### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

HISTORICAL ANDREVISION NOTES

Derivation U.S.Code RevisedStatutesand StatutesatLarge

.................. 5U.S.C. 1045e. Aug. 30, 1964, Pub.L. 88-499, §7,78 Stat. 618.

Theword "hereby" is omitted asunnecessary. Standard changes are made to conform with the definitions applicable and the style ofthis title as outlined in thepreface to thereport.

AMENDMENTS
2008-Pub. L. 110-290 amended section generally. Prior
to amendment, text read as follows: "There are authorized tobe appropriated to carry out this subchapter not

more than $3,000,000 for fiscal year 2005, $3,100,000 for fiscal year 2006, and $3,200,000 for fiscal year2007. Ofany amounts appropriated under this section, not more than $2,500 may be made available in each fiscal year for official representation and entertainment expenses for foreign dignitaries."

2004-Pub. L. 108-401 reenacted section catchline without change and amended text generally. Prior to amendment, textread asfollows: "There areauthorized
to be appropriated to carry out the purposes of this subchapter not more than $2,000,000 for fiscal year 1990, $2,100,000 for fiscal year 1991, $2,200,000 for fiscal year 1992, $2,300,000 for fiscal year 1993, and $2,400,000 for fiscal year 1994. Of any amounts appropriated under this section, not more than $1,500 may be made available in each fiscal year for official representation and entertainment expenses for foreigndignitaries."

1992-Pub. L. 102-354 renumbered section 576 of this title asthis section.

1990-Pub. L. 101-422 amended sectiongenerally. Prior to amendment, section read as follows: "There are authorized tobe appropriated to carry out thepurposes of this subchapter not more than $1,600,000 forfiscal year 1986 and not more than $2,000,000 for each fiscal year thereafter up to and including fiscal year 1990. Of any amounts appropriated under this section, not more than $1,000 may be made available in each fiscal year for official reception and entertainment expenses for foreign dignitaries."

1986-Pub. L. 99-470 substituted "Authorization ofappropriations" for "Appropriations" in section catchline and amended text generally. Prior to amendment, text read as follows: "There are authorized to be appropriated to carry out the purposes of this subchapter

sums not to exceed $2,300,000 for the fiscal year ending September 30, 1982, and not to exceed $2,300,000 for each fiscal year thereafter up to and including the fiscal year ending September 30, 1986."

1982-Pub. L. 97-330 substituted provisions authorizing appropriations of not to exceed $2,300,000 for fiscal year ending Sept. 30, 1982, and not to exceed $2,300,000 for each fiscal year thereafter up to and including fiscal year ending Sept. 30, 1986, for provisions that had authorized appropriations ofnot to exceed $1,700,000 for fiscal year ending Sept. 30, 1979, $2,000,000 for fiscal year ending Sept. 30, 1980, $2,300,000 for fiscal year ending Sept. 30, 1981, and $2,300,000 for fiscal year ending Sept. 30, 1982.

1978-Pub. L. 95-293 substituted provisions authorizing appropriations for fiscal years ending Sept. 30, 1979, Sept. 30, 1980, Sept. 30, 1981, and Sept. 30, 1982, of $1,700,000, $2,000,000, $2,300,000, and $2,300,000, respectively, forprovisions authorizing appropriations for fiscal years ending June 30, 1974, June 30, 1975, June 30, 1976, June 30, 1977, and June 30, 1978, of$760,000, $805,000, $850,000, $900,000, and $950,000, respectively, and provisions authorizing for each fiscal year thereafter such

sumsas may benecessary.

1972-Pub. L. 92-526 substituted provisions authorizingto be appropriated necessary sumsnot in excess of $760,000 for fiscal year ending June 30, 1974, $805,000 for fiscal year ending June 30, 1975, $850,000 for fiscal year endingJune 30, 1976, $900,000 for fiscal yearending June 

### 30, 1977,and$950,000 forfiscal year endingJune 30, 1978, andeach fiscal yearthereafter,forprovisions authorizing tobe appropriated necessary sums,not inexcess of $450,000per annum.

1969-Pub. L. 91-164 substituted "$450,000 per annum" for "$250,000".

EFFECTIVE DATE OF 

### 1978 AMENDMENT 

### Pub. L. 95-293, §1(b), June 13, 1978, 92 Stat. 317, provided that: "The amendment made by subsection (a) [amending this section] shall take effect October 1, 1977."

CHAPTER 6-TLE ANALYSIS OF REGULATORY FUNCTIONS

Sec. 

### 601. Definitions. 602. Regulatoryagenda. 603. Initialregulatory flexibility analysis. 604. Finalregulatory flexibility analysis. 605. Avoidance of duplicative or unnecessary analyses. 606. Effectonother law. 607. Preparation ofanalyses. 608. Procedure forwaiverordelayofcompletion. 609. Procedures forgathering comments. 610. Periodicreview ofrules. 611. Judicialreview. 612. Reportsandinterventionrights. §601.Defimitions

For purposesofthis chapter-

(1) the term "agency" means an agency as defined in section 551(1) ofthis title;

(2) theterm "rule" means anyrule for which the agency publishes a general notice ofproposed rulemaking pursuant to section 553(b) of this title, or any other law, including any rule of general applicability governing Federal grants to State and local governments for which the agency provides an opportunity for notice and public comment, except that the
term "rule" does notinclude a rule ofparticular applicability relating to rates, wages, corporate or financial structures or reorganizations thereof, prices, facilities, appliances, services, or allowances therefor or to valuations, costs or accounting, or practices relatingto such rates, wages, structures, prices, appliances, services, or allowances;

(3) the term "small business" has the same meaning as the term "small business concern" under section 3 ofthe Small Business Act, un- less an agency, after consultation with the Office ofAdvocacy ofthe SmallBusiness Administration and after opportunity forpublic comment, establishes one or more definitions of such term which are appropriate to the activities of the agency and publishes such definition(s)in theFederal Register;

(4) theterm "small organization" means any not-for-profit enterprise which is independently owned and operated and is not dominant in its field, unless an agency establishes, after opportunity for public comment, one or more definitions of such term which are appropriate to the activities of the agency and publishes such definition(s) in the Federal Register;

(5) the term "small governmental jurisdiction" means governments of cities, counties, towns, townships, villages, school districts, or special districts, with a population of less than fifty thousand, unless an agency estabPage 795 §601

### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

lishes, after opportunity for public comment,

one ormore definitions ofsuch term which are appropriate to the activities ofthe agency and which are based on such factors as location in rural or sparsely populated areas or limited

revenues due to the population of such jurisdiction, andpublishes such definition(s) in the Federal Register;

(6) the term "small entity" shall have the

same meaning as the terms "small business", "small organization" and "small governmentaljurisdiction" defined in paragraphs (3), (4) and (5) ofthis section; and

(7) the term "collection ofinformation"-

(A) means the obtaining, causing to be obtained, soliciting,or requiringthe disclosure
to third parties or the public, of facts or opinions by or for an agency, regardless of form or format,calling foreither- (i) answers to identical questions posed to, or identical reporting or recordkeeping requirements imposed on, 10 or more persons, other than agencies, instrumentalities, oremployees ofthe United States; or

(ii) answers to questions posed to agencies, instrumentalities, or employees of theUnited States which are to be used for general statistical purposes; and (B) shall not include a collection of information described under section 3518(c)(1) of title44, United States Code. (8) RECORDKEEPING REQUIREMENT.-The term "recordkeeping requirement" means a requirement imposed by an agency on persons to maintain specified records. (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1165; amended Pub. L. 104-121, title II, §241(a)(2), Mar.29, 1996, 110 Stat.864.)
REFERENCES INTEXT
Section 3of the Small Business Act, referred to in par. (3), is classified to section 632 of Title 15, Commerce andTrade.

AMENDMENTS

1996--Pars. (7), (8). Pub. L. 104-121 added pars. (7)and (8). EFFECTIVE DATE OF 1996 AMENDMENT

Pub. L. 104-121, title II, §245, Mar. 29, 1996, 110 Stat. 868,provided that: "This subtitle [subtitle D (§§241-245) oftitle IIof Pub.L. 104-121, amendingthis section and sections 603to 605, 609, 611, and612 ofthis title andenactingprovisions set out as anote under section 609 of thistitle] shallbecome effective onthe expiration of90 days after the date ofenactment ofthis subtitle [Mar. 29, 1996], except that such amendments shallnot apply to interpretative rules for which a notice of proposed rulemaking was published prior to the date of enactment."

EFFECTIVE DATE

Pub.L. 96-354, §4, Sept. 19, 1980, 94Stat. 1170, provided that: "The provisions ofthis Act [enacting this chapter] shall take effect January 1, 1981, except that the requirements of sections 603 and 604 oftitle 5, United States Code (as added by section 3of this Act) shall apply only torules for which anotice ofproposedrulemaking isissuedonorafterJanuary 1,1981."
SHORT TITLE OF 1996 AMENDMENT
Pub. L. 104-121, §1, Mar. 29, 1996, 110 Stat. 847, provided that: "This Act [enacting sections 801 to 808 of this title, section 657 ofTitle 15, Commerce and Trade, and sections 1320b-15 and 1383e of Title 42, The Public Health and Welfare, amending this section and sections 504, 603 to 605, 609, 611, and612 ofthis title,sections 665e and 901 ofTitle 2, The Congress, section 648 ofTitle 15, section 2412 ofTitle 28, Judiciary and Judicial Procedure, section 3101 ofTitle 31, Money and Finance, and sections 401, 402, 403, 405, 422, 423, 425, 902, 903, 1382, 1382c, 1383, and 1383c ofTitle 42, enacting provisions set
out as notes under this section and sections 504, 609, and 801 of this title and sections 401, 402, 403, 405, 902, 1305, 1320b-15, and 1382 ofTitle 42, amending provisions
set out as a note under section 631 ofTitle 15, and repealing provisions set out asa note under section 425 of Title 42] may be cited as the 'Contract with America Advancement Actof 1996'."

SHORT TITLE
Pub. L. 96-354, §1, Sept. 19, 1980, 94 Stat. 1164, provided: "That this Act [enacting this chapter] may be cited asthe 'Regulatory FlexibilityAct'."

REGULATORY ENFORCEMENT REPORTS

Pub. L. 107-198, §4, June 28, 2002, 116 Stat. 732, provided that:

"(a) DEF=JIION.-In this section, the term 'agency' has the meaning given that term under section 551 of title 5, United States Code.

"(b) INGENERAL.-

"(1) INITIAL REPORT.-Not later than December 31, 2003, each agency shall submit an initial report to- "(A) thechairpersons and ranking minority members of- "(i) the Committee on Governmental Affairs [now Committee on Homeland Security and Governmental Affairs] and the Committee on Small Business and Entrepreneurship ofthe Senate; and

"(ii) the Committee on Government Reform [now Committee on Oversight and Government Reform] and the Committee on Small Business of the HouseofRepresentatives; and "(B) the Small Business and Agriculture Regulatory Enforcement Ombudsman designated under section 30(b) of the Small Business Act (15 U.S.C. 657(b)). "(2) FINAL REPORT.-Not later than December 31, 2004, each agency shall submit a final report to the members and officer described under paragraph (1) (A) and (B).



### "(3) CONTENT.-The initial report under paragraph (1) shall include information with respect to the 1-
year period beginningon October 1, 2002, and thefinal report under paragraph (2) shall include information with respect to the 1-year period beginning on October 1,2003,on each ofthe following: "(A) The number ofenforcement actions in which

a civil penalty is assessed.

"(B) Thenumber ofenforcement actions in which

a civil penalty is assessed against a smallentity.

"(C) The number of enforcement actions described under subparagraphs (A) and (B) in which the civil penaltyis reduced or waived.

"(D) The total monetary amount of the reductions orwaivers referred tounder subparagraph (C). "(4) DEFINITIONS IN REPORTS.-Each report under this subsection shall include definitions selected at the discretion of the reporting agency of the terms 'enforcement actions', 'reduction or waiver', and 'small entity' as usedin the report."

ASSESSMENT OF FEDERAL REGULATIONS AND POLICIES ON FAMILIES

Pub. L. 105-277, div. A, §101(h) [titleVI, §654], Oct. 21, 1998, 112 Stat. 2681-480, 2681-528, as amended by Pub. L. 108-271, §8(b), July 7, 2004, 118 Stat. 814, provided that:

"(a) PURPOSES.-The purposes ofthis section are to-

"(1) require agencies to assess the impact ofproposed agency actions on familywell-being; and

"(2) improve the management of executive branch agencies. 

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### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

"(b) DEFINITIONS.-In this section-

"(1) the term 'agency' has the meaning given the term 'Executive agency' by section 105 of title 5, United States Code, except such term does not include theGovernment Accountability Office; and

"(2) the term 'family' means-

"(A) agroup ofindividuals related by blood, marriage, adoption, or other legal custody who live together asa singlehousehold; and

"(B) any individual who is not a member ofsuch group, but who is related by blood, marriage, or adoption to a member ofsuch group, and over half ofwhose support in a calendar year is received from such group. "(C)FAMILY POLICYMAKING ASSESSMENT.-Before implementing policies and regulations that may affect family well-being, each agency shall assess such actions withrespectto whether- "(1) the action strengthens or erodes the stability

or safety ofthe family and, particularly, the marital commitment;

"(2) the action strengthens or erodes the authority and rights of parents in the education, nurture, and supervision oftheir children;

"(3) the action helps the family perform its functions, or substitutes governmental activity for the function;

"(4) the action increases or decreases disposable income orpoverty offamilies andchildren;

"(5) the proposed benefits of the action justify the financial impact on thefamily;

"(6) the action may be carried out byState or local government orby thefamily; and

"(7) the action establishes an implicit or explicit policy concerning the relationship between the behavior and personal responsibility ofyouth, and the

norms ofsociety. "(d) GOVERNMENTWIDE FAMILY POLICY COORDINATION ANDREVIEW.- "(1) CERTIFICATION AND RATIONALE.-With respect to each proposed policy or regulation that may affect family well-being, thehead ofeach agency shall- "(A) submit a written certification to the Director ofthe Office ofManagement and Budget and to Congress that such policy or regulation has been assessed in accordance with this section; and

"(B) provide an adequate rationale for implementation ofeach policy or regulation that may negatively affect family well-being. "(2) OFFICE OF MANAGEMENT AND BUDGET.-The Director of the Office of Management and Budget shall- "(A) ensure that policies and regulations proposed by agencies are implemented consistent with thissection; and

"(B) compile, index, and submit annually to the Congress the written certifications received pursuanttoparagraph (1)(A). "(3) OFFICE OF POLICY DEVELOPMENT.-The Office of Policy Development shall- "(A) assess proposed policies and regulations in accordance with this section;

"(B) provide evaluations of policies and regulations that may affect family well-being to the Director ofthe Office ofManagement and Budget; and

"(C) advise the President on policy and regulatory actions thatmay be taken to strengthen the institutions of marriage and family in the United
States. "(e) ASSESSMENTS UPON REQUEST BY MEMBERS OF CONGRESS.-Upon request by a Member ofCongress relating to a proposed policy or regulation, an agency shall conduct an assessment in accordance with subsection (c), and shall provide a certification andrationalein accordance with subsection (d).

"(f) JUDICIAL REVIEW.-This section is not intended to create any right or benefit, substantive or procedural, enforceable at law by a party against the United States, its agencies, itsofficers, or any person." SMALL BUSINESS REGULATORY FAIRNESS

Pub. L. 104-121, title II, §§201-224, Mar. 29, 1996, 110 Stat. 857-862, as amended by Pub. L. 110-28, title VIII, §8302, May25, 2007, 121 Stat. 204, provided that:
"SEC. 201. SHORT TITLE.

"This title [enacting sections 801 to 808 of this title and section 657 of Title 15, Commerce and Trade, amending this section, sections 504, 603 to 605, 609, 611, and612 ofthis title, section 648 ofTitle 15, and section 2412 ofTitle 28, Judiciary and Judicial Procedure, enacting provisions set out as notes under this section and sections 504, 609, and 801 ofthistitle, and amending provisions set out as a note under section 631 of Title 15] maybe citedas the 'Small Business Regulatory Enforcement FairnessAct of1996'.
"SEC. 202. FINDINGS.

"Congress findsthat-

"(1) a vibrant and growing small business sector is critical tocreatingjobs in a dynamic economy;

"(2) small businesses bear a disproportionate share ofregulatory costs and burdens;

"(3) fundamental changes that are needed in the regulatory and enforcement culture ofFederal agencies to make agencies more responsive to small business can be made without compromising the statutorymissions ofthe agencies;

"(4) three of the top recommendations of the 1995 White House Conference on Small Business involve reforms totheway governmentregulations are developed and enforced, and reductions in government paperwork requirements;

"(5) the requirements ofchapter 6 oftitle 5, United States Code, have too often been ignored by government agencies, resulting in greater regulatory burdens on small entities than necessitated by statute; and

"(6) small entities should be given the opportunity
to seek judicial review of agency actions required by chapter 6oftitle 5, United States Code.
"SEC. 203. PURPOSES.

"The purposes ofthis title are-

"(1) to implement certain recommendations of the 1995 White House Conference on Small Business re- garding the development and enforcement of Federal regulations;

"(2) to provide for judicial review of chapter 6 of title 5, United States Code;

"(3) to encourage the effective participation of small businessesin the Federal regulatory process;

"(4) to simplify the language ofFederal regulations affecting small businesses;

"(5) to develop more accessible sources ofinformation on regulatory and reporting requirements for small businesses;

"(6) to create a more cooperative regulatory envi- ronment among agencies and small businesses that is lesspunitive and more solution-oriented; and

"(7) to make Federal regulators more accountable for their enforcement actions by providing small entities with a meaningful opportunity for redress of excessive enforcement activities.

"SUBTITLE A-REGULATORY COMPLIANCE SIMPLIFICATION
"SEC. 211. DEFINITIONS.

"For purposes ofthis subtitle-

"(1) the terms 'rule' and 'small entity' have the

same meanings as in section 601 of title 5, United States Code;

"(2) the term 'agency' has the same meaning as in section 551 oftitle 5, United States Code; and

"(3) the term 'small entity compliance guide'

means a document designated and entitled assuch by

an agency. "SEC. 212. COMPLIANCE GUIDES.

"(a) COMPLIANCE GUIDE.-

"(1) INGENERAL-For eachrule or group ofrelated rules for which an agency is required to prepare a 

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final regulatory flexibility analysis under section 605(b) [probably should be "section 604"] of title 5, United States Code, the agency shall publish 1 or

more guides to assist small entities in complying with the rule and shall entitle such publications 6small entity compliance guides'.

"(2) PUBLICATION OF GUIDES.-The publication of each guideunder this subsection shall include- "(A) the posting ofthe guide in an easily identified location onthe website of the agency; and

"(B) distribution ofthe guide to known industry contacts, such as small entities, associations, orindustryleaders affectedby therule. "(3) PUBLICATION DATE.-An agency shall publish each guide (including the posting and distribution of theguide as described under paragraph (2))- "(A) on the same date as the date ofpublication of the final rule (or as soon as possible after that date); and

"(B) not later thanthe date onwhich the requirements ofthatrulebecome effective. "(4) COMPLIANCE ACTIONS.-

"(A) IN GENERAL.-Each guide shall explain the actions asmall entity is required totake to comply with a rule.

"(B) EXPLANATION.-The explanation under subparagraph (A)- "(i) shall include a description of actions needed to meet the requirements of a rule, to enable

a small entity to know when such requirements

aremet; and

"(ii) if determined appropriate by the agency, may include a description ofpossible procedures, such as conducting tests, that mayassist a small entityin meeting suchrequirements, except that, compliance with any procedures described pursuant to this section doesnot establish compliance with the rule, orestablish a presumption orinference ofsuch compliance. "(C) PROCEDURES.-Procedures described under subparagraph (B)(ii)- "(i) shall be suggestionsto assist smallentities; and

"(ii) shall notbeadditional requirements, ordiminish requirements, relating to the rule. "(5) AGENCY PREPARATION OF GUIDES.-The agency shall, in its sole discretion, taking into account the subject matter ofthe rule and the language ofrelevant statutes, ensure that the guide is written using sufficiently plain language likely to be understood by affected small entities. Agencies may prepare separate guides covering groupsor classes ofsimilarly affected small entities and may cooperate with associations ofsmall entities to develop and distribute such guides. An agency may prepare guides and apply this section with respect to a rule or a group ofrelated rules.

"(6) REPORTING.-Not later than 1 year after the date ofenactment ofthe FairMinimum Wage Act of 2007 [May 25, 2007], and annually thereafter, the head ofeach agency shall submit a report to the Committee on Small Business and Entrepreneurship of the Senate, the Committee on Small Business of the House ofRepresentatives, and any other committee ofrelevant jurisdiction describing the status of the agency's compliance with paragraphs (1) through (5). "(b) COMPREHENSIVE SOURCE OF INFORMATION.-Agencies shall cooperate to make available to small entities through comprehensive sources of information, the small entity compliance guides and all other available information on statutory and regulatory requirements affecting small entities.

"(c) LIMITATION ON JUDICIAL REVIEW.-An agency's small entity compliance guide shall not be subject to judicial review, except that in any civil or administrative action against a small entity for aviolation occurring after theeffective date ofthis section, thecontent ofthe small entity compliance guide maybeconsidered

as evidence ofthereasonableness or appropriateness of
any proposed fines, penaltiesordamages. "SEC. 213. INFORMAL SMALL ENTITY GUIDANCE. "(a) GENERAL.-Whenever appropriate in the interest of administering statutes and regulations within the jurisdiction of an agency which regulates small entities,it shallbe the practice ofthe agency to answer inquiries by small entities concerning information on, and advice about, compliance with such statutes and regulations, interpreting and applying the law to specific sets offacts supplied by the small entity. In any civil or administrative action against a small entity, guidance given by an agency applying the law to facts provided by the small entity may be considered as evidence of the reasonableness or appropriateness of any proposed fines, penalties or damages sought against such small entity.

"(b) PROGRAM.-Each agency regulating the activities ofsmall entities shall establish a program forresponding to such inquiries no later than 1 year after enactment of this section [Mar. 29, 1996], utilizing existing functions and personnel of the agency to the extent practicable.

"(c) REPORTING.-Each agency regulating the activities ofsmall business shallreport to the Committee on Small Business [nowCommittee on Small Business and Entrepreneurship) and Committee on Governmental Affairs [now Committee on Homeland Security and Governmental Affairs] ofthe Senate and theCommittee on Small Business and Committee on the Judiciary ofthe House of Representatives no later than 2 years after the date ofthe enactment ofthis section on the scope of the agency's program, the number of small entities using the program, and the achievements of the program to assist small entity compliance with agency regulations.

"SEC. 214. SERVICES OF SMALL BUSINESS DEVELOPMENT CENTERS. "(a) [Amended section 648 ofTitle 15, Commerce and Trade.]

"(b) Nothing in this Act [see Short Title of 1996 Amendment note, above] in any way affects or limits the ability of other technical assistance or extension
programs to perform or continue to perform services relatedto compliance assistance.

"SEC. 215. COOPERATION ONGUIDANCE.

"Agencies may, to the extent resources are available and where appropriate, in cooperation with the States, develop guides that fully integrate requirements of both Federal and State regulations where regulations within an agency's area ofinterest at the Federal and State levels impact small entities. Where regulations vary among the States, separate guides may be created for separate States in cooperation with State agencies.

"SEC. 216. EFFECTIVE DATE.

"This subtitle and theamendments made bythis subtitle shall take effect on theexpiration of90 days after the date ofenactmentofthissubtitle [Mar. 29, 1996].

"SUBTITLE B-REGULATORY ENFORCEMENT REFORMS

"SEC. 221. DEFINITIONS.

"For purposes ofthis subtitle-

"(1) the terms 'rule' and 'small entity' have the

same meanings as in section 601 of title 5, United States Code;

"(2) the term 'agency' has the same meaning as in section 551oftitle5, United StatesCode; and

"(3) the term 'small entity compliance guide'

means a document designated as such by an agency.
"SEC. 222. SMALL BUSINESS AND AGRICULTURE ENFORCEMENT OMBUDSMAN. "[Enacted section 657 of Title 15, Commerce and Trade.]

"SEC. 223. RIGHTS OF SMALL ENTITIES IN ENFORCEMENT ACTIONS. "(a) IN GENERAL.-Each agency regulating the activities of small entities shall establish a policy or program within 1 year of enactment of this section [Mar. 

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29, 1996] to provide for the reduction, and under appropriate circumstances for the waiver, ofcivil penalties for violations ofa statutory or regulatory requirement by a small entity. Under appropriate circumstances, an agency may consider ability topay in determining penalty assessments on small entities.

"(b) CONDITIONS AND EXCLUSIONS.-Subject to the requirements orlimitations ofother statutes, policies or programs established under this section shall contain conditions or exclusions which may include, but shall
notbe limited to- "(1) requiring the small entity to correct the violation within a reasonable correction period;

"(2) limiting the applicability to violations discovered through participation by the small entity in a compliance assistance or audit program operated or supported by the agency ora State;

"(3) excluding small entities thathave been subject

to multiple enforcement actionsbythe agency;

"(4) excluding violations involving willful or criminal conduct;

"(5) excluding violations that pose serious health, safety orenvironmental threats; and

"(6) requiring agood faitheffort to comply with the law. "(c) REPORTING.-Agencies shall report to the Committee on Small Business [now Committee on Small Business and Entrepreneurship] and Committee on Governmental Affairs [now Committee on Homeland Security and Governmental Affairs] of the Senate and the Committee on Small Business and Committee on Judiciary ofthe House ofRepresentatives no laterthan 2 years after the date of enactment of this section [Mar. 29, 1996] on the scope oftheir program or policy, the number ofenforcement actions against small entities that qualified or failed to qualify for the program

or policy, and the total amount of penalty reductions andwaivers.
"SEC. 224. EFFECTIVE DATE.

"This subtitle and the amendments made bythis subtitle shall take effect on theexpiration of90 days after the date ofenactment ofthis subtitle [Mar. 29, 1996]."

EFFECTS OF DEREGULATION ON RURAL AMERICA

Pub. L. 101-574, title III, §309, Nov. 15, 1990, 104 Stat. 2831,provided that:

"(a) STUDY.-The Office of Technology Assessment shall conduct a study ofthe effects ofderegulation on the economic vitality ofrural areas. Such study shall include, but not be limited to, a thorough analysis of the impact ofderegulation on- "(1) the number ofloans made by financial institutions to small businesses located in rural areas, a change in the level of security interests required for such loans, and the cost ofsuch loans to rural small businesses for creation and expansion;

"(2) airline service in cities and towns with populations of 100,000 or less, including airline fare, the number of flights available, number of seats available, scheduling of flights, continuity of service, number of markets being served by large and small airlines, availability ofnonstop service, availability of direct service, number ofeconomic cancellations, number offlight delays, the types ofairplanes used, and time delays;

"(3) the availability and costs of bus, rail and trucking transportation for businesses located in rural areas;

"(4) the availability and costs of state-of-the-art telecommunications services to small businesses located in rural areas, including voice telephone service, private (not multiparty) telephone service, reliable facsimile document and data transmission, competitive long distance carriers, cellular (mobile) telephone service, multifrequency tone signaling services such as touchtone services, custom-calling services (including three-way calling, call forwarding, and call waiting), voicemail services, and 911 emergency services with automatic numberidentification; "(5) the availability andcosts torural schools, hospitals, and other public facilities, of sending and receiving audio and visual signals in cases where such ability will enhance the quality of services provided
torural residents andbusinesses; and

"(6) the availability and costs of services enumeratedin paragraphs (1)through (5) in urban areas compared torural areas. "(b) REPORT.-Not laterthan 12monthsafter thedate ofenactment ofthis title [Nov. 15, 1990], the Office of Technology Assessment shall transmit to Congress a report on theresults ofthe study conducted under subsection (a) together with its recommendations on how
to address theproblems facing smallbusinesses in rural areas."

CONGRESSIONAL FINDINGS AND DECLARATION OF PURPOSE

Section 2 ofPub. L. 96-354provided that: "(a) TheCongress finds anddeclares that-

"(1) when adopting regulations to protect the health, safety and economic welfare of the Nation, Federal agencies should seek to achieve statutory goals as effectively and efficiently as possible without imposing unnecessary burdens on the public;

"(2) laws and regulations designed for application
to large scale entities have been applied uniformly to small businesses, small organizations, and small governmental jurisdictions even though the problems that gave rise to government action may not have been causedby those smaller entities;

"(3) uniform Federal regulatory and reporting requirements have in numerous instances imposed unnecessary and disproportionately burdensome demands including legal, accounting and consulting
costs upon small businesses, small organizations, and small governmental jurisdictions with limited resources;

"(4) the failure torecognize differences in the scale and resources ofregulated entities has in numerous instances adversely affected competition in the marketplace, discouraged innovation and restricted improvements in productivity;

"(5) unnecessary regulations create entry barriers in many industries and discourage potential entrepreneurs from introducing beneficial products and processes;

"(6) the practice of treating all regulated businesses, organizations, andgovernmental jurisdictions

as equivalent may lead to inefficient use of regulatory agency resources, enforcement problems, and, in some cases, to actions inconsistent with the legislative intent of health, safety, environmental and economic welfare legislation;

"(7) alternative regulatory approaches whichdonot conflict with the stated objectives ofapplicable statutes maybe available which minimize the significant economic impact ofrules on small businesses, small organizations, and small governmental jurisdictions;

"(8) the process by which Federal regulations are developed and adopted should be reformed to require agencies to solicit the ideas and comments of small businesses, small organizations, and small governmental jurisdictions to examine the impact of proposed and existing rules on such entities, and to review thecontinued needfor existingrules. "(b) It is the purpose ofthis Act [enacting this chapter] to establish as a principle ofregulatory issuance that agencies shall endeavor, consistent withthe objectivesofthe rule and ofapplicable statutes, to fit regulatory and informational requirements to the scale of the businesses, organizations, and governmental jurisdictions subject to regulation. To achieve this principle, agencies are required to solicit and consider flexible regulatory proposals and toexplain the rationale for their actions to assure that such proposals are given seriousconsideration."

EXECUTIVE ORDER No. 12291
Ex. Ord. No. 12291, Feb. 17, 1981, 46 F.R. 13193, which established requirements for agencies to follow in pro

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mulgating regulations, reviewing existingregulations, anddeveloping legislative proposals concerning regulation, was revoked by Ex. Ord. No. 12866, §11, Sept. 30, 1993,58 F.R.51735, set outbelow.

EXECUTIVE ORDERNo. 12498
Ex. Ord. No. 12498, Jan. 4,1985, 50 F.R. 1036,which establishedaregulatory planning process bywhich todevelopand publish aregulatory program for each year,
wasrevokedbyEx. Ord.No. 12866, §11, Sept.30, 1993, 58 F.R.51735, set outbelow.

EXECUTIVE ORDERNo. 12606
Ex. Ord. No. 12606, Sept. 2, 1987, 52 F.R. 34188, which provided criteria for executive departments and agencies tofollowin makingpolicies andregulationsto ensure consideration ofeffect of thosepolicies andregulations on autonomy and rights ofthe family, was revoked by Ex. Ord. No. 13045, §7, Apr. 21, 1997, 62 F.R. 19888, set out as a note under section 4321 ofTitle 42, ThePublic HealthandWelfare.

EXECUTIVE ORDER No. 12612


### Ex. Ord. No. 12612, Oct. 26, 1987, 52 F.R. 41685, which set out fundamental federalism principles and policymaking criteria for executive departments and agencies tofollowinformulating andimplementing policies andlimited the instances when executive departments and agencies could construe a Federal statute to preempt State law, was revoked by Ex. Ord. No. 13132, §10(b), Aug.4, 1999,64 F.R.43259, setoutbelow.

Ex. ORD. No. 12630. GOVERNMENTAL ACTIONS AND INTERFERENCE WITH CONSTITUTIONALLY PROTECTED PROP

### ERTYRIGHTS
Ex. Ord.No. 12630, Mar.15, 1988,53 F.R.8859,provided: By the authority vested in me as President by the Constitution andlaws oftheUnited States ofAmerica, and in order to ensure that government actions are undertaken on a well-reasoned basis with due regard forfiscal accountability, forthefinancial impactofthe obligations imposed on the Federal government by the Just Compensation Clause of the Fifth Amendment, and for the Constitution, it is hereby ordered as follows:

SECTION 1. Purpose.(a)The Fifth Amendment of the 

### United States Constitution provides that private property shallnotbetaken forpublicusewithoutjustcompensation. Government historicallyhasused theformal exercise of the power of eminent domain, which provides orderly processes for paying just compensation, to acquire.private property for publicuse. Recent Supreme Court decisions,however, inreaffirmingthe fundamental protection of private property rights providedby the FifthAmendment andinassessing thenature of governmental actions that have an impact on constitutionally protected property rights, have also reaffirmed that governmental actions that do not formallyinvoke the condemnation power, including regulations, may result in a taking for which just compensationisrequired.

(b) Responsible fiscal management and fundamental principles ofgoodgovernment require thatgovernment decision-makers evaluate carefully the effect of their administrative, regulatory, and legislative actions on constitutionally protected property rights. Executive departments and agencies should review their actions carefully to prevent unnecessary takings and should account in decision-making forthose takings that are necessitated by statutorymandate.

(c) The purpose ofthis Order isto assist Federal departments and agencies in undertaking such reviews and in proposing, planning, and implementing actions with due regard forthe constitutional protections provided by the Fifth Amendment and to reduce the risk of undue or inadvertent burdens on the public fisc resulting from lawful governmental action. In further-

ance ofthepurpose ofthis Order,theAttorney General shall, consistent with the principles stated herein andANIZATION AND EMPLOYEES

in consultation with the Executive departments and agencies, promulgate Guidelines for the Evaluation of Risk and Avoidance ofUnanticipated Takings to which each Executive department or agency shall refer in making the evaluations required by this Order or in otherwise taking any action that is the subject ofthis Order. The Guidelines shall be promulgated no later thanMay 1, 1988, and shallbe disseminated to all units ofeach Executive department andagency nolater than July 1, 1988. The Attorney General shall, asnecessary, update these guidelines to reflect fundamental changes in takings law occurring as a result ofSupreme Court decisions.

SEC. 2. Definitions.For the purpose ofthis Order: (a) "Policies that have takings implications" refers to Federal regulations, proposed Federalregulations, proposed Federal legislation, comments on proposed Federal legislation, or other Federal policy statements that,if implemented or enacted, could effect a taking, such as rules and regulations that propose or implement licensing, permitting, or othercondition requirements or limitations on private property use, or that require dedications orexactions from owners ofprivate property. "Policies that have takings implications" doesnot include:

(1) Actions abolishingregulations, discontinuing governmental programs, or modifying regulations in a

manner that lessens interference with the use of privateproperty;

(2) Actions taken with respect to properties held in
trustby the United States orin preparation for orduringtreaty negotiations with foreignnations;

(3) Law enforcement actions involving seizure, for violations oflaw, ofproperty for forfeiture or as evidence in criminal proceedings;

(4) Studies or similar effortsorplanning activities; (5) Communications between Federal agencies or departments and State or local land-use planning agencies regarding planned or proposed State or local actions regulating private property regardless ofwhether such communications are initiated by a Federalagency

ordepartment or are undertaken in response toaninvitationby the State orlocal authority;

(6) The placement of military facilities or military activities involving the use ofFederal property alone;

or(7) Any military or foreign affairs functions (including procurement functions thereunder) but not including the U.S. Army Corps of Engineers civil works program.

(b) Private property refers to all property protected by the Just Compensation Clause ofthe Fifth Amendment.

(c) "Actions" refers to proposed Federal regulations, proposed Federal legislation, comments on proposed Federal legislation, applications ofFederal regulations
to specific property, or Federal governmental actions physically invading or occupying private property, or other policy statements or actions related to Federal regulation or direct physical invasion or occupancy, but does notinclude:

(1) Actions in which the power ofeminent domain is formally exercised;

(2) Actions taken with respect to properties held in
trust by the United States or in preparation for or during treatynegotiations with foreign nations;

(3) Law enforcement actions involving seizure, for violations oflaw, of property for forfeiture or as evidence in criminal proceedings;

(4) Studies or similar efforts orplanning activities; (5) Communications between Federal agencies or departments and State or local land-use planning agencies regarding planned or proposed State or local actions regulating private property regardless ofwhether such communications are initiated bya Federal agency

or department or are undertaken in response to aninvitationby the State orlocal authority;

(6) The placement ofmilitary facilities or military activities involving the use of Federal property alone;

or 

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(7) Any military or foreign affairs functions (includingprocurement functions thereunder), butnot includingthe U.S. Army Corps ofEngineers civil works program.

SEC. 3. General Principles.In formulating or implementing policies that have takings implications, each Executive department and agency shall be guided by thefollowing general principles:

(a) Governmental officials should be sensitive to, anticipate, and account for, the obligations imposed by theJust Compensation Clause oftheFifth Amendment in planning and carrying out governmental actions so that they do not result in the imposition ofunanticipatedorundue additional burdens onthe public fisc.

(b) Actions undertaken by governmental officials thatresult in a physical invasion or occupancy ofprivate property, andregulations imposed onprivate property that substantially affectitsvalue oruse, may constitute a taking ofproperty. Further, governmental action may amount to a taking even though the action results in less than acomplete deprivation ofall useor value, or of all separate and distinct interests in the

same private property and even if the action constituting a taking is temporary in nature.

(c) Government officials whose actions are taken specifically for purposes of protecting public health and safety are ordinarily given broader latitude by courts before their actions are considered to be takings. However, the mere assertion ofa public health and safety purpose is insufficient to avoid a taking. Actions to which this Order applies asserted to be for the protection of public health and safety, therefore, should be undertaken only in response to real and substantial threats to public health and safety, be designed to advance significantly the health and safety purpose, and be no greater than is necessary to achieve the health and safety purpose.

(d) While normal governmental processes do not ordinarily effect takings, undue delays in decision-making during which private property use if interfered with carry a risk ofbeing held to be takings. Additionally,

a delay in processing may increase significantly the size of compensation due if a taking is later found to have occurred.

(e) The Just Compensation Clause is self-actuating, requiring that compensation be paid whenever governmental action results in a taking of private property regardless ofwhether the underlying authority for the action contemplated a taking or authorized the payment ofcompensation. Accordingly, governmental actions that may have a significant impact onthe use or value ofprivate property shouldbe scrutinized to avoid undue orunplanned burdens on thepublic fisc.

SEC. 4. DepartmentandAgency Action. In addition to thefundamental principles set forth in Section 3, Executivedepartments andagencies shall adhere, tothe extent permitted by law, to the following criteria when implementing policies that have takings implications:

(a)When anExecutive department or agency requires

a private party to obtain a permit in order to undertake a specific use of,oraction withrespect to,private property, any conditions imposed on the granting ofa permit shall:

(1) Serve the same purpose that would have been servedbya prohibition oftheuse or action; and

(2) Substantially advance thatpurpose. (b) When a proposed action would place a restriction

on a useofprivate property, therestriction imposed on the use shall not be disproportionate to the extent to which the use contributes to the overall problem that the restriction is imposed toredress.

(c) When a proposed action involves a permitting process or any other decision-making process that will interfere with, or otherwise prohibit, the use ofprivate property pending the completion ofthe process, the duration ofthe process shallbe kept totheminimum necessary.

(d) Before undertaking any proposed action regulating private property use for the protection of public health or safety, the Executive department or agency involved shall, in internal deliberative documents and any submissions to the Director ofthe Office-ofManagement and Budget thatarerequired:

(1) Identify clearly, with as much specificity as possible, the public health or safety risk created by the private property use that is the subject ofthe proposed action;

(2) Establish that such proposed action substantially advances the purpose of protecting public health and safety against the specifically identified risk;

(3) Establish to the extent possible that the restrictions imposed on the private property are not disproportionate to the extent to which the use contributes to the overall risk; and

(4) Estimate, to the extent possible, the potential cost to the government in the event that a court later determines thattheaction constituted a taking.

In instances in which there is an immediate threat to health and safety that constitutes an emergency requiring immediate response, this analysis may be done uponcompletion ofthe emergency action.

SEC. 5. Executive DepartmentandAgency Implementation. (a) The head of each Executive department and agency shall designate an official to be responsible for ensuring compliance with this Order with respect to the actions ofthe department oragency.

(b) Executive departments and agencies shall, to the extent permitted by law, identify the takings implications of proposed regulatory actions and address the merits of those actions in light ofthe identified takings implications, if any, in all required submissions made tothe Office ofManagement andBudget. Significant takings implications should also be identified and discussed in notices ofproposed rule-making and mes- sages transmitting legislative proposals to the Congress stating the departments' and agencies' conclusions on thetakings issues.

(c) Executive departments and agencies shall identify each existingFederal ruleand regulation against which

a takings award hasbeen made or against which a takings claim is pending including the amount of each claim or award. A "takings" award has been made or a "takings" claim pending if the award was made, or the pending claim brought, pursuantto the Just Compensation Clause ofthe Fifth Amendment. An itemized com- pilation of all such awards made in Fiscal Years 1985, 1986, and 1987 and all such pending claims shall be submitted to the Director, Office of Management and Budget, on orbefore May 16, 1988.

(d) Each Executive department and agency shall submit annually to the Director, Office of Management and Budget, and to the Attorney General an itemized compilation ofall awards ofjust compensation entered against theUnited Statesfor takings, including awards ofinterest as well as monies paid pursuant to theprovisions ofthe Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, 42 U.S.C. 4601.

(e)(1) The Director, Office ofManagement and Budget, and the Attorney General shall each, to the extent permitted by law, take action to ensure that the policies of the Executive departments and agencies are consistent with the principles, criteria, and requirements stated in Sections 1through 5 ofthis Order, and theOffice ofManagement andBudget shall take action to ensure that all takings awards levied against agencies are properly accounted for in agency budget submissions.

(2) In addition to the guidelines required by Section 1 ofthis Order, theAttorney General shall,in consultation with each Executive department and agency to which this Order applies, promulgate such supplemental guidelines as maybe appropriate tothe specific obligations ofthat department oragency.

SEC. 6. JudicialReview. This Order is intended only to improve the internal management of the Executive branch and is not intended to create any right orbenefit, substantive or procedural, enforceable at law by a party against the United States, its agencies, its officers, orany person.
RONALD REAGAN. 

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Ex. ORD. No. 12861. ELIMINATION OF ONE-HALF OF

EXECUTIVE BRANCHINTERNAL REGULATIONS

Ex. Ord. No. 12861, Sept. 11, 1993, 58 F.R. 48255, provided:

By the authority vested in me as President by the Constitution and the laws of the United States of America, including section 301 oftitle 3, United States Code, and section 1111 of title 31, United States Code, and to cut 50 percent ofthe executive branch's internal regulations in order to streamline and improve customer service to the American people, it is hereby ordered as follows:

SECTION 1. Regulatory Reductions. Each executive department and agency shall undertake to eliminate not less than 50 percent of its civilian internal management regulations that are notrequired by law within 3
years ofthe effective date ofthis order. An agency internal management regulation, for the purposes ofthis order, means an agency directive or regulation that pertains to its organization, management, orpersonnel
matters. Reductions in agency internal management regulations shallbe concentrated in areas that will result in the greatest improvement in productivity, streamlining of operations, and improvement in customer service.

SEC. 2. Coverage.This order applies to all executive branch departments and agencies.

SEC. 3. Implementation.The Director of the Office of Management and Budget shall issue instructions regarding the implementation ofthisorder, including exemptions necessary for the delivery ofessential services and compliance with applicable law.

SEC. 4. IndependentAgencies. All independent regulatory commissions and agencies arerequested to comply withtheprovisions ofthisorder. WILLIAM J. CLINTON.

Ex. ORD. NO. 12866. REGULATORY PLANNING ANDREVIEW

Ex. Ord. No. 12866, Sept. 30, 1993, 58 F.R. 51735, as amended by Ex. Ord. No. 13258, Feb. 26, 2002, 67 F.R. 9385; Ex. Ord. No. 13422, Jan. 18, 2007, 72 F.R. 2763; Ex. Ord. No. 13497, §1, Jan. 30, 2009, 74 F.R. 6113, provided:

The American people deserve a regulatory system that works for them, not against them: a regulatory system thatprotects andimproves theirhealth, safety, environment, and well-being and improves theperformance ofthe economy without imposingunacceptable or unreasonable costs on society; regulatory policies that recognize that the private sector and private markets

arethe bestengine for economic growth; regulatory approaches thatrespect therole of State,local, andtribal 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 ofthis Executive order are to enhance planning and coordination with respect to both new and existing regulations; to reaffirm the primacy ofFederal agencies in theregulatory decision-making process; to restore the integrity and legitimacy of regulatory review and oversight; and to make the process more accessible andopen tothe public. In pursuing these objectives, theregulatory process shall be conducted so as to meet applicable statutory requirements and with due regard to the discretion thathasbeen entrusted to theFederal agencies.

Accordingly, by the authority vested in me as President by the Constitutioi and the laws of the United States ofAmerica, it is hereby orderedas follows:

SECTION 1. Statement of Regulatory Philosophy and Principles.

(a) The Regulatory Philosophy. Federal agencies should promulgate only such regulations as are required bylaw, are necessary to interpret thelaw, or are made necessary by compelling public need, such as material failures ofprivate markets to protect or improve the health and safety ofthepublic, the environment, or the well-being of the American people. In deciding whether and howto regulate, agencies shouldassess all
costs and benefits ofavailable regulatory alternatives, including the alternative ofnot 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 netbenefits (includingpotential economic, environmental, public health and safety, and other advantages; distributive impacts; and equity), unless a statute requires anotherregulatory approach.

(b) The PrinciplesofRegulation.To ensure that the agencies' regulatory programs are consistent with the philosophy set forth above, agencies should adhere to the following principles, totheextent permitted bylaw andwhere applicable: (1) Each agency shall identify the problem that it intends to address (including, where applicable, the failures ofprivate markets orpublic institutionsthat
warrant new agency action) aswell as assess the significance ofthatproblem.

(2) Each agency shall examine whether existing regulations (or other law) have created, or contributed to, the problem that a new regulation is intended to
correct and whether those regulations (or other law) should be modified to achieve the intended goal of regulation more effectively.

(3) Each agency shall identify and assess available alternatives to direct regulation, including providing economic incentives to encourage the desired behavior, such as user fees or marketable permits, or providing information upon which choices can be made by thepublic.

(4) In setting regulatory priorities, each agency shall consider, to the extent reasonable, the degree and nature of the risks posed by various substances

oractivities within itsjurisdiction.

(5) When anagency determines that a regulation is thebest available method ofachieving theregulatory objective, it shall design its regulations in the most cost-effective manner to achieve the regulatory objective. In doing so, each agency shall considerincentives for innovation, consistency, predictability, the
costs ofenforcement and compliance (to the government, regulated entities, and the public), flexibility, distributive impacts, and equity.

(6) Each agency shall assess both the costs and the benefits of the intended regulation and, recognizing that some costs and benefits are difficult to quantify,
propose or adopt a regulation only upon a reasoned determination that thebenefits ofthe intended regulationjustify itscosts.

(7) Each agency shall base its decisions on the best reasonably obtainable scientific, technical, economic, and other information concerning the need for, and
consequences of,theintendedregulation.

(8) Each agency shall identify and assess alternative forms of regulation and shall, to the extent feasible, specify performance objectives, rather than specifying the behavior ormannerofcompliance that regulated entities must adopt.

(9) Wherever feasible, agencies shall seek views of appropriate State, local, and tribal officials before imposing regulatory requirements that might significantly or uniquely affect those governmental entities. Each agency shall assess the effects ofFederal regulations on State, local, and tribal governments, including specifically the availability ofresources 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 othergovernmental functions.

(10) Each agency shall avoid regulations that are inconsistent, incompatible, or duplicative with its other regulations or those ofother Federal agencies. 

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(11) Each agency shall tailor itsregulations to impose the least burden on society, including individuals, businesses of differing sizes, and other entities (including smallcommunities and governmental entities), consistent with obtaining the regulatory objectives, taking into account, among other things, and
to the extent practicable, the costs of cumulative regulations.

(12) Each agency shall draft its regulations to be simpleand easy to understand, with thegoal ofminimizing the potential for uncertainty and litigation arisingfrom 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 Americanpeople.

(a) The Agencies. Because Federal agencies are the repositories ofsignificant 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 principlessetforth in this Executive order.

(b) The Office ofManagementandBudget. Coordinated review of agency rulemaking is necessary to ensure thatregulations 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 orplanned byanother agency.The Office ofManagement and Budget (OMB) shall carry out that review function. Within OMB, the Office of Information and Regulatory Affairs (OIRA) is therepository ofexpertise 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 toagencies 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 -bythisExecutive order.

(c) The VicePresident.The Vice President is the principal advisor to the President on, and shall coordin6te the development and presentation ofrecommendations concerning, regulatory policy, planning, and review, as setforth in this Executive order. In fulfilling their responsibilitiesunder 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 timetotime, consult.

SEC. 3. Definitions. For purposes of this Executive order: (a) "Advisors" refers to such regulatory policy advisors to the President as the President and Vice President may from time to time consult, including, among others: (1)the Director ofOMB; (2) the Chair (or another member) ofthe Council ofEconomic Advisers; (3) the Assistant tothe President for Economic Policy; (4) the Assistant to the President for Domestic Policy; (5) theAssistant tothe President forNational 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 StaffSecretary; (9) the Assistant tothe President and ChiefofStaff to theVice 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) theAdministrator ofQIRA, who also shall coordinate communications relating to this Executive order among the agencies, OMB, the other Advisors, andthe Office ofthe Vice President.

(b) "Agency," unless otherwise indicated, means any authority of the United States that is an "agency" under 44 U.S.C. 3502(1), other than those considered to be independent regulatory agencies, as defined in 44 U.S.C. 3502(10).

(c) "Director" means theDirector ofOMB. (d) "Regulation" or "rule" means an agency statement ofgeneral applicability and future effect, which the agency intends to have the force and effect oflaw, that is designed to implement, interpret, or prescribe law or policy or to describe the procedure or practice requirements of an agency. It does not, however, include: (1) Regulations or rules issued in accordance with the formal rulemaking provisions of5 U.S.C. 556, 557;

(2) Regulations or rules that pertain to a military

orforeign affairs function oftheUnited States, other than procurement regulations and regulations involving the import or export ofnon-defense articles and services;

(3) Regulations or rules that are limited to agency organization, management, orpersonnel matters; or

(4) Any other category ofregulations exempted by theAdministrator ofOIRA. (e) "Regulatory action" means any substantive action by an agency (normally published in the Federal Register)that promulgates oris expected to lead to the promulgation of a final rule or regulation, including notices of inquiry, advance notices of proposed rulemaking, and notices ofproposedrulemaking.

(f) "Significant regulatory action" means any regulatory action that is likely toresult in arule that may: (1) Have an annual effect on the economy of $100 million ormore oradversely affect in amaterial way the economy, a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, ortribal governments orcommunities;

(2) Create a serious inconsistency or otherwise interfere with an action taken or planned by another agency;

(3) Materially alter the budgetary impact of entitlements, grants, user fees, or loan programs or the rightsand obligations ofrecipients thereof; or

(4) Raise novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles setforthin thisExecutive order. SEC. 4. PlanningMechanism.In order to have an effective regulatory program, toprovide for coordination of regulations, to maximize consultation and the resolution ofpotential conflicts at anearly stage, to involve the public and its State, local, and tribal officials in regulatory planning, and to ensure thatnew or revised regulations promote the President's priorities and the principles set forth in this Executive order, these procedures shall be followed, to the extent permitted by law: (a) Agencies' PolicyMeeting. Early in each year's planning cycle, the Vice President shall convene a meeting ofthe Advisors and the heads of agencies to seek a common understanding ofpriorities and to coordinate regulatory efforts to be accomplished in the upcoming year.

(b) Unified Regulatory Agenda. For purposes of this subsection, the term "agency" or "agencies" shall also include those considered to be independent regulatory agencies, as defined in 44 U.S.C. 3502(10). Each agency shall prepare anagenda of all regulations under development or review, at a time and in a manner specified by the Administrator ofOIRA. The description ofeach regulatory action shall contain, ata minimum, a regulation identifier number, a brief summary of the action, thelegal authority forthe action, any legal deadline forthe action, and the name and telephone number of a knowledgeable agency official. -Agencies may incorporate the information required under 5 U.S.C. 602 and (former] 41U.S.C. 402 into these agendas.

(c) The Regulatory Plan. For purposes of this subsection, the term "agency" or "agencies" shall alsoinclude those considered to be independent regulatory agencies, as defined in 44 U.S.C. 3502(10). (1) As part of the Unified Regulatory Agenda, beginning in 1994, each agency shall prepare a Regulatory Plan (Plan) ofthe
most important significant regulatory actions that the agency reasonably expects to issue in proposed or final form in thatfiscal year orthereafter. The Plan shallbe approved personally by the agency head and shall containat aminimum: (A) A statement of the agency's regulatory objectives and priorities and howthey relate to the President'spriorities;

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(B) A summary of each planned significant regulatory action including, to the extent possible, alternatives tobe considered and preliminary estimates of the anticipated costs andbenefits;

(C) A summary of the legal basis for each such action, including whether any aspect ofthe action is required by statute orcourt order;

(D) A statement of the need for each such action and, if applicable, howthe action will reduce risks to public health, safety, or the environment, as well as how the magnitude ofthe risk addressed by the action relates to other risks within the jurisdiction of the agency;

(E) The agency's schedule for action, including a statement of any applicable statutory or judicial deadlines; and

(F) The name, address, and telephone number of a person the public may contact for additional information about theplanned regulatory action. (2) Each agency shall forward its Plan to OIRA by June 1st ofeachyear.

(3) Within 10 calendar days after OIRA has received

an agency's Plan, OIRA shall circulate it to other affected agencies, the Advisors, and the VicePresident.

(4) An agency head who believes that a planned regulatory action ofanother 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, theAdvisors, and theVice President.

(5) If the Administrator of OIRA believes that a planned regulatory action ofan agency may be inconsistent with the President's priorities orthe principles
set forth in this Executive order ormay be in conflict with any policy or action taken or planned by another
agency, the Administrator ofOIRA shall promptly notify,in writing, the affected agencies, theAdvisors, and theVice President.

(6) The Vice President, with the Advisors' assistance, may consult with the heads of agencies with respect to their Plans and, in appropriate instances, request further consideration orinter-agency coordination.

(7) The Plans developedby the issuing agency shallbe 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 ofany agency Plan,including whether any planned regulatory action might conflict with any other planned

or existing regulation, impose any unintended consequences on thepublic, or confer any unclaimed benefits

on thepublic, should be directed to theissuing agency, with a copyto OIRA.

(d) Regulatory Working Group. Within 30 days of the date of this Executive order, the Administrator of OIRA shall convene a Regulatory Working Group ("Working Group"), which shall consist ofrepresentatives of the heads of each agency that the Administrator determines to have significant domestic regulatory responsibility, the Advisors, and the Vice President. The Administrator ofOIRA shall chair theWorking Group and shallperiodically advise the Vice President onthe activitiesoftheWorking Group. TheWorking Group shall serve as a forum to assist agencies in identifying and analyzing important regulatory issues (including, among others (1) the development ofinnovative 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 orin subgroups ofagencies with an interest in particular issues or subject areas. To inform its discussions, the Working Group may commission analytical studies and reports by OIRA, the Administrative Conference of the United States, or any other
agency.

(e) Conferences. The Administrator of OIRA shall
meet quarterly withrepresentatives ofState, 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 withrepresentatives ofbusinesses, nongovernmental organizations, and the public to discuss regulatory issues ofcommon 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 thatregulations areboth compatible with each other and not duplicative or inappropriately burdensome in the aggregate; to ensure that all regulations

are consistent with the President's priorities and the principles set forth in this Executive order, within applicable law; and to otherwise improve the effectiveness of existing regulations: (a) Within 90 days ofthe date ofthis Executive order, each agency shall submit
to OIRA a program, consistent with its resources and regulatory priorities, underwhich 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 orcontinue to impose regulations that the agency believes are unnecessary oroutdated by reason ofchanged circumstances.

(b) The Administrator of OIRA shall work with the Regulatory Working Group and other interested entities to pursue the objectives of this section. State, local, and tribal governments are specifically encouraged to assist in the identification ofregulations that impose significant or unique burdens on those governmental entities and that appear to have outlived their justification orbe otherwise inconsistent with thepublic interest.

(c) The VicePresident, in consultation withthe Advisors, mayidentify forreview by the appropriate agency

or agencies other existing regulations ofan agency or groups ofregulations ofmore thanone agency that affect a particular group, industry, or sector ofthe economy,or may identify legislative mandates that maybe appropriate forreconsideration bythe Congress.

SEC. 6. CentralizedReview ofRegulations. The guidelines set forth below shall apply to all regulatory actions, for both new and existing regulations, by agenciesother than those agencies specifically exempted by theAdministrator ofOIRA:

(a) Agency Responsibilities.(1) Each agency shall (consistent with its own rules, regulations, or procedures) provide thepublic with meaningful participation in the regulatory process. In particular, before issuing a noticeofproposedrulemaking, each agency should, where appropriate, seek the involvement ofthose who are intended to benefit from and those expected to be burdened byany 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 shouldinclude a comment period ofnot less than 60 days. Each agency also is directed to explore and, where appropriate, use consensual mechanisms for developing regulations, including negotiated rulemaking.

(2) Within 60 days ofthe date ofthis Executive order, each agency head shall designate a Regulatory Policy Officer who shall report tothe agency head. The Regulatory Policy Officer shall be involved ateach stage of the regulatory process to foster the development ofeffective, innovative, and least burdensome regulations and to further theprinciples set forthin this Executive order. 

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(3) In addition to adhering to itsownrules and procedures and to the requirements of the Administrative Procedure Act [see Short Title note preceding section 551 of this title], the Regulatory Flexibility Act [5 U.S.C. 601 et seq.], the Paperwork Reduction Act [44 U.S.C. 3501 et seq.], and other applicable law, each agency shall develop its regulatory actions in a timely fashion and adhere to the following procedures withrespect to aregulatory action: (A) Each agency shall provide OIRA, at such times and in the manner specified by the Administrator of OIRA, with a list ofits 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 ofthe planned regulatory action, those
not designated as significant willnot besubject toreview under this section unless, within 10 working days ofreceipt ofthe list,the Administrator ofOIRA notifies the agency that OIRA has determined that a planned regulation is a significant regulatory action within the meaning ofthis 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 notfurther comply with subsection (a)(3)(B) or subsection (a)(3)(C) ofthissection.

(B) For each matter identified as, ordetermined by the Administrator of OIRA to be, a significant regulatory action, the issuing agency shall provide to OIRA: (i) The text of the draft regulatory action, togetherwith a reasonably detailed description ofthe need for the regulatory action and an explanation of how the regulatory action will meet that need; and

(ii) An assessment ofthe 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 theexercise oftheirgovernmental functions. (C) For those matters identified as, or determined by theAdministrator ofOIRA tobe, 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 ofthe agency's decision-making process(unlessprohibited bylaw): (i) An assessment, including the underlying analysis, of benefits anticipated from the regulatory action (such as, but not limited to, the promotion ofthe efficient functioning ofthe economy and private markets, the enhancement of health and safety, the protection of the natural environment, and the elimination or reduction ofdiscrimination or bias) together with, to the extent feasible, a quantificationofthose benefits;

(ii) An assessment, including the underlying analysis, of costs anticipated from the regulatory action (such as, but not limited to, the direct cost both to the government in administering the regulation and to businesses and others in complying with the regulation, and any adverse effects on the efficient functioning of the economy, private markets (including productivity, employment, and competitiveness), health, safety, and the natural environment), together with, tothe extent feasible,

aquantification ofthose costs; and

(iii) An assessment, including the underlying analysis, ofcosts and benefits ofpotentially effective and reasonably feasible alternatives to the planned regulation, identified by the agencies or thepublic (including improvingthe current regulation and reasonably viable nonregulatory actions), and an explanation why theplanned regulatory action is preferable to the identified potential alternatives. (D) In emergency situations or when an agency is obligated bylaw to act more quickly thannormal 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) ofthis 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 itsreview, as setforth below in subsection (b)(2)through (4) ofthis section.

(E) After the regulatory action has been published in the Federal Register or otherwise issued to the public,the agency shall: (i) Make available to the public the information
setforthin subsections (a)(3)(B) and (C);

(ii) Identify for the public, in a complete, clear, and simple manner, the substantive changes between the draft submitted to OIRA for review and the action subsequently announced; and

(iii) Identify for the public those changes in the regulatory action that were made at the suggestion

orrecommendation ofOIRA. (F) All information provided to the public by the agency shallbe in plain, understandable language. (b) OIRA Responsibilities.The Administrator ofOIRA 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 ofanother agency. OIRA shall, to the extent permitted by law, adhere to the following guidelines: (1) OIRA may review only actions identified by the agency or by OIRA as significant regulatory actions under subsection (a)(3)(A) ofthis section.

(2) OIRA shall waive review ornotify the agency in writing ofthe results ofitsreview within the following timeperiods: (A) For any notices ofinquiry, advance notices of proposed rulemaking, or other preliminary regulatory actions prior to a Notice ofProposed Rulemaking, within 10 working days after the date of submission ofthe draftaction to OIRA;

(B) For all other regulatory actions, within 90 calendar days afterthe date ofsubmission ofthe 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 hasbeen no material change in the facts and circumstances upon which the regulatory action is based, in which case, OIRA shall complete its reviewwithin 45days; and

(C) The review process may be extended (1) once by no more than 30 calendar days upon the written approval of the Director and (2) at the request of the agency head. (3) For each regulatory action that the Administrator ofOIRA returns to an agency for further consideration ofsome or all ofitsprovisions, the Administrator of OIRA shall provide the issuing agency a written explanation for such return, setting forth the pertinent provision ofthis Executive order on which OIRA is relying. If the agency head disagrees with

some or all of the bases for the return, the agency head shall so inform the Administrator of OIRA in writing.

(4) Except as otherwise provided by law or required by a Court, in order to ensure greater openness, accessibility, and accountability in the regulatory reviewprocess, OIRA shallbe governed bythefollowing disclosurerequirements: (A) Only theAdministrator ofOIRA (or a particulardesignee) shallreceive oral communications initiated by persons not employed by the executive branch of the Federal Government regarding the substance of a regulatory action under OIRA review;

(B) All substantive communications between OIRA personnel and persons not employed by the executive branch of the Federal Government regarding a regulatory action under review shall be 

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### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

governed by the following guidelines: (i) A representative from the issuing agency shallbe invited
to any meeting between OIRA personnel and such person(s);

(ii) OIRA shall forward to the issuing agency, within 10 working days ofreceipt of the communication(s), all written communications, regardless offormat, between QIRA personnel and any person who is not employed by the executive branch ofthe Federal Government, and the dates and names of individuals involvedin 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 suchpersons); and

(iii) OIRA shall publicly disclose relevant information about such communication(s), as set forth below in subsection (b)(4)(C)ofthissection.

(C) OIRA shall maintain a publicly available log that shall contain, at a minimum,the following information pertinent toregulatory actionsunder review: (i) The status of all regulatory actions, including if (and if so, when and by whom) Vice Presidential and Presidential consideration was requested;

(ii) A notation of all written communications forwarded to an issuing agency under subsection (b)(4)(B)(ii) ofthissection; and

(iii) The dates and names of individuals involved in all substantive oral communications, including meetings and telephone conversations, between OIRA personnel and any person not employed by the executive branch of the Federal Government, and the subject matter discussed during such communications. (D) After the regulatory action has been published in the Federal Register or otherwise issued
to thepublic, 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 agencyduring thereview by OIRA underthis section. (5) All information provided to the publicby OIRA shall bein plain,understandable language. SEC. 7. ResolutionofConflicts.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 ofOIRA shall be resolved by the President, orby the Vice President acting at the request of the President, with the relevant agency head (and, as appropriate, other interestedgovernment officials). VicePresidential and Presidential consideration of such disagreements may be initiated only by the Director, by the head ofthe issuing agency, or by thehead ofan agency thathasa significant interestin theregulatory action atissue. Such review will not be undertaken at the request ofother
persons, entities, ortheir agents.

Resolution ofsuch conflicts shallbe 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 atissue). The development of these recommendations shall be concluded within 60 days after review has been requested.

Duringthe Vice Presidential and Presidential review period, communications with any person not employed bythe FederalGovernment relating tothe substance of the regulatory action under review and directed to the Advisors or theirstaffsor tothe staffoftheVice President shall be in writing and shall be forwarded by the recipient tothe 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 thatany comments shouldbe submittedin 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 theAdministrator ofOIRA ofthe President's decision with respect tothematter.

SEC. 8. Publication.Except to the extent required by law, an agency shall not publish in the Federal Registeror otherwise issue tothepublic anyregulatory action that is subject toreview under section 6ofthis Executive order until (1) theAdministrator ofOIRA notifies the agency that OIRA has waived its review ofthe action or has completed its review without any requests for further consideration, or (2) the applicable timeperiod in section6(b)(2) expires without OIRAhaving notified the agency that it is returning the regulatory action for further consideration under section 6(b)(3), whichever occurs first. If the terms ofthe preceding sentence have not been satisfied and an agency wants topublish or otherwise issue aregulatory action, the head ofthat agency may request Presidential consideration through the Vice President, as provided under section 7 of this order. Upon receipt of this request, theVice President shallnotify OIRA and the Advisors. The guidelines and time period set forth in section 7 shall apply to the publication ofregulatory 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 bylaw.

SEC. 10. JudicialReview. 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 ofthe Federal Government and doesnotcreate any rightorbenefit, substantive orprocedural, enforceable atlaw orequityby a party against the United States, its agencies

or instrumentalities, its officers or employees, or any otherperson.

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 ofrule arerevoked.

[Section 1 of Ex. Ord. No. 13497, which revoked Ex. Ords. 13258 and 13422, was executed by undoing the amendments by those Ex. Ords. to Ex. Ord. 12866, set out above.]

ExEcUTIVE ORDERNo. 12875

Ex. Ord. No. 12875, Oct. 26, 1993, 58 F.R. 58093, which provided for the reduction of unfunded mandates on State, local, or tribal governments and increased flexibility for State and local waivers ofstatutory or regulatoryrequirements, was revoked byEx. Ord. No. 13132, §10(b), Aug.4, 1999, 64F.R.43259, set out below.

EXECUTIVE ORDERNo. 13083

Ex. Ord. No. 13083, May 14, 1998, 63 F.R. 27651, which listedfundamental federalism principles and federalism policymaking criteria to guide agencies in formulating and implementing policies and required agencies to have a process to permit State and local governments to provide input into the development of regulatory policies that have federalism implications and to streamline the State and local government waiver process, was revoked byEx. Ord. No. 13132, §10(b), Aug. 4, 1999, 64 F.R.43259, setoutbelow.

EXECUTIVE ORDERNo. 13095

Ex. Ord. No. 13095, Aug. 5, 1998, 63 F.R.42565, which suspended Ex. Ord. No. 13083, was revoked by Ex. Ord.
No. 13132, §10(b), Aug. 4, 1999, 64 F.R. 43259, set out below.

Ex. ORD. No. 13107. IMPLEMENTATION OF HUMAN RIGHTS TREATIES

Ex. Ord. No. 13107, Dec. 10, 1998, 63 F.R. 68991, provided:

By the authority vested in me as President by the Constitution and the laws of the United States of America, and bearing in mind the obligations of the 

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United States pursuant to the International Covenant

on Civil and Political Rights (ICCPR), the Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment (CAT), the Convention

on the Elimination ofAll Forms ofRacial Discrimination (CERD), and other relevant treaties concerned with the protection and promotion ofhuman rights to which the United States is nowor maybecome a party in thefuture, it is herebyordered asfollows:

SECTION 1.ImplementationofHumanRightsObligations. (a) It shall be the policy and practice of the Government ofthe United States,beingcommitted to theprotection and promotion ofhumanrights and fundamental freedoms, fullyto respect and implement its obligations under the international human rights treaties to which it is a party,including the ICCPR, theCAT, and the CERD.

(b) It shall alsobe the policy and practice ofthe Government of the United States to promote respect for international human rights, both in our relationships with all other countries and by working with and strengthening the various international mechanisms for thepromotion ofhuman rights, including, interalia, those of the United Nations, the International Labor Organization, and the Organization ofAmerican States.

SEC. 2. Responsibility of Executive Departments and Agencies. (a) All executive departments and agencies (as defined in 5 U.S.C. 101-105, including boards and commissions, and hereinafter referred to collectively as "agency" or "agencies") shall maintain a current

awareness ofUnited States international human rights obligations that are relevant to their functions and shallperform suchfunctions so asto respect and implement those obligations fully. The head ofeach agency shall designate a single contact officer who will be responsible for overall coordination of the implementation ofthis order. Under this order, all such agencies shall retain their established institutional rolesin the implementation, interpretation, and enforcement of Federal law andpolicy.

(b)The heads ofagencies shall have lead responsibility, in coordination with other appropriate agencies, for questions concerning implementation of human rights obligations that fall within their respective operating and program responsibilities and authorities or, to the extent that matters do not fall within the operating and program responsibilities and authorities of any agency, that most closely relate to their general

areas ofconcern.

SEC. 3. Human Rights Inquiriesand Complaints. Each agency shall take lead responsibility, in coordination with other appropriate agencies, for responding to inquiries,requests for information, andcomplaints about violations ofhuman rights obligations that fall within its areas ofresponsibility or,if the matter doesnot fall within its areas ofresponsibility, referring it to the appropriate agency forresponse.

SEC. 4. Interagency Working Group on HumanRights Treaties.(a) There is hereby established an Interagency Working Group on Human Rights Treaties for the purpose ofproviding guidance, oversight, and coordination with respect to questions concerning the adherence to and implementation of human rights obligations and relatedmatters.

(b)The designee oftheAssistant to the President for National Security Affairs shall chair the Interagency Working Group, which shall consist of appropriate policy and legal representatives at the Assistant Secretary level from the Department ofState, the Department ofJustice, the Department ofLabor, the Department of Defense, the Joint Chiefs of Staff, and other agencies as the chair deems appropriate. The principal members may designate alternates to attend meetings in theirstead.

(c) The principal functions ofthe Interagency WorkingGroup shallinclude:

(i) coordinating theinteragency reviewofany significant issues concerning the implementation of this order and analysis and recommendations in connection withpursuing the ratification ofhuman rights treaties,

as such questions mayfrom time totime arise; (ii) coordinating the preparation of reports that are to be submitted by the United States in fulfillment of treaty obligations;

(iii) coordinating the responses of the United States Government to complaints against it concerning alleged human rights violations submitted to the United Nations, the Organization of American States, and other international organizations;

(iv) developing effective mechanisms to ensure that legislation proposed by the Administration is reviewed forconformity with international human rights obligations andthat these obligations are taken into account in reviewing legislation under consideration by the Congress as well;

(v) developing recommended proposals and mechanisms for improving the monitoring ofthe actions by the various States, Commonwealths, and territories of the United States and, where appropriate, of Native Americans and Federally recognized Indian tribes, including the review ofState, Commonwealth, and territorial laws for their conformity with relevant treaties, the provision of relevant information for reports and other monitoring purposes, and the promotion ofeffective remedial mechanisms;

(vi) developing plans for public outreach and education concerning the provisions of the ICCPR, CAT, CERD, and other relevant treaties, and human rightsrelated provisions ofdomesticlaw;

(vii) coordinating and directing an annual review of United States reservations, declarations, and understandings to human rights treaties, and matters as to which there have been nontrivial complaints or allegations ofinconsistency with or breach of international human rights obligations, in order to determine whether there should be consideration ofany modification of relevant reservations, declarations, and understandings
to human rights treaties, or United States practices or laws. The results and recommendations ofthis review shall be reviewed by the head of each participating agency; -

(viii)making such otherrecommendations as it shall deem appropriate to the President, through the Assistant to thePresident forNational Security Affairs, concerning United States adherence to or implementation ofhuman rights treaties andrelated matters; and

(ix) coordinating such other significant tasks in connection with human rights treaties or international human rights institutions, including the Inter-American Commission on Human Rights and the Special Rapporteurs and complaints procedures established by the United Nations Human Rights Commission.

(d) The work ofthe Interagency Working Group shall
not supplant the work ofotherinteragency entities, including the President's Committee on the International Labor Organization, that address international humanrights issues.

SEC. 5. CooperationAmong Executive Departmentsand Agencies. All agencies shall cooperate in carrying out the provisions ofthis order. The Interagency Working Group shallfacilitate such cooperative measures.

SEc. 6. JudicialReview, Scope, andAdministration. (a) Nothing in this order shall create any right orbenefit, substantive or procedural, enforceable by any party against the United States, its agencies or instrumentalities, its officers or employees, or any other person.

(b) This order does not supersede Federal statutes and does not impose anyjusticiable obligations on the executive branch.

(c) The term "treaty obligations" shall mean treaty obligations as approved bythe Senatepursuant to Article II, section 2, clause 2 ofthe United States Constitution.

(d) To the maximum extent practicable and subject
to the availability of appropriations, agencies shall
carry out theprovisions ofthis order. WILLIAM

### J. CLINTON.

Ex. ORD.No. 13132. FEDERALISM

Ex.Ord. No. 13132,Aug. 4, 1999, 64F.R. 43255, provided: 

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By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to guarantee thedivision ofgovernmental responsibilities between the national government and the States that was intended by the Framers of the Constitution, to ensure that the principles offederalism established by the Framers guide theexecutive departments and agencies in the formulation andimplementation ofpolicies, and to further the policies ofthe Unfunded Mandates Reform Act [of1995, Pub. L. 104-4, see Tables for classification], it is hereby ordered asfollows:

SECTION 1.Definitions.Forpurposes ofthis order: (a) "Policies that have federalism implications" refers to regulations, legislative comments or proposed legislation, and otherpolicy statements or actions that have substantial direct effects onthe States, on therelationship between the national government and the States, oron the distribution ofpower and responsibilitiesamong the various levels ofgovernment.

(b) "State" or "States" refer to the States of the United States ofAmerica, individually or collectively, and, where relevant, to State governments, including units of local government and other political subdivisions establishedby the States.

(c) "Agency" means any authority of the United States that is an "agency" under 44 U.S.C. 3502(1), other than those considered to be independent regulatory agencies, asdefinedin 44 U.S.C. 3502(5).

(d) "State and local officials" means elected officials ofState and local governments or their representative national organizations.

SEC. 2. FundamentalFederalismPrinciples.In formulating and implementing policies that have federalism implications, agencies shall be guided by the following fundamental federalismprinciples:

(a) Federalism is rooted in thebelief thatissues that

are not national in scope or significance are most appropriately addressed by the level ofgovernment closesttothepeople.

(b)The people ofthe Statescreated the national government and delegated to it enumerated governmental powers. All other sovereign powers, save those expressly prohibited the States by the Constitution, are reserved tothe States orto thepeople.

(c) The constitutional relationship among sovereign governments, State and national, is inherent in the very structure ofthe Constitution and is formalized in and protected by the Tenth Amendment to the Constitution.

(d) The people of the States are free, subject only to restrictions in the Constitution itself or in constitutionally authorized Acts of Congress, to define the moral,political, andlegal character oftheirlives.

(e) The Framers recognized that the States possess unique authorities, qualities, and abilities to meet the needs ofthe people and should function as laboratories ofdemocracy.

(f) The nature of our constitutional system encourages a healthy diversity in the public policies adopted by the people ofthe several States according to their

own conditions, needs, and desires. In the search for enlightened public policy, individual States and communities are free to experiment with a variety of approaches to -public issues. One-size-fits-all approaches topublicpolicyproblems can inhibit thecreation ofeffective solutions tothoseproblems.

(g) Acts ofthenational government-whether legislative, executive, or judicial in nature-that exceed the enumerated powers ofthat government under the Constitutionviolate the principle offederalism established by the Framers.

(h) Policies ofthe national government should recognize the responsibility of-and shouldencourage opportunities for-individuals, families, neighborhoods, local governments, and private associations to achieve their personal, social, andeconomic objectives through cooperative effort.

(i) The national government should be deferential to the States when taking action that affects the policymaking discretion of the States and should act only with the greatest caution where State or local governments have identified uncertainties regarding the constitutional or statutory authority ofthe national government.

SEC. 3. FederalismPolicymakingCriteria.In addition to adhering to the fundamental federalism principles set forth in section 2, agencies shall adhere, to the extent permitted by law, to the following criteria when formulating and implementing policies that have federalism implications:

(a) There shall be strict adherence to constitutional principles. Agencies shall closely examine the constitutional and statutory authority supporting any action that would limit the policymaking discretion of the States and shall carefully assess the necessity for such action. To the extent practicable, State and local officials shallbe consulted before any such action is implemented. Executive Order 12372 ofJuly 14, 1982 ("Intergovernmental Review ofFederal Programs") [31 U.S.C. 6506note] remains in effect for theprograms and activities towhich it is applicable.

(b)National action limiting the policymaking discretion of the States shall be taken only where there is constitutional and statutory authority for the action and the national activity is appropriate in light ofthe
presence ofa problem of national significance. Where there are significant uncertainties as to whether national action is authorized or appropriate, agencies shall consult with appropriate State and local officials
to determine whether Federal objectives can be attained byothermeans.

(c) With respect to Federal statutes and regulations administered by the States, the national government shall grant the States the maximum administrative discretion possible. Intrusive Federal oversight of State administration is neither necessary nor desirable.

(d) When undertaking to formulate and implement policies that have federalism implications, agencies shall: (1) encourage States to develop their own policies
to achieve program objectives and to work with appropriate officials in other States;

(2) where possible, defer to the States to establish standards;

(3) in determining whether to establish uniform national standards, consult with appropriate State and local officials as to the need for national standards and any alternatives that would limit the scope of national standards or otherwise preserve State prerogatives andauthority; and

(4) where national standards are required by Federal statutes, consult with appropriate State and local officials in developing those standards. SEC. 4. SpecialRequirementsfor Preemption.Agencies, in taking action that preempts State law, shall act in strict accordance withgoverning law.

(a) Agencies shall construe, in regulations and otherwise, a Federal statute to preempt State law only where the statute contains an express preemption provision or there is some other clear evidence that the Congress intended preemption of State law, or where the exercise of State authority conflicts with the exercise ofFederal authority underthe Federal statute.

(b) Where a Federal statute does not preempt State law (as addressed in subsection (a) of this section), agencies shall construe any authorization in the statute for the issuance of regulations as authorizing preemption of State lawby rulemaking only when the exercise ofState authority directly conflicts withthe exercise of Federal authority under the Federal statute

or thereis clear evidence to conclude that theCongress intended the agency to have the authority to preempt Statelaw.

(c) Any regulatory preemption of State law shall be restricted to the minimum level necessary to achieve the objectives ofthe statute pursuant to which the regulations arepromulgated.

(d) When an agency foresees the possibility ofa conflict between State law and Federally protected inter- 

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### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

ests within its area of regulatory responsibility, the
agency shall consult, to the extent practicable, with appropriate State and local officials in an effort to avoid such a conflict.

(e) When an agency proposes to act through adjudication or rulemaking to preempt State law, the agency shall provide all affected State and local officials notice and anopportunity for appropriate participation in the proceedings.

SEC. 5. SpecialRequirementsfor Legislative Proposals. Agencies shall not submit to the Congress legislation that would:

(a) directly regulate the States in ways thatwould either interfere with functions essential to the States' separate and independent existence or be inconsistent with the fundamental federalism principles in section 2; (b) attach to Federal grants conditions that are not reasonably relatedto thepurpose ofthe grant; or

(c) preempt State law, unless preemption is consistent with the fundamental federalism principles set forth in section 2, and unless a clearly legitimate national purpose, consistent with the federalism policymaking criteria setforth in section3, cannot otherwise be met.

SEC. 6. Consultation. (a) Each agency shallhave an accountable process to

ensure meaningful and timely inputby State and local officials in the development ofregulatory policies that have federalism implications. Within 90 days after the effective date of this order, the head of each agency shall designate an official withprincipal responsibility for the agency's implementation ofthis order and that designated official shall submit to the Office of Management and Budget a description of the agency's consultation process.

(b) To the extent practicable and permitted by law,

no agency shall promulgate any regulation that has federalism implications, that imposes substantial direct compliance costs on State and localgovernments, and thatis notrequiredbystatute, unless: (1)funds necessary to pay the direct costs incurred by the State and local governments in complying with the regulation areprovided by the Federal Government; or

(2) the agency, prior to the formal promulgation of the regulation, (A) consulted with State and local officials early in the process of developing the proposed regulation;

(B) in a separately identified portion of the preamble to the regulation as it is to be issued in the Federal Register, provides totheDirector oftheOffice ofManagement and Budget a federalism summary impact statement, which consists of a description of the extent of the agency's prior consultation with State and local officials, a summary ofthe nature oftheir concerns and the agency's position supporting the need to issue the regulation, and a statement of the extent to which the concerns of State and local officials have been met; and

(C) makes available to the Director ofthe Office of Management and Budget any written communications submitted to the agency by State and local officials. (c) To the extent practicable and permitted by law,

no agency shall promulgate any regulation that has federalism implications and that preempts State law, unless the agency, prior to the formal promulgation of theregulation, (1) consulted with State and local officials early in theprocess ofdeveloping the proposedregulation;

(2) in a separately identified portion of the preamble to the regulation as it is to be issued in the Federal Register, provides to the Director ofthe Office of Management and Budget a federalism summary impact statement, which consists of a description ofthe extent of the agency's prior consultation with State and local officials, a summary ofthe nature oftheir concerns and the agency's position supporting theneed to issue the regulation, and a statement of the extent to which the concerns of State and local officials have been met; and

(3) makes available to the Director ofthe Office of Management and Budget any written communications submittedto the agency by State and local officials. SEC. 7. IncreasingFlexibilityfor Stateand Local Waivers.

(a) Agencies shall review the processes under which State and local governments apply for waiversof statutoryand regulatory requirements and take appropriate steps to streamline thoseprocesses.

(b) Each agency shall, to the extent practicable and permitted by law, consider any application by a State for a waiver ofstatutory orregulatory requirements in connection with any program administered by that
agency with a general view toward increasing opportunities for utilizing flexible policy approaches at the State or local level in cases in which the proposed waiver is consistent with applicable Federal policy objectives andis otherwise appropriate.

(c) Each agency shall, to the extent practicable and permitted by law, render a decision upon a complete application for a waiver within 120 days of receipt of such application bythe agency. If the application for a waiveris not granted, the agency shall provide the applicant with timely written notice of the decision and thereasons therefor.

(d) This section applies only to statutory or regulatory requirements that are discretionary and subject
towaiver bythe agency.

SEC. 8. Accountability. (a) In transmitting any draft final regulation that has federalism implications to the Office of Management and Budget pursuant to Executive Order 12866 of September 30, 1993 [set outabove], each agency shallinclude a certification from the official designated to ensure compliance with this order stating that the requirements ofthis orderhave been metin a meaningful and timely manner.

(b) In transmitting proposed legislation that has federalism implications to the Office of Management and Budget, each agency shall include a certification from the official designated to ensure compliance with this order that all relevant requirements ofthis order have been met.

(c) Within 180 days after the effective date of this order, the Director of the Office of Management and Budget and theAssistant tothe Presidentfor Intergovernmental Affairs shall confer with State and local officials to ensure that this order is being properly and effectively implemented.

SEC.9. IndependentAgencies. Independent regulatory agencies are encouraged to comply with the provisions ofthisorder.

SEC. 10. GeneralProvisions. (a)This order shall supplement but not supersede the requirements contained in Executive Order 12372 ("Intergovernmental Review ofFederal Programs") [31 U.S.C. 6506 note], Executive Order 12866 ("Regulatory Planning and Review") [set out above], Executive Order 12988 ("Civil Justice Reform" [28 U.S.C. 519 note]), and
OMBCircular A-19.

(b) Executive Order 12612 ("Federalism"), Executive Order 12875 ("Enhancing the Intergovernmental Partnership"), Executive Order 13083 ("Federalism"), and Executive Order 13095 ("Suspension ofExecutive Order 13083") arerevoked.

(c) This order shallbe effective 90days after the date ofthisorder.

SEC. 11. JudicialReview. This order is intended only to improve the internal management of the executive branch, andis not intendedto create any right orbenefit, substantive or procedural, enforceable at law by a party against the United States, its agencies, its officers, orany person. WILLIAM J. CLINTON. 

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### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

Ex. ORD. No. 13198. AGENCY RESPONSIBILITIES WITH
RESPECT TO FAITH-BASED AND COMMUNITY INITIATIVES

Ex. Ord. No. 13198, Jan. 29, 2001, 66 F.R. 8497, provided: By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to helpthe Federal Government coordinate anational effort to expand opportunities for faith-based and other community organizations and to strengthen their capacity tobetter meet social needs in America's communities, it is hereby ordered as follows:

SECTION 1.EstablishmentofExecutiveDepartmentCentersfor Faith-Basedand Community Initiatives.(a) The Attorney General, the Secretary ofEducation, the Secretary of Labor, the Secretary of Health and Human Services, and the Secretary ofHousing and Urban Development shall each establish within their respective departments a Center for Faith-Based and Community Initiatives (Center).

(b) Each executive department Center shall be supervised by a Director, appointed by the department head in consultation with the White House Office of FaithBased and Community Initiatives (White House OFBCI).

(c) Each department shall provide itsCenter with appropriate staff, administrative support, and other resources to meetitsresponsibilities underthis order.

(d) Each department's Center shall begin operations

no laterthan 45days from thedate ofthisorder.

SEC. 2. Purpose ofExecutive Department Centersfor Faith-Basedand Community Initiatives.The purpose of the executive department Centerswill be to coordinate department efforts to eliminate regulatory, contracting, and otherprogrammatic obstacles to theparticipation offaith-based and other community organizations in the provision ofsocial services.

SEC. 3. ResponsibilitiesofExecutiveDepartmentCenters for Faith-Basedand Community Initiatives.Each Center shall, to the extent permitted by law: (a) conduct, in coordination with the White House OFBCI, a department-wide audit to identify all existing barriers to the participation offaith-based and other community organizations in the delivery of social services by the department, including but not limited to regulations, rules, orders, procurement, and other internal policies and practices, and outreach activities that either facially discriminate against or otherwise discourage

or disadvantage the participation of faith-based and other community organizations in Federal programs;

(b)coordinate a comprehensive departmental effort
to incorporate faith-based and other community organizations in department programs and initiatives to thegreatest extent possible;

(c) propose initiatives to remove barriers identified pursuant to section 3(a) ofthis order, including but not limited to reform of regulations, procurement, and other internal policies and practices, and outreach activities;

(d) propose the development of innovative pilot and demonstration programs to increase the participation of faith-based and other community organizations in Federal aswell as State andlocalinitiatives; and

(e) develop and coordinate department outreach efforts to disseminate information more effectively to faith-based and other community organizations with respect toprogramming changes, contracting opportunities, and other department initiatives, including but
not limitedto Web and Internetresources.

SEC. 4. AdditionalResponsibilitiesof theDepartmentof HealthandHumanServices andthe DepartmentofLabor Centers.In addition to those responsibilities described in section 3 ofthis order, the Department ofHealth and Human Services and theDepartment ofLabor Centers shall, to the extent permitted by law: (a) conduct a comprehensive review ofpolicies and practices affecting existing funding streams governed by so-called "Charitable Choice" legislation to assess the department's compliance with the requirements ofCharitable Choice; and (b)promote and ensure compliance withexisting Charitable Choice legislation bythe department, as well as its partners in State and local government, and their contractors.

SEC. 5. ReportingRequirements. (a) Report. Not later than 180 days after the date ofthis order and annually thereafter, each ofthe five executive department Centers described in section 1 ofthis order shall prepare and submit areport to theWhite HouseOFBCI.

(b) Contents.The report shall includea description of the department's efforts in carrying out itsresponsibilities under thisorder, including but not limited to: (1) a comprehensive analysis ofthe barriers to the full participation offaith-based andother community organizations in the delivery of social services identifiedpursuant to section 3(a) ofthis order and the proposed strategies to eliminate those barriers; and

(2) a summary ofthe technical assistance and other information that will be available to faith-based and other community organizations regarding the program activities ofthe department and the preparation ofapplications or proposals for grants, cooperative agreements, contracts,and procurement. (c) Performance Indicators. The first report, filed 180 days after the date ofthis order, shall include annual performance indicators and measurable objectives for department action. Each report filed thereafter shall

measure the department's performance against the objectives setforth in the initial report.

SEC. 6. ResponsibilitiesofAll ExecutiveDepartmentsand Agencies. All executive departments and agencies (agencies) shall: (a) designate an agency employee to serve

as the liaison and point of contact with the White House OFBCI; and

(b) cooperate with the White House OFBCI and provide such information, support, and assistance to the White House OFBCI as it may request, to the extent permitted bylaw.

SEC. 7. Administration and JudicialReview. (a) The agencies' actions directedby thisExecutive Order shall be carried out subject to the availability ofappropriations and tothe extent permittedby law.

(b) This order does not create any right or benefit, substantive orprocedural, enforceable at law or equity against the United States, its agencies or instrumentalities, itsofficers or employees, or any other person. GEORGEW. BUSH.

EX. ORD. No. 13272. PROPER CONSIDERATION OF SMALL ENTITIESINAGENCY RULEMAKING

Ex. Ord. No. 13272, Aug. 13, 2002, 67 F.R. 53461, provided:

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. GeneralRequirements.Eachagency shallestablish procedures and policies to promote compliance with the Regulatory Flexibility Act, as amended (5 U.S.C. 601 et seq.) (the "Act"). Agencies shall thoroughly review draft rules to assess and take appropriate account of the potential impact on small businesses, small governmental jurisdictions, and small organizations, as provided by the Act. The ChiefCounsel for Advocacy of the Small Business Administration (Advocacy) shall remain available to advise agencies in performing that review consistent with the provisions ofthe Act.

SEC. 2. Responsibilities ofAdvocacy. Consistent with therequirements ofthe Act, other applicable law, and Executive Order 12866 ofSeptember 30, 1993, as amended [setout above], Advocacy:

(a) shallnotify agency headsfrom time totime ofthe requirements ofthe Act, including by issuing notifications withrespect to the basicrequirements ofthe Act within90days ofthedate ofthisorder;

(b) shall provide training to agencies on compliance with theAct; and

(c) may provide commenton draftrules tothe agency thathasproposed orintendstopropose therules and to the Office ofInformation and Regulatory Affairs ofthe Office ofManagement andBudget (OIRA). 

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SEC. 3. ResponsibilitiesofFederalAgencies. Consistent with the requirements ofthe Act and applicable law, agencies shall:

(a) Within 180 days of the date of this order, issue written procedures and policies, consistent with the Act, to ensure that the potential impacts of agencies' draft rules on small businesses, small governmental jurisdictions, and small organizations are properly considered during the rulemaking process. Agency heads shall submit, no later than90 daysfrom thedate ofthis order, their written procedures and policies to Advocacyforcomment. Prior toissuing final procedures and policies, agencies shall consider any such commentsreceived within 60 days from the date ofthe submission of the agencies' procedures and policies to Advocacy. Except to the extent otherwise specifically provided by
statute or Executive Order, agencies shall make the final procedures and policies available to the public through the Internet or other easily accessible means;

(b) Notify Advocacy ofany draftrules thatmay have

a significant economic impact on a substantial number of small entities under the Act. Such notifications shall be made (i) when the agency submits a draft rule
to OIRA under Executive Order 12866 [set out above] if that order requires such submission, or (ii) if no submission to OIRA is so required, at a reasonable time prior topublication oftherule bythe agency; and

(c) Give every appropriate consideration to any comments provided by Advocacy regarding a draft rule. Consistent with applicable law and appropriate protection ofexecutive deliberations and legal privileges, an agency shall include, in any explanation or discussion accompanying publication in the Federal Register ofa final rule, the agency's response to any written comments submitted by Advocacy on the proposed rule that preceded the final rule; provided, however, that such inclusion is not required if the head ofthe agency certifies that the public interest is not served thereby. Agencies and Advocacy may, to the extent permitted by law, engage in an exchange ofdata and research, as appropriate, tofoster thepurposes oftheAct.

SEC. 4. Definitions. Terms defined in section 601 of title 5, United States Code, including the term "agency," shallhave the same meaningin this order.

SEC. 5. PreservationofAuthority.Nothingin this order shall be construed to impair or affect the authority of the Administrator of the Small Business Administration to supervise the Small Business Administration as provided in the first sentence ofsection 2(b)(1) ofPublic Law 85-09536 [Pub.L. 85-536] (15 U.S.C. 633(b)(1)).

SEC. 6. Reporting. For the purpose ofpromoting compliance with this order, Advocacy shall submit areport not less than annually to the Director ofthe Office of Management and Budget on the extent of compliance with this order byagencies.

SEC. 7. Confidentiality.Consistent with existing law, Advocacy maypublicly disclose information that it receives from the agencies in the course of carrying out this order only to the extent that such information already hasbeen lawfully and publicly disclosed by OIRA

ortherelevant rulemaking agency.

SEC. 8. JudicialReview. This order is intended only to improve the internal management ofthe Federal Government. This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable atlaw or equity, against theUnited States, itsdepartments, agencies, or other entities, its officers

oremployees, or any otherperson. GEORGE W. BUSH.

Ex. ORD. No. 13279. EQUAL PROTECTION OFTHELAWS FOR FAITH-BASED ANDOTHER NEIGHBORHOOD ORGANIZATIONS

Ex. Ord. No. 13279, Dec. 12, 2002, 67 F.R. 77141, as amended by Ex. Ord. No. 13403, §2, May 12, 2006, 71 F.R. 28543; Ex. Ord. No. 13559, Nov. 17, 2010, 75F.R. 71319, provided:

By the authority vested in me as President by the Constitution and the laws of the United States of America, including section 121(a) of title 40, United States Code, and section 301 of title 3, United States Code, and in order to guide Federal agencies in formulating and developing policies with implications for faith-based organizations and other other [sic] neighborhood organizations, to ensure equal protection of the laws for faith-based andotherneighborhood organizations, to further the national effort to expand opportunitiesfor, andstrengthen the capacity of; faith-based and other other [sic] neighborhood organizations so that they may better meet social needs in America's communities, and to ensure the economical and efficient administration and completion of Government contracts,it is hereby ordered asfollows:

SECTION 1.Definitions.Forpurposes ofthis order: (a) "Federal financial assistance" means assistance that non-Federal entities receive or administer in the form ofgrants, contracts, loans, loan guarantees, property, cooperative agreements, food commodities, direct appropriations, or other assistance, but does not include a taxcredit, deduction, orexemption.

(b) "Social service program" means aprogram that is administeredby the Federal Government, orby a State

orlocal government using Federal financial assistance, andthat provides services directed atreducing poverty, improving opportunities for low-income children, revitalizing low-income communities, empowering low-income families and low-income individuals to become self-sufficient, or otherwise helping people in need. Such programs include, but are not limited to, the following: (i) child care services, protective services for children and adults, services for children and adults in foster care, adoption services, services related to the management and maintenance ofthe home, day care services for adults, and services to meet the special needs of children, older individuals, and individuals with disabilities (includingphysical, mental, or emotional disabilities);

(ii) transportation services; (iii)job training and related services, and employment services;

(iv) information, referral, and counseling services; (v) the preparation and delivery of meals and services relatedto soup kitchens orfoodbanks;

(vi)health support services; (vii) literacy and mentoring programs; (viii) services for the prevention and treatment of juvenile delinquency and substance abuse, services for the prevention of crime and the provision ofassistance to the victims and the families of criminal offenders, andservices related to intervention in, and prevention of, domestic violence; and

(ix) services related to the provision ofassistance for housingunder Federal law. (c) "Policies that have implications for faith-based and other neighborhood organizations" refers to all policies, programs, and regulations, including official guidance and internal agency procedures, thathave significant effects on faith-based organizations participating in or seeking to participate in social service programs supported withFederalfinancial assistance.

(d) "Agency" means a department or agency in the executive branch.

(e) "Specified agency heads" means: (i) the Attorney General; (ii) the Secretary ofAgriculture; (iii)the Secretary ofCommerce; (iv) the Secretary ofLabor; (v)the Secretary ofHealth andHuman Services; (vi) the Secretary of Housing and Urban Development;

(vii) the Secretary ofEducation; (viii)the Secretary ofVeterans Affairs; (ix) the Secretary ofHomeland Security; (x) the Administrator of the Environmental ProtectionAgency;

(xi) the Administrator ofthe Small Business Administration;

(xii) the Administrator of the United States Agency for International Development; and 

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(xiii) the Chief Executive Officer ofthe Corporation for National and Community Service.

SEC. 2. FundamentalPrinciples. In formulating and implementing policies that have implications for faithbased and other neighborhood organizations, agencies thatadminister social service programs orthat support (including through prime awards or sub-awards) social service programs with Federal financial assistance shall, to the extent permitted by law,be guided by the following fundamental principles:

(a) Federal financial assistance for social service programs should be distributed in the most effective and efficientmanner possible.

(b) The Nation's social service capacity willbenefit if all eligible organizations, including faith-based and other neighborhood organizations, are able to compete

on an equal footing for Federal financial assistance used to support social serviceprograms.

(c) No organization should be discriminated against

on thebasis ofreligion orreligious beliefin the administration ordistribution ofFederal financial assistance undersocial service programs.

(d) All organizations that receive Federal financial assistance under social service programs should beprohibited from discriminating against beneficiaries or prospective beneficiaries ofthe social service programs

on thebasis ofreligion or religious belief.Accordingly, organizations, in providing services supported in whole

or in part with Federal financial assistance, and in their outreach activities related to such services, should not be allowed to discriminate against current

or prospective program beneficiaries on thebasis ofreligion, a religious belief, a refusal to hold a religious belief, or a refusal to attend or participate in a religiouspractice.

(e) The Federal Government mustimplement Federal programs in accordance with the Establishment Clause and the Free Exercise Clause ofthe First Amendment
to the United States Constitution, as well as other applicable law, and must monitor and enforce standards regarding the relationship between religion and government in ways that avoid excessive entanglement betweenreligious bodies and governmental entities.

(f) Organizations that engage in explicitly religious activities (including activities that involve overt religious content such as worship, religious instruction, or proselytization) must perform such activities and offer such services outside of programs that are supported with direct Federal financial assistance (including through prime awards or sub-awards), separately in time or location from any such programs or services supported with direct Federal financial assistance, and participation in any such explicitly religious activities must be voluntary for the beneficiaries of the social service program supported with such Federal financial assistance.

(g) Faith-based organizations should be eligible to compete for Federal financial assistance used to support social service programs and toparticipate fully in the social service programs supported with Federal financial assistance without impairing their independence, autonomy, expression outside the programs in question, or religious character. Accordingly, a faithbased organization that applies for, or participates in,

a social service program supported with Federal financial assistance may retain its independence and may continue to carry out its mission, including the definition, development, practice, and expression ofits religious beliefs, provided that it does not use direct Federal financial assistance that it receives (including through a prime award or sub-award) to support or engage in any explicitly religious activities (including activities that involve overt religious content such as worship,religious instruction, or proselytization), orin any other manner prohibited by law. Among other things, faith-based organizations that receive Federal financial assistance may usetheir facilities to provide social services supported with Federal financial assistance, without removing or altering religious art,icons, scriptures, or other symbols from these facilities. In addition, a faith-based organization that applies for,or participates in, a social service program supported with Federal financial assistance may retain religious terms in its name, select its board members on a religious basis, and include religious references in its organization's mission statements and other chartering orgoverning documents.

(h) Each agency responsible for administering or awarding Federal financial assistance for social service
programs shall offer protections for beneficiaries of such programspursuant tothe following principles:

(i) Referral toan AlternativeProvider.If a beneficiary

or prospective beneficiary of a social service program supported by Federal financial assistance objects tothe religious character of an organization that provides services under the program, that organization shall, within a reasonable time after the date of the objection,refer thebeneficiary to an alternative provider.

(ii) Agency Responsibilities.Each agency responsible for administering a social service program or supporting a social service program with Federal financial assistance shall establish policies and procedures designed to ensure that (1) appropriate and timely referrals are made to an alternative provider; (2) all referrals are made in a manner consistent with all applicable privacy laws and regulations; (3) the organization subject to subsection (h)(i) notifies the agency ofany referral; (4) such organization has established a process for determining whether the beneficiary has contacted the alternative provider; and (5) each beneficiary of a social service program receives written notice of the protections set forth in this subsection prior to enrollingin or receiving services from such program.

(i) To promote transparency and accountability, agencies that provide Federal financial assistance for social service programs shall post online, in an easily accessible manner, regulations, guidance documents, and policies that reflect or elaborate upon the fundamental principles described in this section. Agencies shall alsopost online a list ofentities thatreceive Federal financial assistance forprovision ofsocial service programs, consistent with law and pursuant to guidance setforth in paragraph (c) ofsection 3 ofthis order.

(j)Decisions about awards ofFederal financial assistance must be free from political interference or even the appearance ofsuch interference and must be made

on the basis of merit, not on the basis ofthe religious affiliation ofa recipient organization orlackthereof.

SEC. 3. Ensuring Uniform Implementation Across the FederalGovernment.In order to promote uniformity in agencies' policies that have implications for faithbased and other neighborhood organizations and in related guidance, and to ensure that those policies and guidance are consistent with the fundamental principlesset forthin section 2 ofthis order, there is established an Interagency Working Group on Faith-Based and OtherNeighborhood Partnerships (Working Group).

(a) Mission and Functionof the Working Group. The Working Group shall meet periodically to review and evaluate existing agency regulations, guidance documents, and policies that have implications for faithbased and other neighborhood organizations. Where appropriate, specified agency heads shall, to the extent permitted by law, amend all such existing policies of their respective agencies to ensure that they are consistent with the fundamental principles set forth in section 2 ofthis order.

(b) UniformAgency Implementation.Within 120 days of the date ofthis order, theWorking Group shall submit

a report to the President on amendments, changes, or additions that are necessary toensure that regulations and guidance documents associated with the distribution of Federal financial assistance for social service programs are consistent with the fundamental principles set forth in section 2 ofthis order. The Working Group's report should include, but not be limited to, a model set of regulations and guidance documents for agencies to adopt in thefollowing areas:

(i) prohibited uses ofdirect Federal financial assistance and separation requirements; (ii) protections for 

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religious identity; (iii)thedistinction between "direct" and "indirect" Federal financial assistance; (iv) protections for beneficiaries of social service programs; (v) transparency requirements, consistent with and in furtherance of existing open government initiatives; (vi) obligations of nongovernmental and governmental intermediaries; (vii) instructions forpeerreviewers and those who recruit peerreviewers; and (viii)training on these matters for government employees and for Federal, State, and local governmental and nongovernmental organizations that receive Federal financial assistance under social service programs. In developing this report and in reviewing agency regulations and guidance for consistency with section 2 of this order, the Working Group shall consult the March 2010 report and recommendations prepared by the President's Advisory Council on Faith-Based and Neighborhood Partnerships on the topic ofreforming the Office ofFaithBasedand Neighborhood Partnerships.

(c) Guidance. The Director of the Office of Management and Budget (OMB), following receipt ofa copy of the report of the Working Group, and in coordination withthe Department ofJustice, shall issue guidance to agencies ontheimplementation ofthis order, including in particularsubsections 2(h)-(j).

(d) Membership ofthe Working Group.The Director of the Office of Faith-Based and Neighborhood Partnerships and a senior official from the OMB designated by the Director ofthe OMB shall serve as the Co-Chairs of the Working Group. The Co-Chairs shall convene regular meetings oftheWorking Group, determine its agenda, and direct its work. In addition to the Co-Chairs, the Working Group shall consist of a senior official with knowledge of policies that have implications for faith-based and other neighborhood organizations from thefollowing agencies and offices:

(i) theDepartment ofState; (ii) the Department ofJustice; (iii)theDepartment oftheInterior; (iv) theDepartment ofAgriculture; (v) the Department ofCommerce; (vi) theDepartment ofLabor; (vii) the Department ofHealth and Human Services; (viii) the Department ofHousing and Urban Development;

(ix) theDepartment ofEducation; (x)the DepartmentofVeterans Affairs; (xi) theDepartment ofHomeland Security; (xii) theEnvironmental Protection Agency; (xiii) the Small BusinessAdministration; (xiv) the United States Agency for International Development;

(xv) the Corporation for National and Community Service; and

(xvi) other agencies and offices asthePresident, from time totime, maydesignate.

(e) Administrationofthe Initiative.The Department of Health and Human Services shall provide funding and administrative support for the Working Group to the
extent permitted by law and within existing appropriations.

SEC. 4.Amendment ofExecutive Order11246. Pursuant to section 121(a) oftitle 40, United States Code, andsection 301 oftitle 3, United States Code, and in order to further thestrong Federal interestin ensuring that the cost and progress of Federal procurement
contracts are not adversely affected by an artificial restriction ofthe labor pool caused by the unwarranted exclusion of faith-based organizations from such contracts, section 204 ofExecutive Order 11246 of September24, 1965, as amended, [42 U.S.C. 2000enote] is hereby further amended toread as follows:

"SEC. 204 (a) The Secretary ofLabor may, when the Secretary deems that special circumstances in the national interest sorequire, exempt a contracting agency from the requirement ofincluding any or all oftheprovisions ofSection 202 ofthis Order in any specific contract, subcontract, orpurchase order.

(b) The Secretary ofLabor may, by rule or regulation, exempt certain classes ofcontracts, subcontracts, or purchase orders (1) whenever work is to be or has been performed outside the United States and no recruitment of workers within the limits of the United States is involved; (2) for standard commercial supplies

or raw materials; (3) involving less than specified
amounts ofmoney or specified numbers ofworkers; or (4) to the extent that they involve subcontracts below

a specified tier.

(c) Section 202 ofthis Order shall not apply toa Government contractor orsubcontractor that is a religious corporation, association, educational institution, or society, with respect tothe employment ofindividuals of

a particular religion to perform work connected with the carrying on by such corporation, association, educational institution, or society of its activities. Such
contractors and subcontractors are notexempted or excused from complying withthe otherrequirements contained in thisOrder.

(d) The Secretary ofLabor may also provide, byrule, regulation, or order, for the exemption of facilities of

a contractor that are in all respects separate and distinct from activities of the contractor related to the performance ofthecontract: provided, that such an exemption will not interfere with or impede the effectuation ofthe purposes ofthis Order: and provided further, that in the absence of such an exemption all facilities shall be covered by the provisions of this Order."

SEC. 5. GeneralProvisions. (a) This order supplements but doesnot supersede the requirements contained in Executive Orders 13198 [set out above] and 13199 [3U.S.C. note prec. 101] ofJanuary 29, 2001.

(b) The agencies shall coordinate with the White House OFBCI concerning the implementation of this order.

(c) Nothingin thisorder shall be construedto require

an agency to take any action that would impair the conduct offoreignaffairs orthe national security.

SEC. 6. Responsibilitiesof Executive Departmentsand Agencies. All executive departments and agencies (agencies) shall:

(a) designate an agency employee to serve asthe liaison and point ofcontact with the White House OFBCI; and

(b) cooperate with the White House OFBCI and provide such information, support, and assistance to the White House OFBCI as it may request, to the extent permitted bylaw.

SEC. 7. JudicialReview. This order is intended only to improve the internal management ofthe executive branch, and it is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equityby a party against the United States, its agencies,

or entities, its officers, employees or agents, or any person.
Ex. ORD.NO. 13280. RESPONSIBILITIES OF THE DEPARTMENT OF AGRICULTURE AND THE AGENCY FOR INTERNATIONAL DEVELOPMENT WITH RESPECT TO FAITHBASEDAND COMMUNITY INITIATIVES

Ex. Ord. No. 13280, Dec. 12, 2002, 67 F.R. 77145, provided:

By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order tohelp the Federal Government coordinate anational effort to expand opportunities for faith-based and other community organizations and to strengthen their capacity tobettermeet socialneeds in America's communities, it is hereby ordered as follows:

SECTION 1.EstablishmentofCenters for Faith-Based and Community Initiatives at the Departmentof Agriculture and the Agency for InternationalDevelopment. (a) The Secretary of Agriculture and the Administrator ofthe Agency for International Development shall each establish within their respective agencies a Center for Faith-Based and Community Initiatives (Center).

(b)Each ofthese Centers shallbe supervised by a Director, appointed by the agency head in consultation 

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with the White House Office ofFaith-Based and CommunityInitiatives (White House OFBCI).

(c) Each agency shallprovide its Center with appropriate staff, administrative support, and other resources to meet itsresponsibilities underthis order.

(d) Each Center shallbegin operations no later than 45daysfrom the date ofthis order.

SEC. 2. PurposeofExecutive Branch Centers for FaithBased and Community Initiatives. The purpose of the
agency Centers will be to coordinate agency efforts to eliminate regulatory, contracting, and other programmatic obstacles to theparticipation offaith-based and other community organizations in the provision of social services.

SEC. 3. Responsibilitiesof the Centersfor Faith-Based andCommunityInitiatives.Each Center shall, to theextent permittedbylaw:

(a) conduct, in coordination with the White House OFBCI, an agency-wide audit to identify all existing barriers to the participation offaith-based and other community organizations in the delivery ofsocial servicesby the agency,including but not limited toregulations, rules, orders, procurement, and other internal policies and practices, and outreach activities that either facially discriminate against orotherwise discourage or disadvantage the participation of faith-based and other community organizations in Federal programs;

(b) coordinate a comprehensive agency effort to incorporate faith-based and other community organizations in agency programs and initiatives to the greatestextent possible;

(c) propose initiatives to remove barriers identified pursuant to section 3(a) ofthisorder, including but not limited to reform of regulations, procurement, and other internal policies and practices, and outreach activities;

(d) propose the development of innovative pilot and demonstration programs to increase the participation of faith-based and other community organizations in Federal aswellas State andlocal initiatives; and

(e) develop and coordinate agency outreach efforts to disseminate information more effectively to faithbased and other community organizations with respect to programming changes, contracting opportunities, and other agency initiatives, including but notlimited
to Web andInternet resources.

SEC. 4. ReportingRequirements. (a) Report. Not later than 180 days from the date of this order and annually thereafter, each ofthetwo Centers described in section 1 of this order shall prepare and submit areport tothe White HouseOFBCI.

(b) Contents.The report shallinclude a description of the agency's efforts in carrying out its responsibilities under thisorder, includingbut not limitedto: (i) a comprehensive analysis ofthe barriers to the fullparticipation offaith-based and other community organizations in the delivery ofsocial services identifiedpursuant to section 3(a) ofthis orderand the proposed strategies to eliminate those barriers; and

(ii) a summary of the technical assistance and other information that will be available to faithbased and other community organizations regarding the program activitiesofthe agency and the preparation of applications or proposals for grants, cooperative agreements,contracts, andprocurement. (c) PerformanceIndicators.The first report, filed 180 days after the date ofthis order, shall include annual performance indicators and measurable objectives for
agency action. Each report filed thereafter shall measure the agency's performance againstthe objectives set forthin the initialreport.

SEC. 5. Responsibilitiesof the Secretary ofAgriculture and theAdministratoroftheAgencyforInternationalDevelopment. The Secretary and the Administrator shall:

(a) designate an employee within their respective agencies to serve as the liaison and point of contact withthe White House OFBCI; and

(b) cooperate with the White House OFBCI and provide such information, support, and assistance to the White House OFBCI as it may request, to the extent permitted bylaw.

SEC. 6. Administration and JudicialReview. (a) The agency actions directedby this executive order shall be carried out subject to the availability of appropriations and to the extent permittedby law.

(b) This order is not intended to, and doesnot, create any right orbenefit, substantive orprocedural, enforceable at law or equity by a party against the United States, its agencies, or entities, its officers, employees

or agents, or any otherperson. GEORGE W.BUSH.

Ex. ORD. No. 13342. RESPONSIBILITIES OF THE DEPARTMENTS OFCOMMERCE AND VETERANS AFFAIRS AND THE SMALL BUSINESS ADMINISTRATION WITH RESPECT TO FAITH-BASED ANDCOMMUNITY INITIATIVES

Ex. Ord. No. 13342, June 1, 2004, 69F.R.31509, provided: By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order tohelp the Federal Government coordinate a national effort to expand opportunities for faith-based and other community organizations and to strengthen their capacity tobetter meet America's social and community needs, it is hereby ordered as follows:

SECTION 1.EstablishmentofCenters for Faith-Based and CommunityInitiativesattheDepartmentsofCommerceand VeteransAffairs andthe SmallBusinessAdministration.

(a)TheSecretaries ofCommerce and Veterans Affairs and the Administrator ofthe Small Business Administration shall each establish within their respective agencies a Center for Faith-Based and Community Initiatives (Center).

(b)Each ofthese Centers shallbe supervised by a Director, appointed by the agency head in consultation with the White House Office of Faith-Based and CommunityInitiatives (White House OFBCI).

(c) Each agency shall provide its Center with appropriate staff, administrative support, and other resourcesto meetitsresponsibilities under this order.

(d) Each Center shall begin operations no later than 45days from the date ofthisorder.

SEC. 2. PurposeofExecutive Branch Centersfor FaithBased and Community Initiatives.The purpose of the agency Centers will be to coordinate agency efforts to eliminate regulatory, contracting, and other programmatic obstacles tothe participation offaith-based and other community organizations in theprovision of socialand community services.

SEC. 3. Responsibilitiesof the Centersfor Faith-Based andCommunity Initiatives.Each Center shall, to the extent permitted bylaw:

(a) conduct, in coordination with the White House OFBCI, an agency-wide audit to identify all existing barriers to the participation of faith-based and other community organizations in the delivery ofsocial and community services by the agency, including but not limited to regulations, rules, orders, procurement, and other internal policies and practices, and outreach activities that either facially discriminate against or otherwise discourage or disadvantage the participation of faith-based and other community organizations in Federalprograms;

(b) coordinate a comprehensive agency effort to incorporate faith-based and other community organizations in agency programs and initiatives to the greatestextent possible;

(c) propose initiatives to remove barriers identified pursuant to section 3(a) ofthis order, including but not limited to reform of regulations, procurement, and other internal policies and practices, and outreach activities;

(d) propose the development of innovative pilot and demonstration programs to increase the participation of faith-based and other community organizations in Federal as wellas State and localinitiatives; and

(e) develop and coordinate agency outreach efforts to disseminate information more effectively to faith

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based and other community organizations with respect
to programming changes, contracting opportunities, and other agency initiatives, including but not limited
toWeb andInternet resources.

SEC. 4. ReportingRequirements. (a) Report. Not later than 180 days from the date ofthis order and annually thereafter, each of the three Centers described in section 1 ofthis order shallprepare andsubmit areport to the President through theWhite House OFBCI.

(b) Contents.Thereport shallinclude a description of the agency's efforts in carrying out its responsibilities under thisorder, includingbut notlimitedto: (i) a comprehensive analysis ofthe barriers to the full participation offaith-based and other community organizations in the delivery of social and community services idefitified pursuant to section 3(a) of this order and the proposed strategies to eliminate thosebarriers; and

(ii) a summary of the technical assistance and other information that will be available to faithbased and other community organizations regarding theprogram activities ofthe agency and thepreparation of applications or proposals for grants, cooperativeagreements, contracts, andprocurement. (c) PerformanceIndicators.The first report, filed pursuant to section 4(a) ofthis order, shall include annual performance indicators and measurable objectives for
agency action. Each report filed thereafter shall measurethe agency's performance against the objectives set forthin the initial report.

SEC. 5. Responsibilitiesof the Secretaries of Commerce and VeteransAffairs and the Administratorofthe Small BusinessAdministration.The Secretaries andthe Administrator shall:

(a) designate an employee within their respective agencies to serve as the liaison and point of contact withtheWhite House OFBCI; and

(b) cooperate with the White House OFBCI and provide such information, support, and assistance to the White House OFBCI as it may request, to the extent permitted bylaw.

SEC. 6. Administration and JudicialReview. (a) The
agency actions directedby this executive ordershall be carried outsubject tothe availability ofappropriations andto the extent permitted by law.

(b) This order is not intendedto, and does not,create any right orbenefit, substantive orprocedural, enforceable at law or in equity by a party against the United States, its departments, agencies, instrumentalities or entities, its officers, employees or agents, or any other
person. GEORGEW. BUSH.

Ex. ORD. No. 13397. RESPONSIBILITIES OF THE DEPARTMENT OF HOMELAND SECURITY WITH RESPECT TO FAITH-BASED ANDCOMMUNITY INITIATIVES

Ex.Ord. No. 13397, Mar. 7, 2006, 71 F.R. 12275, provided: By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order tohelp the Federal Government coordinate a nationaleffort to expand opportunities for faith-based and other community organizations and to strengthen their capacity to bettermeet America's social and community needs, it is hereby ordered as follows:

SECTION 1. Establishmentof a Centerfor Faith-Based andCommunityInitiativesatthe DepartmentofHomeland Security.

(a) The Secretary of Homeland Security (Secretary) shall establish within the Department ofHomeland Security (Department)a Center for Faith-Based and Community Initiatives (Center).

(b) The Center shall be supervised by a Director appointedby [the] Secretary. The Secretary shall consult with the Director ofthe White House Office of FaithBased and Community Initiatives (WHOFBCI Director) prior to making suchappointment.

(c) The Department shall provide the Center with appropriate staff, administrative support, and other resources to meet itsresponsibilities under thisorder. (d) The Center shall beginoperations nolater than45 days from the date ofthis order.

SEC. 2. PurposeofCenter. The purpose of the Center shall be tocoordinate agency efforts to eliminate regulatory, contracting, and other programmatic obstacles
to the participation of faith-based and other community organizations in the provision ofsocial and community services.

SEC. 3. ResponsibilitiesoftheCenter forFaith-Based and Community Initiatives.In carrying out the purpose set forth in section 2 ofthis order, the Center shall:

(a) conduct, in coordination with the WHOFBCI Director, a department-wide audit to identify allexisting barriers to the participation of faith-based and other community organizations in the delivery of social and community services by the Department, including but
not limited to regulations, rules, orders, procurement, and other internal policies and practices, and outreach activities that unlawfully discriminate against, or otherwise discourage or disadvantage theparticipation of faith-based and other community organizations in Federalprograms;

(b) coordinate a comprehensive departmental effort
to incorporate faith-based and other community organizations in Department programs and initiatives to the greatest extentpossible;

(c) propose initiatives to remove barriers identified pursuant to section 3(a) ofthis order, includingbut not limited to reform of regulations, procurement, and other internal policies and practices, and outreach activities;

(d) propose the development ofinnovative pilot and demonstration programs to increase the participation of faith-based and other community organizations in Federal as wellas State and local initiatives; and

(e) develop andcoordinate Departmental outreach efforts to disseminate information more effectively to faith-based and other community organizations with respect to programming changes, contracting opportunities, and other agency initiatives, including but not limitedto Weband Internetresources.

SEC. 4. ReportingRequirements. (a) Report. Not later than 180 days from the date of this order and annually thereafter, the Center shall prepare and submit a report to the WHOFBCI Director.

(b) Contents.The report shall include a description of the Department's efforts in carrying out its responsibilities under this order,including but not limited to: (i) a comprehensive analysis of the barriers to the fullparticipation offaith-based and other community organizations in the delivery of social and community services identified pursuant to section 3(a) of this order and the proposed strategies to eliminate those barriers; and

(ii) a summary of the technical assistance and other information that will be available to faithbased and other community organizations regarding the program activities ofthe agency andthe preparation of applications or proposals for grants, cooperative agreements, contracts, andprocurement. (c) PerformanceIndicators.The first report shall include annual performance indicators and measurable objectives for Departmental action. Each report filed thereafter shallmeasure theDepartment's performance against theobjectives setforth in theinitial report.

SEC. 5. Responsibilitiesofthe Secretary.The Secretary shall:

(a) designate an employee within the department to

serve as the liaison and point of contact with the WHOFBCI Director; and

(b) cooperate with the WHOFBCI Director and provide such information, support, and assistance to the WHOFBCI Director as requested to implement this order.

SEC. 6. GeneralProvisions.(a) This order shall be implemented subject tothe availability ofappropriations and tothe extent permitted by law.

(b)This order is not intended to, and does not, create anyright orbenefit, substantive orprocedural, enforceable at law or in equity by a party against the United 

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States,its agencies, or entities, its officers, employees,

oragents, or any otherperson. GEORGE W. BUSH.

Ex. ORD. No. 13406. PROTECTING THE PROPERTYRIGHTS OFTHE AMERICAN PEOPLE

Ex. Ord. No. 13406, June 23, 2006, 71 F.R. 36973, provided:

By the authority vested in me as President by the Constitution and the laws of the United States of America, and to strengthen therights ofthe American people against the taking oftheir private property, it is hereby ordered asfollows:

SECTION 1.Policy.It is the policy ofthe United States
to protect the rights of Americans to their private property, including by limiting the taking of private property by the Federal Government to situations in which the taking is for public use, withjust compensation, and for the purpose ofbenefiting the general publicand not merely for thepurpose ofadvancing theeconomic interest ofprivate parties tobe given ownership

oruseoftheproperty taken.

SEC. 2. Implementation. (a) The Attorney General shall:

(i) issue instructions to the heads ofdepartments and agencies to implement the policy set forth in section 1 ofthis order; and

(ii) monitor takings bydepartments and agencies for compliance with thepolicy setforth in section 1 ofthis order.

(b) Heads of departments and agencies shall, to the
extent permittedbylaw:

(i) comply with instructions issued under subsection (a)(i);and

(ii) provide to the Attorney General such information

asthe Attorney General determines necessary to carry outsubsection (a)(ii).

SEC. 3. Specific Exclusions.Nothing in this order shall be construed toprohibit ataking ofprivate property by the Federal Government, that otherwise complies with applicable law,for the purpose of:

(a)public ownership or exclusive use ofthe property by the public, such as for a public medical facility, roadway, park, forest, governmental office building, or militaryreservation;

(b) projects designated for public, common carrier, public transportation, or public utility use, including those for which a fee is assessed, that serve the general public and are subject to regulation by a governmental entity;

(c) conveying the property to a nongovernmental entity, such as a telecommunications or transportation

common carrier, that makes theproperty available for

usebythe general public as ofright;

(d) preventing or mitigating a harmful use of land that constitutes a threat to public health, safety, or theenvironment;

(e) acquiring abandoned property; (f) quieting title torealproperty; (g)acquiring ownershiporuseby apublic utility; (h) facilitating the disposal or exchange of Federal property; or

(i) meeting military, law enforcement, public safety, public transportation, orpublic health emergencies.

SEC. 4. GeneralProvisions.(a) This order shall be implemented consistent with applicable law and subject
tothe availability ofappropriations.

(b) Nothing in this order shallbe construed to impair

orotherwise affect:

(i) authority granted by law to a department oragency orthehead thereof; or

(ii) functions ofthe Director ofthe Office ofManagement andBudget relating to budget, administrative, or legislative proposals.

(c) This order shall beimplemented in a manner consistent withExecutive Order 12630ofMarch 15, 1988.

(d)This order is not intended to, anddoes not,create any rightorbenefit, substantive orprocedural, enforceable at law or in equity against the United States, its departments, agencies, entities, officers, employees, or agents, or anyother person. GEORGE W.BUSH.

EX. ORD. No. 13497. REVOCATION OF CERTAIN EXECUTIVE ORDERS CONCERNING REGULATORY PLANNING AND REVIEW

Ex. Ord. No. 13497, Jan. 30, 2009, 74 F.R. 6113, provided: 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 ofFebruary 26, 2002, andExecutive Order 13422 ofJanuary 18, 2007, concerning regulatoryplanning and review, which amended Executive Order 12866 of September 30, 1993, are revoked.

SEC. 2. The Director ofthe Office ofManagement 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.

Ex. ORD. No. 13563. IMPROVING REGULATION AND REGULATORY REVIEW

Ex. Ord. No. 13563, Jan. 18, 2011, 76F.R. 3821, provided: By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to improve regulation and regulatory review, it is hereby ordered as follows:

SECTION1. GeneralPrinciples ofRegulation.(a)Our regulatory system must protect public health, welfare, safety, and our environment whilepromoting economic growth, innovation, competitiveness, and job creation. It mustbe 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 thebest, 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 ofregulatoryrequirements.

(b) 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 thatits benefitsjustify its costs (recognizing that

some benefits and costs are difficult to quantify); (2) tailor itsregulations to impose the least burden on society, consistent with obtaining regulatory objectives, taking into account, among other things, andtothe extent practicable, the costs of cumulative regulations; (3) select, in choosing among alternative regulatory approaches, those approaches thatmaximize 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 mannerofcompliance thatregulated 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.

(c) In applying these principles, each agency is directed to usethe best available techniques to quantify anticipated present and futurebenefits and costs as ac- 

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curately 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. PublicParticipation.(a) Regulations shall be adopted through a process that involves public participation. To that end, regulations shall be based, to the
extent feasible and consistent withlaw, ontheopen exchange of information and perspectives among State, local, and tribal officials, experts in relevant disciplines, affected stakeholders in the private sector, andthe public as a whole.

(b) Topromote thatopen exchange, each agency, consistent withExecutive Order 12866 and other applicable legal requirements, shall endeavor to provide the public with an opportunity toparticipate 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 atleast 60 days.To theextent feasible and permitted by law, each agency shall also provide, for both proposed and final rules, timely online access to the rulemaking docket on regulations.gov, including relevant scientific and technical findings, in an open format thatcan beeasily searched and downloaded. For proposed rules, such access shall include, to the extent feasible and permitted by law, an opportunity forpublic comment on all pertinent parts ofthe rulemaking docket, including relevant scientific andtechnical findings.

(c) Before issuing a notice of proposed rulemaking, each agency, where feasible andappropriate, shall seek the views ofthose who are likely tobeaffected, includingthose who are likely to benefit from and those who

arepotentially subject to suchrulemaking.

SEC. 3. Integrationand Innovation.Some sectors and industries face a significant number ofregulatory requirements, some ofwhich may be redundant, inconsistent, or overlapping. Greater coordination across agencies could reduce these requirements, thus reducing costs and simplifying and harmonizing rules. In developingregulatory actions and identifying appropriate approaches, each agency shall attemptto promote such coordination, simplification, and harmonization. Each
agency shall also seek to identify, as appropriate,

means to achieve regulatory goals thatare designed to promote innovation.

SEC. 4. FlexibleApproaches. Where relevant, feasible, and consistent with regulatory objectives, and to the

extent permitted by law,each agency shallidentify 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 ofinformation to the public in a form that is clear andintelligible.

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

SEC. 6. RetrospectiveAnalyses ofExistingRules. (a)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 bereleased online whenever possible.

(b) Within 120 days of the date of this order, each
agency shall develop and submit to the Office ofInformation and Regulatory Affairs a preliminary plan, consistentwith law and itsresources and regulatory priorities, under which the agency will periodically review itsexisting significant regulations to determine whether any such regulations should be modified, streamlined, expanded, orrepealed so as to make the agency's regulatory program more effective or less burdensome in achieving theregulatory objectives.

SEC. 7. General Provisions. (a) For purposes of this order, "agency" shall have the meaning set forth in section 3(b) ofExecutive Order 12866.

(b)Nothing in this ordershall be construed to impair

orotherwise affect:

(i) authority granted bylaw to a department or agency, orthe head thereof; or

(ii) functions oftheDirector ofthe Office ofManagement and Budget relating to budgetary, administrative, orlegislative proposals.

(c) This order shall be implemented consistent with applicable law and subject to the availability of appropriations.

(d) This order is not intended to, and does not, create any right orbenefit, substantive orprocedural, 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. BARACKOBAMA.

Ex. ORD. No. 13579. REGULATION ANDINDEPENDENT REGULATORY AGENCIES

Ex. Ord. No. 13579, July 11, 2011, 76 F.R. 41587, provided:

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

SECTION 1. Policy. (a) 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 permittedbylaw, such decisions shouldbe madeonly after consideration of their costs and benefits (both quantitative andqualitative).

(b) 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 whilepromoting economic growth, innovation, competitiveness, and job creation." Independent regulatory agencies, no less than executive agencies, shouldpromote thatgoal.

(c) Executive Order 13563 set out general requirements directed to executive agencies concerning public participation, integration and innovation, flexible approaches, and science. Tothe extent permitted by law, independent regulatory agencies should comply with these provisions as well.

SEC. 2. RetrospectiveAnalyses ofExistingRules. (a) 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 bereleased onlinewhenever possible.

(b) 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 willperiodically 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 lessburdensome in achieving theregulatory objectives.

SEC. 3. General Provisions.(a) For purposes of this order, "executive agency" shall have the meaning set forth for the term "agency" in section 3(b) ofExecutive Order 12866 ofSeptember 30, 1993, and "independent reg

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ulatory agency" shallhave the meaning setforth in 44 U.S.C. 3502(5).

(b) Nothing in this order shall be construed to impair

or otherwise affect:

(i) authority granted by lawto a department oragency, orthehead thereof; or

(ii) functions ofthe Director ofthe Office ofManagement and Budget relating to budgetary, administrative, orlegislative proposals.

(c) This order shall be implemented consistent with applicable law and subject to the availability ofappropriations.

(d) This order is not intended to,and doesnot, create anyright or benefit, substantive orprocedural, 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.

Ex. ORD. No. 13604. IMPROVING PERFORMANCE OF FEDERAL PERMITTING AND REVIEW OF INFRASTRUCTURE
PROJECTS

Ex. Ord. No. 13604, Mar. 22, 2012, 77 F.R. 18887, provided:

By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to significantly reduce the aggregate time required to make decisions in the permitting and review of infrastructure projects by the Federal Government, while improving environmental and community outcomes, it ishereby ordered asfollows:

SECTION 1. Policy.(a) To maintain our Nation's competitive edge and ensure an economy built to last, the United States must have fast, reliable, resilient, and environmentally sound means ofmoving people, goods, energy, and information. In a global economy, we will compete for the world's investments based in significant part on the quality ofour infrastructure. Investing in the Nation's infrastructure provides immediate and long-term economic benefits for local communities and theNation as awhole.

The quality ofourNation's infrastructure depends in critical part on Federal permitting and review processes, including planning, approval, and consultation processes. These processes inform decision-makers and affected communities about the potential benefits and impacts ofproposed infrastructure projects, and ensure that projects are designed, built, and maintained in a
manner that is consistent with protecting our public health, welfare, safety, national security, and environment. Reviews and approvals ofinfrastructure projects

canbe delayed due to many factors beyond the control ofthe Federal Government, such aspoor projectdesign, incomplete applications, uncertain funding,ormultiple reviews and approvals by State, local, tribal, or other jurisdictions. Given these factors, it is critical thatexecutive departments and agencies (agencies) take,all steps within their authority, consistent with available
resources, to execute Federal permitting and review processes with maximum efficiency and effectiveness, ensuring the health, safety, and security of communities and the environment while supporting vital economicgrowth.

To achieve that objective, our Federal permitting and review processes must provide a transparent, consistent, and predictable path for both project sponsors andaffected communities. Theymust ensure thatagencies setand adhere totimelines and schedules for completion of reviews, set clear permitting performance goals, and track progress against those goals. They must encourage early collaboration among agencies, project sponsors, and affected stakeholders in order to incorporate and address their interests and minimize delays. They must provide for transparency and accountability by utilizing cost-effective information technology to collect and disseminate information about individual projects and agency performance, so that the priorities and concerns ofall our citizens are considered. They must rely upon early and active consultation with State, local, and tribal governments to avoid conflicts or duplication of effort, resolve concerns, and allow for concurrent rather than sequential reviews. They must recognize the critical role project sponsors play in assuring the timely and cost-effective review ofprojects by providing complete information and analysis and by supporting, as appropriate, the costs associated with review. And, they must enable agencies to share priorities, work collaboratively and concurrently to advance reviews and permitting decisions, and facilitate the resolution of disputes at all levels ofagency organization.

Each of these elements must be incorporated into routine agency practice to provide demonstrable improvements in the performance of Federal infrastructure permitting and review processes, including lower costs, more timely decisions, and a healthier and cleaner environment. Also, these elements must be integrated into project planning processes so thatprojects

are designed appropriately to avoid, to the extent practicable, adverse impacts onpublic health, security, historic properties and other cultural resources, and the environment, and to minimize ormitigate impacts that may occur. Permitting and review process improvements that haveproven effective must beexpanded and institutionalized.

(b) In advancing this policy, this order expands upon efforts undertaken pursuantto Executive Order 13580 of July 12, 2011 (Interagency Working Group on Coordination ofDomestic Energy Development and Permitting in Alaska), Executive Order 13563 of January 18, 2011 (Improving Regulation and Regulatory Review), and my memorandum of August 31, 2011 (Speeding Infrastructure Development Through More Efficient and Effective Permitting and Environmental Review), as well

as otherongoing efforts.

SEC. 2. Steering Committee on Federal Infrastructure PermittingandReview ProcessImprovement. There is established a Steering Committee on Federal Infrastructure Permitting and Review Process Improvement (Steering Committee), to be chaired by the ChiefPerformance Officer (CPO), in consultation with the Chair ofthe Councilon Environmental Quality (CEQ).

(a) InfrastructureProjectsCovered by this Order. The Steering Committee shall facilitate improvements in Federal permitting and review processes for infrastructure projects in sectors including surface transportation, aviation, ports and waterways, water resource projects, renewable energy generation, electricity transmission, broadband, pipelines, and other such sectors asdetermined bythe Steering Committee.

(b) Membership.Each ofthe following agencies (Member Agencies) shall be represented on the Steering Committeeby a Deputy Secretary orequivalent officer oftheUnited States:

(i) the Department ofDefense; (ii) theDepartment ofthe Interior; (iii)theDepartment ofAgriculture; (iv) the Department ofCommerce; (v)the Department ofTransportation; (vi)the Department ofEnergy; (vii)the Department ofHomeland Security; (viii)theEnvironmental Protection Agency; (ix) the Advisory Council onHistoric Preservation; (x) theDepartment ofthe Army;and (xi)such other agencies or offices as the CPO mayinvite to participate.

(c) ProjectsofNationalorRegionalSignificance.In furtherance of the policies of this order, the Member Agencies shall coordinate and consult with each other to select, submittothe CPO by April30, 2012, and periodically update thereafter, a list of infrastructure projects of national or regional significance that will have their status tracked on the online Federal Infrastructure Projects Dashboard (Dashboard) created pursuant to mymemorandum ofAugust 31, 2011.

(d)ResponsibilitiesoftheSteeringCommittee.The Steering Committee shall:

(i) develop a Federal Permitting andReview Performance Plan (Federal Plan), asdescribed in section 3(a) of this order; 

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(ii) implement the Federal Planand coordinate resolution ofdisputes among Member Agencies relating to implementation ofthe Federal Plan; and

(iii) coordinate and consult with other agencies, offices, and interagency working groups as necessary, including the President's Management Council and Performance Improvement Councils, and, with regard to

use and expansion oftheDashboard, the ChiefInformation Officer (CIO) and Chief Technology Officer to implement this order.

(e)DutiesoftheCPO.The CPO shall: (i)in consultation with the Chair ofCEQ andMember Agencies, issue guidance onthe implementation ofthis order;

(ii) in consultation with Member Agencies, develop and track performance metrics for evaluating implementation of the Federal Plan and Agency Plans; and

(iii) by January 31, 2013, and annually thereafter, after input from interested agencies, evaluate and report to the President on the implementation of the Federal Plan and Agency Plans, and publish the report

onthe Dashboard.

(f)No Involvement in Particular PermitsorProjects.Neitherthe Steering Committee, nor the CPO, may direct

orcoordinate agency decisions with respect to any particularpermit orproject.

SEC. 3. Plans for MeasurablePerformanceImprovement. (a) By May 31, 2012, the Steering Committee shall, following coordination with Member Agencies and other interested agencies, develop and publish on the Dashboard a Federal Plan to significantlyreduce the aggregate time required to make Federal permitting and review decisions on infrastructure projects while improving outcomes for communities and the environment. The Federal Plan shall include, but not be limited to, the following actions to implement the policies outlined in section 1 of this order, and shall reflect the agreement ofany Member Agency with respect to requirements in the Federal Plan affecting such agency:

(i) institutionalizing best practices for: enhancing Federal, State, local, and tribal government coordination on permitting and review processes (such as conducting reviews concurrently rather than sequentially to the extent practicable); avoiding duplicative reviews; and engaging with stakeholders early in the permittingprocess;

(ii) developing mechanisms to better communicate priorities and resolve disputes among agencies at the national andregional levels;

(iii) institutionalizing use ofthe Dashboard, working with the CIO to enhance the Dashboard, and utilizing other cost-effective information technology systems to share environmental and project-related information withthe public, projectsponsors, andpermit reviewers; and

(iv) identifying timeframes and Member Agency responsibilities for the implementation of each proposed action.

(b) Each MemberAgency shall: (i) by June 30, 2012, submit to the CPO an Agency Plan identifying those permitting and review processes the Member Agency views as most critical to significantly reducing the aggregate time required to make permitting and review decisions on infrastructure projects while improving outcomes for commlunities and the environment, and describing specific and measurable actions the agency will take to improve these

processes,including: (1) performance metrics, including timelines or schedules forreview;

(2) technological improvements, such as institutionalized use of the Dashboard and other information technology systems;

(3) other practices, such as pre-application procedures, early collaboration with other agencies, project sponsors, and affected stakeholders, and coordination with State, local, and tribal governments; and

(4) steps the Member Agency will take to implementthe Federal Plan. (ii) byJuly 31, 2012, following coordination with other Member Agencies and interested agencies, publish its Agency Plan ontheDashboard; and

(iii) by December 31, 2012, and every 6 months thereafter, report progress to the CPO on implementing its Agency Plan, as well as specific opportunities for additional improvements to its permitting and review procedures.

SEC. 4. GeneralProvisions.(a) Nothing in this order shallbe construed toimpair orotherwise affect:

(i) the authority granted by law to an executive department, agency, or the headthereof; or

(ii) the functions oftheDirector ofthe Office ofManagement andBudget relating to budgetary, administrative, orlegislative proposals.

(b) This order shall be implemented consistent with applicable law and subject to the availability ofappropriations.

(c) This order shall be implemented consistent with Executive Order 13175 ofNovember 6, 2000 (Consultation and Coordination with Indian Tribal Governments) and my memorandum ofNovember 5, 2009 (TribalConsultation).

(d) This order is not intended to, and doesnot, create any right orbenefit, substantive orprocedural, 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.

Ex. ORD. No. 13609. PROMOTING INTERNATIONAL REGULATORY COOPERATION
Ex. Ord. No. 13609, May 1,2012, 77 F.R. 26413, provided: By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to promote international regulatory cooperation, it is hereby ordered as follows:

SECTION 1. Policy.Executive Order 13563 ofJanuary 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 oftheir foreign counterparts might
not be necessary andmight impair the ability ofAmerican 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 wouldbe adopted in the absence of such cooperation. International regulatory cooperation can also reduce, eliminate, or prevent unnecessary differences in regulatory requirements.

SEC. 2. Coordinationof InternationalRegulatory Cooperation.(a) The Regulatory Working Group (Working Group) established by Executive Order 12866 ofSeptember 30, 1993 (Regulatory Planning and Review), which

was reaffirmed by Executive Order 13563, shall, as appropriate:

(i) serve as a forum to discuss, coordinate, and develop a common understanding among agencies ofU.S. Government positions and priorities withrespect to: (A) international regulatory cooperation activities that arereasonably anticipated to leadto significant regulatory actions;

(B) efforts across the Federal Government to support significant, cross-cutting international regulatorycooperation activities, such asthework ofregulatory cooperation councils; and

(C) the promotion of good regulatory practices internationally, as well asthe promotion ofU.S. regulatory approaches, as appropriate; and 

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(ii) examine, among other things:

(A) appropriate strategies for engaging in the development of regulatory approaches through international regulatory cooperation, particularly in emerging technology areas, when consistent with section 1 ofthis order;

(B) best practices for international regulatory cooperation with respect to regulatory development, and, where appropriate, information exchange and otherregulatory tools; and

(C) factors that agencies should take into account when determining whether and howto consider other regulatory approaches under section 3(d) of this order. (b)As Chair oftheWorking Group, the Administrator of the Office of Information and Regulatory Affairs (OIRA) ofthe Office ofManagement 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, representativesfrom other agencies andoffices.

(c) 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 bodieswhen appropriate.

(d) To inform itsdiscussions, and pursuant to section 4 of Executive Order 12866, the Working Group may commission analytical reports and studies by OIRA, the Administrative Conference ofthe 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 thepublic.

(e) The Working Group shall develop and issue guidelines on the applicability and implementation of sections 2through 4 ofthis order.

(f) For purposes of this order, the Working Group shall operate by consensus.

SEC. 3. ResponsibilitiesofFederalAgencies. To the extent permitted by law, and consistent with the principles and requirements of Executive Order 13563 and Executive Order 12866, each agency shall:

(a) 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 ofhow these activities advance the purposes of Executive Order 13563 and thisorder;

(b) 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 RegInfo.gov, and onRegulations.gov;

(c) in selecting which regulations to include in its retrospective review plan, as required by Executive Order 13563, consider:

(i) reforms to existing significant regulations that address unnecessary differences in regulatory requirements between theUnited States and itsmajortrading partners, consistent with section 1 ofthis order, when stakeholders provide adequate information to the agency establishing that the differences are unnecessary; and

(ii) such reforms in other circumstances as the agency deems appropriate; and

(d) 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 considerundera regulatory cooperation council work plan.

SEC. 4.Definitions.For purposesofthisorder: (a) "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, asdefined in 44 U.S.C. 3502(5). (b) "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 beofsignificant interest tothetrading partners of the United States.

(c) "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)ofthis order, in which national governments engage in various forms of collaboration and communication with respect toregulations, in particulara process that is reasonably anticipated to lead tothe development of significant regulations.

(d) "Regulation" shall have the same meaning as "regulation" or "rule" in section 3(d) of Executive Order 12866.

(e) "Significant regulation" is a proposed or final regulation that constitutes a significant regulatory action.

(f)"Significant regulatory action" shall have the

same meaning as in section 3(f) of Executive Order 12866.

SEC. 5. IndependentAgencies. Independent regulatory agencies are encouraged to comply with the provisions ofthis order.

SEC. 6. GeneralProvisions.(a) Nothing in this order shallbe construedto impair orotherwise affect:

(i) the authority granted by law to a department or agency, orthe head thereof;

(ii) the coordination and development of international trade policy and negotiations pursuant to section 411 ofthe Trade Agreements Act of 1979 (19 U.S.C. 2451 [2541]) and section 141 of the Trade Act of 1974 (19 U.S.C. 2171);

(iii)international trade activities undertaken pursuant to section 3 of the Act of February 14, 1903 (15 U.S.C. 1512), subtitle C ofthe Export Enhancement Act of1988, as amended (15 U.S.C. 4721 et seq.), and ReorganizationPlan No. 3 of1979 (19 U.S.C. 2171note);

(iv) 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);

(v) activities in connection with subchapter II of chapter 53oftitle 31 oftheUnited States Code, title 26 of the United States Code, or Public Law 111-203 and other laws relating to financial regulation; or (vi) [sic] the functions ofthe Director ofOMB relating to budgetary, administrative, orlegislative proposals.

(b) This order shall be implemented consistent with applicable law and subject tothe availability ofappropriations.

(c) This order is not intended to, and doesnot, create any right orbenefit, substantive orprocedural, 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.

EX. ORD. No. 13610. IDENTIFYING AND REDUCING REGULATORY BURDENS

Ex. Ord. No. 13610, May 10, 2012, 77 F.R. 28469, provided:

By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to modernize ourregulatory system and to reduce unjustified regulatory burdens and costs, it is herebyordered 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 regulatoryrequirements. For this reason, it is particularly important for agencies to conduct retrospective analyses ofexisting rules to examine whether they remain justified and whether they should be modified

or streamlined in light of changed circumstances, including therise ofnew technologies. 

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### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

Executive Order 13563 ofJanuary 18, 2011 (Improving Regulation and Regulatory Review), states that our regulatory system "must measure, and seek to improve, the actual results ofregulatory requirements." To promote this goal, that Executive Order requires agencies notmerely to conduct a single exercise, but to engage in "periodic review ofexisting 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 theregulatory objectives."

In response to Executive Order 13563, agencies have developed and made available for public comment retrospective reviewplans 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 ofmillions ofhours 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 ofexisting regulations priorto theissuance of Executive Order 13563. But further steps should be taken, consistent with law, agency resources, andregulatory priorities, to promote public participation in retrospective review, to modernize our regulatory system, and to institutionalize regular assessment of significant regulations.

SEC. 2. PublicParticipationin Retrospective Review. Members ofthepublic, including those directly and indirectly affected by regulations, aswell 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 ofinformation, retrospective analyses of regulations, including supporting data, shallbe released to the public online wherever practicable.

SEC. 3. SettingPriorities.In implementing and improving their retrospective review plans, and in considering retrospective review suggestions from thepublic, agencies shall give priority, consistent with law, to those initiatives that will produce significant quantifiable monetary savingsor 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 ofthis 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 ofdraft reports to OIRA).

SEC. 5. GeneralProvisions. (a) 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, asdefined in 44 U.S.C. 3502(5).

(b)Nothing in this order shallbe construed to impair

or otherwise affect:

(i) the authority granted by law to a department or agency, orthe headthereof; or

(ii) the functions oftheDirector ofthe Office ofManagement and Budget relating tobudgetary, administrative, orlegislative proposals.

(c) This order shall be implemented consistent with applicable law and subject tothe availability of appropriations.

(d) This order isnot intended to, and does not, create any right orbenefit, substantive orprocedural, 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.

REGULATORY REFORM-WAIVER OFPENALTIES AND REDUCTION OF REPORTS

Memorandum ofPresident ofthe United States, Apr. 21, 1995, 60F.R. 20621, provided:

Memorandum for The Secretary ofState The Secretary oftheTreasury The Secretary ofDefense The Attorney General TheSecretary oftheInterior The Secretary ofAgriculture The Secretary ofCommerce The Secretary ofLabor The Secretary ofHealth and Human Services The Secretary ofHousing and Urban Development The Secretary ofTransportation The Secretary ofEnergy The Secretary ofEducation The Secretary ofVeterans Affairs The Administrator, Environmental Protection Agency

The Administrator, Small Business Administration The Secretary oftheArmy The Secretary oftheNavy The Secretary oftheAir Force The Director, Federal Emergency Management Agency

The Administrator, National Aeronautics and Space Administration

The Director,National ScienceFoundation The Acting Archivist oftheUnited States TheAdministrator ofGeneral Services The Chair,Railroad Retirement Board The Chairperson, Architectural and Transportation Barriers Compliance Board

The Executive Director, Pension Benefit Guaranty Corporation

On March 16, I announced that the Administration would implement new policies to give compliance officials more flexibility in dealing with small business and to cut back on paperwork. These Governmentwide policies, as well as the specific agency actions I announced, are part of this Administration's continuing commitment to sensible regulatory reform. With your help and cooperation, wehope to move theGovernment toward a more flexible, effective, and user friendly approach to regulation.

A. Actions: This memorandum directs the designated department and agency heads to implement the policies set forth below.

1. Authority to WaivePenalties.(a)To the extent permitted by law, each agency shall use its discretion to modify the penalties for smallbusinesses in the following situations. Agencies shall exercise their enforce

### Page 821 §601

### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

ment discretion to waive the imposition ofall ora portion ofapenalty when the violation is corrected within

a time period appropriate to the violation in question. For those violations that may take longer to correct than the period setby the agency, the agency shall use its enforcement discretion to waive upto 100 percent of the financial penalties if the amounts waived are used
to bring the entity into compliance. The provisions in paragraph l(a) of this memorandum shall apply only where there hasbeen a goodfaitheffort to comply with applicable regulations and the violation does not involve criminal wrongdoing or significant threat to health, safety, ortheenvironment.

(b) Each agency shall, by June 15, 1995, submit a plan
to theDirector ofthe Office ofManagement and Budget ("Director") describing the actions it will take to implement thepolicies in paragraph 1(a)ofthismemorandum. The plan shall provide that the agency will implement the policies described in paragraph l(a) of this memorandum on or before July 14, 1995. Plans should include information on how notification will be given
to frontline workers and smallbusinesses.

2. CuttingFrequencyofReports.(a) Each agency shall reduce by one-half the frequency of the regularly scheduled reports that the public is required, by rule or by policy, to provide to the Government (from quarterly to semiannually, from semiannually to annually, etc.), unless thedepartment oragency head determines that such action is not legally permissible; would not adequately protect health, safety, or the environment; would be inconsistent with achieving regulatory flexibility or reducing regulatory burdens; or would impede the effective administration ofthe agency's program. The duty to make such determinations shall be nondelegable.

(b) Each agency shall, by June 15, 1995, submit a plan
to the Director describing the actions it will take to implement the policies in paragraph 2(a), including a copy of any determination that certain reports are excluded.

B. Application and Scope: 1. The Director may issue further guidance asnecessary to carry out thepurposes ofthis memorandum.

2. This memorandum does notapply to mattersrelated to law enforcement, national security, orforeign affairs, the importation or exportation of prohibited or restricted items, Government taxes, duties, fees, revenues, orreceipts; nor does it apply to agencies (orcomponents thereof) whose principal purpose is the collection, analysis, and dissemination of statistical information.

3. This memorandum is not intended, and should not be construed, to create any right or benefit, substantive or procedural, enforceable at law by a party against the United States, its agencies, its officers, or itsemployees.

4. The Director of the Office of Management and Budget is authorized and directed to publish this memorandum in theFederal Register. WILLIAM J. CLINTON. [References to the Director ofthe Federal Emergency Management Agency to be considered to refer and apply to the Administrator ofthe Federal Emergency Management Agency, see section 612(c) of Pub. L. 109-295, set out as a note under section 313 of Title 6, Domestic Security.]

PLAIN LANGUAGE INGOVERNMENTWRITING

Memorandum ofPresident oftheUnited States, June 1, 1998, 63F.R. 31885, provided:

Memorandum for the Heads of Executive Departments and Agencies

The Vice President and I have made reinventing the Federal Government a top priority of my Administration. We are determined tomake the Government more responsive, accessible, and understandable in its communications withthepublic.

The Federal Government's writing must be in plain language. By usingplain language, we send a clear message about what the Government is doing, what it requires, and what services it offers. Plainlanguage saves the Government andthe private sector time, effort,and money.

Plain language requirements vary from one document to another, depending on the intended audience. Plain language documents have logical organization, easy-to-read design features, anduse:

"common, everyday words, except for necessary technical terms; * "you" and otherpronouns; *the active voice; and *short sentences. To ensure the use of plain language, I direct you to do the following:

* By October 1, 1998, use plain language in all new

documents, other than regulations, that explain how to obtain a benefit or service orhowto comply with a requirement you administer or enforce. For example, these documents may include letters, forms, notices, and instructions. By January 1,2002, all such documents created prior to October 1, 1998,
mustalso bein plainlanguage. * By January 1, 1999, use plain language in all proposed and final rulemaking documents published in the Federal Register, unless you proposed the rule before that date. You should consider rewriting existing regulations in plain language when you have the opportunityand resources to do so. The National Partnership for Reinventing Government will issue guidance tohelpyou comply withthese directives and to explain more fully the elements of plain language. You should also use customer feedback and common sense to guideyour plainlanguage efforts.

I ask the independent agencies to comply with these directives.

This memorandum does not confer any right orbenefit enforceable by law against the United States or its representatives. The Director of the Office ofManagement and Budget will publish this memorandum in the Federal Register. WILLIAM J. CLINTON.

PREEMPTION

Memorandum ofPresident ofthe United States, May 20, 2009, 74F.R.24693, provided:

Memorandum for the Heads of Executive Departments and Agencies

From our Nation's founding, the American constitutional order has been a Federal system, ensuring a strong role for both the national Government and the States. The Federal Government's role in promoting thegeneral welfare and guarding individual liberties is critical, but State law and national law often operate concurrently toprovide independent safeguards for the public. Throughout ourhistory, State andlocal governments havefrequently protected health, safety, and the environment more aggressively than has the national Government.

Anunderstanding ofthe important role of State governments in our Federal system is reflected in longstanding practices by executive departments and agencies, which have shown respect for the traditional prerogatives of the States. In recent years, however, notwithstanding Executive Order 13132 of August 4, 1999 (Federalism), executive departments and agencies have sometimes announced that their regulations preempt State law, including State common law, without explicitpreemption by the Congress or an otherwise sufficientbasis underapplicable legal principles.

The purpose ofthis memorandum is to state the general policy of my Administration that preemption of State law by executive departments and agencies should be undertaken only with full consideration of the legitimate prerogatives of the States and with a sufficient legal basis for preemption. Executive departments and agencies should be mindful that in our Federal system, thecitizens ofthe several States have distinctive circumstances and values, and that in many 

### §601 Page 822

### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

instances it is appropriate for them to apply to themselves rules and principles that reflect these circumstances andvalues. AsJustice Brandeis explained more than70 years ago, "[i]t is one ofthe happy incidents of thefederal system thata single courageous state may, if its citizens choose, serve as a laboratory; and try novel social and economic experiments without riskto therest ofthe country."

To ensure that executive departments and agencies include statements of preemption in regulations only whensuch statements havea sufficient legalbasis:

1. Heads ofdepartments and agencies should not include in regulatory preambles statements that the department or agency intends to preempt State law through the regulation except where preemption provisionsare also included in thecodifiedregulation.

2. Heads of departments and agencies should not include preemption provisions in codified regulations except where such provisions would be justified under legal principles governing preemption, including the principles outlined in Executive Order 13132.

3. Heads ofdepartments and agencies should review regulationsissued within thepast 10years thatcontain
statements in regulatory preambles or codified provisionsintended bythe department or agency to preempt State law, in order to decide whether such statements

or provisions are justified under applicable legal principles governing preemption. Where the head ofa department oragency determines thata regulatory statement of preemption or codified regulatory provision
cannot be so justified, the head ofthat department or agency should initiate appropriate action, which may include amendment ofthe relevant regulation.

Executive departments and agencies shall carry out the provisions of this memorandum to the extent permitted by law and consistent with their statutory authorities. Heads of departments and agencies should consult as necessary with the Attorney General andthe Office of Management and Budget's Office ofInformation and Regulatory Affairs to determine how the requirements of this memorandum apply to particular situations.

This memorandum 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.

The Director ofthe Office ofManagement and Budget is authorized anddirected topublish this memorandum in theFederal Register.
BARACK OBAMA.

REGULATORY COMPLIANCE

Memorandum ofPresident ofthe United States, Jan. 18,2011, 76 F.R. 3825,provided:

Memorandum for the Heads of Executive Departments andAgencies

My Administration is committed to enhancing effectiveness andefficiency in Government. Pursuant to the Memorandum on Transparency and Open Government, issued on January 21, 2009, executive departments and agencies (agencies) have been working steadily to promote accountability, encourage collaboration, and provide information to Americans about their Government'sactivities.

To that end, much progress has been made toward strengthening our democracy and improving how Government operates. In the regulatory area, several agencies,such asthe Department ofLabor and theEnvironmental Protection Agency, have begun to post online (atogesdw.dol.gov and www.epa-echo.gov), andto make readily accessible to the public, information concerning their regulatory compliance and enforcement activities; such as information with respect to administrative inspections, examinations, reviews, warnings, citations, and revocations (but excluding law enforcement orotherwise sensitive information about ongoing enforcement actions). Greater disclosure ofregulatory compliance information fosters fair and consistent enforcement ofimportant regulatory obligations. Such disclosure is a critical step in encouraging the public to hold the Government and regulated entities accountable. Sound regulatory enforcement promotes the welfare ofAmericans in many ways, by increasing public safety, improving working conditions, and protecting the air we breathe and the waterwe drink. Consistent regulatory enforcement also levels the playing field among regulated entities, ensuring that those that fail to comply with the law do not have an unfair advantage over their lawabiding competitors. Greater agency disclosure ofcompliance and enforcement data will provide Americans with information they need to make informed decisions. Such disclosure can lead the Government to hold itselfmore accountable, encouraging agencies to identify and address enforcement gaps.

Accordingly, I direct the following: First,agencies with broadregulatory compliance and administrative enforcement responsibilities, within 120 days ofthis memorandum, to the extent feasible and permitted by law, shall develop plans to make public information concerning their regulatory compliance and enforcement activities accessible, downloadable, and searchable online. In so doing, agencies should prioritize makingaccessible information that is most useful to the general public and should consider the use of

new technologies to allow the public to have access to real-time data. The independent agencies are encouraged to comply with thisdirective.

Second, the Federal ChiefInformation Officer and the Chief Technology Officer shall work with appropriate counterparts in each agency to make such data available online in searchable form, including oncentralized platforms such as data.gov, in amanner thatfacilitates easy access, encourages cross-agency comparisons, and
engages the public in new and creative ways of using the information.

Third, the Federal ChiefInformation Officer and the ChiefTechnology Officer, in coordination with the Director ofthe Office of Management and Budget (OMB) and their counterparts in each agency, shall work to explore how best to generate and share enforcement and compliance information across the Government, consistent with law. Such data sharing can assist with agencies' risk-based approaches to enforcement: Alack ofcompliance in one areaby aregulated entity mayindicate a need for examination and closer attention by another agency. Efforts to share data across agencies, where appropriate and permitted by law, may help to promote flexible and coordinated enforcement regimes.

This memorandum 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. Nothing in this memorandum shall be construed to impair or otherwise affect the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals.

The Director of OMB is authorized and directed to publishthis memorandum in theFederal Register.
BARACK OBAMA.

REGULATORY FLEXIBILITY, SMALL BUSINESS, ANDJOB CREATION

Memorandum ofPresident ofthe United States, Jan. 18, 2011, 76F.R. 3827, provided:

Memorandum for the Heads of Executive Departments andAgencies

Small businesses play an essential role in the American economy; they help to fuel productivity, economic growth, andjob creation. More than half ofall Americans working in the private sector either are employed by a small business orown one. During a recent 15-year period, small businesses created more than 60 percent ofallnewjobsin theNation. 

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### TITLE 5--GOVERNMENT ORGANIZATION AND EMPLOYEES

Although small businesses and new companies provide the foundations for economic growth andjob creation, they have faced severe challenges as a result of the recession. One consequence has been theloss ofsignificant numbers ofjobs.

The Regulatory Flexibility Act (RFA), 5 U.S.C. 601-612, establishes a deep national commitment to achieving statutory goals without imposing unnecessary burdens on the public. The RFA emphasizes the importance ofrecognizing "differences in the scale and

resources ofregulated entities" and ofconsidering "alternative regulatory approaches

. . . which minimize the significant economic impact ofrules on smallbusinesses, small organizations, and small governmental jurisdictions." 5U.S.C. 601note.

To promote its central goals, the RFA imposes a series ofrequirements designed to ensure that agencies produce regulatory flexibility analyses that give careful consideration to the effects oftheir regulations on small businesses and explore significant alternatives in order to minimize any significant economic impact on small businesses. Among other things, the RFA requires thatwhen an agency proposing a rule with such impact is required to provide notice of the proposed rule, it mustalsoproduce aninitial regulatoryflexibility analysis that includes discussion of significant alternatives. Significant alternatives include the use of performance rather than design standards; simplification of compliance and reporting requirements for small businesses; establishment ofdifferent timetables that take into account the resources of small businesses; and-exemption from coverage for small businesses.

Consistent with the goal of open government, the RFA also encourages public participation in and transparency about the rulemaking process. Among other things, the statute requires agencies proposing rules with a significant economic impact on smallbusinesses
to provide an opportunity for public comment on any required initial regulatory flexibility analysis, and generally requires agencies promulgating final rules with such significant economic impact to respond, in a final regulatory flexibility analysis, to comments filed by the ChiefCounsel for Advocacy of the Small Business Administration.

My Administration is firmly committed to eliminating excessive and unjustified burdens on small businesses, and to ensuring that regulations are designed with careful consideration of their effects, including their cumulative effects, on small businesses. Executive Order 12866 of September 30, 1993, as amended, states, "Each agency shall tailor itsregulations to impose the leastburden on society, including individuals, businesses ofdiffering sizes, and other entities (including small communities and governmental entities), consistent with obtaining the regulatory objectives, taking intoaccount, amongotherthings, and tothe extentpracticable, the costs of cumulative regulations."

In thecurrent economic environment, it is especially important for agencies to design regulations in a costeffective manner consistent with the goals of promoting economic growth, innovation, competitiveness, and jobcreation.

Accordingly, I hereby direct executive departments and agencies and request independent agencies, when initiating rulemaking that will have a significant economic impact on a substantial number of small entities, to give serious consideration to whether and how it is appropriate, consistent with law and regulatory objectives, to reduce regulatory burdens on small businesses, through increasedflexibility. As the RFA recognizes, such flexibility may take many forms,including:

* extended compliance dates that take into account theresources available tosmall entities;

* performance standards rather than design standards;

*simplification ofreporting and compliance requirements (as,for example, through streamlined forms and electronic filingoptions);

* different requirements for large and small firms; and 

### *partial ortotal exemptions. I further direct that whenever an executive agency chooses, forreasonsother thanlegallimitations, notto provide such flexibilityin aproposed or finalrule that is likely to have a significant economic impact on a substantial number of small entities, it should explicitlyjustify its decision not todo soin the explanation thataccompanies thatproposed orfinalrule.

Adherence to these requirements is designed to en- sure that regulatory actions do not place unjustified economic burdens on small business owners and other small entities. If regulations are preceded by careful analysis, and subjected to public comment, they are less likely to bebased on intuition and guesswork and

more likely to be justified in light of a clear understanding of the likely consequences of alternative

courses of action. With that understanding, agencies will be inabetter position to protect thepublic while avoidingexcessive costsandpaperwork.

This memorandum 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. Nothing in this memorandum shall be con- strued to impair or otherwise affect the functions of the Director ofthe Office of Management and Budget relating to budgetary, administrative, or legislative proposals.

TheDirector ofthe Office ofManagement andBudget is authorized and directedto publishthismemorandum inthe Federal Register.

BARACK OBAMA.


### §602. Regulatory agenda

(a) During themonths ofOctober and April of each year, each agency shallpublish in the Federal Register a regulatory flexibility agenda which shall contain- (1) a brief description ofthe subject area of any rule which the agency expects to propose
or promulgate which is likely to have a significant economic impact on a substantial number ofsmall entities;

(2) a summary ofthenature ofany such rule under consideration for each subject area listedin the agendapursuant toparagraph (1), the objectives and legal basis for the issuance of the rule, and an approximate schedule for completing action on any rule for which the agency has issued a general notice ofproposed rulemaking,' and

(3) the name and telephone number of an agency official knowledgeable concerning the itemslisted in paragraph (1). (b) Each regulatory flexibility agenda shall be transmitted to the Chief Counsel for Advocacy of the Small Business Administration for comment,if any.

(c) Each agency shall endeavor to provide notice of each regulatory flexibility agenda to small entities or their representatives through direct notification or publication of the agenda in publications likely to be obtained by such small entities and shall invite comments upon each subject area on the agenda.

(d) Nothing in this section precludes an agency from considering oracting on anymatter not included in a regulatory flexibility agenda, or requires an agency to consider or act on any matter listed in such agenda. (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1166.)

1 soin original.Thecommaprobably shouldbe asemicolon. 

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§603. Initialregulatory flexibility analysis

(a) Whenever an agency is required by section 553 ofthis title, orany otherlaw, to publishgeneral notice ofproposed rulemaking for any proposed rule, or publishes a notice of proposed rulemaking for an interpretative rule involving the internal revenue laws of the United States, the agency shallprepare and make available for public comment an initial regulatory flexibility analysis. Such analysis shall describe the impact ofthe proposed rule on small entities. The initial regulatory flexibility analysis or a summary shallbe published in the Federal Register
at the time of the publication of general notice ofproposed rulemaking for the rule.The agency shall transmit a copy of the initial regulatory flexibility analysis to the Chief Counsel for Advocacy ofthe SmallBusiness Administration. In the case of an interpretative rule involving the internal revenue laws of the United States, this chapter applies to interpretative rules published in the Federal Register for codification in the Code of Federal Regulations, but only to the extent that such interpretative rules impose on small entities a collection of information requirement.

(b) Each initial regulatory flexibility analysis required under this section shall contain- (1) a description of the reasons why action by the agency is being considered;

(2) a succinct statement of the objectives of, and legalbasis for,the proposedrule;

(3) a description of and, where feasible, an estimate of the number of small entities to which theproposed rulewill apply;

(4) a description of the projected reporting, recordkeeping and other compliance requirements ofthe proposed rule, including an estimate ofthe classes ofsmall entities which will be subject to the requirement and the type of professional skills necessary forpreparation of thereport orrecord;

(5) an identification, to the extent practicable, of all relevant Federal rules which may duplicate, overlap or conflict with the proposed rule. (c) Each initial regulatory flexibility analysis shall also contain a description of any significant alternatives to the proposed rule which accomplish the stated objectives of applicable statutes and which minimize any significant economic impact of the proposed rule on small entities. Consistent with the stated objectives of applicable statutes, the analysis shall discuss significant alternatives such as- (1) the establishment of differing compliance

or reporting requirements or timetables that take into account the resources available to small entities;

(2) the clarification, consolidation, or simplification of compliance and reporting requirements under therule for such small entities;

(3) theuse ofperformance rather than design standards; and

(4) an exemption from coverage of the rule,

oranypart thereof,for such small entities. (d)(1) For a covered agency, as defined in section 609(d)(2), each initial regulatory flexibility analysis shall include a description of- (A) any projected increase in the cost of credit for small entities;

(B) any significant alternatives to the proposed rule which accomplish the stated objectives of applicable statutes and which minimize any increase in the cost of credit for small entities; and

(C) advice and recommendations of representatives of small entities relating to issues described in subparagraphs (A) and (B) and subsection (b). (2) A covered agency, as defined in section 609(d)(2), shall, for purposes of complying with paragraph (1)(C)- (A) identify representatives ofsmall entities in consultation with the ChiefCounsel for Advocacy of the Small Business Administration; and

(B) collect advice and recommendations from the representatives identified under subparagraph (A) relating to issues described in subparagraphs (A) and (B) ofparagraph (1) and subsection (b). (Added Pub. L. 96-354, § 3(a), Sept. 19, 1980, 94 Stat. 1166; amended Pub. L. 104-121, title II, §241(a)(1), Mar. 29, 1996, 110 Stat. 864; Pub. L. 111-203, title X, §1100G(b), July 21, 2010, 124 Stat. 2112.)

AMENDMENTS



### 2010-Subsec. (d). Pub.L. 111-203 addedsubsec. (d). 1996-Subsec. (a). Pub. L. 104-121, §241(a)(1)(B), inserted at end "In the case ofaninterpretative ruleinvolving the internal revenuelaws oftheUnited States, this chapter appliestointerpretative rulespublished in the Federal Register for codification in the Code of Federal Regulations, but only to the extent that such interpretative rulesimpose on small entities a collection ofinformation requirement."

Pub. L. 104-121, §241(a)(1)(A), which directed the insertion of ", or publishes a notice of proposed rulemaking for an interpretative rule involving the internal revenue laws ofthe United States" after "proposed rule" was executed by making the insertion where those words appeared in first sentence to reflect the probable intentofCongress.

EFFECTIVE DATE OF 2010 AMENDMENT 

### Amendment by Pub. L. 111-203 effective on the designated transfer date, see section l100H of Pub. L. 111-203, setout asanoteunder section 552aofthistitle.

EFFECTIVE DATE OF 1996 AMENDMENT 

### Amendment by Pub.L. 104-121 effective on expiration of90 days after Mar. 29, 1996,but inapplicable tointerpretative rules for which a notice of proposed rulemakingwas publishedpriorto Mar. 29, 1996, see section 245ofPub.L. 104-121, set outas anoteundersection 601 ofthistitle.
§604.Final regulatory flexibilityanalysis

(a) When an agency promulgates a final rule under section 553 of this title, after being required by that section or any other law to publish a general notice ofproposed rulemaking, or promulgates a final interpretative rule involving the internal revenue laws of the United States as described in section 603(a), the agency shall prepare a final regulatory flexibility analysis. Each final regulatory flexibility analysis shall contain- (1) a statement of the need for, and objectives of,therule; Page 825 §604

### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

(2) a statement of the significant issues raised by the public comments in response to the initial regulatory flexibility analysis, a statement of the assessment of the agency of such issues, and a statement of any changes made in the proposed rule as a result of such comments;

(3) the response of the agency to any comments filed bythe Chief Counsel forAdvocacy of the Small Business Administration in response to the proposed rule, and a detailed
statement ofany change made to the proposed rule in the final rule as a result of the comments;

(4) a description of and an estimate of the number ofsmall entities towhich therule will apply or an explanation of why no such estimate is available;

(5) a description of the projected reporting, recordkeeping and other compliance requirements ofthe rule,including an estimate ofthe classes of small entities which will be subject
to the requirement and the type of professional skills necessary for preparation of the report orrecord;

(6)1 a description ofthe steps the agency has taken to minimize the significant economic impact on small entities consistent with the stated objectives of applicable statutes, including a statement ofthe factual, policy, and legal reasons for selecting the alternative adopted in the final rule and why each one of the other significant alternatives to the rule considered by the agency which affect the impacton small entities wasrejected; and

(6)1 for a covered agency, as defined in section 609(d)(2), a description of the steps the agency has taken to minimize any additional cost ofcreditfor small entities. (b) The agency shall make copies of the final regulatory flexibility analysis available to members of the public and shall publish in the Federal Register such analysis or a summary thereof. (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1167; amended Pub. L. 104-121, title II, §241(b), Mar. 29, 1996, 110 Stat. 864; Pub. L. 111-203, title X, §1100G(c), July 21, 2010, 124 Stat. 2113; Pub. L. 111-240, title I, §1601, Sept. 27, 2010, 124 Stat. 2551.)

AMENDMENTS



### 2010-Subsec. (a)(1). Pub. L. 111-240, 

## §1601(1), struck out "succinct" before "statement".

Subsec. (a)(2). Pub. L. 111-240, §1601(2), substituted "statement" for "summary" before "of the significant issues" and "oftheassessment".

Subsec. (a)(3), (4). Pub. L. 111-240, §1601(3), (4), added par. (3)andredesignated former par. (3)as (4). Former par. (4)redesignated (5).

Subsec. (a)(5). Pub. L. 111-240, §1601(3), redesignated par.(4)as (5). Formerpar. (5),relating todescription of steps taken to minimize the significant economic impact onsmall entities,redesignated (6).

Pub. L. 111-203, §1lO0G(c)(1), which directed amendment ofpar. (4)by striking "and" atthe end, was exe- cuted to par. (5)to reflect the probable intent ofCongressandthe interveningredesignation ofpar. (4)as(5) byPub. L. 111-240, §1601(3). Seeabove.

Subsec. (a)(6). Pub. L. 111-240, 

## §1601(3), redesignated par. (5), relating to description ofsteps taken to miniISo inoriginal.Twopars.(6) havebeenenacted. mize the significant economic impact on small entities,

as (6).

Pub.L. 111-203, §1100G(c)(3), added par. (6) relating to description of steps taken to minimize any additional
cost ofcreditfor small entities.

Pub. L. 111-203, §1100G(c)(2), which directed amendment of par. (5) by substituting "; and" for period at end, was executed to par. (6), relating to description of steps taken to minimize the significant economic impact on small entities, to reflect the probable intent of Congress and the intervening redesignation ofpar. (5)

as (6) byPub. L. 111-240, §1601(3). See above.

1996-Subsec. (a). Pub. L. 104-121, §241(b)(1), amended subsec. (a) generally. Prior to amendment, subsec. (a) read as follows: "When an agency promulgates a final rule under section 553 ofthis title, after being required by that section or any other law to publish a general notice of proposed rulemaking, the agency shall prepare a final regulatory flexibility analysis. Each final regulatory flexibility analysis shallcontain- "(1) a succinct statement ofthe need for, and the objectives of,therule;

"(2) a summary of the issues raised by the public
comments in response to the initial regulatory flexibility analysis, a summary of the assessment of the agency of such issues, and a statement of any changes made in theproposed rule as aresult ofsuch comments; and

"(3) a description of each ofthe significant alternatives to the rule consistent with the stated objectives ofapplicable statutes and designed to minimize any significant economic impact ofthe rule on small entities which was considered by the agency, and a statement ofthe reasons why each one ofsuch alternatives was rejected." Subsec. (b). Pub. L. 104-121, §241(b)(2), substituted "such analysis or asummary thereof." for "at thetime ofpublication ofthe final rule under section 553 ofthis title a statement describing howthe public may obtain such copies."

EFFEcTIVE DATE OF 2010 AMENDMENT

Amendment by Pub. L. 111-203 effective on the designated transfer date, see section 1100H of Pub. L. 111-203, setout as a noteunder section 552aofthis title.

EFFECTIVE DATE OF 1996 AMENDMENT

Amendment by Pub. L. 104-121 effective on expiration of90 days after Mar. 29, 1996, but inapplicable to interpretative rules for which a notice of proposed rulemakingwas publishedprior toMar.29, 1996, see section 245ofPub.L. 104-121, setoutas anote under section 601 ofthis title.

§605. Avoidance of duplicative or unnecessary analyses
(a) Any Federal agency may perform the analyses required by sections 602, 603, and 604 of this title in conjunction with or as a part ofany other agenda or analysis required by any other law if such other analysis satisfies the provisions ofsuch sections.

(b) Sections 603 and 604 ofthis title shall not apply to anyproposed or final rule if the head of the agency certifies that the rule will not, if promulgated, have a significant economic impact on a substantial number of small entities. If the head ofthe agency makes a certification under the preceding sentence, the agency shall publish such certification in the Federal Register at the time ofpublication ofgeneral notice of proposed rulemaking for the rule or at the time of publication ofthe final rule, along with

a statement providing the factual basis for such certification. The agency shall provide such certification and statement to the Chief Counsel 

### §605 Page 826

### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

for Advocacy ofthe Small Business Administration.

(c) In order to avoid duplicative action, an agency may consider a series ofclosely related rules as onerule for the purposes ofsections 602, 603, 604 and 610 ofthistitle. (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1167; amended Pub. L. 104-121, title II, §243(a), Mar.29, 1996, 110 Stat. 866.)

AMENDMENTS 

### 1996-Subsec. (b). Pub. L. 104-121 amended subsec. (b) generally. Prior to amendment, subsec. (b) read as follows: "Sections 603 and 604ofthis title shall not apply to any proposed or final rule ifthe head ofthe agency certifies that the rule will not, ifpromulgated, have a significant economic impact on a substantial number ofsmall entities. Iftheheadoftheagency makes acer- tification under the preceding sentence, the agency shallpublish suchcertification in theFederal Register, atthe time ofpublication ofgeneral notice ofproposed rulemakingforthe rule orat thetime ofpublication of thefinal rule, alongwith a succinct statement explainingthe reasons forsuch certification, and provide such certification and statement to the Chief Counsel for Advocacy ofthe SmallBusinessAdministration."

EFFECTrVE DATE OF 1996 AMENDMENT
Amendment by Pub.L. 104-121 effectiveon expiration of90 daysafter Mar. 29, 1996, butinapplicable to interpretative rules for which a notice of proposed rulemaking waspublished prior toMar. 29, 1996,see section 245ofPub.L. 104-121, set outasanoteunder section 601 ofthistitle.
§606. Effect onotherlaw

The requirements of sections 603 and 604 of this title do not alter in any manner standards otherwise applicable by lawto agency action. (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1168.)
§607. Preparation ofanalyses

In complying with the provisions of sections 603 and 604 of this title, an agency may provide either a quantifiable or numerical description of the effects of a proposed rule or alternatives to the proposed rule, or more general descriptive statements if quantification is not practicable

or reliable. (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1168.)
§608. Procedure for waiver or delay of completion (a) An agency head may waive or delay the completion ofsome orall ofthe requirements of section 603 ofthis title bypublishing in theFederal Register, not laterthan the date ofpublication of the final rule, a written finding, with

reasons therefor, that the final rule is being promulgated in response to an emergency that makes compliance or timely compliance with the provisions ofsection 603 ofthis titleimpracticable.

(b) Except as provided in section 605(b), an agency head may not waive the requirements of section 604 of this title. An agency head may delay the completion ofthe requirements of section 604 of this title for a period of not more than one hundred and eighty days after the date of publication in the Federal Register of a final rule by publishing in the Federal Register, not later than such date of publication, a written finding, with reasons therefor, that the final rule is being promulgated in response to an emergency that makes timely compliance with the provisions ofsection 604 ofthis title impracticable. If the agency has not prepared a final regulatory analysis pursuant to section 604 of this title within one hundred and eighty days from the date of publication of the final rule, such rule shall lapse and have no effect. Such ruleshall notberepromulgated until a final regulatory flexibility analysis has been completed by the agency. (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1168.)
§609. Procedures for gathering comments

(a) When any rule is promulgated which will have a significant economic impact on a substantial number of small entities, the head of the agency promulgating the rule or the official of the agency with statutory responsibility for the promulgation of the rule shall assure that small entities havebeen given anopportunity to participate in the rulemaking for the rule through the reasonable use of techniques such

as- (1) the inclusion in an advanced notice of

proposed rulemaking, if issued, ofa statement that the proposed rule may have a significant economic effect on a substantial number of small entities;

(2) the publication ofgeneral notice of proposed rulemaking in publications likely to be obtained by small entities;

(3) the directnotification ofinterested small entities;

(4) the conduct ofopen conferences or public hearings concerning therule for small entities including soliciting and receiving comments

over computer networks; and

(5) the adoption or modification of agency procedural rules to reduce the cost or complexity of participation in the rulemaking by small entities. (b) Prior to publication of an initial regulatory flexibility analysis which acovered agency is required toconduct by thischapter- (1) a covered agency shall notify the Chief Counsel for Advocacy of the Small Business Administration and provide the Chief Counsel with information on the potential impacts of the proposed rule on small entities and the type ofsmall entities that might be affected;

(2) not laterthan 15 daysafter the date ofreceipt of the materials described in paragraph (1), the ChiefCounsel shall identify individuals representative of affected small entities for the purpose of obtaining advice and recommendations from those individuals about the potentialimpacts oftheproposedrule;

(3) the agency shall convene a review panel for such rule consisting wholly of full time Federal employees of the office within the agency responsible for carrying out the proposed rule, the Office ofInformation and Regulatory Affairs within the Office of Management and Budget, and the ChiefCounsel; Page 827

### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

(4) the panel shall review any material the agency has prepared in connection with this chapter, including any draft proposed rule, collect advice and recommendations of each individual small entity representative identified by the agency after consultation withthe ChiefCounsel, on issues relatedto subsections 603(b), paragraphs (3), (4) and (5) and603(c);

(5) not later than 60 days after the date a covered agency convenes a review panelpursuant to paragraph (3), the review panel shallreport on the comments ofthe small entity representatives andits findings as to issuesrelatedto subsections 603(b), paragraphs (3), (4) and (5) and 603(c), provided that such report shall be made public as part of the rulemaking record; and

(6) where appropriate, the agency shall modify the proposed rule, the initial regulatory flexibility analysis or the decision on whether

an initial regulatory flexibility analysis is required. (c) An agency may in its discretion apply subsection (b) to rules that the agency intends to certify under subsection 605(b), but the agency believes may have a greater than de minimis impact on a substantial number of small entities.

(d) For purposes of this section, the term "covered agency" means- (1) theEnvironmental ProtectionAgency; (2) the Consumer Financial Protection Bureauofthe Federal Reserve System; and

(3) the Occupational Safety and Health Administration oftheDepartment ofLabor. (e) The Chief Counsel for Advocacy, in consultation with the individuals identified in subsection (b)(2), and with theAdministrator ofthe Office of Information and Regulatory Affairs within the Office of Management and Budget,
may waive the requirements of subsections (b)(3), (b)(4), and (b)(5) by including in the rulemaking record a written finding, with reasons therefor, thatthose requirements would not advance the effective participation of small entities in the rulemaking process. For purposes of this subsection, the factors to be considered in making such a findingare asfollows: (1) In developing a proposed rule, the extent to which the covered agency consulted with individuals representative of affected small entities with respect to the potential impacts oftherule andtook such concerns into consideration.

(2) Special circumstances requiring prompt issuance oftherule.

(3) Whether the requirements of subsection (b) would provide the individuals identified in subsection (b)(2)with a competitive advantage relative to other small entities. (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1168; amended Pub. L. 104-121, title II, §244(a), Mar. 29, 1996, 110 Stat. 867; Pub. L. 111-203, title X, §1100G(a), July21, 2010, 124 Stat. 2112.)

AMENDMENTS



### 2010-Subsec. (d). Pub. L. 111-203 substituted "means-" for "means the Environmental Protection Agency and the Occupational Safety and Health Administration of the Department of Labor." and added pars.(1)to(3). 1996-Pub. L. 104-121, §244(a)(2), (3), designated existing provisions as subsec. (a) and inserted "including soliciting and receiving comments over computer networks" after "entities" in par. (4).

Pub. L. 104-121, §244(a)(1), which directed insertion of "the reasonable use of" before "techniques," in introductory provisions, was executed by making the insertion in text which did not contain a comma after the word "techniques" to reflect the probable intent of Congress.

Subsecs. (b) to (e). Pub. L. 104-121, §244(a)(4), added subsecs. (b) to (e).

EFFECTIVE DATE OF 2010 AMENDMENT

Amendment by Pub. L. 111-203 effective on the designated transfer date, see section 1l0H of Pub. L. 111-203,set outas anote under section 552a ofthis title.

EFFECTIVE DATE OF 1996 AMENDMENT

Amendment by Pub.L. 104-121 effective onexpiration of90 days after Mar. 29, 1996, but inapplicable to interpretative rules for which a notice of proposed rulemaking was published prior to Mar.29, 1996, see section 245 ofPub. L. 104-121, setout as anote under section 601 ofthis title.

SMALL BusINEss ADVOCACY CHAIRPERSONS

Pub. L. 104-121, title II, §244(b), Mar. 29, 1996, 110 Stat. 868, provided that: "Not later than 30 days after the date ofenactment ofthis Act [Mar. 29, 1996], the head ofeach covered agency that hasconducted a final regulatory flexibility analysis shall designate a small business advocacy chairperson using existing personnel to theextent possible, to be responsible for implementing this section and to act as permanent chair ofthe agency's review panels established pursuant to this section."

§610. Periodic review ofrules

(a) Within one hundred and eighty days after the effective date of this chapter, each agency shall publish in the Federal Register a plan for the periodic review of the rules issued by the
agency which have or will have a significant economic impact upon a substantial number of small entities. Such plan may be amended by the agency at any time by publishing the revision in the Federal Register. The purpose ofthe review shall be to determine whether.such rules should be continued without change, or should be amended or rescinded, consistent with the stated objectives ofapplicable statutes, to minimize any significant economic impact of the rules upon a substantial number of such small entities. The plan shall provide for the review of all such agency rules existing on the effective date of this chapter within ten years of that date and for the review of such rules adopted after the effective date of this chapter within

ten years ofthe publication of such rules as the final rule. If the head ofthe agency determines that completion ofthe review ofexisting rules is

not feasible by the established date, he shall so certify in a statement published in the Federal Register and may extend the completion dateby

one year at a time for a total of not more than five years.

(b) In reviewing rules to minimize any significant economic impact of the rule on a substantial number of small entities in a manner consistent with the stated objectives of applicable statutes, the agency shall consider the following factors- (1) the continued need for the rule; 

### §610 Page 828

### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

(2) the nature ofcomplaints or comments received concerning therule from thepublic;

(3) the complexity ofthe rule; (4) the extent to which therule overlaps, duplicates or conflicts with other Federal rules, and, to the extent feasible, with State and local governmental rules; and

(5) the length oftime since therule hasbeen evaluated or the degree to which technology, economic conditions, or other factors have changed in thearea affected by therule. (c) Each year, each agency shall publishin the Federal Register a listofthe rules which have a significant economic impact on a substantial number of small entities, which are to be reviewed pursuant to this section during the succeeding twelve months. The list shall include a brief description of each rule and the need for and legal basis ofsuch rule and shall invite publiccomment uponthe rule. (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1169.)

REFERENCES INTEXT

The effective date ofthis chapter, referred to in subsec. (a), is Jan. 1, 1981. See Effective Date note set out under section 601 ofthistitle.
§611. Judicialreview

(a)(1) For any rule subject to this chapter, a small entity that is adversely affected or aggrieved by final agency action is entitled to judicial review of agency compliance with the requirements ofsections 601, 604, 605(b), 608(b), and 610 in accordance with chapter 7. Agency compliance with sections 607 and 609(a) shall bejudicially reviewable in connection withjudicial review ofsection 604.

(2) Each court having jurisdiction to review such rule for compliance with section 553, or under any other provision of law, shall have jurisdiction to review any claims of noncompliance with sections 601, 604, 605(b), 608(b), and 610 in accordance with chapter 7. Agency compliance with sections 607 and 609(a) shall be judicially reviewable in connection withjudicial review ofsection 604.

(3)(A) A small entity may seek such review during the period beginning on the date offinal agency action and ending one year later, except that where a provision of law requires that an action challenging a finalagency action be commenced before the expiration of one year, such lesser period shall apply to an action forjudicial review under this section.

(B) In the case where an agency delays the issuance of a final regulatory flexibility analysis pursuant to section 608(b) ofthis chapter, an action for judicial review under this section shall be filednot later than- (i) one year after the date the analysis is made available to thepublic, or

(ii) where a provision oflaw requires that an action challenging a final agency regulation be commenced before the expiration of the 1- year period, the number of days specified in such provision oflaw that is after the date the analysis is made available tothe public. (4) In granting any relief in an action under this section, the court shall order the agency to take corrective action consistent with this chapter and chapter7, including, butnotlimited
to- (A) remanding therule tothe agency, and (B) deferring the enforcement of the rule against small entities unless the court finds that continued enforcement of the rule is in thepublic interest. (5) Nothing in this subsection shall be construed to limit the authority of any court to stay the effective date of any rule or provision thereof under any other provision of law or to grant any other reliefin addition to therequirementsofthis section.

(b) In an action for the judicial review of a rule, the regulatory flexibility analysis for such rule, including an analysis prepared or corrected pursuant to paragraph (a)(4), shall constitute part ofthe entire recordofagency action in connection with such review.

(c)Compliance ornoncompliance byan agency with the provisions of this chapter shall be subject to judicial review only in accordance with this section.

(d) Nothing in this section barsjudicial review ofany other impact statement or similar analysis required by any other law if judicial review ofsuch statement or analysis is otherwise permitted by law. (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1169; amended Pub. L. 104-121, titleII, §242, Mar. 29, 1996, 110Stat. 865.)
AMENDMENTS 1996-Pub. L. 104-121 amended sectiongenerally. Prior toamendment, section readasfollows:

"(a) Except as otherwise provided in subsection (b), any determination by an agency concerning the applicability ofany ofthe provisions ofthis chapterto any action ofthe agency shallnot be subject tojudicialre- view.

"(b) Any regulatory flexibility analysis prepared under sections 603and 604 ofthis title and the compli-

ance or noncompliance of the agency with the provisionsofthis chapter shallnotbe subject tojudicialre- view. When an actionforjudicial review ofaruleisinstituted, any regulatory flexibility analysis for such ruleshall constitute partofthe wholerecord ofagency actioninconnection withthereview.

"(c) Nothing in this section bars judicial review of any other impact statement or similar analysis required by anyotherlawifjudicial review ofsuch statementor analysis isotherwiseprovidedby law."
EFFECTIVE DATE OF 1996 AMENDMENT
AmendmentbyPub.L.104-121 effective on expiration of90 daysafter Mar. 29, 1996, butinapplicable tointerpretative rules for which a notice of proposed rulemaking waspublished priortoMar.29, 1996, see section 245ofPub.L. 104-121, setout asanoteunder section 601 ofthistitle.
§612. Reports andinterventionrights

(a) The Chief Counsel for Advocacy of the Small Business Administration shall monitor agency compliance with this chapter and shall report at least annually thereon to the President and to the Committees on the Judiciary and Small Business of the Senate and House of Representatives.

(b) The Chief Counsel for Advocacy of the Small Business Administration is authorized to appear as amicus curiae in any action brought §612 Page 829

### TITLE 5-GOVERNMENT ORGANIZATION AND EMPLOYEES

in a court ofthe United States toreview a rule. In any such action, the ChiefCounsel is authorized to present his or her views with respect to compliance with this chapter, the adequacy of the rulemaking record with respect to small entities and the effect of the rule on small entities.

(c) A court of the United States shall grant the application ofthe Chief Counsel for Advocacy of the Small Business Administration to appear in any such action for the purposes described in subsection (b). (Added Pub. L. 96-354, §3(a), Sept. 19, 1980, 94 Stat. 1170; amended Pub. L. 104-121, title II, §243(b), Mar.29, 1996, 110 Stat.866.)

AMENDMENTS 

### 1996-Subsec. (a). Pub.L. 104-121, §243(b)(1), whichdirected substitution of "the Committees on the Judiciary and SmallBusinessofthe Senate and HouseofRepresentatives" for "the committees on the Judiciary of the Senate and the House ofRepresentatives, the Select Committee on Small Business ofthe Senate, and the Committee on SmallBusiness oftheHouse ofRepresentatives", was executed by making the substitution for "the Committees on the Judiciary of the Senate and House ofRepresentatives, the Select Committee on Small Business ofthe Senate, and the Committee on Small Business of the House ofRepresentatives" toreflect theprobable intentofCongress.

Subsec. (b). Pub. L. 104-121, §243(b)(2), substituted "his or her views withrespect tocompliance with this chapter, the adequacy ofthe rulemaking record with respect to small entities and the" for "his views with respecttothe".

CHANGEOFNAME



### Committee on Small Business of Senate changed to Committee on SmallBusiness and Entrepreneurship of Senate. See Senate Resolution No. 123, One Hundred Seventh Congress,June 29, 2001.

EFFECTIVE DATE OF 1996 AMENDMENT 

### Amendment byPub. L. 104-121effective onexpiration of90 days after Mar. 29, 1996, butinapplicable tointerpretative rules for which a notice of proposed rulemaking waspublished priorto Mar.29, 1996, see section 245ofPub.L. 104-121, setoutasanote undersection 601 ofthistitle.

CHAPTER 7-JUDICIAL REVIEW

Sec. 

### 701. Application; definitions. 702. Right ofreview. 703. Form andvenue ofproceeding. 704. Actionsreviewable. 705. Reliefpendingreview. 706. Scopeofreview.

SHORT TITLE
The provisions ofsections 551 to 559of this title and this chapter were originally enacted by act June 11, 1946, ch. 423, 60 Stat. 237, popularly known as the "Administrative Procedure Act".That Actwas repealed as part of the general revision of this title by Pub. L. 89-554 and its provisions incorporated into sections 551 to559ofthistitleandthischapter.

§701. Application; definitions

(a) This chapter applies, according to the provisions thereof, exceptto the extent that- (1) statutes precludejudicial review; or (2) agency action is committed to agency discretion by law. (b) Forthepurpose ofthischapter- (1) "agency" means each authority of the Government ofthe United States, whether or not it is within or subject to review by another agency, but doesnotinclude- (A) the Congress; (B) thecourts ofthe United States; (C) the governments of the territories or possessions oftheUnited States;

(D) the government of the District of Columbia;

(E) agencies composed of representatives ofthe parties or ofrepresentatives oforganizations of the parties to the disputes determined by them;

(F) courts martial and military commissions;

(G) military authority exercised in the field in time ofwar orin occupied territory;

or(H) functions conferred by sections 1738, 1739, 1743, and 1744 of titlb 12; subchapter II of chapter 471 of title 49; or sections 1884, 1891-1902, and former section 1641(b)(2), of title 50, appendix; and (2) "person", "rule", "order", "license", "sanction", "relief", and "agency action" have the meanings given them by section 551 ofthis title. (Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 392; Pub. L. 103-272, §5(a), July5, 1994, 108 Stat. 1373; Pub. L. 111-350, §5(a)(3), Jan. 4, 2011, 124 Stat. 3841.)

HISTORICALAND REVISIONNOTES

Derivation U.S. Code RevisedStatutesand StatutesatLarge 

### (a)

............. 5U.S.C.1009(intro- June 11, 1946, ch. 324, §10 ductoryclause). (introductory clause), 60 Stat.243.

In subsection (a), thewords "This chapter applies,according to the provisions thereof," are added to avoid the necessity of repeating the introductory clause of formersection 1009in sections702-706.

Subsection (b) is added on authority of section 2 of theAct ofJune 11, 1946, ch. 324, 60 Stat.237, as amended, whichiscarried intosection551ofthistitle.

In subsection (b)(1)(G), the words "or naval" are omittedasincluded in "military".

Insubsection (b)(1)(H), the words "functions which by law expire on the termination of present hostilities, within any fixed period thereafter, or before July 1, 1947" areomitted as executed.Reference tothe "Selective Training and Service Act of 1940" is omitted as that Act expired on Mar. 31, 1947. Reference to the "Sugar Control Extension Act of 1947" is omitted as that Act expired on Mar. 31, 1948. References to the "Housing and Rent Act of 1947, as amended" and the "Veterans' Emergency Housing Act of1946" have been consolidated as they are related. The reference to former section 1641(b)(2) of title 50, appendix, is re- tained notwithstanding its repeal by §111(a)(1) of the Act ofSept. 21, 1961, Pub. L. 87-256, 75 Stat. 538, since §111(c) of the Act provides that a reference in other Acts to a provision of law repealed by §111(a) shall be considered to be areference to the appropriate provisionsofPub.L. 87-256.

Standardchanges are madeto conform with thedefinitionsapplicable and thestyle ofthistitle asoutlined inthepreface to thereport.

REFERENCES INTEXT Sections 1891-1902 oftitle 50, appendix, referred toin subsec. (b)(1)(H), were omitted from the Code as executed. §701 Page 830