MEMORANDUM
SUBJECT:
New
Guidance
for
Compliance
with
E.
O.
12866
Docketing
Requirements
FROM:
Thomas
E.
Kelly,
Director
[
signed
by
Paul
Lapsley,
9/
30/
98]
Office
of
Regulatory
Management
and
Information
TO:
Regulatory
Development
Steering
Committee
Regional
Regulatory
Contacts
As
you
know,
the
General
Accounting
Office
(
GAO),
at
the
request
of
Congress,
has
performed
reviews
of
Agency
compliance
with
the
"
transparency"
requirements
of
Executive
Order
12866.
The
latest
GAO
report,
published
January
8,
1998,
identified
continued
shortcomings
in
Agency
compliance.
In
response,
we
informed
GAO
that
we
would
develop
additional
methods
to
improve
compliance.
I
have
attached
new
guidance
and
a
compliance
form
which
supercede
the
guidance
I
transmitted
on
September
16,
1996.

Please
ensure
your
program
office
staff
are
aware
of,
and
are
complying
with,
the
Executive
Order
requirements.
They
are
identified
and
explained
more
fully
in
the
new
guidance.
If
you
have
questions,
please
contact
Tony
Britten,
(
202)
260­
5251,
in
the
Regulatory
Management
Division.

c.
c
Margaret
Schneider
1Published
in
the
Federal
Register
on
October
4,
1993,
page
51735.
See
specifically
section
6(
a)(
3)(
E),
which
is
attached
to
this
guidance.
REGULATORY
MANAGEMENT
GUIDANCE
Office
of
Policy
Regulatory
Management
Division
September
1998
Reference:
RMD­
4
Compliance
with
E.
O.
12866
Docketing
Requirements
Does
this
guidance
apply
to
me?

If
your
regulation
was
sent
to
OMB
for
review
under
Executive
Order
12866,
"
Regulatory
Planning
and
Review",
this
entire
guidance
applies
to
you.
Please
read
it
carefully.

If
your
regulation
wasn't
reviewed
by
OMB,
you
can
go
directly
to
the
form
that
is
included
in
this
guidance
and
follow
the
simple
instructions.

If
you
are
in
OPPTS,
you
don't
have
to
read
this
guidance
or
form.
Instead,
you
should
follow
OPPTS'
internal
guidance
and
form
issued
by
the
Regulatory
Coordination
staff
(
RCS).
See
RCS
Ref.
OMB­
7.

What
do
I
have
to
do?

If
your
regulation
is
reviewed
by
OMB
under
Executive
Order
128661,
"
Regulatory
Planning
and
Review",
then
you
must
identify
and
docket:

(
1)
the
draft
regulation
and
any
other
documents
sent
to
OMB
for
review,
such
as
analyses
and
assessments,

(
2)
the
substantive
changes
between
the
draft
regulation
sent
to
OMB
for
review
and
the
regulation
"
subsequently
announced",
regardless
of
who
requested
the
changes;
and
(
3)
the
subset
of
changes
made
at
the
suggestion
or
recommendation
of
OMB.

What
does
"
subsequently
announced"
mean?
In
general,
this
means
the
regulation
you
publish
in
the
Federal
Register.
However,
you
may
use
the
version
of
the
regulation
you
send
forward
for
signature.
Just
be
sure
to
docket
substantive
changes,
if
any,
that
are
made
later
and
that
appear
in
the
published
regulation.
How
do
I
identify
the
substantive
changes
to
my
document?

The
method
you
use
must
be
complete,
clear
and
simple
for
the
public.
You
may
use
one
or
more
of
the
following
methods:

Redline­
Strikeout
Create
a
redline­
strikeout
version
comparing
the
document
you
sent
to
OMB
with
the
document
that
you
subsequently
announce.
Identify
in
the
margins
those
changes
requested
by
OMB.
If
it's
not
clear
which
changes
are
substantive,
you
should
also
note
these
in
the
margins.
If
the
document
was
significantly
reformatted,
this
method
may
be
too
"
busy"
or
confusing,
and
you
may
want
to
use
another
method.

Hand
Markup
As
a
"
low
tech"
alternative
to
redline­
strikeout,
you
might
show
the
same
information
by
making
handwritten
notations
on
a
copy
of
the
regulation.

Note
to
the
file
This
can
replace
or
supplement
either
of
the
above
methods.
It
should
identify
the
substantive
changes
and
indicate
those
OMB
recommended.

Form
for
docketing
documents
and
substantive
changes,
and
showing
compliance
It
is
your
responsibility
to
ensure
that
you
have
properly
complied
with
these
requirements.
In
order
to
demonstrate
compliance,
you
should
fill
out
the
following
form
and
include
it
with
the
required
information
in
the
rulemaking
docket.

Who
do
I
call
if
I
have
questions
or
concerns
about
this
guidance?

You
should
first
contact
your
Regulatory
Development
Steering
Committee
Representative.
They,
in
turn,
can
call
OP's
Regulatory
Management
Division
for
further
consultation.
If
you
don't
know
the
name
of
your
representative,
you
can
call
the
Regulatory
Management
Division
at
260­
5480
and
we
will
refer
you.
Form
for
Compliance
with
E.
O.
12866
Docket
Requirements
Title
of
Regulation:
"
National
Primary
Drinking
Water
Regulations:
Stage
2
Disinfection
Byproducts
Rule"

Contact
person:
Tom
Grubbs
Phone
number:
202­
564­
5262
Was
this
regulation
reviewed
by
OMB
under
Executive
Order
12866
­
Regulatory
Planning
and
Review?

XYes
9
No.

If
you
checked
"
no",
you
are
done
with
this
form.
Simply
place
it
in
the
docket
for
your
regulation.
If
you
checked
"
yes",
please
fill
out
the
remainder
of
the
form
before
placing
it
in
the
docket.
Also
docket
any
relevant
documents
referenced
in
the
form.

For
regulations
that
are
checked
"
Yes"
above:

This
regulation
was
reviewed
by
OMB
under
Executive
Order
12866
­
Regulatory
Planning
and
Review.

Attached
is
the
draft
regulation
and
any
other
documents
sent
to
OMB
for
review,
such
as
analyses
and
assessments.
E.
O.
12866
requires
agencies
to
make
these
publicly
available.

E.
O.
12866
also
requires
agencies
to
identify
the
substantive
changes
between
the
draft
regulation
sent
to
OMB
for
review
and
the
regulation
subsequently
announced
[
Please
check
the
appropriate
box
below:]

EPA
made
substantive
changes
to
this
regulation
(
includes
changes
initiated
by
EPA
or
OMB).
Attached
is
a
document
which:
(
1)
identifies
all
the
substantive
changes
made,
and
(
2)
notes
those
changes
OMB
suggested
or
recommended.

X
No
substantive
changes
were
made
to
this
regulation
Therefore,
no
further
attachments
are
required..

If
you
have
questions
about
this
regulation,
please
call
the
EPA
contact
person
listed
above.
Attachment:
Text
of
Section
(
6)(
a)(
E)(
3)
of
E.
O.
12866
*****
(
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.

*****
