
    • Bush, Frances, 686
    • Bush, Madeline, 820
    • Bustillo, Eric I., 368
    • Busto, Juan Del, 231
    • Butler, Stephen, 332
    • Butler, Thomas, 364
    • Butterfield, Mark, 684
    • Butters, Timothy P., 819
    • Buttrey, Kathy, 61
    • Butts, Cassius, 457
    • Buzby, Timothy L., 401
    • Byas, Stacy, 314
    • Byrd, Courtney L., 604, 607, 611, 615
    • Byrd, Lamont, 333
    • Cahill, William H., 807
    • Cain, Jason, 856
    • Caitlin, Michelle, 500
    • Calamari, Andrew, 368
    • Calatrello, Frederick, 310
    • Calbom, Linda, 865
    • Caldwell, Leslie R., 750
    • Caldwell, Lloyd, 576
    • Califf, Robert, 281, 282
    • Calkins, Wendy, 504
    • Callahan, Colleen, 545
    • Callahan, David, 659
    • Callahan, John, 704
    • Callahan, Kevin, 366
    • Callender, Jack, 451
    • Callender, Russell, 566
    • Camens, Barbara L., 867
    • Campbell, Carol A., 848
    • Campbell, Drew, 603
    • Campbell, Parthenia, 200
    • Campbell, Rachel D., 830
    • Campbell, Sean D., 229
    • Campbell, Stacia, 311
    • Canady, Robin, 848
    • Canary, Joe, 755
    • Canevari, Cate, 721
    • Canipe, LuAnn, 650
    • Cann, Dana, 446
    • Cannon, Kenneth, 634
    • Cannon, Rickie P., 786
    • Cantor, Erica, 760
    • Cantrell, James, 747
    • Cantwell, Kathleen, 624
    • Capolongo, Mabel, 755
    • Cappozzi, David M., 379
    • Carducci, Julie, 561
    • Carey, Mark, 228
    • Carey, Robert (Bob), 619
    • Carl, Leon, 722
    • Carley, Michael F., 422
    • Carlson, Robert, 578
    • Carlson, Steven, 495
    • Carlton, Dennis P., 147
    • Carlton, Peter, 307
    • Carmon, Danberry, 677
    • Carney, Patrick J., 144
    • Carns, Fred, 172
    • Carowitz, Michael, 145
    • Carpenter, Cynthia, 439
    • Carpenter, Douglas W., 228
    • Carpenter, Glenn, 531
    • Carpenter, Thomas, 83
    • Carr, Florence A., 421
    • Carr, Michael S., 603
    • Carraway, Jefferson H., 287
    • Carraway, Melvin, 650
    • Carroll, Christopher, 389
    • Carroll, Megan, 86
    • Carroll-Gavula, Macaire, 756, 761, 767, 771
    • Carson, Barb, 454
    • Carson, Margaret, 819
    • Carter, Michael S., 807
    • Carter, Rick, 83
    • Carter-Pfisterer, Carol, 696
    • Carwile, P. Kevin, 750
    • Case, Greg, 632
    • Cason, Winona, 287
    • Cass, Michael C., 309
    • Cassens, Barbara J., 284
    • Casta, Heidi, 773
    • Castellana, Michael J., 227
    • Castillo, Betty, 760
    • Castle, Anne, 719
    • Castro, Brian, 454
    • Castro, Julian, 414
    • Cates, William N., 309
    • Cathell, Vance, 363
    • Cavanaugh, Sean, 624
    • Cave, Carol, 62
    • Ceballos, Antonio, 562
    • Ceresney, Andrew, 367
    • Cestare, Thomas W., 311
    • Cevallos, Galo, 171
    • Chacona, Debbie, 405
    • Chaffin, Jeannie, 619
    • Chai-Kwek, Alice, 516
    • Chakiris, Georgia S., 817
    • Chalk, Steven, 603
    • Chambers, Jonathan, 145
    • Chambers, Larry, 520
    • Chance, Michael A., 774
    • Chang, Benjamin, 454, 455
    • Chang, JooYeun, 619
    • Chapman, Connie, 147
    • Chappell, D. Michael, 255
    • Charboneau, Stacy, 610, 612
    • Charboneau, Thomas, 766
    • Charlip, Ralph, 770
    • Charlson, Kim, 380
    • Charmley, Bill, 84
    • Charwat, William, 228
    • Chase, JoAnn K., 87
    • Chaundhry, Asif, 506
    • Chavez, Ildefonso, 532
    • Cheatham, Reggie, 88
    • Chen, Kang Ken, 510
    • Chernaik, Beverly, 286
    • Cherry, Katrina D., 87
    • Chesser, Judy, 460
    • Childress, Diane, 331
    • Chion, Antonia, 367
    • Chisholm, Peter, 731
    • Chism, Monique M., 589
    • Chizar, Zach, 121
    • Choi, Eun Ah, 368
    • Choi, Jina, 369
    • Choy, Susan, 539
    • Christensen, Karen L., 778
    • Christensen, Kevin, 86
    • Christensen, Thomas M. P., 807
    • Church, Chris, 506
    • Ciancarlo, J. Christopher, 383
    • Cianci, Michael J., Jr., 198
    • Ciferno, Jared, 616
    • Cigno, Margaret, 451
    • Cikanek, Harry, 566
    • Cintron, Carmen A., 198
    • Ciurtino, Brent M., 454
    • Claessens, Stijin, 228
    • Clancy, Carolyn, 856
    • Clapp, Douglas, 201
    • Clark, Bruce, 775
    • Clark, Donald S., 257
    • Clark, Michell C., 228
    • Clark, Patricia, 545
    • Clark, Susan, 808
    • Clark, Tim, 228
    • Clark, Tony, 197–198
    • Clarke, Marybeth, 285
    • Clarke, Randy, 146
    • Claussen, Cory, 384
    • Clay, William H., 483
    • Clayton, Ciaran, 565
    • Clayton, Tanya, 285
    • Cleland-Hamnett, Wendy, 85
    • Clement, John, 592
    • Clifford, John R., 483
    • Clouse, James, 229
    • Cluck, Rodney E., 702
    • Clyburn, Mignon L., 142–143
    • Coady, Jeffrey A., 637, 638
    • Coale, Dana H., 478, 480
    • Cobau, John F., 557
    • Cober, Gail, 116
    • Cobert, Beth, 868
    • Coble, Joseph, 332
    • Cochran, Kelly, 389
    • Cochran, Walt, 785
    • Cochrane, Anna V., 199
    • Cochrane, Jim, 470
    • Cockrell, Carolyn, 677
    • Codrington, Ann, 88
    • Coetsee, Dorette, 562
    • Coffey, Georgia, 856
    • Coffman, David, 198
    • Coffman, Katherine, 665
    • Coggins, Colleen, 813
    • Cogswell, Patricia F. S., 644
    • Cohen, Jeff, 495
    • Cohen, Kenneth, 283
    • Cohen, Miriam, 440
    • Cohen, Neal S., 63, 65
    • Cohen, Stephen, 367
    • Cohen, William E., 256
    • Colarulli, Dana Roberts, 571
    • Colarusso, Mary, 741
    • Colbrun, Ginger, 732
    • Colder, Karl C., 744
    • Cole, Justin, 262
    • Cole, Owen, 426
    • Cole, Todd, 421
    • Coleman, Douglas W., 744
    • Coleman, Kevin, 471
    • Coleman, S. Robert, 398, 400
    • Coleman, Tiffanie, 796
    • Colin, Joshua, 472
    • Collins, Bernetta, 794
    • Collins, Sean, 200
    • Collinson, William, 283
    • Colohan, Patricia A., 171
    • Colon, Isabel, 757
    • Colon, Linda, 630
    • Colon-Mollfulleda, Wanda, 463
    • Coloretti, Nani, 838
    • Colvin, Carolyn, 460
    • Comer, Ann, 774
    • Compton, Richard, 813
    • Conine, Wilson (David), 547
    • Conlon, Michael, 510
    • Connaughton, Kent P., 524
    • Connell, Jamie, 700
    • Conner, Wendell, 682
    • Connor, Linda Yuu, 631
    • Connor, Mark, 755
    • Connors, Sandra, 83
    • Connors, Thomas A., 228
    • Contreras-Sweet, Maria, 454
    • Conway, Patrick, 624
    • Conway, Shirley, 711
    • Cook, Barbara A., 255
    • Cook, Kevin, 663
    • Cook, Patricia, 561
    • Cooke, Robert, 500
    • Cooper, Barry, 790
    • Cooper, Charles A., 147
    • Cooper, Grant, 569
    • Cooper, Mark A., 561
    • Copa, Kymberly K., 171
    • Coppedge, Michelle, 790
    • Copper, Carolyn, 87
    • Corbett, Amy Lind, 790
    • Corbett, Joseph, 470
    • Corbin, Robert, 614
    • Corcoran, Howard, 84
    • Cordero, Mario, 421
    • Cordero-Rivera, Santos, 856
    • Cordray, Richard, 170, 171, 388
    • Corkran, Douglas, 465
    • Cornelius, Ron, 634
    • Cornyn, Anthony G., 414
    • Coronado, Roberto A., 232
    • Coronel, Kim, 367
    • Corr, Gregg, 596
    • Correll, William A., 286
    • Corrigan, Dara, 282
    • Cortinas, John, 566
    • Cosby, G. Christopher, 755
    • Cottilli, Eugene, 551
    • Cottrell, Guy, 470
    • Cough, Paul, 89
    • Coukos, Pamela, 773
    • Coulter, Sara, 561
    • Counihan, Kevin, 624
    • Countryman, Vanessa, 367
    • Covey, William R. (Will), 571
    • Cowen, William B., 308
    • Cox, Virginia, 281
    • Coy, Byron, 822
    • Coyer, Donato W., 645
    • Coyne, Michael, 569
    • Coyne, Sarah M., 333
    • Crabtree, Roy, 569
    • Craig, Bryan, 200
    • Craig, Jack R., Jr., 612
    • Craig, Tom, 201
    • Crandall, Doug, 520
    • Crawford, Gary, 489
    • Crawford, Nancy, 766
    • Crawford, Patricia, 113, 117, 119
    • Creel, Robert, 772
    • Cribley, Bud C., 699
    • Crichton, E. Ross, 792
    • Crider, Curtis, 394
    • Cristofaro, Alexander, 83
    • Cromling, Candace, 849
    • Crone, Thomas R., 837
    • Crook, Lowry, 864
    • Crosby, Kathy, 286
    • Cross, Gerald, 200
    • Crouch, Matthew M., 803
    • Croushorn, Ron, 506
    • Crovitz, Sara, 367
    • Crowley, Tim, 772
    • Cruikshank, Walter D., 702
    • Cruzafanador, Angel, 504
    • Cruzan, Darren A., 691
    • Cugini, Anthony V., 616
    • Cullen, Linda B., 666
    • Culver, Lora, 88
    • Cumming, Christine M., 226
    • Curlett, Ed, 483
    • Currier, John P., 659
    • Curry, Ron, 89
    • Curry, Thomas J., 169–170, 171, 841
    • Curtis, Deborah, 503
    • Cusick, Lana, 536
    • Cutler, Wendy, 869
    • Cutshall, Mary, 500
    • Cyr, Ned, 566
    • Czajkowski, Julie A., 634
    • Czarnopys, Greg, 731
    • Dacus, Eugene, 440
    • Dagen, H. Gabriel, 258
    • Dahdouh, Thomas, 258
    • Dalbey, Matthew, 83
    • Dalrymple, John, 848
    • Dalton, James C., 576
    • Daly, James, 366
    • Daly, Mary, 232
    • Damour, Marie C., 778
    • D'Angelo, Christopher, 388
    • Daniel, Jean, 495
    • Daniel, Katherine Lyon, 633
    • Daniels, Jarad, 614
    • Daniels, Mark, 801
    • Daniels, Reuben, Jr., 115
    • Danielson, David, 603
    • Danner, Pamela, 677
    • Dapas, Marc L., 443
    • Darden, Silas, 747
    • Dardis, Patrick, 489, 493
    • Darling, Nedra, 691
    • Darling, Thomas F. (Scott), 796
    • Daugherty, John T., 685
    • Davenport, William, 145
    • D'Aversa, Mary, 697
    • Davidson, Linda L., 311
    • Davidson, Mark, 486
    • Davies, Scott, 807
    • Davis, Andrew R., 774
    • Davis, Anna H., 255
    • Davis, Bill, 546
    • Davis, Brenda, 677
    • Davis, David, 172
    • Davis, Delia, 807
    • Davis, Dena, 256
    • Davis, Donna, 457
    • Davis, Edward (Sandy), 863
    • Davis, James, 592
    • Davis, Julie Z., 365
    • Davis, Kent, 199
    • Davis, Lorraine, 114
    • Davis, L'Tonya, 284
    • Davis, Mary M., 313
    • Davis, Michael, 538
    • Davis, Michael A., 768
    • Davis, Patr