ACTION caption ed by its commonly used acronym or other shortened expression. For organizational or administrative clarity, an agency may choose to include in this caption the name of an office which is not listed in the document's headings. EXAMPLE 6: AGENCY CAPTIONS. AGENCY: Department of Agriculture. AGENCY: Department of Health and Human Services. AGENCY: Coast Guard, DOT. AGENCY: National Park Service, Interior. AGENCY: Office of the Secretary, Commerce. AGENCY: Internal Revenue Service, Treasury. AGENCY: National Archives and Records Administration. AGENCY: Federal Home Loan Bank Board. AGENCY: Consumer Product Safety Commission. AGENCY: Navajo and Hopi Indian Relocation Commission. The ACTION caption is designed to identify the type of document being presented not to describe or summarize the substance of a document. Typical entries under this caption for a rule document are shown in example 7. EXAMPLE 7. ACTION: Final rule. ACTION: Final rule; delay of effective date. ACTION: Final rule; suspension of effectiveness. ACTION: Final rule; confirmation of effective date. ACTION: Final rule; correction. ACTION: Final rule; interpretation. ACTION: Final rule; petition for reconsideration. ACTION: Interim rule. ACTION: Interim rule with request for comments. ACTION: Temporary rule. ACTION: Policy statement. Typical entries under this caption for a proposed rule document are shown in example 8. EXAMPLE 8. ACTION: Proposed rule. ACTION: Proposed rule; extension of comment period. ACTION: Proposed rule; correction. ACTION: Proposed rule; notice of hearing (or meeting). ACTION: Proposed rule; withdrawal. ACTION: Notice of proposed rulemaking. ACTION: Advance notice of proposed rulemaking. ACTION: Petition for rulemaking. ACTION: Petition for rulemaking; denial. ACTION: Petition for rulemaking; withdrawal. ACTION: Proposed policy statement. SUMMARY The SUMMARY explains the "why" and "what" of the document being issued. A SUMMARY is a brief description, written in language that a nonexpert will understand. It should allow the reader to determine the subject, the reason for the action, and the intended effect of a document. The SUMMARY is not intended to prove a point or argue a case. Supporting information, details, discussion of the regulatory history, and precise legal citations are essential in an adequate preamble but do not belong in the SUMMARY. Extended discussion of the regulation belongs in the SUPPLEMENTARY INFORMATION section below. The agency should structure the SUMMARY around the answers to these questions. Each question should be answered completely in a separate statement. The agency should use the following guidelines in preparing a SUMMARY. • Describe what the document does, not how it affects the CFR. • Refer to an act of Congress by the popular name of the act. • Do not use legal citations. • Do not include qualifications, exceptions, or specific details. EXAMPLE 9: SUMMARY. SUMMARY: This rule establishes a limit on allowable costs under grants for construction of publicly owned treatment works (POTWs). This limit is intended to provide additional incentive for municipalities to manage their grant funds as efficiently as possible. It will limit allowable cost increases for new grants and for new subagreements under existing grants. SUMMARY: At the request of Lee County the Coast Guard is considering a change to the regulations governing the Sanibel Causeway drawbridge by permitting the number of openings to be limited during certain periods. This proposal is being made because vehicular traffic has increased. This action should accommodate the needs of vehicular traffic yet still provide for the reasonable needs of navigation. DATES caption This caption presents the "when" of a document. It includes the dates within a document that are essential to the rulemaking proceeding. The following dates should be included, when appropriate • Effective dates; • Confirmation of effective dates; • Comment deadlines; • Public hearing dates; and • Other dates relevant to public knowledge of the proceeding. When the document contains an effective date only, use EFFECTIVE If a specific date must be tied to Federal Register publication, the OFR can issue each month. In computing the date, the day after publication is counted as the first day. When a date falls on a weekend or a Federal holiday, the next Federal business day is used. When this is necessary the agency should present the date as shown in example 10. EXAMPLE 10: COMPUTATION OF DATES. EFFECTIVE DATE: (Insert date of publication in the FEDERAL REGISTER). EFFECTIVE DATE: (Insert date 30 days after date of publication in the FEDERAL REGIS- DATES: Comments must be submitted on or before (Insert date 60 days after date of Underline the parenthetical statement. It makes it easier for the editor to find the date to be computed. If the entire regulation is not effective on the same date, that should be stated as shown in example 11. EXAMPLE 11. EFFECTIVE DATE: This regulation is effective November 22, 1985, except for § 22.5(a) which will be effective December 23, 1985. ADDRESSES caption Do not use the following wording in the EFFECTIVE DATE caption. • Effective immediately. • Effective upon issuance. • Effective date of signature. • Effective upon promulgation. If the regulation is effective on one of these dates, the agency must include the specific date in the EFFECTIVE DATE entry. This caption contains the "where" of the document. It includes any address that a participant in a rulemaking proceeding needs to know. Addresses appropriate for inclusion under this caption include the address forMailing public comments; The ADDRESSES caption is optional for final rule documents. The final rule is usually the end of the rulemaking process and does not ordinarily request comments. However, an interim rule frequently requests comments. In that case, include an address to which comments should be sent. The DATES and ADDRESSES captions must not contain information other than those dates and addresses. Discussion of meeting agenda, content of material available for inspection, etc. should appear in the SUPPLEMENTARY INFORMATION section of the preamble. The DATES and ADDRESSES are separate captions. All date information must appear with the DATES caption. All address information must appear with the ADDRESSES caption. FOR FURTHER Under this caption, the agency must include the name and telephone number of a person within the agency who can answer questions about the document. An agency may list two or more persons to contact concerning different aspects of a document. Examples of DATES, ADDRESSES, and FOR FURTHER INFORMATION Examples 12 through 15 present the format for information required under these headings for different types of documents. Detailed information, if necessary, should be included in the SUPPLEMENTARY INFORMATION section of the preamble. EXAMPLE 12: FORMAT IN FINAL RULE. EFFECTIVE DATE: (Insert date 30 days after date of publication in the FEDERAL REGIS- FOR FURTHER INFORMATION CONTACT: Thomas Shadwell, 202-000-0000. EXAMPLE 13: FORMAT IN INTERIM RULE. DATES: Interim rule effective September 22, 1986; comments must be received on or before ADDRESSES: Comments may be mailed to the Hearing Clerk, Room 000, Department of Washington, DC between 9:00 a.m. and 5:30 p.m. Comments received may also be inspect- FOR FURTHER INFORMATION CONTACT: Thomas Shadwell (Program Officer), 202– 000-0000 or Cynthia James (Principal Attorney), 202-000-0001. EXAMPLE 14: FORMAT IN PROPOSED RULE. DATES: Comments must be received on or before October 20, 1986; public hearing, ADDRESSES: Comments and requests to testify may be mailed to Hearing Clerk, Room 000, 000 Independence Avenue, S.W., Washington, DC FOR FURTHER INFORMATION CONTACT: Thomas Shadwell, 202-000-0000. EXAMPLE 15: FORMAT IN PROPOSED RULE WITH FOUR DATES AND ADDRESSES. DATES: The hearings are scheduled as follows: 1. March 26, 1986, 9:30 a.m. to 5:00 p.m., Philadelphia, Pennsylvania 2. April 3, 1986, 9:30 a.m. to 5:00 p.m., Chicago, Illinois 3. April 8, 1986, 9:30 a.m. to 5:00 p.m., Atlanta, Georgia 4. April 15, 1986, 9:30 a.m. to 5:00 p.m., Denver, Colorado ADDRESSES: The hearings will be held at the following locations: 1. Philadelphia-Ramada Inn (Meadows Ballroom, Section A & B), 76 Industrial Highway, Essington, Pa. 19029 2. Chicago O'Hare Ramada Inn (Penthouse Ballroom, 9th Floor), 6600 Mannheim Road, Des Plains. Ill. 60018 3. Atlanta-Ramada Inn Central (Georgian Ballroom), I-85 at Monroe Drive, Atlanta, Ga. 30324 4. Denver-Main Post Office Bldg. (2nd Floor Auditorium, Room 269), 1823 Stout Street, Denver, Colo. 80202 SUPPLEMENTARY The SUPPLEMENTARY INFORMATION section is the regulatory history of a rulemaking document. In this section the agency should present the background information and specific detail necessary to explain the basis and purpose of a final rule or give adequate notice of the issues to be commented on in a proposed rule as required by the Administrative Procedure Act. The agency should present this information in language easily understood by the reader. The agency may use descriptive headings to highlight topics or organize text in the SUPPLEMENTARY INFORMATION section. If a reference to the Federal Register or Code of Federal Regulations is necessary use the format shown on page 59. The agency may use the SUPPLEMENTARY INFORMATION section to meet certain additional information requirements. The agency may indicate whether • The regulation is a major rule under the requirements of E.O. 12291; • A Regulatory Analysis is required by the Regulatory Flexibility Act (5 U.S.C. 601-611); • The provisions of the Paperwork Reduction Act apply (44 U.S.C. Ch. • An environmental impact statement is required by the National Envi- CHECKLIST OF QUESTIONS TO CONSIDER WHEN WRITING SUPPLEMENTARY General information in all rulemaking documents. The agency should include the answers to the following questions in the SUPPLEMENTARY INFORMATION section of each rulemaking document. • What problem does the rulemaking address? -What issues are connected with the problem? -What facts, surveys, or studies identify and define the problem? -What existing regulations address the problem? • How does this rulemaking attempt to solve the problem? -Were other solutions considered? -How was this solution chosen? Is this solution cost effective? -How will this solution affect the regulated parties? • Does this rulemaking contain penalties for noncompliance? -Are penalty provisions essential? -Can the requirements of the regulations be monitored? -Can the penalty provisions be enforced? • Were interested parties involved in the rulemaking? -How were they identified? -How were they notified? • Have other documents in the rulemaking been identified (including Federal Register volume, page and date)? -Proposed rule? -Advance notice of proposed rulemaking? -Meeting or hearing announcement? • Have subject headings been used to break up lengthy SUPPLEMEN TARY INFORMATION text? For example -Background. -Statutory authority. -Request for comments. |