
From the U.S. Code Online via GPO Access
[wais.access.gpo.gov]
[Laws in effect as of January 2, 2001]
[Document not affected by Public Laws enacted between
  January 2, 2001 and January 28, 2002]
[CITE: 5USC601]

 
             TITLE 5--GOVERNMENT ORGANIZATION AND EMPLOYEES
 
                     PART I--THE AGENCIES GENERALLY
 
             CHAPTER 6--THE ANALYSIS OF REGULATORY FUNCTIONS
 
Sec. 601. Definitions

    For purposes of this chapter--
        (1) the term ``agency'' means an agency as defined in section 
    551(1) of this title;
        (2) the term ``rule'' means any rule for which the agency 
    publishes a general notice of proposed 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 not include a 
    rule of particular 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 relating to 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 of the Small Business 
    Act, unless an agency, after consultation with the Office of 
    Advocacy of the Small Business Administration and after opportunity 
    for public comment, establishes 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;
        (4) the term ``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 establishes, after opportunity for 
    public comment, one or more definitions of such term which are 
    appropriate to the activities of the 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, and 
    publishes 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 
    governmental jurisdiction'' defined in paragraphs (3), (4) and (5) 
    of this section; and
        (7) the term ``collection of information''--
            (A) means the obtaining, causing to be obtained, soliciting, 
        or requiring the disclosure to third parties or the public, of 
        facts or opinions by or for an agency, regardless of form or 
        format, calling for either--
                (i) answers to identical questions posed to, or 
            identical reporting or recordkeeping requirements imposed 
            on, 10 or more persons, other than agencies, 
            instrumentalities, or employees of the United States; or
                (ii) answers to questions posed to agencies, 
            instrumentalities, or employees of the United 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 title 44, 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, Sec. 3(a), Sept. 19, 1980, 94 Stat. 1165; amended 
Pub. L. 104-121, title II, Sec. 241(a)(2), Mar. 29, 1996, 110 Stat. 
864.)

                       References in Text

    Section 3 of the Small Business Act, referred to in par. (3), is 
classified to section 632 of Title 15, Commerce and Trade.


                               Amendments

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


                    Effective Date of 1996 Amendment

    Section 245 of title II of Pub. L. 104-121 provided that: ``This 
subtitle [subtitle D (Secs. 241-245) of title II of Pub. L. 104-121, 
amending this section and sections 603 to 605, 609, 611, and 612 of this 
title and enacting provisions set out as a note under section 609 of 
this title] shall become effective on the expiration of 90 days after 
the date of enactment of this subtitle [Mar. 29, 1996], except that such 
amendments shall not apply to interpretative rules for which a notice of 
proposed rulemaking was published prior to the date of enactment.''


                             Effective Date

    Section 4 of Pub. L. 96-354 provided that: ``The provisions of this 
Act [enacting this chapter] shall take effect January 1, 1981, except 
that the requirements of sections 603 and 604 of title 5, United States 
Code (as added by section 3 of this Act) shall apply only to rules for 
which a notice of proposed rulemaking is issued on or after January 1, 
1981.''


                      Short Title of 1996 Amendment

    Section 1 of Pub. L. 104-121 provided that: ``This Act [enacting 
sections 801 to 808 of this title, section 657 of Title 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, and 612 of this title, sections 665e and 901 of Title 2, The 
Congress, section 648 of Title 15, section 2412 of Title 28, Judiciary 
and Judicial Procedure, section 3101 of Title 31, Money and Finance, and 
sections 401, 402, 403, 405, 422, 423, 425, 902, 903, 1382, 1382c, 1383, 
and 1383c of Title 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 of Title 42, amending 
provisions set out as a note under section 631 of Title 15, and 
repealing provisions set out as a note under section 425 of Title 42] 
may be cited as the `Contract with America Advancement Act of 1996'.''


                               Short Title

    Section 1 of Pub. L. 96-354 provided: ``That this Act [enacting this 
chapter] may be cited as the `Regulatory Flexibility Act'.''


       Assessment of Federal Regulations and Policies on Families

    Pub. L. 105-277, div. A, Sec. 101(h) [title VI, Sec. 654], Oct. 21, 
1998, 112 Stat. 2681-480, 2681-528, provided that:
    ``(a) Purposes.--The purposes of this section are to--
        ``(1) require agencies to assess the impact of proposed agency 
    actions on family well-being; and
        ``(2) improve the management of executive branch agencies.
    ``(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 the General Accounting Office; and
        ``(2) the term `family' means--
            ``(A) a group of individuals related by blood, marriage, 
        adoption, or other legal custody who live together as a single 
        household; and
            ``(B) any individual who is not a member of such group, but 
        who is related by blood, marriage, or adoption to a member of 
        such group, and over half of whose 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 with respect to whether--
        ``(1) the action strengthens or erodes the stability or safety 
    of the family and, particularly, the marital commitment;
        ``(2) the action strengthens or erodes the authority and rights 
    of parents in the education, nurture, and supervision of their 
    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 or 
    poverty of families and children;
        ``(5) the proposed benefits of the action justify the financial 
    impact on the family;
        ``(6) the action may be carried out by State or local government 
    or by the family; and
        ``(7) the action establishes an implicit or explicit policy 
    concerning the relationship between the behavior and personal 
    responsibility of youth, and the norms of society.
    ``(d) Governmentwide Family Policy Coordination and Review.--
        ``(1) Certification and rationale.--With respect to each 
    proposed policy or regulation that may affect family well-being, the 
    head of each agency shall--
            ``(A) submit a written certification to the Director of the 
        Office of Management 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 of 
        each 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 this section; and
            ``(B) compile, index, and submit annually to the Congress 
        the written certifications received pursuant to paragraph 
        (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 of the Office of 
        Management and Budget; and
            ``(C) advise the President on policy and regulatory actions 
        that may 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 of Congress relating to a proposed policy or regulation, an 
agency shall conduct an assessment in accordance with subsection (c), 
and shall provide a certification and rationale in 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, its officers, or any 
person.''


                   Small Business Regulatory Fairness

    Sections 201 to 224 of title II of Pub. L. 104-121 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, and 612 of this title, section 648 of Title 
15, and section 2412 of Title 28, Judiciary and Judicial Procedure, 
enacting provisions set out as notes under this section and sections 
504, 609, and 801 of this title, and amending provisions set out as a 
note under section 631 of Title 15] may be cited as the `Small Business 
Regulatory Enforcement Fairness Act of 1996'.
``SEC. 202. FINDINGS.
    ``Congress finds that--
        ``(1) a vibrant and growing small business sector is critical to 
    creating jobs in a dynamic economy;
        ``(2) small businesses bear a disproportionate share of 
    regulatory costs and burdens;
        ``(3) fundamental changes that are needed in the regulatory and 
    enforcement culture of Federal agencies to make agencies more 
    responsive to small business can be made without compromising the 
    statutory missions of the agencies;
        ``(4) three of the top recommendations of the 1995 White House 
    Conference on Small Business involve reforms to the way government 
    regulations are developed and enforced, and reductions in government 
    paperwork requirements;
        ``(5) the requirements of chapter 6 of title 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 6 of title 5, 
    United States Code.
``SEC. 203. PURPOSES.
    ``The purposes of this title are--
        ``(1) to implement certain recommendations of the 1995 White 
    House Conference on Small Business regarding 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 
    businesses in the Federal regulatory process;
        ``(4) to simplify the language of Federal regulations affecting 
    small businesses;
        ``(5) to develop more accessible sources of information on 
    regulatory and reporting requirements for small businesses;
        ``(6) to create a more cooperative regulatory environment among 
    agencies and small businesses that is less punitive 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 of this 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 
    of title 5, United States Code; and
        ``(3) the term `small entity compliance guide' means a document 
    designated as such by an agency.
``SEC. 212. COMPLIANCE GUIDES.
    ``(a) Compliance Guide.--For each rule or group of related rules for 
which an agency is required to prepare a final regulatory flexibility 
analysis under section 604 of title 5, United States Code, the agency 
shall publish one or more guides to assist small entities in complying 
with the rule, and shall designate such publications as `small entity 
compliance guides'. The guides shall explain the actions a small entity 
is required to take to comply with a rule or group of rules. The agency 
shall, in its sole discretion, taking into account the subject matter of 
the rule and the language of relevant 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 
groups or classes of similarly affected small entities, and may 
cooperate with associations of small entities to develop and distribute 
such guides.
    ``(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 a 
violation occurring after the effective date of this section, the 
content of the small entity compliance guide may be considered as 
evidence of the reasonableness or appropriateness of any proposed fines, 
penalties or damages.
``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 shall be the practice of the 
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 of facts 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 of small 
entities shall establish a program for responding 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 of small 
business shall report to the Committee on Small Business and Committee 
on Governmental Affairs of the Senate and the Committee on Small 
Business and Committee on the Judiciary of the House of Representatives 
no later than 2 years after the date of the enactment of this 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 of Title 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 related to compliance assistance.
``SEC. 215. COOPERATION ON GUIDANCE.
    ``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 of interest 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 the amendments made by this subtitle shall take 
effect on the expiration of 90 days after the date of enactment of this 
subtitle [Mar. 29, 1996].


              ``subtitle b--regulatory enforcement reforms

``SEC. 221. DEFINITIONS.
    ``For purposes of this 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 
    of title 5, United States Code; 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. 29, 1996] to provide for the reduction, and under 
appropriate circumstances for the waiver, of civil penalties for 
violations of a statutory or regulatory requirement by a small entity. 
Under appropriate circumstances, an agency may consider ability to pay 
in determining penalty assessments on small entities.
    ``(b) Conditions and Exclusions.--Subject to the requirements or 
limitations of other statutes, policies or programs established under 
this section shall contain conditions or exclusions which may include, 
but shall not be 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 or a State;
        ``(3) excluding small entities that have been subject to 
    multiple enforcement actions by the agency;
        ``(4) excluding violations involving willful or criminal 
    conduct;
        ``(5) excluding violations that pose serious health, safety or 
    environmental threats; and
        ``(6) requiring a good faith effort to comply with the law.
    ``(c) Reporting.--Agencies shall report to the Committee on Small 
Business and Committee on Governmental Affairs of the Senate and the 
Committee on Small Business and Committee on Judiciary of the House of 
Representatives no later than 2 years after the date of enactment of 
this section [Mar. 29, 1996] on the scope of their program or policy, 
the number of enforcement actions against small entities that qualified 
or failed to qualify for the program or policy, and the total amount of 
penalty reductions and waivers.
``SEC. 224. EFFECTIVE DATE.
    ``This subtitle and the amendments made by this subtitle shall take 
effect on the expiration of 90 days after the date of enactment of this 
subtitle [Mar. 29, 1996].''


                Effects of Deregulation On Rural America

    Pub. L. 101-574, title III, Sec. 309, Nov. 15, 1990, 104 Stat. 2831, 
provided that:
    ``(a) Study.--The Office of Technology Assessment shall conduct a 
study of the effects of deregulation on the economic vitality of rural 
areas. Such study shall include, but not be limited to, a thorough 
analysis of the impact of deregulation on--
        ``(1) the number of loans 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 of such 
    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 of nonstop service, availability of 
    direct service, number of economic cancellations, number of flight 
    delays, the types of airplanes 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 number identification;
        ``(5) the availability and costs to rural 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 to rural residents and businesses; and
        ``(6) the availability and costs of services enumerated in 
    paragraphs (1) through (5) in urban areas compared to rural areas.
    ``(b) Report.--Not later than 12 months after the date of enactment 
of this title [Nov. 15, 1990], the Office of Technology Assessment shall 
transmit to Congress a report on the results of the study conducted 
under subsection (a) together with its recommendations on how to address 
the problems facing small businesses in rural areas.''


            Congressional Findings and Declaration of Purpose

    Section 2 of Pub. L. 96-354 provided that:
    ``(a) The Congress finds and declares 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 caused by 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 to recognize differences in the scale and 
    resources of regulated 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, and governmental 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 which do not conflict 
    with the stated objectives of applicable statutes may be available 
    which minimize the significant economic impact of rules 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 the continued need 
    for existing rules.
    ``(b) It is the purpose of this Act [enacting this chapter] to 
establish as a principle of regulatory issuance that agencies shall 
endeavor, consistent with the objectives of the rule and of applicable 
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 to explain the 
rationale for their actions to assure that such proposals are given 
serious consideration.''

                        Executive Order No. 12291

    Ex. Ord. No. 12291, Feb. 17, 1981, 46 F.R. 13193, which established 
requirements for agencies to follow in promulgating regulations, 
reviewing existing regulations, and developing legislative proposals 
concerning regulation, was revoked by Ex. Ord. No. 12866, Sec. 11, Sept. 
30, 1993, 58 F.R. 51735, set out below.

                        Executive Order No. 12498

    Ex. Ord. No. 12498, Jan. 4, 1985, 50 F.R. 1036, which established a 
regulatory planning process by which to develop and publish a regulatory 
program for each year, was revoked by Ex. Ord. No. 12866, Sec. 11, Sept. 
30, 1993, 58 F.R. 51735, set out below.

                        Executive Order No. 12606

    Ex. Ord. No. 12606, Sept. 2, 1987, 52 F.R. 34188, which provided 
criteria for executive departments and agencies to follow in making 
policies and regulations to ensure consideration of effect of those 
policies and regulations on autonomy and rights of the family, was 
revoked by Ex. Ord. No. 13045, Sec. 7, Apr. 21, 1997, 62 F.R. 19888, set 
out as a note under section 4321 of Title 42, The Public Health and 
Welfare.

                        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 to follow in formulating and 
implementing policies and limited the instances when executive 
departments and agencies could construe a Federal statute to preempt 
State law, was revoked by Ex. Ord. No. 13132, Sec. 10(b), Aug. 4, 1999, 
64 F.R. 43259, set out below.

     Ex. Ord. No. 12630. Governmental Actions and Interference With 
               Constitutionally Protected Property Rights

    Ex. Ord. No. 12630, Mar. 15, 1988, 53 F.R. 8859, provided:
    By the authority vested in me as President by the Constitution and 
laws of the United States of America, and in order to ensure that 
government actions are undertaken on a well-reasoned basis with due 
regard for fiscal accountability, for the financial impact of the 
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 shall not be taken for 
public use without just compensation. Government historically has used 
the formal exercise of the power of eminent domain, which provides 
orderly processes for paying just compensation, to acquire private 
property for public use. Recent Supreme Court decisions, however, in 
reaffirming the fundamental protection of private property rights 
provided by the Fifth Amendment and in assessing the nature of 
governmental actions that have an impact on constitutionally protected 
property rights, have also reaffirmed that governmental actions that do 
not formally invoke the condemnation power, including regulations, may 
result in a taking for which just compensation is required.
    (b) Responsible fiscal management and fundamental principles of good 
government require that government 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 for those takings that are 
necessitated by statutory mandate.
    (c) The purpose of this Order is to assist Federal departments and 
agencies in undertaking such reviews and in proposing, planning, and 
implementing actions with due regard for the 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 furtherance of the purpose of this Order, the 
Attorney General shall, consistent with the principles stated herein and 
in consultation with the Executive departments and agencies, promulgate 
Guidelines for the Evaluation of Risk and Avoidance of Unanticipated 
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 of this Order. The Guidelines shall be 
promulgated no later than May 1, 1988, and shall be disseminated to all 
units of each Executive department and agency no later than July 1, 
1988. The Attorney General shall, as necessary, update these guidelines 
to reflect fundamental changes in takings law occurring as a result of 
Supreme Court decisions.
    Sec. 2. Definitions. For the purpose of this Order: (a) ``Policies 
that have takings implications'' refers to Federal regulations, proposed 
Federal regulations, 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 other 
condition requirements or limitations on private property use, or that 
require dedications or exactions from owners of private property. 
``Policies that have takings implications'' does not include:
    (1) Actions abolishing regulations, discontinuing governmental 
programs, or modifying regulations in a manner that lessens interference 
with the use of private property;
    (2) Actions taken with respect to properties held in trust by the 
United States or in preparation for or during treaty negotiations with 
foreign nations;
    (3) Law enforcement actions involving seizure, for violations of 
law, of property for forfeiture or as evidence in criminal proceedings;
    (4) Studies or similar efforts or planning 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 of whether such 
communications are initiated by a Federal agency or department or are 
undertaken in response to an invitation by the State or local authority;
    (6) The placement of military facilities or military activities 
involving the use of Federal 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 of the Fifth Amendment.
    (c) ``Actions'' refers to proposed Federal regulations, proposed 
Federal legislation, comments on proposed Federal legislation, 
applications of Federal 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 not include:
    (1) Actions in which the power of eminent domain is formally 
exercised;
    (2) Actions taken with respect to properties held in trust by the 
United States or in preparation for or during treaty negotiations with 
foreign nations;
    (3) Law enforcement actions involving seizure, for violations of 
law, of property for forfeiture or as evidence in criminal proceedings;
    (4) Studies or similar efforts or planning 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 of whether such 
communications are initiated by a Federal agency or department or are 
undertaken in response to an invitation by the State or local authority;
    (6) The placement of military facilities or military activities 
involving the use of Federal 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.
    Sec. 3. General Principles. In formulating or implementing policies 
that have takings implications, each Executive department and agency 
shall be guided by the following general principles:
    (a) Governmental officials should be sensitive to, anticipate, and 
account for, the obligations imposed by the Just Compensation Clause of 
the Fifth Amendment in planning and carrying out governmental actions so 
that they do not result in the imposition of unanticipated or undue 
additional burdens on the public fisc.
    (b) Actions undertaken by governmental officials that result in a 
physical invasion or occupancy of private property, and regulations 
imposed on private property that substantially affect its value or use, 
may constitute a taking of property. Further, governmental action may 
amount to a taking even though the action results in less than a 
complete deprivation of all use or 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 of a 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 of being 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 of whether the underlying authority for the 
action contemplated a taking or authorized the payment of compensation. 
Accordingly, governmental actions that may have a significant impact on 
the use or value of private property should be scrutinized to avoid 
undue or unplanned burdens on the public fisc.
    Sec. 4. Department and Agency Action. In addition to the fundamental 
principles set forth in Section 3, Executive departments and agencies 
shall adhere, to the extent permitted by law, to the following criteria 
when implementing policies that have takings implications:
    (a) When an Executive department or agency requires a private party 
to obtain a permit in order to undertake a specific use of, or action 
with respect to, private property, any conditions imposed on the 
granting of a permit shall:
    (1) Serve the same purpose that would have been served by a 
prohibition of the use or action; and
    (2) Substantially advance that purpose.
    (b) When a proposed action would place a restriction on a use of 
private property, the restriction 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 to redress.
    (c) When a proposed action involves a permitting process or any 
other decision-making process that will interfere with, or otherwise 
prohibit, the use of private property pending the completion of the 
process, the duration of the process shall be kept to the minimum 
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 of the Office of 
Management and Budget that are required:
    (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 of the 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 that the action 
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 upon completion of the emergency action.
    Sec. 5. Executive Department and Agency 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 of the department or agency.
    (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 of 
the identified takings implications, if any, in all required submissions 
made to the Office of Management and Budget. Significant takings 
implications should also be identified and discussed in notices of 
proposed rule-making and messages transmitting legislative proposals to 
the Congress stating the departments' and agencies' conclusions on the 
takings issues.
    (c) Executive departments and agencies shall identify each existing 
Federal rule and regulation against which a takings award has been 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, pursuant to 
the Just Compensation Clause of the Fifth Amendment. An itemized 
compilation 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 or before 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 of all awards of just compensation 
entered against the United States for takings, including awards of 
interest as well as monies paid pursuant to the provisions of the 
Uniform Relocation Assistance and Real Property Acquisition Policies Act 
of 1970, 42 U.S.C. 4601.
    (e)(1) The Director, Office of Management 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 1 through 5 of this Order, and the Office of Management and 
Budget 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 of this 
Order, the Attorney General shall, in consultation with each Executive 
department and agency to which this Order applies, promulgate such 
supplemental guidelines as may be appropriate to the specific 
obligations of that department or agency.
    Sec. 6. Judicial Review. This Order is intended only to improve the 
internal management of the Executive branch and is not intended to 
create any right or benefit, substantive or procedural, enforceable at 
law by a party against the United States, its agencies, its officers, or 
any person.
                                                          Ronald Reagan.

Ex. Ord. No. 12861. Elimination of One-Half of Executive Branch Internal 
                               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 of title 
3, United States Code, and section 1111 of title 31, United States Code, 
and to cut 50 percent of the 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 not required by law 
within 3 years of the effective date of this order. An agency internal 
management regulation, for the purposes of this order, means an agency 
directive or regulation that pertains to its organization, management, 
or personnel matters. Reductions in agency internal management 
regulations shall be 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 of this 
order, including exemptions necessary for the delivery of essential 
services and compliance with applicable law.
    Sec. 4. Independent Agencies. All independent regulatory commissions 
and agencies are requested to comply with the provisions of this order.
                                                     William J. Clinton.

           Ex. Ord. No. 12866. Regulatory Planning and Review

    Ex. Ord. No. 12866, Sept. 30, 1993, 58 F.R. 51735, provided:
    The American people deserve a regulatory system that works for them, 
not against them: a regulatory system that protects and improves their 
health, safety, environment, and well-being and improves the performance 
of the economy without imposing unacceptable or unreasonable costs on 
society; regulatory policies that recognize that the private sector and 
private markets are the best engine for economic growth; regulatory 
approaches that respect the role of State, local, and tribal 
governments; and regulations that are effective, consistent, sensible, 
and understandable. We do not have such a regulatory system today.
    With this Executive order, the Federal Government begins a program 
to reform and make more efficient the regulatory process. The objectives 
of this Executive order are to enhance planning and coordination with 
respect to both new and existing regulations; to reaffirm the primacy of 
Federal agencies in the regulatory decision-making process; to restore 
the integrity and legitimacy of regulatory review and oversight; and to 
make the process more accessible and open to the public. In pursuing 
these objectives, the regulatory process shall be conducted so as to 
meet applicable statutory requirements and with due regard to the 
discretion that has been entrusted to the Federal agencies.
    Accordingly, by the authority vested in me as President by the 
Constitution and the laws of the United States of America, it is hereby 
ordered as follows:
    Section 1. Statement of Regulatory Philosophy and Principles.
    (a) The Regulatory Philosophy. Federal agencies should promulgate 
only such regulations as are required by law, are necessary to interpret 
the law, or are made necessary by compelling public need, such as 
material failures of private markets to protect or improve the health 
and safety of the public, the environment, or the well-being of the 
American people. In deciding whether and how to regulate, agencies 
should assess all costs and benefits of available regulatory 
alternatives, including the alternative of not regulating. Costs and 
benefits shall be understood to include both quantifiable measures (to 
the fullest extent that these can be usefully estimated) and qualitative 
measures of costs and benefits that are difficult to quantify, but 
nevertheless essential to consider. Further, in choosing among 
alternative regulatory approaches, agencies should select those 
approaches that maximize net benefits (including potential economic, 
environmental, public health and safety, and other advantages; 
distributive impacts; and equity), unless a statute requires another 
regulatory approach.
    (b) The Principles of Regulation. To ensure that the agencies' 
regulatory programs are consistent with the philosophy set forth above, 
agencies should adhere to the following principles, to the extent 
permitted by law and where applicable:
    (1) Each agency shall identify the problem that it intends to 
address (including, where applicable, the failures of private markets or 
public institutions that warrant new agency action) as well as assess 
the significance of that problem.
    (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 the public.
    (4) In setting regulatory priorities, each agency shall consider, to 
the extent reasonable, the degree and nature of the risks posed by 
various substances or activities within its jurisdiction.
    (5) When an agency determines that a regulation is the best 
available method of achieving the regulatory objective, it shall design 
its regulations in the most cost-effective manner to achieve the 
regulatory objective. In doing so, each agency shall consider incentives 
for innovation, consistency, predictability, the costs of enforcement 
and compliance (to the government, regulated entities, and the public), 
flexibility, distributive impacts, and equity.
    (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 the benefits of the intended regulation 
justify its costs.
    (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, the intended regulation.
    (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 or manner of compliance 
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 of Federal 
regulations on State, local, and tribal governments, including 
specifically the availability of resources to carry out those mandates, 
and seek to minimize those burdens that uniquely or significantly affect 
such governmental entities, consistent with achieving regulatory 
objectives. In addition, as appropriate, agencies shall seek to 
harmonize Federal regulatory actions with related State, local, and 
tribal regulatory and other governmental functions.
    (10) Each agency shall avoid regulations that are inconsistent, 
incompatible, or duplicative with its other regulations or those of 
other Federal agencies.
    (11) Each agency shall tailor its regulations to impose the least 
burden on society, including individuals, businesses of differing sizes, 
and other entities (including small communities and governmental 
entities), consistent with obtaining the regulatory objectives, taking 
into account, among other things, and to the extent practicable, the 
costs of cumulative regulations.
    (12) Each agency shall draft its regulations to be simple and easy 
to understand, with the goal of minimizing the potential for uncertainty 
and litigation arising from such uncertainty.
    Sec. 2. Organization. An efficient regulatory planning and review 
process is vital to ensure that the Federal Government's regulatory 
system best serves the American people.
    (a) The Agencies. Because Federal agencies are the repositories of 
significant substantive expertise and experience, they are responsible 
for developing regulations and assuring that the regulations are 
consistent with applicable law, the President's priorities, and the 
principles set forth in this Executive order.
    (b) The Office of Management and Budget. Coordinated review of 
agency rulemaking is necessary to ensure that regulations are consistent 
with applicable law, the President's priorities, and the principles set 
forth in this Executive order, and that decisions made by one agency do 
not conflict with the policies or actions taken or planned by another 
agency. The Office of Management and Budget (OMB) shall carry out that 
review function. Within OMB, the Office of Information and Regulatory 
Affairs (OIRA) is the repository of expertise concerning regulatory 
issues, including methodologies and procedures that affect more than one 
agency, this Executive order, and the President's regulatory policies. 
To the extent permitted by law, OMB shall provide guidance to agencies 
and assist the President, the Vice President, and other regulatory 
policy advisors to the President in regulatory planning and shall be the 
entity that reviews individual regulations, as provided by this 
Executive order.
    (c) The Vice President. The Vice President is the principal advisor 
to the President on, and shall coordinate the development and 
presentation of recommendations concerning, regulatory policy, planning, 
and review, as set forth in this Executive order. In fulfilling their 
responsibilities under this Executive order, the President and the Vice 
President shall be assisted by the regulatory policy advisors within the 
Executive Office of the President and by such agency officials and 
personnel as the President and the Vice President may, from time to 
time, consult.
    Sec. 3. Definitions. For purposes of this Executive order:
    (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 of OMB; (2) the Chair 
(or another member) of the Council of Economic Advisers; (3) the 
Assistant to the President for Economic Policy; (4) the Assistant to the 
President for Domestic Policy; (5) the Assistant to the President for 
National Security Affairs; (6) the Assistant to the President for 
Science and Technology; (7) the Assistant to the President for 
Intergovernmental Affairs; (8) the Assistant to the President and Staff 
Secretary; (9) the Assistant to the President and Chief of Staff to the 
Vice President; (10) the Assistant to the President and Counsel to the 
President; (11) the Deputy Assistant to the President and Director of 
the White House Office on Environmental Policy; and (12) the 
Administrator of OIRA, who also shall coordinate communications relating 
to this Executive order among the agencies, OMB, the other Advisors, and 
the Office of the Vice President.
    (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 the Director of OMB.
    (d) ``Regulation'' or ``rule'' means an agency statement of general 
applicability and future effect, which the agency intends to have the 
force and effect of law, that is designed to implement, interpret, or 
prescribe law or policy or to describe the procedure or practice 
requirements of an agency. It does not, however, include:
    (1) Regulations or rules issued in accordance with the formal 
rulemaking provisions of 5 U.S.C. 556, 557;
    (2) Regulations or rules that pertain to a military or foreign 
affairs function of the United States, other than procurement 
regulations and regulations involving the import or export of non-
defense articles and services;
    (3) Regulations or rules that are limited to agency organization, 
management, or personnel matters; or
    (4) Any other category of regulations exempted by the Administrator 
of OIRA.
    (e) ``Regulatory action'' means any substantive action by an agency 
(normally published in the Federal Register) that promulgates or is 
expected to lead to the promulgation of a final rule or regulation, 
including notices of inquiry, advance notices of proposed rulemaking, 
and notices of proposed rulemaking.
    (f) ``Significant regulatory action'' means any regulatory action 
that is likely to result in a rule that may:
    (1) Have an annual effect on the economy of $100 million or more or 
adversely affect in a material way the economy, a sector of the economy, 
productivity, competition, jobs, the environment, public health or 
safety, or State, local, or tribal governments or communities;
    (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 rights and obligations of recipients 
thereof; or
    (4) Raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
this Executive order.
    Sec. 4. Planning Mechanism. In order to have an effective regulatory 
program, to provide for coordination of regulations, to maximize 
consultation and the resolution of potential conflicts at an early 
stage, to involve the public and its State, local, and tribal officials 
in regulatory planning, and to ensure that new or revised regulations 
promote the President's priorities and the principles set forth in this 
Executive order, these procedures shall be followed, to the extent 
permitted by law:
    (a) Agencies' Policy Meeting. Early in each year's planning cycle, 
the Vice President shall convene a meeting of the Advisors and the heads 
of agencies to seek a common understanding of priorities and to 
coordinate regulatory efforts to be accomplished in the upcoming year.
    (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 an agenda of all regulations under development 
or review, at a time and in a manner specified by the Administrator of 
OIRA. The description of each regulatory action shall contain, at a 
minimum, a regulation identifier number, a brief summary of the action, 
the legal authority for the action, any legal deadline for the action, 
and the name and telephone number of a knowledgeable agency official. 
Agencies may incorporate the information required under 5 U.S.C. 602 and 
[former] 41 U.S.C. 402 into these agendas.
    (c) The Regulatory Plan. For purposes of this subsection, the term 
``agency'' or ``agencies'' shall also include those considered to be 
independent regulatory agencies, as defined in 44 U.S.C. 3502(10). (1) 
As part of the Unified Regulatory Agenda, beginning in 1994, each agency 
shall prepare a Regulatory Plan (Plan) of the most important significant 
regulatory actions that the agency reasonably expects to issue in 
proposed or final form in that fiscal year or thereafter. The Plan shall 
be approved personally by the agency head and shall contain at a 
minimum:
    (A) A statement of the agency's regulatory objectives and priorities 
and how they relate to the President's priorities;
    (B) A summary of each planned significant regulatory action 
including, to the extent possible, alternatives to be considered and 
preliminary estimates of the anticipated costs and benefits;
    (C) A summary of the legal basis for each such action, including 
whether any aspect of the action is required by statute or court order;
    (D) A statement of the need for each such action and, if applicable, 
how the action will reduce risks to public health, safety, or the 
environment, as well as how the magnitude of the risk addressed by the 
action relates to other risks within the jurisdiction of the agency;
    (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 the planned regulatory 
action.
    (2) Each agency shall forward its Plan to OIRA by June 1st of each 
year.
    (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 Vice President.
    (4) An agency head who believes that a planned regulatory action of 
another agency may conflict with its own policy or action taken or 
planned shall promptly notify, in writing, the Administrator of OIRA, 
who shall forward that communication to the issuing agency, the 
Advisors, and the Vice President.
    (5) If the Administrator of OIRA believes that a planned regulatory 
action of an agency may be inconsistent with the President's priorities 
or the principles set forth in this Executive order or may be in 
conflict with any policy or action taken or planned by another agency, 
the Administrator of OIRA shall promptly notify, in writing, the 
affected agencies, the Advisors, and the Vice President.
    (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 or inter-agency 
coordination.
    (7) The Plans developed by the issuing agency shall be published 
annually in the October publication of the Unified Regulatory Agenda. 
This publication shall be made available to the Congress; State, local, 
and tribal governments; and the public. Any views on any aspect of any 
agency Plan, including whether any planned regulatory action might 
conflict with any other planned or existing regulation, impose any 
unintended consequences on the public, or confer any unclaimed benefits 
on the public, should be directed to the issuing agency, with a copy to 
OIRA.
    (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 of 
representatives of the heads of each agency that the Administrator 
determines to have significant domestic regulatory responsibility, the 
Advisors, and the Vice President. The Administrator of OIRA shall chair 
the Working Group and shall periodically advise the Vice President on 
the activities of the Working Group. The Working Group shall serve as a 
forum to assist agencies in identifying and analyzing important 
regulatory issues (including, among others (1) the development of 
innovative regulatory techniques, (2) the methods, efficacy, and utility 
of comparative risk assessment in regulatory decision-making, and (3) 
the development of short forms and other streamlined regulatory 
approaches for small businesses and other entities). The Working Group 
shall meet at least quarterly and may meet as a whole or in subgroups of 
agencies with an interest in particular issues or subject areas. To 
inform its discussions, the Working Group may commission analytical 
studies and reports by OIRA, the Administrative Conference of the United 
States, or any other agency.
    (e) Conferences. The Administrator of OIRA shall meet quarterly with 
representatives of State, local, and tribal governments to identify both 
existing and proposed regulations that may uniquely or significantly 
affect those governmental entities. The Administrator of OIRA shall also 
convene, from time to time, conferences with representatives of 
businesses, nongovernmental organizations, and the public to discuss 
regulatory issues of common concern.
    Sec. 5. Existing Regulations. In order to reduce the regulatory 
burden on the American people, their families, their communities, their 
State, local, and tribal governments, and their industries; to determine 
whether regulations promulgated by the executive branch of the Federal 
Government have become unjustified or unnecessary as a result of changed 
circumstances; to confirm that regulations are both compatible with each 
other and not duplicative or inappropriately burdensome in the 
aggregate; to ensure that all regulations are consistent with the 
President's priorities and the principles set forth in this Executive 
order, within applicable law; and to otherwise improve the effectiveness 
of existing regulations: (a) Within 90 days of the date of this 
Executive order, each agency shall submit to OIRA a program, consistent 
with its resources and regulatory priorities, under which the agency 
will periodically review its existing significant regulations to 
determine whether any such regulations should be modified or eliminated 
so as to make the agency's regulatory program more effective in 
achieving the regulatory objectives, less burdensome, or in greater 
alignment with the President's priorities and the principles set forth 
in this Executive order. Any significant regulations selected for review 
shall be included in the agency's annual Plan. The agency shall also 
identify any legislative mandates that require the agency to promulgate 
or continue to impose regulations that the agency believes are 
unnecessary or outdated by reason of changed circumstances.
    (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 of regulations that impose 
significant or unique burdens on those governmental entities and that 
appear to have outlived their justification or be otherwise inconsistent 
with the public interest.
    (c) The Vice President, in consultation with the Advisors, may 
identify for review by the appropriate agency or agencies other existing 
regulations of an agency or groups of regulations of more than one 
agency that affect a particular group, industry, or sector of the 
economy, or may identify legislative mandates that may be appropriate 
for reconsideration by the Congress.
    Sec. 6. Centralized Review of Regulations. The guidelines set forth 
below shall apply to all regulatory actions, for both new and existing 
regulations, by agencies other than those agencies specifically exempted 
by the Administrator of OIRA:
    (a) Agency Responsibilities. (1) Each agency shall (consistent with 
its own rules, regulations, or procedures) provide the public with 
meaningful participation in the regulatory process. In particular, 
before issuing a notice of proposed rulemaking, each agency should, 
where appropriate, seek the involvement of those who are intended to 
benefit from and those expected to be burdened by any regulation 
(including, specifically, State, local, and tribal officials). In 
addition, each agency should afford the public a meaningful opportunity 
to comment on any proposed regulation, which in most cases should 
include a comment period of not less than 60 days. Each agency also is 
directed to explore and, where appropriate, use consensual mechanisms 
for developing regulations, including negotiated rulemaking.
    (2) Within 60 days of the date of this Executive order, each agency 
head shall designate a Regulatory Policy Officer who shall report to the 
agency head. The Regulatory Policy Officer shall be involved at each 
stage of the regulatory process to foster the development of effective, 
innovative, and least burdensome regulations and to further the 
principles set forth in this Executive order.
    (3) In addition to adhering to its own rules and procedures and to 
the requirements of the Administrative Procedure Act [5 U.S.C. 551 et 
seq., 701 et seq.], 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 with respect to a 
regulatory action:
    (A) Each agency shall provide OIRA, at such times and in the manner 
specified by the Administrator of OIRA, with a list of its planned 
regulatory actions, indicating those which the agency believes are 
significant regulatory actions within the meaning of this Executive 
order. Absent a material change in the development of the planned 
regulatory action, those not designated as significant will not be 
subject to review under this section unless, within 10 working days of 
receipt of the list, the Administrator of OIRA notifies the agency that 
OIRA has determined that a planned regulation is a significant 
regulatory action within the meaning of this Executive order. The 
Administrator of OIRA may waive review of any planned regulatory action 
designated by the agency as significant, in which case the agency need 
not further comply with subsection (a)(3)(B) or subsection (a)(3)(C) of 
this section.
    (B) For each matter identified as, or determined by the 
Administrator of OIRA to be, a significant regulatory action, the 
issuing agency shall provide to OIRA:
    (i) The text of the draft regulatory action, together with a 
reasonably detailed description of the need for the regulatory action 
and an explanation of how the regulatory action will meet that need; and
    (ii) An assessment of the potential costs and benefits of the 
regulatory action, including an explanation of the manner in which the 
regulatory action is consistent with a statutory mandate and, to the 
extent permitted by law, promotes the President's priorities and avoids 
undue interference with State, local, and tribal governments in the 
exercise of their governmental functions.
    (C) For those matters identified as, or determined by the 
Administrator of OIRA to be, a significant regulatory action within the 
scope of section 3(f)(1), the agency shall also provide to OIRA the 
following additional information developed as part of the agency's 
decision-making process (unless prohibited by law):
    (i) An assessment, including the underlying analysis, of benefits 
anticipated from the regulatory action (such as, but not limited to, the 
promotion of the efficient functioning of the economy and private 
markets, the enhancement of health and safety, the protection of the 
natural environment, and the elimination or reduction of discrimination 
or bias) together with, to the extent feasible, a quantification of 
those benefits;
    (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, to the 
extent feasible, a quantification of those costs; and
    (iii) An assessment, including the underlying analysis, of costs and 
benefits of potentially effective and reasonably feasible alternatives 
to the planned regulation, identified by the agencies or the public 
(including improving the current regulation and reasonably viable 
nonregulatory actions), and an explanation why the planned regulatory 
action is preferable to the identified potential alternatives.
    (D) In emergency situations or when an agency is obligated by law to 
act more quickly than normal review procedures allow, the agency shall 
notify OIRA as soon as possible and, to the extent practicable, comply 
with subsections (a)(3)(B) and (C) of this section. For those regulatory 
actions that are governed by a statutory or court-imposed deadline, the 
agency shall, to the extent practicable, schedule rulemaking proceedings 
so as to permit sufficient time for OIRA to conduct its review, as set 
forth below in subsection (b)(2) through (4) of this section.
    (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 set forth in 
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 or recommendation of OIRA.
    (F) All information provided to the public by the agency shall be in 
plain, understandable language.
    (b) OIRA Responsibilities. The Administrator of OIRA shall provide 
meaningful guidance and oversight so that each agency's regulatory 
actions are consistent with applicable law, the President's priorities, 
and the principles set forth in this Executive order and do not conflict 
with the policies or actions of another agency. OIRA shall, to the 
extent permitted by law, adhere to the following guidelines:
    (1) OIRA may review only actions identified by the agency or by OIRA 
as significant regulatory actions under subsection (a)(3)(A) of this 
section.
    (2) OIRA shall waive review or notify the agency in writing of the 
results of its review within the following time periods:
    (A) For any notices of inquiry, advance notices of proposed 
rulemaking, or other preliminary regulatory actions prior to a Notice of 
Proposed Rulemaking, within 10 working days after the date of submission 
of the draft action to OIRA;
    (B) For all other regulatory actions, within 90 calendar days after 
the date of submission of the information set forth in subsections 
(a)(3)(B) and (C) of this section, unless OIRA has previously reviewed 
this information and, since that review, there has been no material 
change in the facts and circumstances upon which the regulatory action 
is based, in which case, OIRA shall complete its review within 45 days; 
and
    (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 of OIRA 
returns to an agency for further consideration of some or all of its 
provisions, the Administrator of OIRA shall provide the issuing agency a 
written explanation for such return, setting forth the pertinent 
provision of this Executive order on which OIRA is relying. If the 
agency head disagrees with some or all of the bases for the return, the 
agency head shall so inform the Administrator of OIRA in writing.
    (4) Except as otherwise provided by law or required by a Court, in 
order to ensure greater openness, accessibility, and accountability in 
the regulatory review process, OIRA shall be governed by the following 
disclosure requirements:
    (A) Only the Administrator of OIRA (or a particular designee) shall 
receive oral communications initiated by persons not employed by the 
executive branch of the Federal Government regarding the substance of a 
regulatory action under OIRA review;
    (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 governed by the 
following guidelines: (i) A representative from the issuing agency shall 
be invited to any meeting between OIRA personnel and such person(s);
    (ii) OIRA shall forward to the issuing agency, within 10 working 
days of receipt of the communication(s), all written communications, 
regardless of format, between OIRA personnel and any person who is not 
employed by the executive branch of the Federal Government, and the 
dates and names of individuals involved in all substantive oral 
communications (including meetings to which an agency representative was 
invited, but did not attend, and telephone conversations between OIRA 
personnel and any such persons); and
    (iii) OIRA shall publicly disclose relevant information about such 
communication(s), as set forth below in subsection (b)(4)(C) of this 
section.
    (C) OIRA shall maintain a publicly available log that shall contain, 
at a minimum, the following information pertinent to regulatory actions 
under 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) of this section; 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 the public, or after the agency has 
announced its decision not to publish or issue the regulatory action, 
OIRA shall make available to the public all documents exchanged between 
OIRA and the agency during the review by OIRA under this section.
    (5) All information provided to the public by OIRA shall be in 
plain, understandable language.
    Sec. 7. Resolution of Conflicts. To the extent permitted by law, 
disagreements or conflicts between or among agency heads or between OMB 
and any agency that cannot be resolved by the Administrator of OIRA 
shall be resolved by the President, or by the Vice President acting at 
the request of the President, with the relevant agency head (and, as 
appropriate, other interested government officials). Vice Presidential 
and Presidential consideration of such disagreements may be initiated 
only by the Director, by the head of the issuing agency, or by the head 
of an agency that has a significant interest in the regulatory action at 
issue. Such review will not be undertaken at the request of other 
persons, entities, or their agents.
    Resolution of such conflicts shall be informed by recommendations 
developed by the Vice President, after consultation with the Advisors 
(and other executive branch officials or personnel whose 
responsibilities to the President include the subject matter at issue). 
The development of these recommendations shall be concluded within 60 
days after review has been requested.
    During the Vice Presidential and Presidential review period, 
communications with any person not employed by the Federal Government 
relating to the substance of the regulatory action under review and 
directed to the Advisors or their staffs or to the staff of the Vice 
President shall be in writing and shall be forwarded by the recipient to 
the affected agency(ies) for inclusion in the public docket(s). When the 
communication is not in writing, such Advisors or staff members shall 
inform the outside party that the matter is under review and that any 
comments should be submitted in writing.
    At the end of this review process, the President, or the Vice 
President acting at the request of the President, shall notify the 
affected agency and the Administrator of OIRA of the President's 
decision with respect to the matter.
    Sec. 8. Publication. Except to the extent required by law, an agency 
shall not publish in the Federal Register or otherwise issue to the 
public any regulatory action that is subject to review under section 6 
of this Executive order until (1) the Administrator of OIRA notifies the 
agency that OIRA has waived its review of the action or has completed 
its review without any requests for further consideration, or (2) the 
applicable time period in section 6(b)(2) expires without OIRA having 
notified the agency that it is returning the regulatory action for 
further consideration under section 6(b)(3), whichever occurs first. If 
the terms of the preceding sentence have not been satisfied and an 
agency wants to publish or otherwise issue a regulatory action, the head 
of that agency may request Presidential consideration through the Vice 
President, as provided under section 7 of this order. Upon receipt of 
this request, the Vice President shall notify OIRA and the Advisors. The 
guidelines and time period set forth in section 7 shall apply to the 
publication of regulatory actions for which Presidential consideration 
has been sought.
    Sec. 9. Agency Authority. Nothing in this order shall be construed 
as displacing the agencies' authority or responsibilities, as authorized 
by law.
    Sec. 10. Judicial Review. Nothing in this Executive order shall 
affect any otherwise available judicial review of agency action. This 
Executive order is intended only to improve the internal management of 
the Federal Government and does not create any right or benefit, 
substantive or procedural, enforceable at law or equity by a party 
against the United States, its agencies or instrumentalities, its 
officers or employees, or any other person.
    Sec. 11. Revocations. Executive Orders Nos. 12291 and 12498; all 
amendments to those Executive orders; all guidelines issued under those 
orders; and any exemptions from those orders heretofore granted for any 
category of rule are revoked.
                                                     William J. Clinton.

                        Executive Order No. 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 of 
statutory or regulatory requirements, was revoked by Ex. Ord. No. 13132, 
Sec. 10(b), Aug. 4, 1999, 64 F.R. 43259, set out below.

                        Executive Order No. 13083

    Ex. Ord. No. 13083, May 14, 1998, 63 F.R. 27651, which listed 
fundamental 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 by Ex. Ord. No. 13132, Sec. 10(b), Aug. 4, 
1999, 64 F.R. 43259, set out below.

                        Executive Order No. 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, Sec. 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 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 of All Forms of Racial Discrimination 
(CERD), and other relevant treaties concerned with the protection and 
promotion of human rights to which the United States is now or may 
become a party in the future, it is hereby ordered as follows:
    Section 1. Implementation of Human Rights Obligations. (a) It shall 
be the policy and practice of the Government of the United States, being 
committed to the protection and promotion of human rights and 
fundamental freedoms, fully to respect and implement its obligations 
under the international human rights treaties to which it is a party, 
including the ICCPR, the CAT, and the CERD.
    (b) It shall also be the policy and practice of the 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 the promotion 
of human rights, including, inter alia, those of the United Nations, the 
International Labor Organization, and the Organization of American 
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 of United States international human rights obligations that 
are relevant to their functions and shall perform such functions so as 
to respect and implement those obligations fully. The head of each 
agency shall designate a single contact officer who will be responsible 
for overall coordination of the implementation of this order. Under this 
order, all such agencies shall retain their established institutional 
roles in the implementation, interpretation, and enforcement of Federal 
law and policy.
    (b) The heads of agencies 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 of concern.
    Sec. 3. Human Rights Inquiries and Complaints. Each agency shall 
take lead responsibility, in coordination with other appropriate 
agencies, for responding to inquiries, requests for information, and 
complaints about violations of human rights obligations that fall within 
its areas of responsibility or, if the matter does not fall within its 
areas of responsibility, referring it to the appropriate agency for 
response.
    Sec. 4. Interagency Working Group on Human Rights Treaties. (a) 
There is hereby established an Interagency Working Group on Human Rights 
Treaties for the purpose of providing guidance, oversight, and 
coordination with respect to questions concerning the adherence to and 
implementation of human rights obligations and related matters.
    (b) The designee of the Assistant 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 of State, the Department of Justice, 
the Department of Labor, 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 their stead.
    (c) The principal functions of the Interagency Working Group shall 
include:
    (i) coordinating the interagency review of any significant issues 
concerning the implementation of this order and analysis and 
recommendations in connection with pursuing the ratification of human 
rights treaties, as such questions may from time to time 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 for conformity with 
international human rights obligations and that 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 of the 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 
of State, Commonwealth, and territorial laws for their conformity with 
relevant treaties, the provision of relevant information for reports and 
other monitoring purposes, and the promotion of effective remedial 
mechanisms;
    (vi) developing plans for public outreach and education concerning 
the provisions of the ICCPR, CAT, CERD, and other relevant treaties, and 
human rights-related provisions of domestic law;
    (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 of inconsistency with or breach of international human 
rights obligations, in order to determine whether there should be 
consideration of any modification of relevant reservations, 
declarations, and understandings to human rights treaties, or United 
States practices or laws. The results and recommendations of this review 
shall be reviewed by the head of each participating agency;
    (viii) making such other recommendations as it shall deem 
appropriate to the President, through the Assistant to the President for 
National Security Affairs, concerning United States adherence to or 
implementation of human rights treaties and related 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 of the Interagency Working Group shall not supplant the 
work of other interagency entities, including the President's Committee 
on the International Labor Organization, that address international 
human rights issues.
    Sec. 5. Cooperation Among Executive Departments and Agencies. All 
agencies shall cooperate in carrying out the provisions of this order. 
The Interagency Working Group shall facilitate such cooperative 
measures.
    Sec. 6. Judicial Review, Scope, and Administration. (a) Nothing in 
this order shall create any right or benefit, 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 any justiciable obligations on the executive branch.
    (c) The term ``treaty obligations'' shall mean treaty obligations as 
approved by the Senate pursuant to Article II, section 2, clause 2 of 
the United States Constitution.
    (d) To the maximum extent practicable and subject to the 
availability of appropriations, agencies shall carry out the provisions 
of this order.
                                                     William J. Clinton.

     Regulatory Reform--Waiver of Penalties and Reduction of Reports

    Memorandum of President of the United States, Apr. 21, 1995, 60 F.R. 
20621, provided:
    Memorandum for
    The Secretary of State
    The Secretary of the Treasury
    The Secretary of Defense
    The Attorney General
    The Secretary of the Interior
    The Secretary of Agriculture
    The Secretary of Commerce
    The Secretary of Labor
    The Secretary of Health and Human Services
    The Secretary of Housing and Urban Development
    The Secretary of Transportation
    The Secretary of Energy
    The Secretary of Education
    The Secretary of Veterans Affairs
    The Administrator, Environmental Protection Agency
    The Administrator, Small Business Administration
    The Secretary of the Army
    The Secretary of the Navy
    The Secretary of the Air Force
    The Director, Federal Emergency Management Agency
    The Administrator, National Aeronautics and Space Administration
    The Director, National Science Foundation
    The Acting Archivist of the United States
    The Administrator of General 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, we hope to move the Government 
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 Waive Penalties. (a) To the extent permitted by law, 
each agency shall use its discretion to modify the penalties for small 
businesses in the following situations. Agencies shall exercise their 
enforcement discretion to waive the imposition of all or a portion of a 
penalty 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 set by the agency, the agency shall use its 
enforcement discretion to waive up to 100 percent of the financial 
penalties if the amounts waived are used to bring the entity into 
compliance. The provisions in paragraph 1(a) of this memorandum shall 
apply only where there has been a good faith effort to comply with 
applicable regulations and the violation does not involve criminal 
wrongdoing or significant threat to health, safety, or the environment.
    (b) Each agency shall, by June 15, 1995, submit a plan to the 
Director of the Office of Management and Budget (``Director'') 
describing the actions it will take to implement the policies in 
paragraph 1(a) of this memorandum. The plan shall provide that the 
agency will implement the policies described in paragraph 1(a) of this 
memorandum on or before July 14, 1995. Plans should include information 
on how notification will be given to frontline workers and small 
businesses.
    2. Cutting Frequency of Reports. (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 the department or agency 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 of the 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 
as necessary to carry out the purposes of this memorandum.
    2. This memorandum does not apply to matters related to law 
enforcement, national security, or foreign affairs, the importation or 
exportation of prohibited or restricted items, Government taxes, duties, 
fees, revenues, or receipts; nor does it apply to agencies (or 
components 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 
its employees.
    4. The Director of the Office of Management and Budget is authorized 
and directed to publish this memorandum in the Federal Register.
                                                     William J. Clinton.

                  Plain Language in Government Writing

    Memorandum of President of the United States, June 1, 1998, 63 F.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 to 
make the Government more responsive, accessible, and understandable in 
its communications with the public.
    The Federal Government's writing must be in plain language. By using 
plain language, we send a clear message about what the Government is 
doing, what it requires, and what services it offers. Plain language 
saves the Government and the 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, and use:
    <bullet> common, everyday words, except for necessary technical 
        terms;
    <bullet> ``you'' and other pronouns;
    <bullet> the active voice; and
    <bullet> short sentences.
    To ensure the use of plain language, I direct you to do the 
following:
    <bullet> By October 1, 1998, use plain language in all new 
        documents, other than regulations, that explain how to obtain a 
        benefit or service or how to 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, must also 
        be in plain language.
    <bullet> 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 opportunity and resources to do so.
    The National Partnership for Reinventing Government will issue 
guidance to help you comply with these directives and to explain more 
fully the elements of plain language. You should also use customer 
feedback and common sense to guide your plain language efforts.
    I ask the independent agencies to comply with these directives.
    This memorandum does not confer any right or benefit enforceable by 
law against the United States or its representatives. The Director of 
the Office of Management and Budget will publish this memorandum in the 
Federal Register.
                                                     William J. Clinton.

                     Ex. Ord. No. 13132. Federalism

    Ex. Ord. No. 13132, Aug. 4, 1999, 64 F.R. 43255, 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 guarantee the 
division of governmental responsibilities between the national 
government and the States that was intended by the Framers of the 
Constitution, to ensure that the principles of federalism established by 
the Framers guide the executive departments and agencies in the 
formulation and implementation of policies, and to further the policies 
of the Unfunded Mandates Reform Act [of 1995, Pub. L. 104-4, see Tables 
for classification], it is hereby ordered as follows:
    Section 1. Definitions. For purposes of this order:
    (a) ``Policies that have federalism implications'' refers to 
regulations, legislative comments or proposed legislation, and other 
policy statements or actions that have substantial direct effects on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government.
    (b) ``State'' or ``States'' refer to the States of the United States 
of America, individually or collectively, and, where relevant, to State 
governments, including units of local government and other political 
subdivisions established by 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, as defined in 44 U.S.C. 3502(5).
    (d) ``State and local officials'' means elected officials of State 
and local governments or their representative national organizations.
    Sec. 2. Fundamental Federalism Principles. In formulating and 
implementing policies that have federalism implications, agencies shall 
be guided by the following fundamental federalism principles:
    (a) Federalism is rooted in the belief that issues that are not 
national in scope or significance are most appropriately addressed by 
the level of government closest to the people.
    (b) The people of the States created 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 to the States or to the people.
    (c) The constitutional relationship among sovereign governments, 
State and national, is inherent in the very structure of the 
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, and legal character of their 
lives.
    (e) The Framers recognized that the States possess unique 
authorities, qualities, and abilities to meet the needs of the people 
and should function as laboratories of democracy.
    (f) The nature of our constitutional system encourages a healthy 
diversity in the public policies adopted by the people of the 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 to public policy problems can inhibit the 
creation of effective solutions to those problems.
    (g) Acts of the national government--whether legislative, executive, 
or judicial in nature--that exceed the enumerated powers of that 
government under the Constitution violate the principle of federalism 
established by the Framers.
    (h) Policies of the national government should recognize the 
responsibility of--and should encourage opportunities for--individuals, 
families, neighborhoods, local governments, and private associations to 
achieve their personal, social, and economic 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 of the national government.
    Sec. 3. Federalism Policymaking Criteria. 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 shall 
be consulted before any such action is implemented. Executive Order 
12372 of July 14, 1982 (``Intergovernmental Review of Federal 
Programs'') [31 U.S.C. 6506 note] remains in effect for the programs and 
activities to which 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 of the presence of a 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 by other means.
    (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 and authority; and
        (4) where national standards are required by Federal statutes, 
    consult with appropriate State and local officials in developing 
    those standards.
    Sec. 4. Special Requirements for Preemption. Agencies, in taking 
action that preempts State law, shall act in strict accordance with 
governing 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 of Federal authority under 
the 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 law by rulemaking only when the exercise 
of State authority directly conflicts with the exercise of Federal 
authority under the Federal statute or there is clear evidence to 
conclude that the Congress intended the agency to have the authority to 
preempt State law.
    (c) Any regulatory preemption of State law shall be restricted to 
the minimum level necessary to achieve the objectives of the statute 
pursuant to which the regulations are promulgated.
    (d) When an agency foresees the possibility of a conflict between 
State law and Federally protected interests 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 an opportunity for appropriate 
participation in the proceedings.
    Sec. 5. Special Requirements for Legislative Proposals. Agencies 
shall not submit to the Congress legislation that would:
    (a) directly regulate the States in ways that would 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 
related to the purpose of the 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 set forth in section 3, cannot otherwise be met.
    Sec. 6. Consultation.
    (a) Each agency shall have an accountable process to ensure 
meaningful and timely input by State and local officials in the 
development of regulatory policies that have federalism implications. 
Within 90 days after the effective date of this order, the head of each 
agency shall designate an official with principal responsibility for the 
agency's implementation of this 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 local governments, and 
that is not required by statute, unless:
        (1) funds necessary to pay the direct costs incurred by the 
    State and local governments in complying with the regulation are 
    provided 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 to the Director of the Office of Management 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 of the nature of their 
        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 of the 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 the regulation,
        (1) consulted with State and local officials early in the 
    process of developing the proposed regulation;
        (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 of the Office of Management 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 of the nature of their 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
        (3) makes available to the Director of the Office of Management 
    and Budget any written communications submitted to the agency by 
    State and local officials.
    Sec. 7. Increasing Flexibility for State and Local Waivers.
    (a) Agencies shall review the processes under which State and local 
governments apply for waivers of statutory and regulatory requirements 
and take appropriate steps to streamline those processes.
    (b) Each agency shall, to the extent practicable and permitted by 
law, consider any application by a State for a waiver of statutory or 
regulatory 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 and is 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 by the agency. If the 
application for a waiver is not granted, the agency shall provide the 
applicant with timely written notice of the decision and the reasons 
therefor.
    (d) This section applies only to statutory or regulatory 
requirements that are discretionary and subject to waiver by the 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 out above], each agency 
shall include a certification from the official designated to ensure 
compliance with this order stating that the requirements of this order 
have been met in 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 of this 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 the Assistant to the 
President for Intergovernmental Affairs shall confer with State and 
local officials to ensure that this order is being properly and 
effectively implemented.
    Sec. 9. Independent Agencies. Independent regulatory agencies are 
encouraged to comply with the provisions of this order.
    Sec. 10. General Provisions.
    (a) This order shall supplement but not supersede the requirements 
contained in Executive Order 12372 (``Intergovernmental Review of 
Federal 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 OMB Circular 
A-19.
    (b) Executive Order 12612 (``Federalism''), Executive Order 12875 
(``Enhancing the Intergovernmental Partnership''), Executive Order 13083 
(``Federalism''), and Executive Order 13095 (``Suspension of Executive 
Order 13083'') are revoked.
    (c) This order shall be effective 90 days after the date of this 
order.
    Sec. 11. Judicial Review. This order is intended only to improve the 
internal management of the executive branch, and is not intended to 
create any right or benefit, substantive or procedural, enforceable at 
law by a party against the United States, its agencies, its officers, or 
any person.
                                                     William J. Clinton.

                  Section Referred to in Other Sections

    This section is referred to in sections 504, 611 of this title; 
title 2 section 658; title 28 section 2412; title 44 section 3506.
