NARA logo National Archives and Records Administration Office of the Federal Register _________________________________________________________________ Federal Register Document Drafting Handbook April 1997 Revision I. Federal Register Publication Requirements A. Introduction to the Document Drafting Handbook (DDH) B. Examples used in this version of the Document Drafting Handbook C. How do I know what is an Office of the Federal Register requirement versus recommendation? D. What is the Federal Register/Code of Federal Regulations publication system? Chapter 1: How do I write a document for the proposed rules category? Chapter 2: How do I write a document for the rules category? Chapter 3: How do I write a document for the notices category? Chapter 4: How do I correct my document? Chapter 5: Disk Documents Chapter 6: What is Incorporation by Reference, and how do I do it? Chapter 7: Illustrations, Forms, Footnotes, Appendices, and Tables Chapter 8: Frequently asked questions Appendix A: What Types of Letters and Forms Help the Office of the Federal Register Process Your Documents? Appendix B: What Services Does the Office of the Federal Register Provide? Appendix C: Laws That Affect Federal Register Publication II. Making Regulations Readable National Archives and Records Administration Send comments or questions to info@fedreg.nara.gov URL:http://www.nara.gov/nara/fedreg/ddh/ddhout.html Last updated: June 20, 1997 ---------- I. Federal Register Publication Requirements A. Introduction to the Document Drafting Handbook (DDH) 1. What is the DDH? The DDH provides Federal agencies with guidance and examples for complying with the Office of the Federal Register's format and editorial requirements. 2. What changes have been made to this new edition of theDDH? With the January 1997 Revision, we inaugurated the new "look and feel" of the DDH. There are two sections: Federal Register Publication Requirements and Making Regulations Readable. We have a new focus. All the information you need to prepare a particular type of document (rule, proposed rule, or notice) is in one place. This new DDH is longer and repeats some information, but you will not be directed back and forth as you were in the past. If you want to write a proposed rule, just go to the DDH's table of contents and select "Chapter 1: How do I write a document for the proposed rule category?" You will find additional links in the table of contents at the beginning of each chapter. In keeping with the need to make regulations easier to understand and more reader-focused, we have added a new section on writing readable regulations. Working with the National Performance Review (NPR), Office of Information and Regulatory Affairs (Office of Management and Budget), and agency representatives, we have developed some guidance and easy-to-follow rules for preparing documents that are easy to understand and will help readers quickly find the information they need. In other words -- Use plain English! This expanded NPR guidance, "How to Write Well," is available on the Internet at http://www.blm.gov/nhp/NPR/plaineng.html. Although we've made minor editorial changes to the April 1997 Revision, there are no substantive differences. Beginning with this revision, however, we are not only publishing the DDH on the World Wide Web. We are also distributing it as a Portable Document Format (PDF) file, which is easier to download and use on your computer. You need the free Acrobat Reader program, published by Adobe Systems Inc., to view or print PDF files. For the latest version of Acrobat Reader, visit http://www.adobe.com. To get the April 1997 DDH in PDF format, visit http://www.nara.gov/nara/fedreg/ddh/ddhhome.html, or contact us at the addresses below. Sandra Jablonski and Carolyn Payne, assisted by Miriam Vincent, created the new Document Drafting Handbook. Barbara Suhre and Ernie Sowada assisted with this April 1997 revision. This edition is issued under the Federal Register Act (44 U.S.C. chapter 15) and the rules of the Administrative Committee of the Federal Register (1 CFR chapter I). 3. How do I provide feedback, comments, and suggestions? We want the DDH to be dynamic, responsive, and above all, useful. We are presenting it on the Internet rather than printing it for just that reason. We can quickly and easily make changes. Send your comments and inquiries to the Office of the Federal Register, National Archives and Records Administration, Washington, DC 20408 or via E-mail at info@fedreg.nara.gov. We want to know how well this publication meets your needs. B. Examples used in this version of the Document Drafting Handbook We have edited the examples in the Document Drafting Handbook. We simplified many examples and rewrote others in "Plain English." Whenever possible, we used the National Archives and Records Administration's documents as examples. Please view all the examples in the Handbook as examples of style, not content. C. How do I know what is an Office of the Federal Register requirement versus recommendation? Whenever we discuss the Administrative Committee of the Federal Register's rules throughout this Handbook, we use "must" instead of "shall" because "must" imposes a legal obligation. We use "may" instead of "should" to indicate discretion to act. We use "should" to indicate when we strongly recommend that you comply with a procedure that is not required. D. What is the Federal Register/Code of Federal Regulations publication system? The Federal Register system is composed of two major publications, the annually revised Code of Federal Regulations and the daily Federal Register. Together, the two publications provide a current version of each Federal agency's regulations. The Code of Federal Regulations The Code of Federal Regulations (CFR) is the foundation of the Federal Register publication system. The CFR is an annual codification of the rules of each Federal agency. The Federal Register The daily Federal Register (FR) contains four categories of documents: regulations (rules), proposed rules, notices, and Presidential documents. Rules published in the Federal Register keep the CFR current. Proposed rules solicit public comment on an agency's rules and encourage public participation in the rulemaking process. Notices provide information of interest to the public but are not part of the regulatory process. ---------- Chapter 1: How do I write a document for the proposed rules category? 1.1 What types of documents go in the proposed rules category? 1.2 What are the requirements for a document in the proposed rules category? * Billing Code * Headings * Preamble Requirements * List of Subjects * Words of Issuance * Regulatory Text * Signature Block Billing Code 1.3 What is a billing code and how do I get one? Headings 1.4 What information should go in the headings section at the beginning of my proposed rule? Preamble Requirements 1.5 What are the preamble requirements for a document in the proposed rules category? * AGENCY * ACTION * SUMMARY * DATES * ADDRESSES * FOR FURTHER INFORMATION CONTACT * SUPPLEMENTARY INFORMATION List of Subjects 1.6 What is the List of Subjects and what am I required to do with it? Words of Issuance 1.7 What are "words of issuance"? Regulatory Text 1.8 What must I include in the regulatory text? * Headings * Table of Contents * Authority citation * Numbering of rules * Amendatory language * Asterisks * Cross-referencing Signature Block 1.9 Who can sign my document? 1.10 Do I need a signature date? Style and Format Requirements 1.11 What should my proposed rule document look like? 1.12 Example of a proposed rule document. 1.13 Checklist for proposed rule documents. _________________________________________________________________ Chapter 1: How do I write a document for the proposed rules category? Note: The OFR presents many examples with no paragraph indentations because of electronic program limitations and single-spaced for visual impact. Your document, however, must be indented and double-spaced. 1.1 What types of documents go in the proposed rules category? This category contains documents that propose changes to agency regulations in the CFR and request public comment on those proposed changes. Your document may propose regulatory text or describe the subjects and issues involved. The documents in this category are: * Advance Notices of Proposed Rulemaking, Notices of Inquiry, Notices of Intent. * Proposed rules. * Petitions for rulemaking. * Unified Agenda of Federal Regulatory and Deregulatory Actions. * Documents that affect other documents previously published in the proposed rules category. These documents: + Extend the comment deadline. + Announce a meeting or hearing. + Publish or announce the availability of supplemental information. + Withdraw or terminate a proposed rule. + Correct a previously published proposed rule. * Negotiated rulemaking documents. These documents: + Establish committees. + Announce committee meetings. 1.2 What are the requirements for a document in the proposed rules category? A document published in the proposed rules category should include the following items: * Billing Code * Headings * Preamble Requirements * List of Subjects * Words of Issuance * Regulatory Text * Signature Block Remember, your document may propose regulatory text or describe the subjects and issues involved. Billing Code 1.3 What is a billing code and how do I get one? The Government Printing Office (GPO) assigns each agency that publishes in the Federal Register a billing code which GPO uses to bill your agency for printing costs. Your agency must identify an individual as your Printing Officer, the liaison between your agency and GPO for all printing and billing matters. GPO gives your Printing Officer the billing code for your agency. Your billing code must appear on each document submitted for publication in the Federal Register. * Obtain your billing code from your agency Printing Officer. * Type the billing code at the top of the first page of the original(s) and the certified copies of each document. * Type a "P" (WordPerfect), "F"(Coded), or "U"(Uncoded or ASCII) after your billing code when submitting a disk with your document. (See chapter 5.) * Remember that your billing code may change each year. Headings 1.4 What information should go in the headings section at the beginning of my proposed rule? Begin each proposed rule document with headings that identify your agency and the subject matter of your document. The headings of a proposed rule document also identify the CFR title and part your document proposes to amend. Present the headings for a proposed rule document in this format. * Agency Name * CFR Citation * Agency Docket Number (optional) * Regulation Identifier Number (RIN) * Subject Heading or * Department Name * Subagency Name * CFR Citation * Agency Docket Number (optional) * Regulation Identifier Number (RIN) * Subject Heading The "Department" and "Subagency" headings for a document reflect the "Department" and "Subagency" names as shown in the CFR chapter the document proposes to amend. If your agency is not a cabinet-level agency, do not use a subagency heading. The "CFR Citation" heading contains the number of the CFR title and the number of each part the document proposes to amend. Even if the document affects only one paragraph within a part, include that part number. The "Agency Docket Number" heading is the internal file number your agency may assign. This heading is optional. The "RIN Number" is assigned by the Regulatory Information Service Center and identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions. The "Subject Heading" is a brief statement describing the document. You may use the CFR part heading if it describes the content of the document. However, use more specific information when the document amends several parts or when the part heading is too general. Duplicate the headings of an earlier document in a subsequent document, but add a phrase to distinguish your document from the earlier one. Example 1. FEDERAL RESERVE SYSTEM Agency Name 12 CFR Part 220 CFR Citation [No. 85-959] Agency Docket Number (optional) RIN 0648-FR22 RIN Number Credit by Brokers and Dealers Subject Heading If the CFR chapter assignment is to a subagency of a cabinet-level agency, the cabinet-level agency must still appear in the heading. (See example 2.) Example 2. DEPARTMENT OF COMMERCE Department Name National Oceanic and Atmospheric Administration Subagency Name 15 CFR Part 946 CFR Citation RIN 0648-AI90 RIN Number Coastal Energy Impact Program Subject Heading If there are multiple agencies and CFR citations in the heading, present the heading and regulatory text in CFR title number order. (See section 8.14.) Preamble Requirements 1.5 What are the preamble requirements for a document in the proposed rules category? Each agency document published in the proposed rules category of the Federal Register must contain a preamble. The preamble follows the subject heading of the document. It explains the basis and purpose of the regulatory text. The preamble contains no regulatory text. It arranges basic information on the "who, what, where, when, and why" of a document for the reader's convenience. The preamble captions are: * AGENCY * ACTION * SUMMARY * DATES * ADDRESSES * FOR FURTHER INFORMATION CONTACT * SUPPLEMENTARY INFORMATION These captions must appear in the order shown. An explanation and examples of what must appear within each caption follow. AGENCY caption The AGENCY caption states the "who" of a document by identifying the agency issuing it. This caption usually repeats the name of the agency as carried in the document's headings. When the name of a subagency and cabinet-level agency appear together, carry the subagency name first and then the cabinet-level agency's commonly used acronym or shortened name. For organizational 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 3. AGENCY: Office of the Secretary, USDA. AGENCY: National Archives and Records Administration. AGENCY: Consumer Product Safety Commission. AGENCY: Environmental Protection Agency. AGENCY: National Park Service, Interior. AGENCY: Bureau of Public Debt, Fiscal Service, Treasury. ACTION caption The ACTION caption identifies the type of document. It does not summarize the substance of a document. The following examples represent typical captions for a proposed rule document. Others are possible. Example 4. 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 (or termination). 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. ACTION: Proposed rule; availability of supplemental information. SUMMARY caption Under the SUMMARY caption you explain the "what," "why," and "effect" of the document. In the SUMMARY, you must answer these three questions. * What action is being taken? * Why is this action necessary? * What is the intended effect of this action? Use the following guidelines in preparing a SUMMARY. * Use language a non-expert will understand. * 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. * State what your document does; do not include regulatory history or extensive background. * Do not include qualifications, exceptions, or specific details. * Be brief. You may not use the SUMMARY 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 proposed rule document belongs in the SUPPLEMENTARY INFORMATION section. Example 5. SUMMARY: The Coast Guard proposes to amend the uninspected vessel rules by requiring emergency position indicating radio beacons (EPIRBs). The Emergency Position Indicating Radio Beacons on Uninspected Vessels Requirements Act amends the shipping laws of the United States by requiring uninspected commercial vessels to have the number and type of EPIRBs prescribed by rule. These rules will ensure rapid and effective search and rescue during emergency situations. DATES caption The DATES caption presents the "when" of a document. Include the dates that are essential to the document. Include the following dates, if appropriate: * Comment deadlines. * Extension of comment deadlines. * Request for a hearing (or meeting) deadline. * Public hearing (or meeting) dates. * Other dates the public may need to know. The OFR computes and inserts dates tied to Federal Register publication or OFR filing using the "Table of Effective Dates and Time Periods." This table appears in the Reader Aids section of the first Federal Register issue each month. In computing the date, the OFR counts the day after publication as the first day. When a date falls on a weekend or a Federal holiday, the OFR uses the next Federal business day. When it is necessary for the OFR to compute and insert a date, present the date as shown in example 6. The OFR computes dates based only on OFR filing or publication in the Federal Register. Example 6. DATES: Submit comments on or before (Insert date 60 days after date of publication in the FEDERAL REGISTER). Example 7. DATES: The agency must receive comments on or before October 20, 199x. A public hearing will be held at 9 a.m., October 9, 199x. Submit requests to present oral testimony on or before October 2, 199x. Place no more than four dates under the captions "DATES." Example 8: Format in proposed rule with four dates. DATES: The hearing dates are: 1. March 26, 199x, 9:30 a.m. to 5 p.m., Philadelphia, PA. 2. April 3, 199x, 9:30 a.m. to 5 p.m., Chicago, IL. 3. April 8, 199x, 9:30 a.m. to 5 p.m., Atlanta, GA. 4. April 15, 199x, 9:30 a.m. to 5 p.m., Denver, CO. If you have more than four dates, place them in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Public Participation" or "Hearings." This requirement generally does not apply to comment deadlines. Example 9. DATES: See Supplementary Information section for hearing dates. Do not include information other than dates in the DATES caption. Place any discussion of meeting agenda, content of material available for inspection, etc. in the SUPPLEMENTARY INFORMATION section. Remember that DATES and ADDRESSES are separate captions. All date information must appear in the DATES caption. ADDRESSES caption The ADDRESSES caption contains the "where" of the document. Include any address that the public needs to know. You may include addresses for: * Mailing public comments. * Hand-delivering public comments. * Attending a public hearing (or meeting). * Examining any material available for public inspection. Do not include information other than addresses in the ADDRESSES caption. Place any discussion of how to submit comments, how to register for a meeting, meeting agenda, content of material available for inspection, etc. in the SUPPLEMENTARY INFORMATION section. Electronic access and electronic filing addresses usually appear in the SUPPLEMENTARY INFORMATION section. (See examples 14 and 15.) Place no more than four addresses under the caption "ADDRESSES." Example 10: Format in proposed rule with four addresses. ADDRESSES: The hearing locations are: 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, IL 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, CO 80202. If you have more than four addresses, place them in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Public Participation" or "Hearings." Example 11. ADDRESSES: See Supplementary Information section for hearing addresses. Remember that ADDRESSES and DATES are separate captions. All address information must appear in the ADDRESSES caption. Example 12. ADDRESSES: Address all comments concerning this proposed rule to Nell C. Commentary, Commissioner, Rehabilitation Services Administration, Mary E. Switzer Building, Room 3325, 330 C Street SW., Washington, DC 20202-2735. Send a copy of any comments that concern information collection requirements to the Office of Information and Regulatory Affairs, OMB, Room 3002, New Executive Office Building, Washington, DC 20503; Attention: Daniel J. Information. Example 13. ADDRESSES: Mail comments and requests to testify to Hearing Clerk, Room 000, Department of XXXXX, Washington, DC 20000; the hearing will be held in Room 000, 000 Independence Avenue, SW., Washington, DC. Place electronic access and filing addresses in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Electronic Access and Filing Addresses." Example 14. ADDRESSES: See Supplementary Information section for electronic access and filing addresses. Example 15. SUPPLEMENTARY INFORMATION: * * * * * [asterisks indicate text not reprinted] Electronic Access and Filing Addresses You may submit comments and data by sending electronic mail (E-mail) to: oppdocket@epamail.epa.gov Submit comments as an ASCII file avoiding the use of special characters and any form of encryption. The OPP also accepts comments and data on disks in WordPerfect 5.1 file format or ASCII file format. Identify all comments and data in electronic form by the docket number [PP 4F4327/R2253]. You may file electronic comments on this proposed rule online at many Federal Depository Libraries. File an electronic copy of objections and hearing requests with the Hearing Clerk at: oppdocket@epamail.epa.gov Submit an electronic copy of objections and hearing requests filed with the Hearing Clerk as an ASCII file avoiding the use of special characters and any form of encryption. FOR FURTHER INFORMATION CONTACT caption Under the FOR FURTHER INFORMATION CONTACT caption, you must include the name and telephone number of a person within your agency who can answer questions about the document. You may list two or more persons to contact concerning different aspects of a document. SUPPLEMENTARY INFORMATION caption In this section, include the regulatory history of a rulemaking document. You should present the background information and detail necessary to give adequate notice of the issues to be commented on as required by the Administrative Procedure Act. Present this information in language easily understood by the reader. 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 in examples 65 and 66. You may use the SUPPLEMENTARY INFORMATION section to provide additional information that is required by law, agency policy, or Executive order. Answering some of these questions may help you draft your SUPPLEMENTARY INFORMATION. * What law or directive authorizes the rulemaking? * What existing regulations address the problem? * What problem does the rulemaking address? + What issues are connected with the problem? + What facts, surveys, or studies identify and define the problem? * How does this rulemaking attempt to solve the problem? + Were other solutions considered? + Why 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 be monitored? + Can the penalty provisions be enforced? * Have other documents in the rulemaking been identified (including citations, see example 65)? + Did you publish an Advance Notice of Proposed Rulemaking? + Have you announced meetings or hearings? * Have you discussed all necessary regulatory analysis and review requirements? * What other statutes apply to this rulemaking? * How will public participation be handled? + Are there special instructions for mailing public comments? + Are there formal or informal hearings? + Are there procedures for requesting a public hearing? + Are there any instructions for filing comments or making oral presentations? + Will transcripts of the hearing be made available? * Have you used subject headings to break up a lengthy SUPPLEMENTARY INFORMATION section? For example: + Background. + Statutory authority. + Request for comments. + Related documents. + Topical headings. + Drafting information. + Public participation. List of Subjects 1.6 What is the List of Subjects and what am I required to do with it? Each proposed rule document must contain a list of index terms (List of Subjects) for each CFR part number cited in the document's heading. These terms are contained in the "Federal Register Thesaurus of Indexing Terms," available on the Federal Register Electronic Bulletin Board (FREND), accessible via modem at 202-275-0920, or via the Internet at gopher://clio.nara.gov/00/register/thes.txt. The terms provide a common vocabulary for indexing the rulemaking documents of all agencies and are the basis of the "CFR Index" prepared by the OFR. The OFR will provide an agency with a list of appropriate terms for its existing CFR parts. For new CFR parts, an agency should select appropriate terms from the Thesaurus. An agency may include additional terms not contained in the Thesaurus for either existing or new CFR parts as long as appropriate Thesaurus terms are also used. When you select a term that is not in the Thesaurus, ask yourself, "Would I search for the subject matter using this term?" The List of Subjects is the last item in the SUPPLEMENTARY INFORMATION section of the preamble. Put the List of Subjects terms in alphabetical order and separate them with commas. Capitalize only the first word of each term. End the terms with a period. (See example 17.) You do not need a list of subjects for a document that: * Has no regulatory text. * Only presents nomenclature changes. * Corrects a previous document. You must include all the established Thesaurus terms for a part that you are removing from the CFR. A List of Subjects is set out separately for each CFR part affected. (See example 18.) However, if the terms used are identical for several CFR parts, you may consolidate. (See example 18.) Example 17: Format for document citing a single CFR Part. List of Subjects in 40 CFR Part 262 requirements. Example 18: Format for document citing two or more CFR Parts. Words of Issuance 1.7 What are "words of issuance"? The words of issuance in a rulemaking document describe the relationship of the new provisions to the CFR. Words of issuance form: * The ties between the document and the CFR units being affected; and * The bridge between the preamble and the regulatory text. Because the rulemaking document is the act of promulgation, words of issuance are always in the present tense. Example 19. For the reasons stated in the preamble, the Federal Energy Regulatory Commission proposes to amend 18 CFR chapter I as set forth below: For the reasons discussed in the preamble, the Nuclear Regulatory Commission proposes to amend 10 CFR part 430 as follows: Regulatory Text 1.8 What must I include in the regulatory text? * Headings * Table of Contents * Authority citation * Numbering of rules * Amendatory language * Asterisks * Cross-referencing HEADINGS Provide a heading for each part, subpart, section, and appendix. You may use a heading for a paragraph. A heading is a brief statement that accurately describes the content of the CFR unit. A change in the heading requires an amendment to the CFR. Use section headings, subpart headings, undesignated center headings, and appendix headings to create a table of contents for each part that provides the reader with an outline of the regulatory text. The heading for an appendix to a section is not listed in the table of contents. Example 20: Headings in regulatory text. PART 970--DEEP SEABED MINING REGULATIONS FOR EXPLORATION LICENSES Part Subpart A--What Applications Must I Complete to Obtain My Exploration Licenses? Subpart Heading (Optional) Section PART. Each part heading should contain subject terms that identify the agency's rules in a manner consistent with the terms used by other agencies to identify similar material. The OFR has developed a thesaurus of subject terms used by the OFR to index the CFR and related publications. Use the Thesaurus to obtain subject terms that identify the content of the proposed rule document, and use the appropriate subject terms in the part heading. SUBPART. You may use subpart headings to separate ideas within a part. Subparts are not required. UNDESIGNATED CENTER HEADING. You may use undesignated center headings to break up a large subpart and group together sections concerning a particular subject area. Undesignated center headings are not required. APPENDIX. An appendix may appear at the section, subpart, or part level. Designate each appendix with a capital letter, identify whether it belongs to a section, subpart, or part, and give it a descriptive heading. Do not carry the heading for an appendix to a section in the table of contents. If your agency has established a uniform designation system for its appendices, follow the established system. (See chapter 7.) Example 21. Appendix B to Subpart A of Part 915 -- Illustrations of Infant Highchair Designs Appendix A to § 315.2 --Model Air Pollution Control Plan Appendix A to Part 2 -- Flammability Statistics for Floor-Cleaning Fluids SECTION. Descriptive section headings are signposts for the reader. They help readers identify the particular regulatory text that applies to them. End each section heading with a period or question mark. PARAGRAPH. You may use headings at the paragraph level. Be consistent. If you use a heading for one paragraph, be sure to use a heading for all paragraphs at that level. End paragraph headings with a period and underline them in the document. In the Federal Register, the underlined headings are printed in italics. TABLE OF CONTENTS You need a table of contents for a document that: * Adds a new part or subpart; or * Revises an existing part or subpart. Include the following in your table of contents: * Section headings; * Subpart headings; * Undesignated center headings; and * Appendix headings to parts and subparts. Table of contents entries are identical to the section headings, subpart headings, undesignated center headings, and appendix headings in the regulatory text. Do not list paragraph headings or appendix-to-section headings in the table of contents. Do not provide a table of contents in a document that adds or amends a single section or miscellaneous sections. The OFR changes the table of contents when these amendments are included in the CFR. AUTHORITY CITATION You must cite the authority that authorizes your agency to change the CFR. Give the authority citation in the shortest form. Placement of the authority citation depends on what unit of the CFR you are amending. There are two types of authority: * Statutory + Public law. + United States Code. * Nonstatutory + Presidential Executive order. + Presidential Administrative order. + Presidential Memorandum. + Agency delegation, policy, or directive. + Office of Management and Budget circular. + CFR regulations. Your agency is responsible for maintaining accurate and current authority citations. Present the authority citation at one of two central places: * Part level; or * Subpart level. You may give citations of authority for particular subparts and sections within the central authority citation. (See examples 22 and 23.) Example 22. Authority: 42 U.S.C. 2201; 45 U.S.C. 5841. Subpart A also issued under 5 U.S.C. 552; 31 U.S.C. 9701. Subpart B also issued under 5 U.S.C. 552a. Subpart C issued under 5 U.S.C. 552b. Example 23. Authority: 42 U.S.C. 2111, 2112, 2201, 2232, 2233, 2236, 2282, 5841, 5842, 5846. Section 30.7 also issued under 42 U.S.C. 5851. Section 30.34(b) issued under 42 U.S.C. 2234. Section 30.61 also issued under 42 U.S.C. 2237. STATUTORY AUTHORITY Each citation of statutory authority must use the United States Code citation, if one exists. To determine the United States Code citation, use: * The current edition of the United States Code; and * The supplement to the United States Code. Use the slip laws published by the OFR to obtain the United States Code citation for recently signed public laws. The OFR recommends that you do not cite a public law or the U.S. Statutes at Large in addition to the United States Code citation. (See example 24.) Do not cite the popular name of a public law. Example 24. Authority: 44 U.S.C. 2101-2118; 50 U.S.C. 6909. When a United States Code citation does not exist, you must cite the section of the public law, if appropriate, the public law, and the U.S. Statutes at Large. Do not cite the popular name of a public law. (See example 25.) Example 25. Authority: Sec. 8067, Pub. L. 98-473, 98 Stat. 1937. If you need to cite the United States Code, public law, and the U.S. Statutes at Large in the same authority citation, present them in the order shown in example 26. Example 26. Authority: Sec. 8, Pub. L. 98-328, 82 Stat. 470 (34 U.S.C. 21). NONSTATUTORY AUTHORITY Cite nonstatutory authority by document designation, Federal Register citation, and CFR citation. (See example 27.) Example 27. Authority: E.O. 12731, 55 FR 42547, 3 CFR, 1990 Comp., p. 306; 5 CFR 2635.105. If you include both statutory and nonstatutory citations in the same authority citation, place the statutory citation first. (See example 28.) Example 28. Authority: 8 U.S.C. 1161(f); 29 U.S.C. 1801-1872; Secretary's Order 6-84, 49 FR 32473. If you need to deviate from the standard authority citation format, submit a letter requesting the deviation and explaining the need to the Director of the Federal Register. WHOLE CFR PART. If a document adds or revises an entire CFR part, place the authority citation directly after the table of contents and before the regulatory text. (See example 29.) Example 29. PART 54--ALLOTMENTS FOR CHILD AND SPOUSAL SUPPORT Sec. 54.1 Purpose. 54.2 Applicability and scope. 54.3 Definitions. 54.4 Policy. 54.5 Responsibilities. 54.6 Procedures. Authority: 15 U.S.C. 1673; 37 U.S.C. 101; 42 U.S.C. 665. CFR SECTION. If a document amends only certain sections within a CFR part, set out the authority citation for the part as the first numbered item in the list of amendments for the part. (See examples 30 and 31.) Example 30. PART 4--SERVICES TO THE PUBLIC 1. The authority citation for part 4 is revised to read as follows: Authority: 44 U.S.C. 1508. Example 31. PART 4--SERVICES TO THE PUBLIC 1. The authority citation for part 4 continues to read as follows: Authority: 44 U.S.C. 1502. SUBPARTS. If a document adds or revises an entire subpart, using the same authority citation as the CFR part, set out the authority citation for the part as the first numbered item in the list of amendments for the part. (See examples 30 and 31.) If a document adds or revises an entire subpart using a different authority citation, set out the authority citation for the subpart directly after the heading to the subpart and before the regulatory text of the subpart. (See example 32.) Example 32. Subpart B--Supportive Services for Minority, Disadvantaged, and Women Business Enterprises Table Of Contents Sec. 230.201 Purpose. 230.202 Definitions. 230.203 Policy. Subpart B--Supportive Services for Minority, Disadvantaged, and Women Business Enterprises Subpart Heading Authority: 23 U.S.C. 101, 140(c), 304, 315; 49 CFR 1.48(b). Subpart B Authority Citation Text of Section If you propose to remove a part, you must give your agency's authority for the action. Place the authority in the "words of issuance." (See examples 33 and 34.) Example 33. Accordingly, under the authority 10 U.S.C. 8013, the XXX Agency proposes to amend XX CFR chapter VII by removing part 837. Example 34. Under 42 U.S.C. 541 and as discussed in the preamble, the Department of the XXX proposes to amend XX CFR chapter II as follows: NUMBERING OF RULES The regulatory text of your document must conform with the structure of the CFR. CODE OF FEDERAL REGULATIONS STRUCTURE. The basic structure of the CFR consists of a hierarchy of designated CFR units. The CFR numbering system is not based on a decimal numbering system. The following table illustrates the CFR structure. CFR Unit CFR Designation Description Title 12 Broad area subject to Federal regulation Chapter III Rules of a single issuing agency Part 303 Unified body of rules concerning a single function or specific subject Section 303.1 Short presentation of one regulatory function. The section is the basic unit of the CFR. The content of a section is a short, simple presentation of a single regulatory function. Each section number includes the number of the part followed by a period and a sequential number. Example 35: Section number. § 25.1. Hyphenated numbers (§ 117-2.1 or § 117-3.15) or numbers with alpha characters (part 115a, § 115a.1, or § 115.1a) are not permitted in designating units within the CFR system. The Director of the OFR must approve any deviation from standard CFR structure. Submit a request for approval in writing before you begin drafting. PARAGRAPH STRUCTURE OF A SECTION. If you have more than one paragraph, designate each one. Indent each designated paragraph within a section. The paragraph structure within a section allows six levels of designation. The OFR strongly recommends that you do not use more than 3 paragraph levels. Use of more than 3 paragraph levels makes your rule hard to read and use. Use more sections as a drafting technique to avoid using excessive paragraph levels. Use the paragraph structure chart in example 36. The OFR no longer permits the use of a concluding paragraph. Sections consisting of a single paragraph or the introductory text of a section do not require a designation. Indicate italics by underlining in a typewritten document. Example 36: Paragraph structure of a section. For a discussion of definitions, see section 8.15. AMENDATORY LANGUAGE A rulemaking document often makes changes or additions to the CFR. The regulatory text of a document must fit into the current text of the CFR. You should precisely identify and describe the changes made to the CFR. While the words of issuance describe the general effect of the document, the amendatory language uses standard terms to give specific instructions on how to change the CFR. Do not include a discussion of why or how the changes are made in the amendatory language. Any discussion of the changes belongs in the SUPPLEMENTARY INFORMATION section. Your agency's current CFR text is not necessarily what appears in the latest edition of the CFR, since your agency publishes changes to the CFR in the daily Federal Register. The "List of CFR Sections Affected" (LSA) is a cumulative monthly numerical index to rules and proposed rules. Use it to determine if any changes have been made since the revision date of your CFR. The "CFR Parts Affected" is a cumulative daily numerical index to rules and proposed rules published in the Reader Aids section of the Federal Register. Use it to check for changes in any month not covered by the LSA. Before you begin drafting amendatory language, you must obtain a current CFR volume, the current LSA, and the latest edition of the Federal Register for any month not covered by your LSA. This gives you the current and official version of the CFR regulations you are changing. Base amendatory language on the current text of a rule. You must: * Identify the specific CFR unit being changed; * Use one of the standard terms to describe the change; and * Address all regulatory text set out in your document. Amendatory Terms Use the following terms in amendatory language. Each term is a precise instruction to change a CFR unit. * Add * Amend * Correct * Nomenclature Change * Redesignate * Remove * Republish * Reserve * Revise * Stay * Suspend * Withdrawn ADD. "Add" means that a new CFR unit is inserted in the CFR. Example 37: Add. Add part 1812 to read as follows: Add § 5.26 under the undesignated center heading "How To Apply For a Permit" to read as follows: Add § 20.89 to subpart H to read as follows: In § 18.13, add paragraph (e) to read as follows: Add new paragraph (f)(5) to § 210.14 to read as follows: Add § 4.8(a)(3)(iii) to read as follows: AMEND. "Amend" means that an existing CFR unit is changed. Because it is an introductory term, it cannot stand alone. You must use it with other amendatory terms. Example 38: Amend. Amend § 791.27 to revise paragraph (b)(3) and to add paragraph (d)(4) to read as follows: CORRECT. The term "correct" fixes a clerical or typographical error in a recently published document. Corrections to the regulatory text must identify the CFR unit being corrected. (See chapter 4.) Example 39: Correct. Nonregulatory text On page 00000, in the second column, on line 5, correct the reference "§ 39.10(a)(1)" to read "§ 44.10". Regulatory text § 20.15 [Corrected] On page 00000, in the third column, in § 20.15(c)(1), correct "Director" to read "Acting Director". NOMENCLATURE CHANGE. A nomenclature change directs a change to a term or phrase throughout a CFR unit. It is commonly used to change an office designation or the title of an agency official. Example 40: Nomenclature Change. § 720.1 [Amended] In 12 CFR 720.7(c)(2) remove the words "Deputy Administrator" and add, in their place, the words "Vice-Chairman of the National Credit Union Administration Board". §§ 720.7, 720.20, 720.22, 720.24, 720.26, and 720.27 [Amended] In addition to the amendments set forth above, in 12 CFR part 720 remove the words "Assistant Administrator for Administration" and add, in their place, the words "Director of the Office of Administration" in the following places: a. Section 720.7(a)(1), (c)(2), and (c)(3); b. Section 720.20(b) introductory text; c. Section 720.22(a); d. Section 720.24(a) and (b)(3); e. Section 720.26(a); and f. Section 720.27(a) and (c). PART 315--[AMENDED] In part 315, revise all references to "Domestic Commerce" to read "Domestic Business Development". §§ 780.40, 780.41, and 780.42 [Amended] In the table below, for each section indicated in the left column, remove the title indicated in the middle column from wherever it appears in the section, and add the title indicated in the right column: Section Remove Add 780.40 Assistant Secretary for Housing Production and Mortgage Credit Assistant Secretary for Housing 780.41 Assistant Secretary for Housing Production and Mortgage Credit (HPMC) -- Federal Housing Commissioner Assistant Secretary for Housing -- Federal Housing Commissioner 780.42 Deputy Assistant Secretary for Housing Production and Mortgage Credit -- Deputy Federal Housing Commissioner Deputy Assistant Secretary for Housing -- Deputy Federal Housing Commissioner REDESIGNATE. "Redesignate" transfers a CFR unit to a vacant position and assigns a new designation. A redesignation table may also be used. Example 41: Redesignate. PART 80 [REDESIGNATED AS PART 90 AND AMENDED] 2. Redesignate part 80 as part 90 and amend the references as indicated in the table below: 3. In § 100.5, redesignate paragraphs (a) through (c) as paragraphs (d) through (f) and add new paragraphs (a) through (c) to read as follows: 4. Redesignate part 20 as part 30 and revise it to read as follows: §§ 226.3 through 226.5 [Removed] §§ 226.6 through 226.8 [Redesignated as §§ 226.3 through 5. Remove §§ 226.3 through 226.5 and redesignate §§ 226.6 through 226.8 as §§ 226.3 through 226.5, respectively. § 45.3 [Amended] 6. In § 45.3, redesignate paragraphs (a) through (c) as paragraphs (a)(1) through (a)(3). In redesignated paragraph (a)(1), further redesignate paragraphs (1) and (2) as paragraphs (a)(1)(i) and (ii). REMOVE. "Remove" means that an existing CFR unit is being taken out of the CFR. Example 42: Remove. § 300.12 [Removed] Remove § 300.12. § 495.73 [Amended] In § 495.73, remove paragraphs (a)(5) and (e). REPUBLISH. "Republish" means that an unchanged CFR unit is set out for the convenience of the reader, often to provide the context for an amendment. Therefore, you must present the republished text accurately. Example 43: Republish. In § 2.1, the introductory text of paragraph (a) is republished and paragraphs (a)(1) and (3) are revised to read as follows: RESERVE. "Reserve" is a term used to fill in gaps in CFR numbering. Removing a subpart or a paragraph may leave a gap which could confuse the reader. To avoid confusion in your amendatory language, you should remove and reserve the subpart or paragraph. (See example 44.) You may also use "reserve" when adding or revising a CFR unit to indicate where future text will be added. (See example 45.) Example 44: Reserve (when removing a CFR unit). Subpart Q--[Removed and Reserved] Remove and reserve subpart Q, consisting of §§ 103.10-103.25. Example 45: Reserve (when adding or revising a CFR unit). Add and reserve subpart E and add subpart F, consisting of §§ 25.100-25.130, to read as follows: REVISE. "Revise" means that an existing CFR unit is replaced in its entirety. It is important that you specifically identify the CFR unit being revised. Example 46: Revise. Revise part 105 to read as follows: Revise § 80.100(e)(1)(iii) to read as follows: In § 15.4, revise paragraph (b) and the introductory text of paragraph (f)(2) to read as follows: STAY. "Stay" stops a CFR unit temporarily or indefinitely. The amendatory language must cite the CFR unit affected. The content of the CFR unit is not changed. During the suspension, the CFR unit is not in effect or enforceable. Consult with the OFR when using the term "stay." SUSPEND. "Suspend" stops a CFR unit temporarily or indefinitely. The amendatory language must cite the CFR unit affected. The content of the CFR unit is not changed. During the suspension, the CFR unit is not in effect or enforceable. WITHDRAWN. "Withdrawn" indicates that a previously published proposed rule will not be issued as a final rule and will not become effective or enforceable. Completely describe all changes to CFR units in the amendatory language. For extensive amendments to one section or other CFR unit, set out the text in full, rather than preparing fragmentary amendments, so that the reader will have the complete text of the amended CFR unit. Place amendments in CFR numbering order. ADDITION OR REVISION OF A PART OR SUBPART Parts. If you add or revise a part, use these elements in the order shown. (See example 47.) + Amendatory language + Part heading + Table of contents + Authority citation + Regulatory text Subparts. If a part has a single authority citation at the end of the table of contents and you want to add or revise a subpart in that part, use these elements in the order shown: + Part heading + Authority citation for the part + Amendatory language + Subpart heading + Table of contents + Regulatory text or If each subpart in a part has its own authority citation and you want to add or revise a subpart in that part, use these elements in the order shown: + Part heading + Amendatory language + Subpart heading and table of contents + Subpart heading + Authority citation for the subpart + Regulatory text Example 47. Revise part 3 to read as follows: Amendatory Language PART 3--SERVICES TO THE PUBLIC Part Heading Sec. 3.1 Information services. 3.2 Public inspection of documents. 3.3 Reproduction and certification of copies of acts and documents. Table Of Contents Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR, 1954-1958 Comp., p.189. Authority Citation Regulatory Text (a) The Office of the Federal Register (OFR) provides information on: (1) Publications in § 2.5 of this chapter; and (2) Original acts and documents filed with the OFR. (b) The OFR cannot provide excessive information or do extensive research. (c) The staff may not summarize or interpret substantive text of any act or document. (a) During the OFR's office hours, documents filed with the OFR pursuant to law are available for public inspection at 800 North Capitol Street, NW., Suite 700, Washington, DC. There are no formal inspection procedures or requirements. (b) By direction of the Director of the Office of the Federal Register, the OFR staff must file for public inspection documents received and processed not later than the working day preceding the publication day for that document. (c) By direction of the Director of the Office of the Federal Register, the OFR staff must place on the original and certified copies of each document a notation of the day and hour when it was filed and made available for public inspection. (d) Customers may view, photocopy, or make excerpts of documents on public inspection. The regulations for the public use of records in the National Archives and Records Administration (36 CFR parts 1252-1258) also govern the furnishing of reproductions of acts and documents and certificates of authentication for them. Section 1258.14 of those regulations provides for the advance payment of appropriate fees for reproduction services and for certifying reproductions. AMENDMENT TO A SECTION If you amend a section, use these elements in the order shown: + Part heading + Authority citation + Amendatory language + Section heading + Regulatory text If you add or revise a section, use the format shown in example 48. If you add a section to a part which contains subparts or undesignated center headings, identify the subpart or undesignated center heading which will contain the new section. Example 48. PART 133--TOLLS FOR USE OF CANAL Part Heading 1. The authority citation for part 133 is revised to read as follows: Authority Citation Authority: 22 U.S.C. 3791; E.O. 12215, 45 FR 36043, 3 CFR, 1980 Comp., p. 257. 2. Section 133.34 is revised to read as follows: Amendatory Language Section Heading In order for a vessel to secure the reduced rate of toll for vessels in ballast, it may not carry any passengers or cargo nor any fuel for its own consumption in a quantity which exceeds: (a) 125 percent of the volume of its engine room as measured and as shown on its Panama Canal tonnage certificate; or (b) The spaces on the vessel which are available for the carriage of fuel. Regulatory Text Multiple Amendments. Describe all changes to one section in a single instruction, and display changed text for the section immediately following the instruction. (See instruction number 2 in example 50.) If there are many changes to one section, use a list format. (See example 49.) Example 49. § 941.103 [Amended] 3. Amend § 941.103 as follows: a. Remove the definitions of "Allocation area", "Application", "Central city allocation area", "Community", "Field Office", "Housing Assistance Plan", "Household type", and "Housing type"; b. Remove the parenthetical phrase "(in the form prescribed by HUD)" from the definition "Construction Contract" and "Contract of sale"; and c. Remove from the definition of "Total development cost (TDC)" the term "The Field Office" and add in its place the term "HUD", and remove from that definition the parenthetical sentence at the end. When there are changes to several sections, use separate numbered instructions for each section, and display the changed text for each section after the instruction. (See instructions 2 through 4 in example 50.) Example 50. PART 1258--FEES 1. The authority citation for part 1258 continues to read as follows: Authority: 44 U.S.C. 2116(c). 2. Amend § 1258.2 by revising paragraphs (a) and (c)(3) to read as follows: (a) Except as stated in this section, fees for the reproduction of NARA administrative records, archival records, donated historical materials, and records filed with the Office of the Federal Register are in § 1258.12. * * * * * (c) * * * (3) Motion picture, sound, and video recording materials are among the holdings of the National Archives and Records Administration. Obtain prices for reproduction of these materials from the Motion Picture and Sound and Video Branch, National Archives and Records Administration, Washington, DC 20408. * * * * * 3. Amend § 1258.4 by revising paragraph (b) to read as follows: * * * * * (b) When NARA wishes to disseminate information about its activities to the general public through press, radio, television, and newsreel representatives; * * * * * 4. Amend § 1258.10 by revising paragraph (a) to read as follows: (a) The agency charges a minimum fee of $6.00 per order for reproductions it mails to the customer. * * * * * Group all amendments to the same CFR unit together in one instruction. (See examples 51 and 52.) Example 51. Revise paragraphs (a), (d), (e), and (n) of § 150.5 to read as follows: Example 52. Remove and reserve §§ 33.1, 33.5 and 33.10. INTRODUCTORY TEXT. If you revise the introductory text of a section or a paragraph, and not the whole section or paragraph, specify the introductory text. (See example 53.) Example 53. In § 1020.3, revise paragraph (a) introductory text, paragraph (a)(1) and (4) to read as follows: (a) The Chairman will appoint a senior, full-time Commission employee as Small Business Ombudsman. The Ombudsman must: (1) Know the Commission's statutes and regulations; * * * * * (4) Perform the Ombudsman duties in addition to, and consistently with, other Commission responsibilities. * * * * * ASTERISKS PARTIAL SECTION AMENDMENTS. If you add or revise only certain units of a section, the amendatory language must state exactly which units are added or revised, and only those units are printed. Use asterisks to show text which is not changed. Use of 5 Asterisks. Use 5 asterisks to show that a whole paragraph, including its subordinate paragraphs, is unchanged. (See example 54.) The 5 asterisks at the end of the changed CFR unit show that the remaining text in the section is unchanged. Example 54: Use of 5 asterisks. Revise paragraph (d) of § 166.15 to read as follows: * * * * * (d) The following States issue licenses under cooperative agreements with the Animal and Plant Health Inspection Service, but do not have primary enforcement responsibility under the Act: Kentucky, Maryland, Puerto Rico, Texas, and Washington. * * * * * Use of 3 Asterisks. You may divide a CFR paragraph into subordinate paragraphs. The OFR strongly recommends that you use no more than 3 paragraph levels. Use of more than 3 paragraph levels makes your rule hard to read and use. (See paragraph structure chart in example 36.) Use 3 asterisks when you change text at a subordinate level. This shows that the higher level paragraphs remain unchanged. (See example 55.) Example 55: Use of 3 asterisks. Revise § 202.3(b)(5)(i) to read as follows: * * * * * (b) * * * (5) * * * (i) The Library of Congress receives two complimentary copies promptly after publication of each issue of the serial. * * * * * The smallest unit you may revise is a sentence. When you revise only a sentence of a paragraph, use 3 asterisks to show that the remaining sentences in the paragraph are unchanged. (See example 56.) Example 56. Revise the first sentence of § 416.916 to read as follows: You (and, if you are a child, your parent, guardian, relative, or other person acting on your behalf) must cooperate in furnishing us with, or in helping us to obtain or identify, available medical or other evidence about your impairment(s). * * * Example 57: Use of both 3 and 5 asterisks in the same document. PART 216--REGULATIONS GOVERNING THE TAKING AND IMPORTING OF MARINE MAMMALS Part Heading 1. The authority citation for part 216 continues to read as follows: Authority Citation Authority: 16 U.S.C. 1361-1407. 2. Revise paragraphs (b)(1)(v), the first sentence of (b)(3), (c)(2), (c)(4)(i) introductory text, and add paragraph (b)(1)(vi) to § 216.24 to read as follows: Amendatory Language Section Heading * * * * * Indicates paragraph (a) unchanged (b) * * * Indicates paragraph (b) introductory text unchanged (1) * * * Indicates paragraphs (b)(1) introductory text and (b)(1)(i)-(iv) unchanged Revises paragraph (b)(1)(v) Adds paragraph (b)(1)(vi) * * * * * Indicates paragraph (b)(2) unchanged (3) Submit the original and two copies of the application for general permit to the Assistant Administrator.* * * Revises first sentence of paragraph (b)(3) Indicates remainder of paragraph (b)(3) unchanged * * * * * Indicates paragraphs (b)(4)-(7) unchanged (c) * * * Indicates paragraph (c) introductory text and (c)(1) unchanged hold a valid operator's certificate of inclusion if you are the person in charge of and actually controlling fishing operations (after this referred to as the operator) on a vessel engaged in commercial fishing operations for which a Category 2 or Category 6 general permit is required under this subpart. You may not transfer this certificate. You have a valid certificate only for a vessel having a valid vessel certificate of inclusion for the same category. In order to receive a certificate of inclusion, the operator must satisfactorily complete required training. You must renew your operator's certificate of inclusion annually. Revises paragraph (c)(2) * * * * * Indicates paragraph (c)(3) unchanged (4) * * * Indicates paragraph (c)(4) introductory text unchanged (i) Category 1, 3, 4, 5, and 6 applications: Revises paragraph (c)(4)(i) introductory text * * * * * Indicates remainder of section unchanged CROSS-REFERENCING Cross-referencing enables your agency to substitute a reference to another CFR unit for the publication of the full text of that CFR unit. The OFR permits cross-references only in limited situations. AGENCY REFERENCING ANOTHER AGENCY'S RULES Your agency may cross-reference the rules of another agency only if the OFR finds that the reference meets any of the following conditions specified in 1 CFR 21.21: + The reference is required by court order, statute, Executive order, or reorganization plan; + The reference is to rules promulgated by an agency with the exclusive legal authority to regulate in a subject matter area, but the referencing agency needs to apply those rules in its own programs; + The reference is informational or improves clarity rather than being regulatory; + The reference is to test methods or consensus standards produced by a Federal agency that have replaced or preempted private or voluntary test methods or consensus standards in a subject matter area; or + The reference is to the departmental level from a subagency. If your agency qualifies to cross-reference another agency's rules, in doing so it cannot make modifications to the rules referenced. If any modifications need to be made, you must publish the rules separately in full text in your rule, rather than as a cross-reference. AGENCY REFERENCING ITS OWN RULES Your agency may reference its own rules, but in doing so it cannot make modifications to the rules referenced. If any modifications need to be made, you must publish the rules separately in full text in your rule rather than as a cross-reference. You may only cross-reference rules that are currently in effect. When cross-referencing, you must identify the CFR unit being cited by the proper CFR unit designation in each reference. Do not use a nonspecific reference, such as "herein," "above," or "below." Example 58 illustrates the proper style for each common type of cross-reference. Example 58. References to a different TITLE In title 6, when referencing title 1, chapter I...... write ...... 1 CFR chapter I In title 6, when referencing title 1, chapter I, part 2 write ...... 1 CFR part 2 In title 6, when referencing title 1, chapter I, part 2, § 2.7 write ...... 1 CFR 2.7 In title 6, when referencing title 1, chapter I, part 2, § 2.7, paragraph (a)(2) write ...... 1 CFR 2.7(a)(2) References within the same TITLE In chapter I, when referencing chapter II..... write...... chapter II of this title In part 100 (chapter I), when referencing part 300 (chapter III) write...... part 300 of this title In § 250.10 (chapter I), when referencing § 300.19 (chapter III) write...... § 300.19 of this title References within the same CHAPTER In part 20, when referencing part 30...... write...... part 30 of this chapter In § 20.10, when referencing subpart A of part 30 write...... part 30, subpart A of this chapter In § 20.10, when referencing § 30.19 write...... § 30.19 of this chapter References within the same PART In § 20.5, when referencing subpart A of part 20 write...... subpart A of this part In § 20.5, when referencing § 20.15 ...... write ...... § 20.15 In § 20.5, when referencing § 20.15, paragraph (a) write ...... § 20.15(a) In § 20.5, when referencing Appendix A .... write ...... Appendix A of this part References within the same SECTION In paragraph (a), when referencing paragraph (b) write ...... paragraph (b) of this section In paragraph (a), when referencing paragraph (b)(1) write ...... paragraph (b)(1) of this section In paragraph (a)(1), when referencing paragraph (a)(2) write ...... paragraph (a)(2) of this section In paragraph (a)(1)(i), when referencing paragraph (a)(1)(ii) write ...... paragraph (a)(1)(ii) of this section Example 59: Citing text within a section. Signature Block 1.9 Who can sign my document? You agency is responsible for determining who is authorized to sign a document submitted for publication in the Federal Register. The signer must provide a handwritten signature in ink. (See section 8.5.) The OFR suggests that the signer use blue ink. It is often difficult to distinguish the original signature from a photocopy if black ink is used. Type the name and title of the person signing the document directly beneath the handwritten signature. (See example 60.) When a person signs a document for another person, type the name and title of the person who actually signs the document beneath the signature. (See example 61.) The OFR will reject a document signed by one person for another. The OFR will not accept your document if you sign someone else's name and you place your initials by the signature. Example 60. Example 61. or Do not place a signature block on a page by itself. The presence of text on the signature page helps to ensure the integrity of the document. You may place the signature block either at the end of the document (see example 62) or between the preamble and the rest of the document (see example 63). Example 62. Preamble Text Signature Example 63. Preamble Signature Text 1.10 Do I need a signature date? The OFR recommends but does not require a signature date. When you furnish one, use the date of actual signature. The OFR will not accept a postdated signature or change a signature date. If there is a problem with a signature date, the OFR will return your document to your Liaison Officer. Style and Format Requirements 1.11 What should my proposed rule document look like? CAPITALS. Type in all capital letters: + The name of the agency (but not the name of the subagency) in the heading of a document. + "FEDERAL REGISTER" in the parenthetical for dates to be computed by the OFR. + Preamble captions. Example 64. AGENCY: ACTION: SUMMARY: DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: COPIES. Provide legible copies. CORRECTION OR ADHESIVE TAPE. Do not use correction or adhesive tape. DOUBLE-SPACING. Type the text of your document double-spaced. HEADINGS + Type document headings centered or flush with the left margin. + Type section headings: o Flush with the left margin; o Underlined; o On a line separate from the text of the section; and o Using the § symbol. MARGINS + One inch at the top, bottom, and right side; and + One and one-half inches on the left side. PAGE NUMBERS. Number the pages consecutively in one of the following places: + Centered top; + Centered bottom; or + Upper right-hand corner. PAPER. You must prepare your document on 8 1/2 by 11 inch white paper. QUOTATION MARKS. Use quotation marks for names of books, journals, articles, and similar items. QUOTED MATERIAL. Type quoted material: + Single-spaced; + Centered-block style; and + Without quotation marks. SINGLE-SIDED COPY. You must type your document on one side only. SINGLE-SPACING. Type the following single-spaced: + Quoted material. + Footnotes. + Tables of contents. + Examples. + Tables. + Notes to Tables. + Authority citations. + Notes. + Formulas. UNDERLINING. Underlining instructs the printer to present material in italics. Use underlining for: + Definitions (underline only the terms); + Paragraph headings; + Scientific terms; + Ordering statements; + Court cases; + The section heading in the text of the rule (the heading will appear in bold type in the Federal Register); and + , when referring to the name of the publication (except type in all capital letters in the parenthetical for dates to be computed by the OFR). Do not use underlining for: + Emphasis; + Names of books; or + Foreign phrases. ABBREVIATIONS Use the following abbreviations in the Federal Register. + FR is Federal Register. (Do not use Fed. Reg. or F.R.) (See example 65.) + CFR is Code of Federal Regulations. (Do not use C.F.R.) (See example 66.) + U.S.C. is United States Code. + Pub. L. is Public Law. (Do not use P.L.) + Stat. is U.S. Statutes at Large. + a.m. or p.m. is time designation. + E.O. is Executive order. + Proc. is Proclamation. + sec. is section of a Public Law or the United States Code. Use the abbreviations for "Pub. L.", "E.O.", and "Proc." only in the authority citation. All other times you must spell them out. (See examples 26 and 28.) § SYMBOL Use the § symbol only for a CFR section and §§ symbol only for multiple sections. However, do not use a § symbol to begin a sentence; instead, spell out the word. Do not use the § symbol or the word "section" when the reference follows a title number and CFR as in 36 CFR 1200.1. STYLE Use the "U.S. Government Printing Office Style Manual" as a guide for punctuation, capitalization, spelling, compounding, and other style matters. You may obtain the GPO Style Manual from the Superintendent of Documents, Government Printing Office. REFERENCES If your document relates to a previously published Federal Register document, you must cite the earlier document. A reference in a preamble to a previously published Federal Register document must identify the volume number, page number, and date of the issue in which the document appeared. (See example 65.) Example 65. 61 FR 38342, Jul. 23, 1996 A reference in a preamble to material contained in the CFR should identify the CFR title and part or section number. (See example 66.) Example 66. 36 CFR part 1200 36 CFR 1200.1 1.12 Example of a proposed rule document. 1.13 Checklist for proposed rule documents. Before you submit your proposed rule document to the OFR, use the following checklist to review your proposed rule: BILLING CODE. Is the billing code at the top of the first page in the right-hand corner? (See sections 1.3, 1.11, and 1.12.) HEADINGS. Are the correct headings used? (See section 1.4.) PREAMBLE. Are all required elements of the preamble included? Does the SUMMARY answer all three questions? (See section 1.5.) LIST OF SUBJECTS. Are subject terms listed for each CFR part affected? Are they placed at the end of the preamble? (See section 1.6.) AUTHORITY CITATION. Is the authority citation correctly placed in the document? (See section 1.8.) AMENDATORY LANGUAGE (See section 1.8.) + Does it specify the exact CFR unit being changed? + Does it use the correct terms? TABLE OF CONTENTS. Is the table of contents included for each subpart or part being set out in full? (See section 1.8.) Do entries agree with the regulatory text? PARAGRAPHS. Are all paragraphs of regulatory text indented and lettered or numbered correctly? (See section 1.8.) CROSS-REFERENCES (See section 1.8.) + Is the correct style used? + Do references meet the OFR's criteria? TABLES AND ILLUSTRATIONS (See chapter 7.) + Are they placed exactly where they are to be printed? + Are they completely legible? + Are charts and maps of photographic quality? OMB CONTROL NUMBER. If included with the regulatory text, is it placed properly and in the correct style? (See section 8.19.) SIGNATURE AND TITLE (See section 1.9.) + Is the original signature (handwritten in ink) included on the document? (One person may not sign for another or initial a signature.) + Is the signer's name and title typed beneath the signature? + If a signature date is given, is it correct? QUALITY (See section 1.11.) + Are original(s) and certified copies legible? + Is the document free of correction or adhesive tape? + Are ink changes printed, dated, and initialed on all three copies? (See chapter 4.) + Is the document double-spaced? PAGE NUMBERS. Are all pages numbered consecutively? (See section 1.11.) MATCHING COPIES AND CERTIFICATION (See sections 1.11 and 8.5.) + Are the original and two copies identical? Are all pages included? + Are the copies properly signed or certified? DISKS (See chapter 5.) + Are the disk and document identical? + Is the verification/certification letter included stating that the disk and document are identical? + Is the disk virus-free, with no trash files, no security codes/passwords, and no backup files included? + Are you using a software that the OFR will accept? + Does the disk have a label that identifies the agency, kind of software, subject matter, and file name? + Do you have a separate disk for each document? ---------- Chapter 2: How do I write a document for the rules category? 2.1 What types of documents go in the rules category? 2.2 What are the requirements for a document in the rules category? * Billing Code * Headings * Preamble Requirements * List of Subjects * Words of Issuance * Regulatory Text * Signature Block Billing Code 2.3 What is a billing code and how do I get one? Headings 2.4 What information should go in the headings section at the beginning of my rule? Preamble Requirements 2.5 What are the preamble requirements for a document in the rules category? * AGENCY * ACTION * SUMMARY * DATES * ADDRESSES * FOR FURTHER INFORMATION CONTACT * SUPPLEMENTARY INFORMATION List of Subjects 2.6 What is the List of Subjects and what am I required to do with it? Words of Issuance 2.7 What are "words of issuance"? Regulatory Text 2.8 What must I include in the regulatory text? * Headings * Table of Contents * Authority citation * Numbering of rules * Amendatory language * Asterisks * Cross-referencing Signature Block 2.9 Who can sign my document? 2.10 Do I need a signature date? Style and Format Requirements 2.11 What should my rule document look like? 2.12 Examples of rule documents. 2.13 Checklist for rule documents. _________________________________________________________________ Chapter 2: How do I write a document for the rules category? Note: The OFR presents many examples with no paragraph indentations because of electronic program limitations and single-spaced for visual impact. Your document, however, must be indented and double-spaced. 2.1 What types of documents go in the rules category? This category contains documents having general applicability and legal effect. The terms "rules" and "regulations" have the same meaning within the Federal Register publication system. The documents in this category are: * Documents that amend the CFR by adding new text or by revising or removing existing text. * Temporary rule documents that are effective immediately for a short or definable period of time. * Interim rule documents that are effective immediately and may request comments. * Documents that affect other documents previously published in the rules category. These documents: + Correct a previously published rule. + Change the effective date. + Change the comment deadline of an interim rule. + Suspend a previously published rule. + Withdraw a rule not yet in effect. + Petition for reconsideration. * Documents that have no regulatory text and do not amend the CFR but affect your agency. These documents include: + General policy statements. + Interpretations of agency rules. + Clarification of agency rules. + Waivers of agency rules that are generally applicable. 2.2 What are the requirements for a document in the rules category? A document in the rules category should include the following items: * Billing Code * Headings * Preamble Requirements * List of Subjects * Words of Issuance * Regulatory Text * Signature Block Billing Code 2.3 What is a billing code and how do I get one? The Government Printing Office (GPO) assigns each agency that publishes in the Federal Register a billing code which GPO uses to bill your agency for printing costs. Your agency must identify an individual as your Printing Officer, the liaison between your agency and GPO for all printing and billing matters. GPO gives your Printing Officer the billing code for your agency. Your billing code must appear on each document submitted for publication in the Federal Register. * Obtain your billing code from your agency Printing Officer. * Type the billing code at the top of the first page of the original(s) and the certified copies of each document. * Type a "P" (WordPerfect), "F" (Coded), or "U" (Uncoded or ASCII) after your billing code when submitting a disk with your document. (See chapter 5.) * Remember that your billing code may change each year. Headings 2.4 What information should go in the headings section at the beginning of my rule? Begin each rule document with headings that identify your agency and the subject matter of your document. The headings of a rule document also identify the CFR title and part your document amends. Present the headings for a rule document in this format. * Agency Name * CFR Citation * Agency Docket Number (optional) * Regulation Identifier Number (RIN) * Subject Heading or * Department Name * Subagency Name * CFR Citation * Agency Docket Number (optional) * Regulation Identifier Number (RIN) * Subject Heading The "Department" and "Subagency" headings for a document reflect the "Department" and "Subagency" names as shown in the CFR chapter the document amends. If your agency is not a cabinet-level agency, do not use a subagency heading. The "CFR Citation" heading contains the number of the CFR title and the number of each part the document amends. Even if the document affects only one paragraph within a part, include that part number. Include parts that are amended but not parts that are only referenced in your document. The "Agency Docket Number" heading is the internal file number your agency may assign. This heading is optional. The "RIN Number" is assigned by the Regulatory Information Service Center and identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions. The "Subject Heading" is a brief statement describing the document. You may use the CFR part heading if it describes the content of the document. However, use more specific information when the document amends several parts or when the part heading is too general. Duplicate the headings of an earlier document in a subsequent document, but add a phrase to distinguish your document from the earlier one. Example 1. FEDERAL RESERVE SYSTEM Agency Name 12 CFR Part 220 CFR Citation [No. 85-959] Agency Docket Number (optional) RIN 0648-FR22 RIN Number Credit by Brokers and Dealers Subject Heading If the CFR chapter assignment is to a subagency of a cabinet-level agency, the cabinet-level agency must still appear in the heading. (See example 2.) Example 2. DEPARTMENT OF COMMERCE Department Name National Oceanic and Atmospheric Administration Subagency Name 15 CFR Part 946 CFR Citation RIN 0648-AI90 RIN Number Coastal Energy Impact Program Subject Heading If there are multiple agencies and CFR citations in the heading, present the heading and regulatory text in CFR title number order. (See section 8.14.) Preamble Requirements 2.5 What are the preamble requirements for a document in the rules category? Each agency document published in the rules category of the Federal Register must contain a preamble. The preamble follows the subject heading of the document. It explains the basis and purpose of the regulatory text. The preamble contains no regulatory text. It arranges basic information on the "who, what, where, when, and why" of a document for the reader's convenience. The preamble captions are: * AGENCY * ACTION * SUMMARY * DATES * ADDRESSES * FOR FURTHER INFORMATION CONTACT * SUPPLEMENTARY INFORMATION These captions must appear in the order shown. An explanation and examples of what must appear within each caption follow. AGENCY caption The AGENCY caption states the "who" of a document by identifying the agency issuing it. This caption usually repeats the name of the agency as carried in the document's headings. When the name of a subagency and cabinet-level agency appear together, carry the subagency name first and then the cabinet-level agency's commonly used acronym or shortened name. For organizational 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 3. AGENCY: Office of the Secretary, USDA. AGENCY: National Archives and Records Administration. AGENCY: Consumer Product Safety Commission. AGENCY: Environmental Protection Agency. AGENCY: National Park Service, Interior. AGENCY: Bureau of Public Debt, Fiscal Service, Treasury. ACTION caption The ACTION caption identifies the type of document. It does not summarize the substance of a document. The following examples represent typical captions for a rule document. Others are possible. Example 4. 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. ACTION: Interpretation. ACTION: Clarification. SUMMARY caption Under the SUMMARY caption you explain the "what," "why," and "effect" of the document. In the SUMMARY, you must answer these three questions. * What action is being taken? * Why is this action necessary? * What is the intended effect of this action? Use the following guidelines in preparing a SUMMARY. * Use language a non-expert will understand. * 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. * State what your document does; do not include regulatory history or extensive background. * Do not include qualifications, exceptions, or specific details. * Be brief. You may not use the SUMMARY 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 rule document belongs in the SUPPLEMENTARY INFORMATION section. Example 5. SUMMARY: The Coast Guard amends the uninspected vessel rules by requiring emergency position indicating radio beacons (EPIRBs). The Emergency Position Indicating Radio Beacons on Uninspected Vessels Requirements Act amends the shipping laws of the United States by requiring uninspected commercial vessels to have the number and type of EPIRBs prescribed by rule. These rules ensure rapid and effective search and rescue during emergency situations. SUMMARY: This document amends the Customs rules by adding Pakistan to the list of nations whose vessels may transport empty cargo vans, empty lift vans, and empty shipping tanks between points embraced within the coastwise laws of the United States. The Department of State supplied Customs with evidence that Pakistan places no restrictions on the carriage of empty cargo vans, empty lift vans, and empty shipping tanks by vessels of the United States between ports in Pakistan. This amendment recognizes the United States granting reciprocal privileges for vessels registered in Pakistan. DATES caption The DATES caption presents the "when" of a document. Include the dates that are essential to the document. Include the following dates, if appropriate: * Effective date. * Comment deadlines for an interim rule. * Extension of comment deadlines on an interim rule. * Expiration dates. * Compliance dates. * Confirmation of effective date. * Other dates the public may need to know. Provide an effective date for each rule document. (See example 6.) You must provide an effective date for each regulatory change if the date is not the same. (See example 7.) The effective date is the date that amendments to the current rules are operative. The current rules consist of the rules published in the latest CFR volume and any effective amendments published in the Federal Register since the revision date of the latest CFR volume. Example 6. DATES: Effective [Insert date of publication in the FEDERAL REGISTER]. Example 7. DATES: This rule is effective November 22, 199x, except for § 22.5(a) which is effective December 23, 199x. The OFR computes and inserts dates tied to Federal Register publication or OFR filing using the "Table of Effective Dates and Time Periods." This table appears in the Reader Aids section of the first Federal Register issue each month. In computing the date, the OFR counts the day after publication as the first day. When a date falls on a weekend or a Federal holiday, the OFR uses the next Federal business day. When it is necessary for the OFR to compute and insert a date, present the date as shown in example 8. The OFR computes dates based only on OFR filing or publication in the Federal Register. Example 8. DATES: This rule is effective [Insert date 60 days after date of publication in the FEDERAL REGISTER]. COMPLIANCE DATES AND APPLICABILITY DATES Sometimes a rule is published with both an effective date and a compliance or applicability date. Your effective date is the date that your amendments are operative. Your compliance or applicability date is the date that the affected person must start following the rule. A compliance or applicability date gives that person time to gear up for meeting the new requirements. Place the compliance or applicability date after the effective date. (See example 9.) Example 9. If a rule contains information collection requirements which are not yet effective, use the wording in example 10. Example 10. If a specific effective date is dependent upon Congressional action or a dispositive Federal Court decision, your agency must promptly publish a Federal Register document announcing the establishment of or change to the effective date. (See example 11.) Example 11. DATES: This rule takes effect either March 4, 199x, or later if Congress takes certain adjournments. If you want to know the effective date of this rule, call or write the [insert agency] contact person. The [insert agency] will publish a document announcing the effective date in the . DATES: This rule has been classified as a major rule subject to congressional review. The effective date is [Insert date 90 days after date of publication in the FEDERAL REGISTER]. However, at the conclusion of the congressional review, if the effective date has been changed, the [insert agency] will publish a document in the to establish the actual effective date or to terminate the rule. Place no more than four dates under the caption "DATES." Example 12: Format in rule with four dates. If you have more than four dates, place them in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Compliance Workshops." This requirement generally does not apply to effective dates. Example 13. DATES: See Supplementary Information section for Compliance Workshop dates. Do not include information other than dates in the DATES caption. Place any discussion of meeting agenda, content of material available for inspection, etc. in the SUPPLEMENTARY INFORMATION section. Remember that DATES and ADDRESSES are separate captions. All date information must appear in the DATES caption. ADDRESSES caption The ADDRESSES caption contains the "where" of the document. Include any address that the public needs to know. You may include addresses for: * Mailing public comments on an interim rule. * Hand-delivering public comments on an interim rule. * Attending a public hearing (or meeting). * Examining any material available for public inspection. Do not include information other than addresses in the ADDRESSES caption. Place any discussion of how to submit comments, how to register for a meeting, meeting agenda, content of material available for inspection, etc. in the SUPPLEMENTARY INFORMATION section. Electronic access and electronic filing addresses usually appear in the SUPPLEMENTARY INFORMATION section. (See example 19.) This caption is optional for a rule document unless you are requesting comments on an interim rule or post-publication review of the effectiveness of a rule. Place no more than four addresses under the caption "ADDRESSES." Example 14: Format in rule with four addresses. ADDRESSES: The Compliance Workshop locations are: 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, IL 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, CO 80202. If you have more than four addresses, place them in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Compliance Workshops." Example 15. ADDRESSES: See Supplementary Information section for Compliance Workshop addresses. Remember that ADDRESSES and DATES are separate captions. All address information must appear in the ADDRESSES caption. Example 16. ADDRESSES: Address all comments concerning this interim rule to Nell C. Commentary, Commissioner, Rehabilitation Services Administration, Mary E. Switzer Building, Room 3325, 330 C Street SW., Washington, DC 20202-2735. Send a copy of any comments that concern information collection requirements to the Office of Information and Regulatory Affairs, OMB, Room 3002, New Executive Office Building, Washington, DC 20503; Attention: Daniel J. Information. Example 17. ADDRESSES: Mail comments and requests to testify to Hearing Clerk, Room 000, Department of XXXXX, Washington, DC 20000; the hearing will be held in Room 000, 000 Independence Avenue, SW., Washington, DC. Place electronic access and filing addresses in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Electronic Access and Filing Addresses." Example 18. ADDRESSES: See Supplementary Information section for electronic access and filing addresses. Example 19. SUPPLEMENTARY INFORMATION: * * * * * [asterisks indicate text not reprinted] Electronic Access and Filing Addresses You may submit comments and data by sending electronic mail (E-mail) to: oppdocket@epamail.epa.gov Submit comments as an ASCII file avoiding the use of special characters and any form of encryption. The OPP also accepts comments and data on disks in WordPerfect 5.1 file format or ASCII file format. Identify all comments and data in electronic form by the docket number [PP 4F4327/R2253]. You may file electronic comments on this rule online at many Federal Depository Libraries. File an electronic copy of objections and hearing requests with the Hearing Clerk at: oppdocket@epamail.epa.gov Submit an electronic copy of objections and hearing requests filed with the Hearing Clerk as an ASCII file avoiding the use of special characters and any form of encryption. FOR FURTHER INFORMATION CONTACT caption Under the FOR FURTHER INFORMATION CONTACT caption, you must include the name and telephone number of a person within your agency who can answer questions about the document. You may list two or more persons to contact concerning different aspects of a document. Example 20. SUPPLEMENTARY INFORMATION caption In this section, include the regulatory history of a rule document and a statement of the rule's basis and purpose. Present this information in language easily understood by the reader. 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 in examples 70 and 71. You may use the SUPPLEMENTARY INFORMATION section to provide additional information that is required by law, agency policy, or Executive order. Answering some of these questions may help you draft your SUPPLEMENTARY INFORMATION. Some of the questions only apply to an interim rule requesting comments or to a rule for which your agency is doing a post-publication review of the rule's effectiveness. * What law or directive authorizes the rule? * What existing regulations address the problem? * What problem does the rule address? + What issues are connected with the problem? + What facts, surveys, or studies identify and define the problem? * How does this rule attempt to solve the problem? + Were other solutions considered? + Why was this solution chosen? + Is this solution cost-effective? + How will this solution affect the regulated parties? * Does this rule contain penalties for noncompliance? + Are penalty provisions essential? + Can the requirements be monitored? + Can the penalty provisions be enforced? * Have other documents in the rulemaking been identified (including citations, see example 70)? + Did you publish an Advance Notice of Proposed Rulemaking? + Did you publish a proposed rule? + Have you announced meetings or hearings? * Have you discussed all necessary regulatory analysis and review requirements? * What other statutes apply to this rulemaking? * How will public participation be handled? + How was public participation handled? + Are there special instructions for mailing public comments? + Are there formal or informal hearings? + Are there procedures for requesting a public hearing? + Are there any instructions for filing comments or making oral presentations? + Will transcripts of the hearing be made available? * Have you used subject headings to break up a lengthy SUPPLEMENTARY INFORMATION section? For example: + Background. + Statutory authority. + Discussion of comments. + Related documents. + Topical headings. + Drafting information. + Public participation. List of Subjects 2.6 What is the List of Subjects and what am I required to do with it? Each rule document must contain a list of index terms (List of Subjects) for each CFR part number cited in the document's heading. These terms are contained in the "Federal Register Thesaurus of Indexing Terms," available on the Federal Register Electronic Bulletin Board (FREND), accessible via modem at 202-275-0920, or via the Internet at gopher://clio.nara.gov/00/register/thes.txt . The terms provide a common vocabulary for indexing the rulemaking documents of all agencies and are the basis of the "CFR Index" prepared by the OFR. The OFR will provide an agency with a list of appropriate terms for its existing CFR parts. For new CFR parts, an agency should select appropriate terms from the Thesaurus. An agency may include additional terms not contained in the Thesaurus for either existing or new CFR parts as long as appropriate Thesaurus terms are also used. When you select a term that is not in the Thesaurus, ask yourself, "Would I search for the subject matter using this term?" The List of Subjects is the last item in the SUPPLEMENTARY INFORMATION section of the preamble. Put the List of Subjects terms in alphabetical order and separate them with commas. Capitalize only the first word of each term. End the terms with a period. (See example 21.) You do not need a list of subjects for a document that: * Has no regulatory text. * Only presents nomenclature changes. * Corrects a previous document. You must include all the established Thesaurus terms for a part that you are removing from the CFR. A List of Subjects is set out separately for each CFR part affected. (See example 22.) However, if the terms used are identical for several CFR parts, you may consolidate. (See example 22.) Example 21: Format for document citing a single CFR part. List of Subjects in 40 CFR Part 262 requirements. Example 22: Format for document citing two or more CFR parts. Words of Issuance 2.7 What are "words of issuance"? The words of issuance in a rule document describe the relationship of the new provisions to the CFR. Words of issuance form: * The ties between the document and the CFR units being affected; and * The bridge between the preamble and the regulatory text. Because the rule document is the act of promulgation, words of issuance are always in the present tense. Example 23. For the reasons stated in the preamble, the Federal Energy Regulatory Commission amends 18 CFR chapter I as set forth below: For the reasons discussed in the preamble, the Nuclear Regulatory Commission amends 10 CFR part 430 as follows: Regulatory Text 2.8 What must I include in the regulatory text? * Headings * Table of Contents * Authority citation * Numbering of rules * Amendatory language * Asterisks * Cross-referencing HEADINGS Provide a heading for each part, subpart, section, and appendix. You may use a heading for a paragraph. A heading is a brief statement that accurately describes the content of the CFR unit. A change in the heading requires an amendment to the CFR. Use section headings, subpart headings, undesignated center headings, and appendix headings to create a table of contents for each part that provides the reader with an outline of the regulatory text. The heading for an appendix to a section is not listed in the table of contents. Example 24: Headings in regulatory text. PART 970--DEEP SEABED MINING REGULATIONS FOR EXPLORATION LICENSES Part Subpart A--What Applications Must I Complete to Obtain My Exploration Licenses? Subpart Heading (Optional) Section PART. Each part heading should contain subject terms that identify the agency's rules in a manner consistent with the terms used by other agencies to identify similar material. The OFR has developed a thesaurus of subject terms used by the OFR to index the CFR and related publications. Use the Thesaurus to obtain subject terms that identify the content of the rule document, and use the appropriate subject terms in the part heading. SUBPART. You may use subpart headings to separate ideas within a part. Subparts are not required. UNDESIGNATED CENTER HEADING. You may use undesignated center headings to break up a large subpart and group together sections concerning a particular subject area. Undesignated center headings are not required. APPENDIX. An appendix may appear at the section, subpart, or part level. Designate each appendix with a capital letter, identify whether it belongs to a section, subpart, or part, and give it a descriptive heading. Do not carry the heading for an appendix to a section in the table of contents. If your agency has established a uniform designation system for its appendices, follow the established system. (See chapter 7.) Example 25. Appendix B to Subpart A of Part 915 -- Illustrations of Infant Highchair Designs Appendix A to § 315.2 --Model Air Pollution Control Plan Appendix A to Part 2 -- Flammability Statistics for Floor-Cleaning Fluids SECTION. Descriptive section headings are signposts for the reader. They help readers identify the particular regulatory text that applies to them. End each section heading with a period or question mark. PARAGRAPH. You may use headings at the paragraph level. Be consistent. If you use a heading for one paragraph, be sure to use a heading for all paragraphs at that level. End paragraph headings with a period and underline them in the document. In the Federal Register, the underlined headings are printed in italics. TABLE OF CONTENTS You need a table of contents for a document that: * Adds a new part or subpart; or * Revises an existing part or subpart. Include the following in your table of contents: * Section headings; * Subpart headings; * Undesignated center headings; and * Appendix headings to parts and subparts. Table of contents entries are identical to the section headings, subpart headings, undesignated center headings, and appendix headings in the regulatory text. Do not list paragraph headings or appendix-to-section headings in the table of contents. Do not provide a table of contents in a document that adds or amends a single section or miscellaneous sections. The OFR changes the table of contents when these amendments are included in the CFR. AUTHORITY CITATION You must cite the authority that authorizes your agency to change the CFR. Give the authority citation in the shortest form. Placement of the authority citation depends on what unit of the CFR you are amending. There are two types of authority: * Statutory + Public law. + United States Code. * Nonstatutory + Presidential Executive order. + Presidential Administrative order. + Presidential Memorandum. + Agency delegation, policy, or directive. + Office of Management and Budget circular. + CFR regulations. Your agency is responsible for maintaining accurate and current authority citations. Present the authority citation at one of two central places: * Part level; or * Subpart level. You may give citations of authority for particular subparts and sections within the central authority citation. (See examples 26 and 27.) Example 26. Authority: 42 U.S.C. 2111, 2112, 2201, 2232, 2233, 2236, 2282, 5841, 5842, 5846. Section 30.7 also issued under 42 U.S.C. 5851. Section 30.34(b) issued under 42 U.S.C. 2234. Section 30.61 also issued under 42 U.S.C. 2237. Example 27. Authority: 42 U.S.C. 2201; 45 U.S.C. 5841. Subpart A also issued under 5 U.S.C. 552; 31 U.S.C. 9701. Subpart B also issued under 5 U.S.C. 552a. Subpart C issued under 5 U.S.C. 552b. STATUTORY AUTHORITY Each citation of statutory authority must use the United States Code citation, if one exists. To determine the United States Code citation, use: * The current edition of the United States Code; and * The supplement to the United States Code. Use the slip laws published by the OFR to obtain the United States Code citation for recently signed public laws. The OFR recommends that you do not cite a public law or the U.S. Statutes at Large in addition to the United States Code citation. (See example 28.) Do not cite the popular name of a public law. Example 28. Authority: 44 U.S.C. 2101-2118; 50 U.S.C. 6909. When a United States Code citation does not exist, you must cite the section of the public law, if appropriate, the public law, and the U.S. Statutes at Large. Do not cite the popular name of a public law. (See example 29.) Example 29. Authority: Sec. 8067, Pub. L. 98-473, 98 Stat. 1937. If you need to cite the United States Code, public law, and the U.S. Statutes at Large in the same authority citation, present them in the order shown in example 30. Example 30. Authority: Sec. 8, Pub. L. 98-328, 82 Stat. 470 (34 U.S.C. 21). NONSTATUTORY AUTHORITY Cite nonstatutory authority by document designation, Federal Register citation, and CFR citation. (See example 31.) Example 31. Authority: E.O. 12731, 55 FR 42547, 3 CFR, 1990 Comp., p. 306; 5 CFR 2635.105. If both statutory and nonstatutory citations are included in the same authority citation, place the statutory citation first. (See example 32.) Example 32. Authority: 8 U.S.C. 1161(f); 29 U.S.C. 1801-1872; Secretary's Order 6-84, 49 FR 32473. If you need to deviate from the standard authority citation format, submit a letter requesting the deviation and explaining the need to the Director of the Federal Register. WHOLE CFR PART. If a document adds or revises an entire CFR part, place the authority citation directly after the table of contents and before the regulatory text. (See example 33.) Example 33. PART 54--ALLOTMENTS FOR CHILD AND SPOUSAL SUPPORT Sec. 54.1 Purpose. 54.2 Applicability and scope. 54.3 Definitions. 54.4 Policy. 54.5 Responsibilities. 54.6 Procedures. Authority: 15 U.S.C. 1673; 37 U.S.C. 101; 42 U.S.C. 665. CFR SECTION. If a document amends only certain sections within a CFR part, set out the authority citation for the part as the first numbered item in the list of amendments for the part. (See examples 34 and 35.) Example 34. PART 4 -- SERVICES TO THE PUBLIC 1. The authority citation for part 4 is revised to read as follows: Authority: 44 U.S.C. 1508. Example 35. PART 4 -- SERVICES TO THE PUBLIC 1. The authority citation for part 4 continues to read as follows: Authority: 44 U.S.C. 1502. SUBPARTS. If a document adds or revises an entire subpart, using the same authority citation as the CFR part, set out the authority citation for the part as the first numbered item in the list of amendments for the part. (See examples 34 and 35.) If a document adds or revises an entire subpart using a different authority citation, set out the authority citation for the subpart directly after the heading to the subpart and before the regulatory text of the subpart. (See example 36.) Example 36. Subpart B--Supportive Services for Minority, Disadvantaged, and Women Business Enterprises Table Of Contents Sec. 230.201 Purpose. 230.202 Definitions. 230.203 Policy. Subpart B--Supportive Services for Minority, Disadvantaged, and Women Business Enterprises Subpart Heading Authority: 23 U.S.C. 101, 140(c), 304, 315; 49 CFR 1.48(b). Subpart B Authority Citation Text of Section If you remove a part in a rule document, you must give your agency's authority for the action. Place the authority in the "words of issuance." (See examples 37 and 38.) Example 37. Accordingly, under the authority 10 U.S.C. 8013, amend XX CFR chapter VII by removing part 837. Example 38. Under 42 U.S.C. 541 and as discussed in the preamble, amend XX CFR chapter II as follows: NUMBERING OF RULES The regulatory text of your document must conform with the structure of the CFR. CODE OF FEDERAL REGULATIONS STRUCTURE. The basic structure of the CFR consists of a hierarchy of designated CFR units. The CFR numbering system is not based on a decimal numbering system. The following table illustrates the CFR structure. CFR Unit CFR Designation Description Title 12 Broad area subject to Federal regulation Chapter III Rules of a single issuing agency Part 303 Unified body of rules concerning a single function or specific subject Section 303.1 Short presentation of one regulatory function. The section is the basic unit of the CFR. The content of a section is a short, simple presentation of a single regulatory function. Each section number includes the number of the part followed by a period and a sequential number. Example 39: Section number. § 25.1. Hyphenated numbers (§ 117-2.1 or § 117-3.15) or numbers with alpha characters (part 115a, § 115a.1, or § 115.1a) are not permitted in designating units within the CFR system. The Director of the OFR must approve any deviation from standard CFR structure. Submit a request for approval in writing before you begin drafting. PARAGRAPH STRUCTURE OF A SECTION. If you have more than one paragraph, designate each one. Indent each designated paragraph within a section. The paragraph structure within a section allows six levels of designation. The OFR strongly recommends that you do not use more than 3 paragraph levels. Use of more than 3 paragraph levels makes your rule hard to read and use. Use more sections as a drafting technique to avoid using excessive paragraph levels. Use the paragraph structure chart in example 40. The OFR no longer permits the use of a concluding paragraph. Sections consisting of a single paragraph or the introductory text of a section do not require a designation. Indicate italics by underlining in a typewritten document. Example 40: Paragraph structure of a section. For a discussion of definitions, see section 8.15. AMENDATORY LANGUAGE A rule document often makes changes or additions to the CFR. The regulatory text of a document must fit into the current text of the CFR. You should precisely identify and describe the changes made to the CFR. While the words of issuance describe the general effect of the document, the amendatory language uses standard terms to give specific instructions on how to change the CFR. Do not include a discussion of why or how the changes are made in the amendatory language. Any discussion of the changes belongs in the SUPPLEMENTARY INFORMATION section. Your agency's current CFR text is not necessarily what appears in the latest edition of the CFR, since your agency publishes changes to the CFR in the daily Federal Register. The "List of CFR Sections Affected" (LSA) is a cumulative monthly numerical index to rules and proposed rules. Use it to determine if any changes have been made since the revision date of your CFR. The "CFR Parts Affected" is a cumulative daily numerical index to rules and proposed rules published in the Reader Aids section of the Federal Register. Use it to check for changes in any month not covered by the LSA. Before you begin drafting amendatory language, you must obtain a current CFR volume, the current LSA, and the latest edition of the Federal Register for any month not covered by your LSA. This gives you the current and official version of the CFR regulations you are changing. Base amendatory language on the current text of a rule. You must: * Identify the specific CFR unit being changed; * Use one of the standard terms to describe the change; and * Address all regulatory text set out in your document. Amendatory Terms Use the following terms in amendatory language. Each term is a precise instruction to change a CFR unit. * Add * Amend * Correct * Delay * Nomenclature Change * Redesignate * Remove * Republish * Reserve * Revise * Stay * Suspend * Withdrawn Use the following terms in amendatory language. Each term is a precise instruction to change a CFR unit. ADD. "Add" means that a new CFR unit is inserted in the CFR. Example 41: Add. Add part 1812 to read as follows: Add § 5.26 under the undesignated center heading "How To Apply For a Permit" to read as follows: Add § 20.89 to subpart H to read as follows: In § 18.13, add paragraph (e) to read as follows: Add new paragraph (f)(5) to § 210.14 to read as follows: Add § 4.8(a)(3)(iii) to read as follows: AMEND. "Amend" means that an existing CFR unit is changed. Because it is an introductory term, it cannot stand alone. You must use it with other amendatory terms. Example 42: Amend. Amend § 791.27 to revise paragraph (b)(3) and to add paragraph (d)(4) to read as follows: CORRECT. The term "correct" fixes a clerical or typographical error in a recently published document. Corrections to the regulatory text must identify the CFR unit being corrected. (See chapter 4.) Example 43: Correct. Nonregulatory text On page 00000, in the second column, on line 5, correct the reference "§ 39.10(a)(1)" to read "§ 44.10". Regulatory text § 20.15 [Corrected] On page 00000, in the third column, in § 20.15(c)(1), correct "Director" to read "Acting Director". DELAY. "Delay" means that the date the CFR unit becomes effective and enforceable is postponed and the effective date moved to some future date. Example 44: Delay. DATES: Effective July 10, 199x, delay to December 31, 199x, the effective date of the rules published May 29, 199x (XX FR 14085). NOMENCLATURE CHANGE. A nomenclature change directs a change to a term or phrase throughout a CFR unit. It is commonly used to change an office designation or the title of an agency official. Example 45: Nomenclature Change. § 720.7 [Amended] In 12 CFR 720.7(c)(2) remove the words "Deputy Administrator" and add, in their place, the words "Vice-Chairman of the National Credit Union Administration Board". §§ 720.7, 720.20, 720.22, 720.24, 720.26, and 720.27 [Amended] In addition to the amendments set forth above, in 12 CFR part 720 remove the words "Assistant Administrator for Administration" and add, in their place, the words "Director of the Office of Administration" in the following places: a. Section 720.7(a)(1), (c)(2), and (c)(3); b. Section 720.20(b) introductory text; c. Section 720.22(a); d. Section 720.24(a) and (b)(3); e. Section 720.26(a); and f. Section 720.27(a) and (c). PART 315--[AMENDED] In part 315, revise all references to "Domestic Commerce" to read "Domestic Business Development". §§ 780.40, 780.41, and 780.42 [Amended] In the table below, for each section indicated in the left column, remove the title indicated in the middle column from wherever it appears in the section, and add the title indicated in the right column: Section Remove Add 780.40 Assistant Secretary for Housing Production and Mortgage Credit Assistant Secretary for Housing 780.41 Assistant Secretary for Housing Production and Mortgage Credit (HPMC) -- Federal Housing Commissioner Assistant Secretary for Housing -- Federal Housing Commissioner 780.42 Deputy Assistant Secretary for Housing Production and Mortgage Credit -- Deputy Federal Housing Commissioner Deputy Assistant Secretary for Housing -- Deputy Federal Housing Commissioner REDESIGNATE. "Redesignate" transfers a CFR unit to a vacant position and assigns a new designation. A redesignation table may also be used. Example 46: Redesignate. PART 80 [REDESIGNATED AS PART 90 AND AMENDED] 2. Redesignate part 80 as part 90 and amend the references as indicated in the table below: 3. In § 100.5, redesignate paragraphs (a) through (c) as paragraphs (d) through (f) and add new paragraphs (a) through (c) to read as follows: 4. Redesignate part 20 as part 30 and revise it to read as follows: §§ 226.3 through 226.5 [Removed] §§ 226.6 through 226.8 [Redesignated as §§ 226.3 through 5. Remove §§ 226.3 through 226.5 and redesignate §§ 226.6 through 226.8 as §§ 226.3 through 226.5, respectively. § 45.3 [Amended] 6. In § 45.3, redesignate paragraphs (a) through (c) as paragraphs (a)(1) through (a)(3). In redesignated paragraphs (a)(1), further redesignate paragraphs (1) and (2) as paragraphs (a)(1)(i) and (ii). REMOVE. "Remove" means that an existing CFR unit is being taken out of the CFR. Example 47: Remove. § 300.12 [Removed] Remove § 300.12. § 495.73 [Amended] In § 495.73, remove paragraphs (a)(5) and (e). REPUBLISH. "Republish" means that an unchanged CFR unit is set out for the convenience of the reader, often to provide the context for an amendment. Therefore, you must present the republished text accurately. Example 48: Republish. In § 2.1, the introductory text of paragraph (a) is republished and paragraphs (a)(1) and (3) are revised to read as follows: RESERVE. "Reserve" is a term used to fill in gaps in CFR numbering. Removing a subpart or a paragraph may leave a gap which could confuse the reader. To avoid confusion in your amendatory language, you should remove and reserve the subpart or paragraph. (See example 49.) You may also use "reserve" when adding or revising a CFR unit to indicate where future text will be added. (See example 50.) Example 49: Reserve (when removing a CFR unit). Subpart Q--[Removed and Reserved] Remove and reserve subpart Q, consisting of §§ 103.10-103.25. Example 50: Reserve (when adding or revising a CFR unit). Add and reserve subpart E and add subpart F, consisting of §§ 25.100-25.130, to read as follows: REVISE. "Revise" means that an existing CFR unit is replaced in its entirety. It is important that you specifically identify the unit being revised. Example 51: Revise. Revise part 105 to read as follows: Revise § 80.100(e)(1)(iii) to read as follows: In § 15.4, revise paragraph (b) and the introductory text of paragraph (f)(2) to read as follows: STAY. "Stay" stops a CFR unit temporarily or indefinitely. The amendatory language must cite the CFR unit affected. The content of the CFR unit is not changed. During the suspension, the CFR unit is not in effect or enforceable. Consult with the OFR when using the term "stay." SUSPEND. "Suspend" stops a CFR unit temporarily or indefinitely. The amendatory language must cite the CFR unit affected. The content of the CFR unit is not changed. During the suspension, the CFR unit is not in effect or enforceable. WITHDRAWN. "Withdrawn" indicates that a previously published rule which is not in effect is removed from the Federal Register publication system and will not become effective or enforceable. Completely describe all changes to CFR units in the amendatory language. For extensive amendments to one section or other CFR unit, set out the text in full, rather than preparing fragmentary amendments, so that the reader will have the complete text of the amended CFR unit. Place amendments in CFR numbering order. ADDITION OR REVISION OF A PART OR SUBPART Parts. If you add or revise a part, use these elements in the order shown. (See example 52.) * Amendatory language * Part heading * Table of contents * Authority citation * Regulatory text Subparts. If a part has a single authority citation at the end of the table of contents and you want to add or revise a subpart in that part, use these elements in the order shown: * Part heading * Authority citation for the part * Amendatory language * Subpart heading * Table of contents * Regulatory text or If each subpart in a part has its own authority citation and you want to add or revise a subpart in that part, use these elements in the order shown: * Part heading * Amendatory language * Subpart heading and table of contents * Subpart heading * Authority citation for the subpart * Regulatory text Example 52. Revise part 3 to read as follows: Amendatory Language PART 3--SERVICES TO THE PUBLIC Part Heading Sec. 3.1 Information services. 3.2 Public inspection of documents. 3.3 Reproduction and certification of copies of acts and documents. Table Of Contents Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR, 1954-1958 Comp., p.189. Authority Citation Regulatory Text (a) The Office of the Federal Register (OFR) provides information on: (1) Publications in § 2.5 of this chapter; and (2) Original acts and documents filed with the OFR. (b) The OFR cannot provide excessive information or do extensive research. (c) The staff may not summarize or interpret substantive text of any act or document. (a) During the OFR's office hours, documents filed with the OFR pursuant to law are available for public inspection at 800 North Capitol Street, NW., Suite 700, Washington, DC. There are no formal inspection procedures or requirements. (b) By direction of the Director of the Office of the Federal Register, the OFR staff must file for public inspection documents received and processed not later than the working day preceding the publication day for that document. (c) By direction of the Director of the Office of the Federal Register, the OFR staff must place on the original and certified copies of each document a notation of the day and hour when it was filed and made available for public inspection. (d) Customers may view, photocopy, or make excerpts of documents on public inspection. The regulations for the public use of records in the National Archives and Records Administration (36 CFR parts 1252-1258) also govern the furnishing of reproductions of acts and documents and certificates of authentication for them. Section 1258.14 of those regulations provides for the advance payment of appropriate fees for reproduction services and for certifying reproductions. AMENDMENT TO A SECTION If you amend a section, use these elements in the order shown: * Part heading * Authority citation * Amendatory language * Section heading * Regulatory text If you add or revise a section, use the format shown in example 53. If you add a section to a part which contains subparts or undesignated center headings, identify the subpart or undesignated center heading which will contain the new section. Example 53. PART 133--TOLLS FOR USE OF CANAL Part Heading 1. The authority citation for part 133 is revised to read as follows: Authority Citation Authority: 22 U.S.C. 3791; E.O. 12215, 45 FR 36043, 3 CFR, 1980 Comp., p. 257. 2. Section 133.34 is revised to read as follows: Amendatory Language Section Heading In order for a vessel to secure the reduced rate of toll for vessels in ballast, it may not carry any passengers or cargo nor any fuel for its own consumption in a quantity which exceeds: (a) 125 percent of the volume of its engine room as measured and as shown on its Panama Canal tonnage certificate; or (b) The spaces on the vessel which are available for the carriage of fuel. Regulatory Text Multiple Amendments. Describe all changes to one section in a single instruction, and display changed text for the section immediately following the instruction. (See instruction number 2 in example 55.) If there are many changes to one section, use a list format. (See example 54.) Example 54. § 941.103 [Amended] Amend § 941.103 as follows: a. Remove the definitions of "Allocation area", "Application", "Central city allocation area", "Community", "Field Office", "Housing Assistance Plan", "Household type", and "Housing type"; b. Remove the parenthetical phrase "(in the form prescribed by HUD)" from the definition "Construction Contract" and "Contract of sale"; and c. Remove from the definition of "Total development cost (TDC)" the term "The Field Office" and add in its place the term "HUD", and remove from that definition the parenthetical sentence at the end. When there are changes to several sections, use separate numbered instructions for each section, and display the changed text for each section after the instruction. (See instructions 2 through 4 in example 55.) Example 55. PART 1258--FEES 1. The authority citation for part 1258 continues to read as follows: Authority: 44 U.S.C. 2116(c). 2. Amend § 1258.2 by revising paragraphs (a) and (c)(3) to read as follows: (a) Except as stated in this section, fees for the reproduction of NARA administrative records, archival records, donated historical materials, and records filed with the Office of the Federal Register are in § 1258.12. * * * * * (c) * * * (3) Motion picture, sound, and video recording materials are among the holdings of the National Archives and Records Administration. Obtain prices for reproduction of these materials from the Motion Picture and Sound and Video Branch, National Archives and Records Administration, Washington, DC 20408. * * * * * 3. Amend § 1258.4 by revising paragraph (b) to read as follows: * * * * * (b) When NARA wishes to disseminate information about its activities to the general public through press, radio, television, and newsreel representatives; * * * * * 4. Amend § 1258.10 by revising paragraph (a) to read as follows: (a) The agency charges a minimum fee of $5.00 per order for reproductions it mails to the customer. * * * * * Group all amendments to the same CFR unit together in one instruction. (See examples 56 and 57.) Example 56. Revise paragraphs (a), (d), (e), and (n) of § 150.5 to read as follows: Example 57. Remove and reserve §§ 33.1, 33.5 and 33.10. INTRODUCTORY TEXT. If you revise the introductory text of a section or a paragraph, and not the whole section or paragraph, specify the introductory text. (See example 58.) Example 58. In § 1020.3, revise paragraph (a) introductory text, paragraph (a)(1) and (4) to read as follows: (a) The Chairman will appoint a senior, full-time Commission employee as Small Business Ombudsman. The Ombudsman must: (1) Know the Commission's statutes and regulations; * * * * * (4) Perform the Ombudsman duties in addition to, and consistently with, other Commission responsibilities. * * * * * ASTERISKS PARTIAL SECTION AMENDMENTS. If you add or revise only certain units of a section, the amendatory language must state exactly which units are added or revised, and only those units are printed. Use asterisks to show text which is not changed. Use of 5 Asterisks. Use 5 asterisks to show that a whole paragraph, including its subordinate paragraphs, is unchanged. (See example 59.) The 5 asterisks at the end of the changed CFR unit show that the remaining text in the section is unchanged. Example 59: Use of 5 asterisks. 3. Revise paragraph (d) of § 166.15 to read as follows: * * * * * (d) The following States issue licenses under cooperative agreements with the Animal and Plant Health Inspection Service, but do not have primary enforcement responsibility under the Act: Kentucky, Maryland, Puerto Rico, Texas, and Washington. * * * * * Use of 3 Asterisks. You may divide a CFR paragraph into subordinate paragraphs. The OFR strongly recommends that you use no more than 3 paragraph levels. Use of more than 3 paragraph levels makes your rule hard to read and use. (See paragraph structure chart in example 40.) Use 3 asterisks when you change text at a subordinate level. This shows that the higher level paragraphs remain in place unchanged. (See example 60.) Example 60: Use of 3 asterisks. Revise § 202.3(b)(5)(i) to read as follows: * * * * * (b) * * * (5) * * * (i) The Library of Congress receives two complimentary copies promptly after publication of each issue of the serial. * * * * * The smallest unit you may revise is a sentence. When you revise only a sentence of a paragraph, use 3 asterisks to show that the remaining sentences in the paragraph are unchanged. (See example 61.) Example 61. Amend § 416.916 by revising the first sentence to read as follows: You (and, if you are a child, your parent, guardian, relative, or other person acting on your behalf) must cooperate in furnishing us with, or in helping us to obtain or identify, available medical or other evidence about your impairment(s).* * * Example 62: Use of both 3 and 5 asterisks in the same document. PART 216--REGULATIONS GOVERNING THE TAKING AND IMPORTING OF MARINE MAMMALS Part Heading 1. The authority citation for part 216 continues to read as follows: Authority Citation Authority: 16 U.S.C. 1361-1407. 2. Revise paragraphs (b)(1)(v), the first sentence of (b)(3), (c)(2), (c)(4)(i) introductory text, and add paragraph (b)(1)(vi) to § 216.24 to read as follows: Amendatory Language Section Heading * * * * * Indicates paragraph (a) unchanged (b) * * * Indicates paragraph (b) introductory text unchanged (1) * * * Indicates paragraphs (b)(1) introductory text and (b)(1)(i)-(iv) unchanged Revises paragraph (b)(1)(v) Adds paragraph (b)(1)(vi) * * * * * Indicates paragraph (b)(2) unchanged (3) Submit the original and two copies of the application for general permit to the Assistant Administrator.* * * Revises first sentence of paragraph (b)(3) Indicates remainder of paragraph (b)(3) unchanged * * * * * Indicates paragraphs (b)(4)-(7) unchanged (c) * * * Indicates paragraph (c) introductory text and (c)(1) unchanged hold a valid operator's certificate of inclusion if you are the person in charge of and actually controlling fishing operations (after this referred to as the operator) on a vessel engaged in commercial fishing operations for which a Category 2 or Category 6 general permit is required under this subpart. You may not transfer this certificate. You have a valid certificate only for a vessel having a valid vessel certificate of inclusion for the same category. In order to receive a certificate of inclusion, the operator must satisfactorily complete required training. You must renew your operator's certificate of inclusion annually. Revises paragraph (c)(2) * * * * * Indicates paragraph (c)(3) unchanged (4) * * * Indicates paragraph (c)(4) introductory text unchanged (i) Category 1, 3, 4, 5, and 6 applications: Revises paragraph (c)(4)(i) introductory text * * * * * Indicates remainder of section unchanged CROSS-REFERENCING Cross-referencing enables your agency to substitute a reference to another CFR unit for the publication of the full text of that CFR unit. The OFR permits cross-references only in limited situations. AGENCY REFERENCING ANOTHER AGENCY'S RULES Your agency may cross-reference the rules of another agency only if the OFR finds that the reference meets any of the following conditions specified in 1 CFR 21.21: * The reference is required by court order, statute, Executive order, or reorganization plan; * The reference is to rules promulgated by an agency with the exclusive legal authority to regulate in a subject matter area, but the referencing agency needs to apply those rules in its own programs; * The reference is informational or improves clarity rather than being regulatory; * The reference is to test methods or consensus standards produced by a Federal agency that have replaced or preempted private or voluntary test methods or consensus standards in a subject matter area; or * The reference is to the departmental level from a subagency. If your agency qualifies to cross-reference another agency's rules, in doing so it cannot make modifications to the rules referenced. If any modifications need to be made, you must publish the rules separately in full text in your rule, rather than as a cross-reference. AGENCY REFERENCING ITS OWN RULES Your agency may reference its own rules, but in doing so it cannot make modifications to the rules referenced. If any modifications need to be made, you must publish the rules separately in full text in your rule rather than as a cross-reference. You may only cross-reference rules that are currently in effect. When cross-referencing, you must identify the CFR unit being cited by the proper CFR unit designation in each reference. Do not use a nonspecific reference, such as "herein," "above," or "below." Example 63 illustrates the proper style for each common type of cross-reference. Example 63. References to a different TITLE In title 6, when referencing title 1, chapter I...... write ...... 1 CFR chapter I In title 6, when referencing title 1, chapter I, part 2 write ...... 1 CFR part 2 In title 6, when referencing title 1, chapter I, part 2, § 2.7 write ...... 1 CFR 2.7 In title 6, when referencing title 1, chapter I, part 2, § 2.7, paragraph (a)(2) write ...... 1 CFR 2.7(a)(2) References within the same TITLE In chapter I, when referencing chapter II..... write...... chapter II of this title In part 100 (chapter I), when referencing part 300 (chapter III) write...... part 300 of this title In § 250.10 (chapter I), when referencing § 300.19 (chapter III) write...... § 300.19 of this title References within the same CHAPTER In part 20, when referencing part 30...... write...... part 30 of this chapter In § 20.10, when referencing subpart A of part 30 write...... part 30, subpart A of this chapter In § 20.10, when referencing § 30.19 write...... § 30.19 of this chapter References within the same PART In § 20.5, when referencing subpart A of part 20 write...... subpart A of this part In § 20.5, when referencing § 20.15 ...... write ...... § 20.15 In § 20.5, when referencing § 20.15, paragraph (a) write ...... § 20.15(a) In § 20.5, when referencing Appendix A .... write ...... Appendix A of this part References within the same SECTION In paragraph (a), when referencing paragraph (b) write ...... paragraph (b) of this section In paragraph (a), when referencing paragraph (b)(1) write ...... paragraph (b)(1) of this section In paragraph (a)(1), when referencing paragraph (a)(2) write ...... paragraph (a)(2) of this section In paragraph (a)(1)(i), when referencing paragraph (a)(1)(ii) write ...... paragraph (a)(1)(ii) of this section Example 64: Citing text within a section. Signature Block 2.9 Who can sign my document? Your agency is responsible for determining who is authorized to sign a document submitted for publication in the Federal Register. The signer must provide a handwritten signature in ink. (See section 8.5.) The OFR suggests that the signer use blue ink. It is often difficult to distinguish the original signature from a photocopy if black ink is used. Type the name and title of the person signing the document directly beneath the handwritten signature. (See example 65.) When a person signs a document for another person, type the name and title of the person who actually signs the document beneath the signature. (See example 66.) The OFR will reject a document signed by one person for another. The OFR will not accept your document if you sign someone else's name and you place your initials by the signature. Example 65. Example 66. or Do not place a signature block on a page by itself. The presence of text on the signature page helps to ensure the integrity of the document. You may place the signature block either at the end of the document (see example 67) or between the preamble and the rest of the document (see example 68). Example 67. Preamble Text Signature Example 68. Preamble Signature Text 2.10 Do I need a signature date? The OFR recommends but does not require a signature date. When you furnish one, use the date of actual signature. The OFR will not accept a postdated signature or change a signature date. If there is a problem with a signature date, the OFR will return your document to your Liaison Officer. Style and Format Requirements 2.11 What should my rule document look like? CAPITALS. Type in all capital letters: * The name of the agency but not the name of the subagency in the heading of a document. * "FEDERAL REGISTER" in the parenthetical for dates to be computed by the OFR. * Preamble captions. Example 69. AGENCY: ACTION: SUMMARY: DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: COPIES. Provide legible copies. CORRECTION OR ADHESIVE TAPE. Do not use correction or adhesive tape. DOUBLE-SPACING. Type the text of your document double-spaced. HEADINGS * Type document headings centered or flush with the left margin. * Type section headings: + Flush with the left margin; + Underlined; + On a line separate from the text of the section; and + Using the § symbol. MARGINS * One inch at the top, bottom, and right side; and * One and one-half inches on the left side. PAGE NUMBERS. Number the pages consecutively in one of the following places: * Centered top; * Centered bottom; or * Upper right-hand corner. PAPER. You must prepare your document on 8 1/2 by 11 inch white paper. QUOTATION MARKS. Use quotation marks for names of books, journals, articles, and similar items. QUOTED MATERIAL. Type quoted material: * Single-spaced; * Centered-block style; and * Without quotation marks. SINGLE-SIDED COPY. You must type your document on one side only. SINGLE-SPACING. Type the following single-spaced: * Quoted material. * Footnotes. * Tables of contents. * Examples. * Tables. * Notes to Tables. * Authority citations. * Notes. * Formulas. UNDERLINING. Underlining instructs the printer to present material in italics. Use underlining for: * Definitions (underline only the terms); * Paragraph headings; * Scientific terms; * Ordering statements; * Court cases; * The section heading in the text of the rule (the heading will appear in bold type in the Federal Register); and * , when referring to the name of the publication (except type in all capital letters in the parenthetical for dates to be computed by the OFR). Do not use underlining for: * Emphasis; * Names of books; or * Foreign phrases. ABBREVIATIONS Use the following abbreviations in the Federal Register. * FR is Federal Register. (Do not use Fed. Reg. or F.R.) (See example 70.) * CFR is Code of Federal Regulations. (Do not use C.F.R.) (See example 71.) * U.S.C. is United States Code. * Pub. L. is Public Law. (Do not use P.L.) * Stat. is U.S. Statutes at Large. * a.m. or p.m. is time designation. * E.O. is Executive order. * Proc. is Proclamation. * sec. is section of a Public Law or the United States Code. Use the abbreviations for "Pub. L.", "E.O.", and "Proc." only in the authority citation. All other times you must spell them out. (See examples 30 and 32.) § SYMBOL Use the § symbol only for a CFR section and §§ symbol only for multiple sections. However, do not use a § symbol to begin a sentence; instead spell out the word. Do not use the § symbol or the word "section" when the reference follows a title number and CFR as in 36 CFR 1200.1. STYLE Use the "U.S. Government Printing Office Style Manual" as a guide for punctuation, capitalization, spelling, compounding, and other style matters. You may obtain the GPO Style Manual from the Superintendent of Documents, Government Printing Office. REFERENCES If your document relates to a previously published Federal Register document, you must cite the earlier document. A reference in a preamble to a previously published Federal Register document must identify the volume number, page number, and date of the issue in which the document appeared. (See example 70.) Example 70. 61 FR 38342, Jul. 23, 1996 A reference in a preamble to material contained in the CFR should identify the CFR title and part or section number. (See example 71.) Example 71. 36 CFR part 1200 36 CFR 1200.1 2.12 Examples of rule documents INTERIM RULE The interim rule responds to an emergency situation and is usually followed by a rule document which confirms that the interim rule is final and may include further amendments. You may request comments in an interim rule and address the comments received in the final rule that adopts the interim rule as final. Or, based on the comments, you may decide to keep the interim rule effective while going through proposed rulemaking. If an interim rule is in effect as of the revision date of the CFR volume it amends, the OFR will include it. Example 72: Interim rule adopted as final without change. PART 78 -- BRUCELLOSIS Accordingly, the interim rule amending 9 CFR part 78 which was published at XX FR XXX on February 11, 19XX, is adopted as a final rule without change. Example 73: Interim rule adopted as final with change. Accordingly, the interim rule amending 9 CFR part 51 which was published at XX FR XX on November 26, 19XX, is adopted as a final rule with the following change: PART 51 -- ANIMALS DESTROYED BECAUSE OF BRUCELLOSIS 1. The authority citation for part 51 continues to read as follows: Authority: 42 U.S.C. 594. 2. Amend § 51.9 by revising paragraph (h) to read as follows: * * * * * (h) In the opinion of the Veterinarian in charge, a brucellosis reactor animal may remain in the herd if a reasonable search has been made for the brucellosis reactor animal and the brucellosis reactor animal could not be found and removed. 2.13 Checklist for rule documents. Before you submit your rule to the OFR, use the following checklist to review your rule: BILLING CODE. Is the billing code at the top of the first page in the right-hand corner? (See sections 2.3, 2.11, and 2.12.) HEADINGS. Are the correct headings used? (See section 2.4.) PREAMBLE. Are all required elements of the preamble included? Does the SUMMARY answer all three questions? (See section 2.5.) LIST OF SUBJECTS. Are subject terms listed for each CFR part affected? Are they placed at the end of the preamble? (See section 2.6.) AUTHORITY CITATION. Is the authority citation correctly placed in the document? (See section 2.8.) AMENDATORY LANGUAGE (See section 2.8.) * Does it specify the exact CFR unit being changed? * Does it use the correct terms? TABLE OF CONTENTS. Is the table of contents included for each subpart or part being set out in full? (See section 2.8.) Do entries agree with the regulatory text? PARAGRAPHS. Are all paragraphs of regulatory text indented and lettered or numbered correctly? (See section 2.8.) CROSS-REFERENCES (See section 2.8.) * Is the correct style used? * Do references meet the OFR's criteria? TABLES AND ILLUSTRATIONS (See chapter 7.) * Are they placed exactly where they are to be printed? * Are they completely legible? * Are charts and maps of photographic quality? OMB CONTROL NUMBER. If included with the regulatory text, is it placed properly and in the correct style? (See section 8.19.) SIGNATURE AND TITLE (See section 2.9.) * Is the original signature (handwritten in ink) included on the document? (One person may not sign for another or initial a signature.) * Is the signer's name and title typed beneath the signature? * If a signature date is given, is it correct? QUALITY (See section 2.11.) * Are original(s) and certified copies legible? * Is the document free of correction or adhesive tape? * Are ink changes printed, dated, and initialed on all three copies? * Is the document double-spaced? PAGE NUMBERS. Are all pages numbered consecutively? (See section 2.11.) MATCHING COPIES AND CERTIFICATION (See sections 2.11 and 8.5.) * Are the original and two copies identical? Are all pages included? * Are the copies properly signed or certified? DISKS (See chapter 5.) * Are the disk and document identical? * Is the verification/certification letter included stating that the disk and document are identical? * Is the disk virus-free, with no trash files, no security codes/passwords, and no backup files included? * Are you using a software that the OFR will accept? * Does the disk have a label that identifies the agency, kind of software, subject matter, and file name? * Do you have a separate disk for each document? ---------- Chapter 3: How do I write a document for the notices category? 3.1 What types of documents go in the notices category? 3.2 What are the requirements for a document in the notices category? * Billing Code * Headings * Authority Citation * Text * Signature Block * Style and Format Requirements Billing Code 3.3 What is a billing code and how do I get one? Headings 3.4 What information should I include in the headings section of my notice? Authority Citation 3.5 Must I cite the authority that authorizes my agency to issue a notice? Text 3.6 Must I comply with the preamble requirements in my notice document? 3.7 What are the preamble requirements for a document in the notices category? * AGENCY * ACTION * SUMMARY * DATES * ADDRESSES * FOR FURTHER INFORMATION CONTACT * SUPPLEMENTARY INFORMATION Signature Block 3.8 Who can sign my document? 3.9 Do I need a signature date? Style and Format Requirements 3.10 What should my notice document look like? 3.11 Examples of notice documents. * Typical Notice Document * Sunshine Act Meetings * Privacy Act Documents 3.12 Checklist for notice documents. _________________________________________________________________ Chapter 3: How do I write a document for the notices category? Note: The OFR presents many examples with no paragraph indentations because of electronic program limitations and single-spaced for visual impact. Your document, however, must be indented and double-spaced. 3.1 What types of documents go in the notices category? Use the notices category to provide information of public interest. This category contains documents that do not have regulatory text, impose requirements with general applicability and legal effect, or affect a rulemaking proceeding. Some notices are required to be published by law. Typical notice documents announce: * Meetings. * Availability of applications. * Issuance or revocation of a license. * Grant application deadlines. * Availability of certain environmental impact statements. * Certain petitions. * Orders or decisions affecting named parties. 3.2 What are the requirements for a document in the notices category? A document published in the notices category should include the following items: * Billing Code * Headings * Authority Citation * Text * Signature Block Billing Code 3.3 What is a billing code and how do I get one? The Government Printing Office (GPO) assigns each agency that publishes in the Federal Register a billing code which GPO uses to bill your agency for printing costs. Your agency must identify an individual as your Printing Officer, the liaison between your agency and GPO for all printing and billing matters. GPO gives your Printing Officer the billing code for your agency. Your billing code must appear on each document submitted for publication in the Federal Register. * Obtain your billing code from your agency Printing Officer. * Type the billing code at the top of the first page of the original(s) and the certified copies of each document. * Type a "P" (WordPerfect), "F" (Coded), or "U" (Uncoded or ASCII) after your billing code when submitting a disk with your document. (See chapter 5.) * Remember that your billing code may change each year. Headings 3.4 What information should I include in the headings section of my notice? Begin each notice document with headings that identify the issuing agency and subject matter of the document. Present headings for a notice document in this format. * Agency Name * Agency Docket Number * Subject Heading or * Department Name * Subagency Name * Agency Docket Number * Subject Heading The "Department" and "Subagency" headings for a document reflect the names of the issuing agency. The "Agency Docket Number" heading is the internal file number your agency may assign. This heading is optional. The "Subject Heading" is a brief statement describing the contents of the document. Duplicate the headings of an earlier document in a subsequent document, but add a phrase to distinguish your document from the earlier one. If the agency issuing the document is not a cabinet-level agency, there will be no Subagency heading. Example 1. FEDERAL RESERVE SYSTEM Agency Name [No. 85-959] Agency Docket Number Credit by Brokers and Dealers Subject Heading For a Cabinet-level agency, the subordinate agency is the Subagency heading. Example 2. DEPARTMENT OF AGRICULTURE Department Name Food Safety and Inspection Service Subagency Name [Docket No. 85-008N] Agency Docket Number Transportation Accidents Subject Heading Authority Citation 3.5 Must I cite the authority that authorizes my agency to issue a notice? You must cite the authority that authorizes your agency to issue your notice. There are two types of authority: * Statutory + Public Law. + United States Code. * Nonstatutory + Presidential Executive order. + Presidential Administrative order. + Presidential Memorandum. + Agency delegation, policy, or directive. + Office of Management and Budget circular. + CFR regulations. Give the authority citation in the shortest form. The authority citation may appear within the notice or in a parentheses on a separate line at the end of the notice before the signature block. STATUTORY AUTHORITY For notices only, you may cite a public law, popular law name, or the U.S. Statutes at Large. Each citation of statutory authority should use the United States Code citation, if one exists. To determine the United States Code citation, use: * The current edition of the United States Code; and * The supplement to the United States Code. Use the slip laws published by the OFR to obtain the United States Code citation for recently signed public laws. When a United States Code citation does not exist, the agency should cite the section of the public law, if appropriate, the public law, and the U.S. Statutes at Large. (See example 3.) Example 3. (Authority: Sec. 8067, Pub. L. 98-473, 98 Stat. 1937) NONSTATUTORY AUTHORITY Cite nonstatutory authority by document designation, Federal Register citation, and CFR citation. (See example 4.) Example 4. (Authority: E.O. 12731, 55 FR 42547, 3 CFR, 1990 Comp., p. 306; 5 CFR 2635.105) If both statutory and nonstatutory citations are included in the same authority citation, place the statutory citation first. (See example 5.) Example 5. (Authority: 8 U.S.C. 1161(f); 29 U.S.C. 1801-1872; Secretary's Order 6-84, 49 FR 32473) If an agency cites the United States Code, public law, and the U.S. Statutes at Large in the same authority citation, present them in the order shown in example 6. Example 6. (Authority: Sec. 8, Pub. L. 98-328, 82 Stat. 470 (34 U.S.C. 21)) Text 3.6 Must I comply with the preamble requirements in my notice document? You may present the text of your notice document in any organized and logical format. Your use of the preamble format to present the text of your notice is an optional way of presenting the material. The Office of the Federal Register recommends that you use the preamble format. 3.7 What are the preamble requirements for a document in the notices category? The OFR recommends that for notice documents an agency use the same preamble format required for a rule or proposed rule document. * AGENCY * ACTION * SUMMARY * DATES * ADDRESSES * FOR FURTHER INFORMATION CONTACT * SUPPLEMENTARY INFORMATION If you use the preamble captions, follow the order shown. You may omit preamble captions which are not applicable. Present the remaining captions in the proper sequence. Do not create new captions. Place material not identified by the existing captions in the SUPPLEMENTARY INFORMATION section. An explanation and examples of what must appear within each caption follow: AGENCY caption The AGENCY caption states the "who" of a document by identifying the agency issuing it. This caption usually repeats the name of the agency as carried in the document's headings. When the name of a subagency and Cabinet-level agency appear together, carry the subagency name first and then the Cabinet-level agency's commonly used acronym or shortened name. For organizational 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 7. AGENCY: Office of the Secretary, USDA. AGENCY: National Archives and Records Administration. AGENCY: Consumer Product Safety Commission. AGENCY: Environmental Protection Agency. AGENCY: National Park Service, Interior. AGENCY: Bureau of Public Debt, Fiscal Service, Treasury. ACTION caption The ACTION caption identifies the type of document. It does not summarize the substance of a document. The following examples represent typical captions for a notice document. Others are possible. Example 8. ACTION: Notice. ACTION: Announcement of meeting. ACTION: Availability of survey. ACTION: Solicitation of applications. SUMMARY caption Under the SUMMARY caption you explain the "what," "why," and "effect" of the document. In the SUMMARY, you should answer these three questions. * What action is being taken? * Why is this action necessary? * What is the intended effect of this action? Use the following guidelines in preparing a SUMMARY. * Use language a non-expert will understand. * Refer to an act of Congress by the popular name of the act. * Do not use legal citations. * State what your document does; do not include extensive background. * Do not include qualifications, exceptions, or specific details. * Be brief. You may not use the SUMMARY to prove a point or argue a case. Supporting information, details, discussions, and precise legal citations do not belong in the SUMMARY. Extended discussion of the notice document belongs in the SUPPLEMENTARY INFORMATION section. DATES caption The DATES caption presents the "when" of a document. Include the dates that are essential to the document. Include the following dates, when appropriate: * Comment deadlines. * Extension of comment deadlines. * Request for a hearing (or meeting) deadline. * Public hearing (or meeting) dates. * Other dates the public may need to know. The OFR computes and inserts dates tied to Federal Register publication or OFR filing using the "Table of Effective Dates and Time Periods." This table appears in the Reader Aids section of the first Federal Register issue each month. In computing the date, the OFR counts the day after publication as the first day. When a date falls on a weekend or a Federal holiday, the OFR uses the next Federal business day. When it is necessary for the OFR to compute and insert a date, present the date as shown in example 9. The OFR computes dates based only on OFR filing or publication in the Federal Register. Example 9. DATES: Submit comments on or before [Insert date 60 days after date of publication in the FEDERAL REGISTER]. Example 10. DATES: The agency must receive comments on or before [Insert date 30 days after date of filing at the Office of the Federal Register]. Place no more than four dates under the caption "DATES." Example 11: Format in notice with four dates. DATES: The meeting dates are: 1. March 26, 199x, 9:30 a.m. to 5 p.m., Philadelphia, PA. 2. April 3, 199x, 9:30 a.m. to 5 p.m., Chicago, IL. 3. April 8, 199x, 9:30 a.m. to 5 p.m., Atlanta, GA. 4. April 15, 199x, 9:30 a.m. to 5 p.m., Denver, CO. If you have more than four dates, place them in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Meetings". Example 12. DATES: See Supplementary Information section for meeting dates. Do not include information other than dates in the DATES caption. Place any discussion of meeting agenda, content of material available for inspection, etc. in the SUPPLEMENTARY INFORMATION section. Remember that DATES and ADDRESSES are separate captions. All date information should appear in the DATES caption. ADDRESSES caption The ADDRESSES caption contains the "where" of the document. Include any address that the public needs to know. You may include addresses for: * Mailing public comments. * Hand-delivering public comments. * Attending a public hearing (or meeting). * Examining any material available for public inspection. Do not include information other than addresses in the ADDRESSES caption. Place any discussion of how to submit comments, how to register for a meeting, meeting agenda, content of material available for inspection, etc. in the SUPPLEMENTARY INFORMATION section. Electronic access and electronic filing addresses usually appear in the SUPPLEMENTARY INFORMATION section. (See examples 17 and 18.) Place no more than four addresses under the caption "ADDRESSES." Example 13: Format in notice with four addresses. ADDRESSES: The meeting locations are: 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, IL 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, CO 80202. If you have more than four addresses, place them in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Meetings." Example 14. ADDRESSES: See Supplementary Information section for meeting addresses. Remember that ADDRESSES and DATES are separate captions. All address information must appear in the ADDRESSES caption. Example 15. ADDRESSES: Address all comments concerning this notice to Nell C. Carney, Commissioner, Rehabilitation Services Administration, Mary E. Switzer Building, Room 3325, 330 C Street SW., Washington, DC 20202-2735. Example 16. ADDRESSES: Mail comments and requests to participate to Meeting Clerk, Room 000, Department of XXXXX, Washington, DC 20000; the meeting will be held in Room 000, 000 Independence Avenue, SW., Washington, DC. Place electronic access and filing addresses in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Electronic Access and Filing Addresses." Example 17. ADDRESSES: See Supplementary Information section for electronic access and filing addresses. Example 18. SUPPLEMENTARY INFORMATION: * * * * * [asterisks indicate text not reprinted] Electronic Access and Filing Addresses You may submit comments and data by sending electronic mail (E-mail) to: oppdocket@epamail.epa.gov Submit comments as an ASCII file avoiding the use of special characters and any form of encryption. The OPP also accepts comments and data on disks in WordPerfect 5.1 file format or ASCII file format. Identify all comments and data in electronic form by the docket number [PP 4F4327/R2253]. You may file electronic comments on this notice online at many Federal Depository Libraries. File an electronic copy of objections and hearing requests with the Hearing Clerk at: oppdocket@epamail.epa.gov Submit an electronic copy of objections and hearing requests filed with the Hearing Clerk as an ASCII file avoiding the use of special characters and any form of encryption. FOR FURTHER INFORMATION CONTACT caption Under the FOR FURTHER INFORMATION CONTACT caption, you should include the name and telephone number of a person within your agency who can answer questions about the document. You may list two or more persons to contact concerning different aspects of a document. Example 19. SUPPLEMENTARY INFORMATION caption In this section, include background information and necessary details in language easily understood by the reader. Use descriptive headings to highlight topics or organize text. If a reference to the Federal Register or Code of Federal Regulations is necessary, use the format shown in examples 25 and 26. You may use the SUPPLEMENTARY INFORMATION section to provide additional information that is required by law, agency policy, or Executive order. Signature Block 3.8 Who can sign my document? Your agency is responsible for determining who is authorized to sign a document submitted for publication in the Federal Register. The signer must provide a handwritten signature in ink. (See section 8.5.) The OFR suggests that the signer use blue ink. It is often difficult to distinguish the original signature from a photocopy if black ink is used. Type the name and title of the person signing the document directly beneath the handwritten signature. (See example 20.) When a person signs a document for another person, type the name and title of the person who actually signs the document beneath the signature. (See example 21.) The OFR will reject a document signed by one person for another. The OFR will not accept your document if you sign someone else's name and you place your initials by the signature. Example 20. Example 21. or Do not place a signature block on a page by itself. The presence of text on the signature page helps to ensure the integrity of the document. Place the signature block either at the end of the document (see example 22) or between the preamble and the rest of the document (see example 23). Example 22. Preamble Text Signature Example 23. Preamble Signature Text 3.9 Do I need a signature date? The OFR recommends but does not require a signature date. When you furnish one, use the date of actual signature. The OFR will not accept a postdated signature or change the signature date. If there is a problem with a signature date, the OFR will return your document to your Liaison Officer. Style and Format Requirements 3.10 What should my notice document look like? CAPITALS. Type in all capital letters: * The name of the agency but not the name of the subagency in the heading of a document. * "FEDERAL REGISTER" in the parenthetical for dates to be computed by the OFR. * Preamble captions. Example 24. AGENCY: ACTION: SUMMARY: DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: COPIES. Provide legible copies. CORRECTION OR ADHESIVE TAPE. Do not use correction or adhesive tape. DOUBLE-SPACING. Type the text of your document double-spaced. HEADINGS. Type document headings centered or flush with the left margin. MARGINS * One inch at the top, bottom, and right side; and * One and one-half inches on the left side. PAGE NUMBERS. Number the pages consecutively in one of the following places: * Centered top; * Centered bottom; or * Upper right-hand corner. PAPER. You must prepare your documents on 8 1/2 by 11 inch white paper. QUOTATION MARKS. Use quotation marks for names of books, journals, articles, and similar items. QUOTED MATERIAL. Type quoted material: * Single-spaced; * Centered-block style; and * Without quotation marks. SINGLE-SIDED COPY. You must type your document on one side only. SINGLE-SPACING. Type the following single-spaced: * Quoted material. * Footnotes. * Tables of contents. * Examples. * Tables. * Notes to tables. * Notes. * Formulas. * Authority citations. UNDERLINING. Underlining instructs the printer to present material in italics. Use underlining for: * Definitions (underline only the terms); * Scientific terms; * Ordering statements; * Court cases; and * , when referring to the name of the publication (except type in all capital letters in the parenthetical for dates to be computed by the OFR). Do not use underlining for: * Emphasis; * Names of books; or * Foreign phrases. ABBREVIATIONS Use the following abbreviations in the Federal Register. * FR is Federal Register. Do not use Fed. Reg. or F.R. (See example 25.) * CFR is Code of Federal Regulations. Do not use C.F.R. (See example 26.) * U.S.C. is United States Code. * Pub. L. is public law. (Do not use P.L.) * Stat. is U.S. Statutes at Large. * a.m. or p.m. is time designation. * E.O. is Executive order. * Proc. is Proclamation. * sec. is section of a public law or the United States Code. Use the abbreviations for "Pub. L.", "E.O.", and "Proc." only in the authority citation. All other times you must spell them out. (See examples 3 and 4.) § SYMBOL Use the § symbol only for a CFR section and §§ symbol only for multiple sections. However, do not use a § symbol to begin a sentence; instead, spell out the word. Do not use the § symbol or the word "section" when the reference follows a title number and CFR as in 36 CFR 1200.1. STYLE Use the "U.S. Government Printing Office Style Manual" as a guide for punctuation, capitalization, spelling, compounding, and other style matters. You may obtain the GPO Style Manual from the Superintendent of Documents, Government Printing Office. REFERENCES If your document relates to a previously published Federal Register document, you must cite the earlier document. A reference in a notice document to a previously published Federal Register document must identify the volume number, page number, and date of the issue in which the document appeared. (See example 25.) Example 25. 61 FR 38342, Jul. 23, 1996 A reference in a notice document to material contained in the CFR should identify the CFR title and part or section number. (See example 26.) Example 26. 36 CFR part 1200 36 CFR 1200.1 3.11 Examples of notice documents. TYPICAL NOTICE DOCUMENT SUNSHINE ACT MEETINGS The Government in the Sunshine Act requires certain agencies to publish notices of meetings (See Appendix C). The law requires that these notices be publicly announced one week prior to the meeting and submitted immediately for publication in the Federal Register. To speed publication, the OFR developed standard formats for Sunshine Act documents. Sunshine Act documents received before 4 p.m. are published on a 2-day publication schedule and Sunshine Act documents received after 4 p.m. are placed on a 3-day publication schedule. Format 1 -- Announces a meeting either completely open or completely closed to the public. Billing Code (Name of the Agency) Sunshine Act Meetings TIME AND DATE: PLACE: STATUS: MATTERS TO BE CONSIDERED: CONTACT PERSON FOR MORE INFORMATION: Sign Type name, Format 2 -- Announces a meeting that is partially open and partially closed to the public. Billing Code (Name of the Agency) Sunshine Act Meetings TIME AND DATE: PLACE: STATUS: Parts of this meeting will be open to the public. The rest of the meeting will be closed to the public. MATTERS TO BE CONSIDERED: PORTIONS OPEN TO THE PUBLIC: PORTIONS CLOSED TO THE PUBLIC: CONTACT PERSON FOR MORE INFORMATION: Sign Type name, Format 3 -- Announces a change to a previously announced meeting. Billing Code (Name of the Agency) Sunshine Act Meetings FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: PREVIOUSLY ANNOUNCED TIME AND DATE OF THE MEETING: CHANGES IN THE MEETING: CONTACT PERSON FOR MORE INFORMATION: Sign Type name, PRIVACY ACT DOCUMENTS The Privacy Act requires each agency to publish its systems of records in the Federal Register. (See Appendix C.) Each system of records has specific information which the OFR identifies as data elements. The OFR provides a standard caption heading for each data element. Include all information required in a system of records notice under one of these data elements. You must present the data element as shown including capitalization and punctuation. Do not use any other data elements. The system of records data elements follows: (Unique system number assigned by the submitting agency) System name: Security classification: System location: Categories of individuals covered by the system: Categories of records in the system: Authority for maintenance of the system: Purpose(s): Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Disclosure to consumer reporting agencies: Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: Retrievability: Safeguards: Retention and disposal: System manager(s) and address: Notification procedure: Record access procedures: Contesting record procedures: Record source categories: Exemptions claimed for the system: 3.12 Checklist for notice documents. Before you submit your notice to the OFR, use the following checklist to review your notice: BILLING CODE. Is the billing code at the top of the first page in the right-hand corner? (See sections 3.3, 3.10, and 3.11.) HEADINGS. Are the correct headings used? (See section 3.4.) PREAMBLE. Are all elements of the preamble included? Does the SUMMARY answer all three questions? (See section 3.7.) AUTHORITY CITATION. Do you have your authority citation? (See section 3.5.) REFERENCES. Is the correct style used? (See section 3.10.) TABLES AND ILLUSTRATIONS (See chapter 7.) * Are they placed exactly where they are to be printed? * Are they completely legible? * Are charts and maps of photographic quality? SIGNATURE AND TITLE (See section 3.8.) * Is the original signature (handwritten in ink) included on the document? (One person may not sign for another or initial a signature.) * Is the signer's name and title typed beneath the signature? * If signature date is given, is it correct? QUALITY (See section 3.10.) * Are the original(s) and certified copies legible? * Is the document free of correction or adhesive tape? * Are ink changes printed, dated, and initialed on all three copies? * Is the document double-spaced? PAGE NUMBERS. Are all pages numbered consecutively? (See section 3.10.) MATCHING COPIES AND CERTIFICATION (See section 3.10.) * Are the original(s) and two certified copies identical? Are all pages included? * Are the copies properly signed or certified? DISKS (See chapter 5.) * Are the disk and document identical? * Is the verification/certification letter included stating that the disk and document are identical? * Is the disk virus-free, with no trash files, no security codes/passwords, and no backup files included? * Are you using a software that OFR will accept? * Does the disk have a label that identifies the agency, kind of software, subject matter, and file name? * Do you have a separate disk for each document? ---------- Chapter 4: How do I correct my document? * Before Submission * Before Publication * After Publication _________________________________________________________________ Chapter 4: How do I correct my document? Note: The OFR presents many examples with no paragraph indentations because of electronic program limitations and single-spaced for visual impact. Your document, however, must be indented and double-spaced. BEFORE SUBMISSION If you identify an error in your document before it is submitted to the OFR, you or your Liaison Officer may make an ink change to the document. Place your initials and the date in the right-hand margin of the page where the change occurs. BEFORE PUBLICATION Make corrections through your agency's Liaison Officer. If a substantive error is discovered in a document before it is filed for public inspection, the Liaison Officer may make simple corrections by telephoning the OFR or by submitting corrected pages, a corrected disk, and a verification/certification letter. If an error is discovered after a document is filed for public inspection, the Liaison Officer may correct the document only by submitting a letter detailing the change. An official with authority to sign Federal Register documents or the Liaison Officer should sign the letter. The letter must reach the OFR by 12 noon of the workday before the scheduled publication date. The Liaison Officer must also telephone the OFR as soon as possible to inform the OFR that the letter is being sent. The OFR places the letter on public inspection with the document it corrects and the document and letter remain on public inspection through the end of the day it would have been published. The OFR retains the original document and letter. Extensive changes are difficult to make in the final production stages. If the correction makes extensive changes, the OFR may withdraw the document from publication. AFTER PUBLICATION Following publication in the Federal Register, the agency should proofread the published document against a copy of the originally submitted document to discover any printing errors. It is important to proofread the document as quickly as possible. Ofr Corrections. If your agency finds that a significant error was made in the printing process, your Liaison Officer must call the OFR to arrange for a correction. The OFR will prepare and publish a correction document that reflects the content of the original document. The OFR uses a unique correction format and places its corrections in a separate section of the Federal Register to reduce confusion. Do not use the OFR format for preparing your agency's corrections. Agency Corrections. If you made the error in the originally submitted document, you must issue a signed document correcting the error. You must use the format appropriate for the section of the Federal Register in which the original document was published. Nonsubstantive corrections, such as obvious misspellings, may not require publication of a document. Check with the OFR. Proposed Rules. A correction to a proposed rule document must: * Repeat the agency headings of the document being corrected. * Carry a CFR heading for only the CFR parts affected by the correction (list all CFR parts if the preamble is corrected). * Repeat the subject heading of the document being corrected with a semicolon and the word "Correction" added at the end. * Address the preamble requirements for a proposed rule. * Cite the Federal Register date, page, column, CFR section, paragraph, and line or sentence in the correcting instruction. Example 1: Proposed rule correction. 4310-02 DEPARTMENT OF THE INTERIOR Bureau of Indian Affairs 25 CFR Part 290 RIN 1076-AD14 Tribal Revenue Allocation Plans; Correction AGENCY: Bureau of Indian Affairs, Interior. ACTION: Proposed rule; correction. SUMMARY: This document corrects the preamble to a proposed rule published in the of June 7, 199x, regarding Tribal Revenue Allocation Plans. This correction clarifies that the proposed rule applies prospectively to plans submitted for approval from the effective date of the final rule. FOR FURTHER INFORMATION CONTACT: Nancy Jones, XXX-XXX-XXXX. Correction In proposed rule FR Doc. 9x-14061, beginning on page __ in the issue of June 7, 199x, make the following correction, in the Supplementary Information section. On page __ in the __ column, add at the end of the second paragraph the following: "This rule applies to Tribal Revenue Allocation Plans submitted and approved after the effective date of the final rule. You need not resubmit previously approved Tribal Revenue Allocation Plans for review and approval by the BIA. The previously approved plans remain in effect. However, submit amendments to approved Tribal Revenue Allocation Plans to the BIA for approval under the proposed regulation." Dated: July 1, 199x. Sign Type name, Rules. A correction to a rule document must: * Repeat the agency headings of the document being corrected. * Carry a CFR heading for only the CFR parts affected by the correction (list all CFR parts if the preamble is corrected). * Repeat the subject heading of the document being corrected with a semicolon and the word "Correction" added at the end. * Address the preamble requirements for a rule. Include an effective date for a rule correction. * Cite the Federal Register date, page, column, CFR section, paragraph, and line or sentence in the correcting instruction. There are two different formats for correcting regulatory text in a rule document. Both require signed documents. The format used depends on whether the revision date of the CFR volume affected has occurred since the original rule document was published. * If the CFR volume affected by the rule has not been revised since the document was published, use the format for corrections to the Federal Register. Example 2: Corrections to the Federal Register. 6560-50 ENVIRONMENTAL PROTECTION AGENCY 40 CFR Part 799 [OPPTS-00173A; FRL-5379-5] Technical Amendments to TSCA Regulations to Update Addresses; Correction AGENCY: Environmental Protection Agency. ACTION: Final rule; correction. SUMMARY: The Environmental Protection Agency published in the of July 3, 199x, a document concerning updating addresses in the Toxic Substances Control Act (TSCA) regulations. Inadvertently § 799.1285 was amended. This document removes that amendment. DATES: Effective on [Insert date of publication in the FEDERAL REGISTER.] FOR FURTHER INFORMATION CONTACT: Susan Regulatory, XXX-XXX-XXXX; TDD: XXX-XXX-XXXX; e-mail: TSCA Hotline@epamail.epa.gov. SUPPLEMENTARY INFORMATION: The EPA published a document in the of June 19, 199x, (XX FR 31924) removing § 799.1285. In FR Doc. 9x-16287, published in the of July 3, 199x, (XX FR 34462), § 799.1285 was inadvertently amended. This correction removes the amendment published on July 3, 199x. In rule FR Doc. 9x-16287 published on July 3, 199x, (XX FR 34462) make the following correction. On page 34467, in the first column, remove amendatory instruction c. and the amendment to § 799.1285. Dated: June 14, 199x. Sign Type name, * If the CFR volume affected by the rule has been revised since the document was published, use the format for correcting amendments to the CFR (sometimes called "technical amendments"). Example 3: Correcting amendment to the CFR. DEPARTMENT OF THE TREASURY Internal Revenue Service 26 CFR Part 1 [T.D. 8323] RIN 1545-AL06 Information Reporting on Real Estate Transactions; Correction AGENCY: Internal Revenue Service, Treasury. ACTION: Correcting amendments. SUMMARY: This document contains corrections to the final regulations (T.D. 8323), which were published in the of Thursday, December 13, 199x, (xx FR 51282). The regulations related to the information reporting requirements for real estate transactions contained in section 6045(e) of the Internal Revenue Code. DATES: Effective on January 1, 199x. FOR FURTHER INFORMATION CONTACT: Arthur E. Tax, XXX-XXX-XXXX (not a toll-free call). SUPPLEMENTARY INFORMATION: Background The final regulations that are the subject of these corrections superseded § 1.6045-3T on the effective date and affect persons required to make returns of information under section 6045(e) of the Internal Revenue Code. Section 6045(e) was added to the Internal Revenue Code by section 1521 of the Tax Reform Act of 1986 (Public Law 99-514, 100 Stat. 2746). Section 6045(e) was amended by section 1015(e) of the Technical and Miscellaneous Revenue Act of 1988 (Public Law 100-647, 102 Stat. 3342). Need for Correction As published, the final regulations contain errors which may prove to be misleading and need to be clarified. List of Subjects in 26 CFR Part 1 Income taxes, Reporting and recordkeeping requirements. Accordingly, 26 CFR part 1 is corrected by making the following correcting amendments: PART 1--INCOME TAXES 1. The authority citation for part 1 continues to read as follows: Authority: 26 U.S.C. 7805. § 1.6045-4 [Corrected] 2. In § 1.6045-4, paragraph (r), example (4)(i), in the first sentence, remove the figure "$20,000" and add, in its place, "$10,000". Dated: December 14, 199x Sign Type name, Notices. A correction to a notice document must: * Repeat the agency and subject headings of the document being corrected with a semi-colon and the word "Correction" at the end of the subject heading. * Cite the Federal Register date, page, column, and location (paragraph, sentence, or line) in the correction instruction. Example 4: Notice correction. 7710-12 POSTAL SERVICE Specification for Postal Security Devices and Indicia (Postmarks); Correction AGENCY: Postal Service. ACTION: Notice; correction. SUMMARY: The Postal Service published a document in the of July 2, 199x, concerning request for comments on specifications for postal security devices and indicia (postmarks). The document contained incorrect dates. FOR FURTHER INFORMATION CONTACT: John Stamp, XXX-XXX-XXXX. Correction In the issue of July 2, 199x, in FR Doc. 9x-18010, on page 34462, in the second column, correct the "Dates" caption to read: DATES: Submit comments on the two specifications on or before September 30, 199x. Submit comments addressing intellectual property issues on or before August 15, 199x. A general meeting on this subject is planned for July 19, 199x, in Washington, DC. Interested parties may submit questions by July 17, 199x. Dated: July 5, 199x. Sign Type name, ---------- Chapter 5: Disk Documents 5.1 What are the benefits of submitting disk documents? 5.2 What are the requirements for submitting a disk document? * Type of Software * Kind of Disk * Verification/Certification Letter * Coded vs. Uncoded * Microcomp Pages * Disk Preparation _________________________________________________________________ Chapter 5: Disk Documents 5.1 What are the benefits of submitting disk documents? You may submit an electronic copy of your document along with your original and two certified copies or three original documents. Submission of disk documents provides the following benefits: * Accuracy. * Printing cost discounts: + $30 Page Rate Discount for WordPerfect and ASCII disks. + $75 Page Rate Discount for coded disks. 5.2 What are the requirements for submitting a disk document? To submit a disk document you must consider the: * Type of Software * Kind of Disk * Verification/Certification Letter * Coded vs. Uncoded * Microcomp Pages * Disk Preparation TYPE OF SOFTWARE The OFR prefers disks submitted in ASCII but accepts disks submitted in WordPerfect 5.0 through 6.1 and Microsoft Word. Our conversion program does not accept Corel WordPerfect 7. KIND OF DISK Submit a 3.5 or 5.25 inch disk. The OFR suggests that you submit a 3.5 inch disk; a 5.25 inch disk is more susceptible to damage. VERIFICATION / CERTIFICATION LETTER Submit a separate disk with each document to be published in the Federal Register. With each document that has a disk, send a verification/certification letter that states that the document and disk are identical. The Certifying Officer, Liaison Officer, or signer of the document may sign the verification/certification letter. For an example of the letter, see Appendix A. CODED vs. UNCODED CODED DOCUMENTS. If you would like to submit coded disk documents, you must contact GPO to enroll in a coding class to learn GPO typesetting codes. In order to receive a $75 page rate discount on your printing costs in the Federal Register, you must submit : * A coded disk and microcomp pages with your original and certified copies or duplicate originals; and * A verification/certification letter. Before you begin submitting coded disk documents to the OFR, contact the Unit Chief of the Daily Issue Unit. The OFR will ask you to submit a sample document to gauge your success in coding and to provide technical assistance. If you have coded a document, the OFR will make no changes to your document other than computation and insertion of dates and completion of your document's file line which appears at the end of the document. If other changes are necessary, you must submit new microcomp pages, a new disk, and a new verification/certification letter for correction. UNCODED DOCUMENTS. If you submit an ASCII disk, WordPerfect 5.0 through 6.1 disk, or Microsoft Word disk, you will receive a $30 page rate discount on your printing costs. This program allows more flexibility than the coded disk program. You may make corrections to your document as long as the changes are not extensive. The GPO staff will key the changes into the electronic text before printing. If the changes are extensive, the OFR will require you to submit new pages, a new disk, and a new verification/certification letter or we may return your submission to you for correction and resubmission. The GPO decides whether you receive the discount on printing costs if they must correct your disk. MICROCOMP PAGES The OFR uses the microcomp pages submitted with your coded disk document to determine if you have met all printing style requirements for publishing in the Federal Register. A microcomp page looks like a Federal Register page. DISK PREPARATION Label all disks. Place the following information on the label: * Name of agency. * File name. * Type of software. * Name, CFR citation, or agency docket number tying it to the submitted document. Remove all passwords, security codes, back-up files, and trash files. Do not fast-save documents on disk. Scan for viruses. Place "P" for WordPerfect, "F" for Coded, or "U" for Unformatted or ASCII disk after your billing code. If GPO finds discrepancies between your disk and the signed document, GPO uses the language in the signed document even if the disk is the correct version because the signed document is the legal basis of your agency's action. ---------- Chapter 6: What is Incorporation by Reference, and How do I do it? * Purpose * Eligibility * Submission of Request * Drafting Requirements _________________________________________________________________ Chapter 6: What Is Incorporation by Reference (IBR), and How Do I Do It? PURPOSE Incorporation by reference allows Federal agencies to comply with the requirement to publish rules in the Federal Register by referring to materials already published elsewhere. The legal effect of incorporation by reference is that the material is treated as if it were published in the Federal Register. This material, like any other properly issued rule, has the force and effect of law. Congress authorized incorporation by reference in the Freedom of Information Act to reduce the volume of material published in the Federal Register and Code of Federal Regulations (CFR). (See Appendix C.) ELIGIBILITY The Director of the Federal Register decides when an agency may incorporate material by reference. The Director may approve an incorporation by reference if the material: * Is published data, criteria, standards, specifications, techniques, illustrations, or similar material; * Is reasonably available to and usable by the class of persons affected by the publication; * Does not reduce the usefulness of the Federal Register publication system; * Benefits the Federal Government and members of affected classes; and * Substantially reduces the volume of material published in the Federal Register. Any agency-produced publication will not be approved for incorporation by reference unless: * In the judgment of the Director, it meets the requirements above and possesses other unique or highly unusual qualities; or * It cannot be printed using the Federal Register/Code of Federal Regulations printing system. The following materials will not be incorporated by reference: * Material published previously in the Federal Register. * Material published in the United States Code. SUBMISSION OF REQUEST Each agency must submit a written request for incorporation by reference approval to the Director of the Federal Register. For an example of the letter, see Appendix A. Submit the request at least 20 working days before the rule document is submitted to the OFR for publication. This 20-day period begins when the OFR receives: * A letter requesting approval of the incorporation; * A copy of the material to be incorporated; and * A copy of the rule document that uses the proper language of incorporation. The OFR will notify you of the decision to approve or disapprove an incorporation by reference within 20 working days after you have submitted the request and all required materials. Before you submit a request, carefully review your materials to make sure they are: * Legible; * Complete; and * Clearly identified by the title, date, edition, author, publisher, and identification number of the publication. DRAFTING REQUIREMENTS The regulatory text in your rule must: * Include the words "incorporation by reference"; * Identify the standard and/or material to be incorporated, by title, date, edition, author, publisher, and identification number of the publication; * Contain a statement of availability stating where and how copies may be examined and obtained; and * Refer to 5 U.S.C. 552(a) and include a statement that the Director of the Federal Register approves the incorporation by reference. Example 1: Incorporation by reference language. You must proceed in accordance with (Insert the name of the standard and/or material to be incorporated including title, date, edition, author, publisher, and identification number of the publication). The Director of the Federal Register approves this incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy from (Insert the name of standard producer or publisher and address). You may inspect a copy at (Insert the name of the agency and address) or at the Office of the Federal Register, 800 North Capitol Street, NW., Suite 700, Washington, DC. The preamble of the rule document must refer to incorporation by reference in two locations: * The DATES caption must include an approval statement that indicates the effective date of the incorporation by reference as approved by the Director of the Federal Register. The effective date of the document and the effective date of the incorporation by reference are always the same date. Example 2. DATES: This regulation is effective July 3, 199x. The incorporation by reference of certain publications listed in the rule is approved by the Director of the Federal Register as of July 3, 199x. * The List of Subjects in the SUPPLEMENTARY INFORMATION section (see section 2.6) must include the term "Incorporation by reference." If your agency needs to update references to material incorporated by reference, you must: * Publish an amendment to the CFR in the Federal Register. * Ensure that a copy of the incorporated material, as amended or revised, is on file at the Office of the Federal Register. * Notify the Director of the Federal Register in writing that the change is being made. If your agency removes the rule containing the incorporation by reference or the rule does not go into effect, the agency must notify the Director of the Federal Register in writing within 5 working days. ---------- Chapter 7: Illustrations, Forms, Footnotes, Appendices, and Tables * Format, Placement, and Quality * Illustrations * Forms * Footnotes * Appendices * Tables _________________________________________________________________ Chapter 7: Illustrations, Forms, Footnotes, Appendices, and Tables Note: The OFR presents many examples with no paragraph indentations because of electronic program limitations and single-spaced for visual impact. Your document, however, must be indented and double-spaced. FORMAT, PLACEMENT, AND QUALITY If you submit tables, illustrations, or forms in your document you must: * Submit legible material. * Submit original artwork (camera copy) for photographing. * Place the table, illustration, or form exactly where it is to appear in the printed document. Do not split sentences or paragraphs. * Prepare tables and forms according to the "United States Government Printing Office Style Manual." ILLUSTRATIONS Illustrations include maps, diagrams, graphs, or other pictorial material. * All details of an illustration, such as captions, numbers, place names, and keys, must be completely legible. * If an illustration is amended, submit a completely new illustration with the amendatory document. * If you want the original artwork for a proposed rule or notice returned, attach a letter and a self-addressed envelope to the original document asking the OFR to return the artwork. * If you have several illustrations in a CFR part, the OFR recommends placing them at the end of the part. Place a heading before the illustrations. (See example 1.) Label each illustration. (See example 2.) Example 1. Illustrations to Part 312 Example 2. Figure 1 -- Ramp Specification for Wheelchairs FORMS Because forms are usually photographed for publication in the Federal Register and then reduced for inclusion in the CFR, if a rule document, the OFR accepts only forms that are completely legible in every detail and suitable for use as camera copy for publication. To ensure that forms are acceptable for publication, follow these steps: * If the form is pre-printed, obtain an original form, not a photocopy. * If you type the form yourself, use the original typed pages or a legible copy (first generation photocopy). * If the form has printing on both sides of the page, prepare a collated, one-sided set of pages. Use an original form for each page. Lightly cross through the page not being printed with an editor's blue pencil. This pencil will not photocopy. * If an overlay is used, attach one overlay to each page of the form. * Place all original artwork in the copy of the document labeled "Printer's Copy." Using an editor's blue pencil, on the "Printer's Copy" only, number your pages in order on the back of each page to be photographed. Make clear and legible photocopies of the form as prepared for the "Printer's Copy" and insert them in the original document and in the second duplicate copy. Remember, when your artwork is reduced for the Federal Register and, if a rule document, for the CFR, every word in the artwork must be legible. FOOTNOTES Number footnotes separately for each unit listed below: * Preamble * Each CFR part * Table * Illustration * Form * Appendix Number the footnotes in the preamble to a rule or proposed rule document independently from the footnotes in the regulatory text. Type footnotes to tables, illustrations, and forms at the end of the table, illustration, or form and not at the bottom of the page on which they appear. The first footnote in a CFR part starts with "1." The first footnote in each appendix starts with "1." Whenever a footnote number appears in regulatory text, print the text of the footnote even if there is no change being made to the footnote. Make footnotes in a rule explanatory, not regulatory. If you remove a footnote in the regulatory text, you must redesignate the remaining footnotes to close the gap. You cannot remove and reserve a footnote, nor can you add a footnote with an alpha character, for example, "9c." Remember to separately number the footnotes for illustrations, forms, tables, and appendices. If you remove an illustration, form, table, or appendix, it will not disrupt the footnote numbering of the regulatory text. Do not print formulas or tables in footnotes. APPENDICES RULES AND PROPOSED RULES. Use an appendix to improve the quality or utility of a rule but not to impose new requirements or restrictions, since a reader may question or misunderstand the legal status of an appendix containing regulatory material. An appendix may contain: * Supplemental, background, or explanatory information which illustrates or amplifies a rule that is complete in itself. * Forms or charts which illustrate the regulatory text. The agency may not use the appendix as a substitute for regulatory text. Present regulatory material as an amendment to the CFR, not disguised as an appendix. Material in an appendix should not: * Amend or affect existing portions of CFR text; or * Introduce new requirements or restrictions into your regulations. An appendix may appear at the part, subpart, or section level. Designate each appendix, identify whether it belongs to a part, subpart, or section, and give it a descriptive heading. (See example 3.) Do not carry the heading for an appendix to a section in the table of contents. A complete appendix heading should: * Conform to a uniform system of designation for appendixes throughout your agency's rules; * Indicate the CFR unit to which the appendix is attached; and * Provide a brief, descriptive subject heading. Example 3. Appendix A to Part 430 -- Insulation Adequacy Evaluation Criteria Appendix B to Subpart C of Part 430 -- Test Procedures for Tire Traction Appendix C to § 430.4 -- Tire Tread Chart Designate each paragraph in the text of an appendix. You may use the CFR numbering system or develop an alternate logical numbering system. Place the appendix immediately following the CFR unit to which it is appended. You may include an appendix at the end of a rule document and direct that the appendix not be reprinted in the CFR. However, do not reference in the regulatory text an appendix which will not appear in the CFR. If you do not want the appendix to appear in the CFR, place a note before the appendix heading stating you are not printing it in the CFR. (See example 4.) Example 4. Note: The following appendix will not appear in the Code of Federal Regulations. APPENDIX HEADING TABLES REDESIGNATION TABLES. When you rearrange and renumber your agency's rules, you may use a redesignation table. A redesignation table is a listing of the old CFR unit numbers with the corresponding new CFR unit numbers. You may use a redesignation table in the amendatory instruction of a rule or proposed rule document. (See example 5.) When you publish the rule document, your agency may request that the table be placed in the finding aids section of the appropriate CFR volume by contacting the CFR staff of the Office of the Federal Register. Example 5: Redesignation table §§ 1475.12 through 1475.20 [Redesignated] Redesignate §§ 1475.12 through 1475.20 as follows: Old section New section 1475.12 1475.13 1475.13 1475.14 1475.14 1475.15 1475.15 1475.17 1475.16 1475.18 1475.17 1475.19 1475.18 1475.20 1475.19 1475.21 1475.20 1475.22 DISTRIBUTION AND DERIVATION TABLES. When you reorganize, rewrite, and set out rules on a large scale, you may want to use distribution and derivation tables in your preamble. (See examples 6 and 7.) Distribution and derivation tables are complementary. A distribution table shows where each piece of the original material went and/or indicates why it is no longer needed. A derivation table shows where each piece of the revised material comes from. An agency may choose to use either one or both in its preamble. You may not use a distribution table or derivation table in an amendatory instruction. The agency must use specific amendatory instructions in the regulatory text of the document to state which CFR units are being removed, revised, or added. (See example 8.) The agency may request that the tables be placed in the finding aids section of the appropriate CFR volume by contacting the CFR staff of the Office of the Federal Register. Example 6: Distribution table Old section New section -- -- -- Parts 11 - 12 (subchapter D) 3.4(a) 11.1 3.4(b) introductory text Removed 3.4(b)(1) Removed 3.4(b)(2) Removed 3.4(b)(3) 11.2 3.4(b)(4) through (b)(8) 11.3 through 11.7 7.1 12.1(a) 7.4 12.1(b) 7.5 12.1(c) 7.6 12.1(d) 8.8 12.2 9.3(a) 12.3(a) 9.3(b) 12.3 (b) and (c) 9.3(c) Removed Example 7: Derivation table New section Old section 250.1 250.210(a). 250.3 250.210(b) (1st sentence). 250.5 250.210(b) (1st para.)(2d sentence preceding the words "...or the reasonable..."). 250.210(c)(except last sentence). 250.7 250.210(c) last sentence. 250.9 250.210(b)(2d para.)(1st sentence). 250.11 250.210(b)(2d para.)(except 1st sentence). 250.13 250.210(b)(1st para.)(2d sentence after "...such capital expenditures..." and next to last sentence). 250.15 250.210(b)(1st para.)(last sentence). 250.17 250.210(d). Example 8: Amendatory instructions for changes described in example 6. PART 3--SERVICES TO THE PUBLIC 1. The authority citation for part 3 continues to read as follows: Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR, 1954-1958 Comp., p. 189. § 3.4 [Removed] 2. Remove § 3.4. PART 7--[REMOVED] 3. Remove part 7. PART 8--CODE OF FEDERAL REGULATIONS 4. The authority citation for part 8 continues to read as follows: Authority: 44 U.S.C. 1506, 1510; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR, 1954-1958 Comp., p. 189. § 8.8 [Removed] 5. Remove § 8.8. PART 9--THE UNITED STATES GOVERNMENT MANUAL 6. The authority citation for part 9 continues to read as follows: Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR, 1954-1958 Comp., p. 189. 7. Revise the part heading to read as shown above. § 9.3 [Removed] 8. Remove § 9.3. 9. Add new subchapter D, consisting of parts 11 and 12, to read as follows: SUBCHAPTER D--AVAILABILITY OF OFFICE OF THE FEDERAL REGISTER PUBLICATIONS PART 11--SUBSCRIPTIONS Sec. 11.1 Subscription by the public. 11.2 Federal Register. 11.3 Code of Federal Regulations. 11.4 The United States Government Manual. 11.5 Public Papers of the Presidents of the United States. 11.6 Weekly Compilation of Presidential Documents. 11.7 Federal Register Index. 11.8 LSA (List of CFR Sections Affected). Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR, 1954-1958 Comp., p. 189. * * * * * [Asterisks Indicate Text not Included in This Example] IF/THEN TABLES. If/Then tables present regulatory text in a columnar format. Each column must have a heading. The column heading may: * Identify the type of information presented in each column (See example 9); or * When read with the entry in the column present a complete sentence (See example 10). Designate each entry in the If/Then table for ease of amendment (change). If you do not designate each entry in the If/Then table, you can change the table only by revising it (reprinting the table in its entirety with the changes integrated). This is costly if your table is large. Whichever type of If/Then table you use, be sure that each entry presents a complete and logical thought. Example 9. Example 10. ---------- Chapter 8: Frequently Asked Questions Note: The OFR presents many examples with no paragraph indentations because of electronic program limitations and single-spaced for visual impact. Your document, however, must be indented and double-spaced. Federal Register Contacts 8.1 Who are my agency's Federal Register Liaison and Certifying Officers and what are their roles? 8.2 Who is my agency's Printing Officer? Receipt, Filing, and Publication Schedules 8.3 May I get a fax of today's list of documents filed for public inspection at the Office of the Federal Register and the table of contents for the next Federal Register? 8.4 Can I have proof of receipt of my document? 8.5 How many copies of the document must be submitted? 8.6 Where does an agency submit a document to the Office of the Federal Register? 8.7 What is meant by the words "Filing at the Office of the Federal Register"? 8.8 Can I get emergency filing for public inspection? 8.9 Can I delay the filing of my document? 8.10 When will my document be published? 8.11 Can I get emergency publication? 8.12 How do I withdraw a document before publication? Drafting Options 8.13 Can a rule, proposed rule, or notice be combined in the same document? 8.14 How can my agency issue a document jointly with one or more other agencies? 8.15 What is the best way to write a definition section? 8.16 How do I cross-reference to another agency's rules in my rules? 8.17 How do I refer to a publication that is not incorporated by reference in my document? 8.18 May I quote material and if so, how do I do it? 8.19 What is an OMB control number and where do I put it? 8.20 How do I request an overrun or a disk of a document published in the Federal Register? _________________________________________________________________ Chapter 8: Frequently Asked Questions Federal Register Contacts 8.1 Who are my agency's Federal Register Liaison and Certifying Officers and what are their roles? Each agency must designate a Liaison Officer and a Certifying Officer (1 CFR 16.1). Each Officer must have an alternate. You must notify the Director of the Federal Register of the name, title, address, telephone, and fax numbers of each person designated. You must also notify the Director of the Federal Register of any changes. In choosing the Liaison Officer, consider that this person will be the main contact between the agency and the OFR. Therefore, the agency should choose a person who is directly involved in the agency's regulatory program. Your agency authorizes the Liaison Officer and the alternate to resolve any problems concerning documents submitted for publication in the Federal Register or any problems concerning the rest of the agency's rules in the CFR. The Certifying Officer ensures that copies of original documents and any disks submitted for publication are true and accurate copies. The Certifying Officer signs a statements at the bottom of the signature page on each copy: "Certified to be a true copy of the original." (See example 1.) The Certifying Officer also signs the certification letter that accompanies a disk. (See Appendix A.) 8.2 Who is my agency's Printing Officer? Each agency must designate a Printing Officer who is the liaison between your agency and GPO in all printing matters. Receipt, Filing, and Publication Schedules 8.3 May I get a fax of today's list of documents filed for public inspection at the Office of the Federal Register and the table of contents for the next Federal Register? The public inspection list and the table of contents are both available from the National Archives and Records Administration's "Fax on Demand." You only need a fax machine, and there is no charge for the service except for long distance telephone charges you may incur. The document numbers are 7050-Public Inspection list and 7051-Table of Contents list. The OFR updates the public inspection list during the day (8:45 a.m. through 5:15 p.m.). You will only get a listing of documents on file and not the actual document. The Fax-On-Demand telephone number is 301-713-6905. 8.4 Can I have proof of receipt of my document? Normally, you submit an original and two certified copies or three originals; if you want proof of receipt of your document, you must submit an additional copy of the document. An OFR staff person will stamp this extra copy "Received in the Office of the Federal Register", sign his or her name under the statement, and stamp the date of receipt. Your messenger may wait for the stamped copy or you may submit a stamped or franked, self-addressed envelope so that the OFR may mail it to you. 8.5 How many copies of the document must be submitted? You must send an original and two certified copies or three originals of each document for filing and publication in the Federal Register. ORIGINAL. An official authorized to sign documents for publication in the Federal Register must sign the document in ink. The OFR suggests using blue ink since a black ink signature may look like a photocopy. * THREE ORIGINALS. You may choose to provide three identical original documents signed in ink by the issuing official. In this case, no certification statement is necessary since all documents are originals. COPIES. If you send one original document, you must also submit two certified copies. Submit legible, complete, and single-sided copies that are identical to the original. * CERTIFIED COPIES. Certified copies are not signed by the issuing official. The name and title of the issuing official are typed or stamped on the signature page. The agency also places a signed certification statement on the signature page. (See example 1.) The agency's certifying officer signs the certification statement. The certifying officer attests that the copies are identical to the original document. Certification means that the copies match the original document ensuring that they are identical and complete. Example 1: Certification statement Certified to be a true copy of the original document. (Signature of certifying officer) 8.6 Where does an agency submit a document to the Office of the Federal Register? An agency may submit a document to the OFR by the following means. * MAIL. Address regular mail to: National Archives and Records Administration The Office of the Federal Register Washington, DC 20408. Do not send regular mail addressed to 800 North Capitol Street, NW. because the OFR does not receive regular mail at that location. * MESSENGER SERVICES, OVERNIGHT DELIVERY, EXPRESS MAIL. Deliver documents between 8:45 a.m. and 5:15 p.m., Monday through Friday, except for Federal holidays, to: The Office of the Federal Register 800 North Capitol Street, NW., Suite 700 Washington, DC 20001. 8.7 What is meant by the words "Filing at the Office of the Federal Register"? If the OFR receives, processes, assigns a publication date, and places a document on public inspection, it is considered filed. The OFR must file each document for public inspection on the working day before the date of publication. You may request an earlier filing date in writing. For particulars on the request letter see Appendix A. Documents can only be filed for public inspection during official business hours (44 U.S.C. 1503 and 1504, see Appendix C). The OFR places documents on public inspection only during official business hours, 8:45 a.m. to 5:15 p.m., Monday through Friday, except for Federal holidays, at: The Office of the Federal Register 800 North Capitol Street, NW., Suite 700 Washington, DC. The OFR does not release information concerning a document to the public before the document is filed for public inspection. 8.8 Can I get emergency filing for public inspection? The OFR must file each document for public inspection on the working day before the date of publication. You may request in writing an earlier filing date. For particulars on the request letter see Appendix A. 8.9 Can I delay the filing of my document? You can only delay the filing of your document if you also delay the publication date. You may request a filing time later than 8:45 am, but the document cannot be published on the next working day. Each document must be on public inspection by 8:45 a.m. on the working day before the date of publication. 8.10 When will my document be published? The OFR assigns a document a publication date once it meets the publication requirements. REGULAR SCHEDULE. The OFR assigns each document received to the regular publication schedule unless special arrangements are made or the OFR staff requires extra time to review or print the document as discussed under "Deferred Schedule." Documents received before 2 p.m. are on a 3-day publication schedule, and those received after 2 p.m. are on a 4-day publication schedule. The table below does not reflect the changes caused by Federal holidays. Example 2. Received before 2 p.m. Filed for public inspection Published Monday Wednesday Thursday. Tuesday Thursday Friday. Wednesday Friday Monday. Thursday Monday Tuesday. Friday Tuesday Wednesday. DEFERRED SCHEDULE. The OFR assigns documents to the deferred schedule if: * You request delayed publication; * The complexity of the document requires additional time for OFR processing; * Technical printing considerations require additional time for publication; or * The size of the document requires additional processing time. (A document of 100 double-spaced pages or more requires additional time.) Sunshine Act Meetings The Government in the Sunshine Act requires certain agencies to publish notices of meetings (See Appendix C.) The law requires that these notices be publicly announced one week prior to the meeting and submitted immediately for publication in the Federal Register. To speed publication, the OFR developed standard formats for Sunshine Act documents. (See section 3.11.) Sunshine Act documents received before 4 p.m. are published on a 2-day publication schedule and Sunshine Act documents received after 4 p.m. are placed on a 3-day publication schedule. 8.11 Can I get emergency publication? The emergency schedule provides for the fastest possible publication of your document. Make each request for emergency scheduling by letter and explain the need for emergency handling. The letter must accompany the document. The request may be granted if: * The printing schedule permits; and * You clearly show your need. For an example of a letter requesting emergency publication, see Appendix A. 8.12 How do I withdraw a document before publication? You must arrange to withdraw a document through your agency's Liaison Officer. To withdraw a document before it is filed for public inspection, your Liaison Officer must: * Call the OFR; and * Send a letter confirming the withdrawal. For an example of the letter, see Appendix A. To withdraw a document after it is filed for public inspection, your Liaison Officer must: * Call the OFR; and * Send a letter requesting the withdrawal before 12 noon of the working day before the scheduled publication date. You may fax the letter to the OFR and then send the original letter as soon as possible. The OFR places the letter on public inspection with the document it corrects, and the document and letter remain on public inspection through the end of the day it is published. Extensive changes are difficult to make in the final production stages. If the correction makes extensive changes, the OFR may withdraw the document from publication. Drafting Options 8.13 Can a rule, proposed rule, or notice be combined in the same document? No, the OFR does not accept any document for publication that combines material that would appear in different categories of the Federal Register. In cases where two categories are involved, create separate documents cross-referencing each other. (See example 3.) You may request that the two documents be published in the same separate part of a Federal Register issue. (See Appendix A, Request for Special Handling Form.) Example 3. Published elsewhere in this issue of the is a (rule, proposed rule, or notice) relating to (subject matter). 8.14 How can my agency issue a document jointly with one or more other agencies? Legislation, agency reorganization, or jointly administered regulations or programs may require more than one agency or subagency to issue a document jointly. Also, agencies may want to coordinate the adoption of identical regulations or "common rules." An official authorized to sign documents for publication in the Federal Register from each agency must sign a jointly issued or common rule document. Identify each agency in the heading and preamble of the document. Carry the agencies in numerical order by CFR title number in both the heading and regulatory text. Consult with the OFR in advance for formatting assistance when preparing common rules or jointly issued rules. Example 4: Adoption of identical regulations TENNESSEE VALLEY AUTHORITY 18 CFR Part 1312 DEPARTMENT OF DEFENSE 32 CFR Part 229 DEPARTMENT OF AGRICULTURE Forest Service 36 CFR Part 296 DEPARTMENT OF THE INTERIOR Office of the Secretary 43 CFR Part 7 Archaeological Resources Protection Act of 1979; Final Uniform Regulations AGENCIES: Departments of the Interior, Agriculture, and Defense, and Tennessee Valley Authority. ACTION: Final rule. SUMMARY: These final regulations establish uniform procedures for implementing provisions of the Archaeological Resources Protection Act of 1979 in response to direction in section 10(a) of the Act. * * * * * [Asterisks Indicate Text not Included in This Example.] 8.15 What is the best way to write a definition section? In sections or paragraphs containing only definitions, the OFR recommends that you do not use paragraph designations for the terms being defined, if the terms are listed in alphabetical order. If a definition contains subordinate paragraphs, number these paragraphs (1), (2), (3), etc. Begin the definition with the term being defined. Underline the term to indicate italics. Do not use quotation marks. Do not include substantive regulatory provisions in a definition. 8.16 How do I cross-reference to another agency's rules in my rules? Cross-referencing enables an agency to substitute a reference to another CFR unit for the publication of the full text of that CFR unit. Cross-references are permitted only in limited situations. AGENCY REFERENCING ANOTHER AGENCY'S RULES An agency may cross-reference the rules of another agency only if the OFR finds that the reference meets one of the following conditions specified in 1 CFR 21.21: * The reference is required by court order, statute, Executive order, or reorganization plan; * The reference is to regulations promulgated by an agency with the exclusive legal authority to regulate in a subject matter area, but the referencing agency needs to apply those regulations in its own programs; * The reference is informational or improves clarity rather than being regulatory; * The reference is to test methods or consensus standards produced by a Federal agency that have replaced or preempted private or voluntary test methods or consensus standards in a subject matter area; or * The reference is to the departmental level from a subagency. If you qualify to cross-reference another agency's rules, you cannot make modifications to the rules referenced. If any modifications need to be made, you cannot cross-reference and must publish the rules separately in full text in your rule. AGENCY REFERENCING ITS OWN RULES You may reference your own rules, but in doing so you cannot make modifications to the rules referenced. You can only cross-reference rules currently in effect. When cross-referencing, identify the CFR unit by the proper CFR unit designation in each reference. You cannot use a non-specific reference, such as "herein," "above," or "below." Example 63 in chapter 2 illustrates the proper style for each common type of cross-reference. 8.17 How do I refer to a publication that is not incorporated by reference in my document? If you provide an informational reference to a publication in your document that is not incorporated by reference, include a statement of availability which: * Identifies the title, edition, author, and publisher; and * Contains the address where a copy may be obtained. 8.18 May I quote material and if so, how do I do it? It is not appropriate to quote laws and rules in the text of Federal Register documents. Laws may be paraphrased and rules may be cross-referenced if they meet the requirements in section 8.16. 8.19 What is an OMB control number and where do I put it? The Paperwork Reduction Act (see Appendix C) requires that all agencies submit their information collection requirements and the forms generated by these requirements to the Office of Management and Budget (OMB) for review. If the information collection requirements are approved, OMB assigns the information collection requirements an OMB control number which you may either codify in your rules or list and discuss in the SUPPLEMENTARY INFORMATION section of the preamble to the rule document. You must publish two types of documents, in the order listed, notifying the public of these requirements and seeking their comments: * Agency Information Collection Activities; Proposed Information Collection; Request for Comments. * Agency Information Collection Activities; Submission for OMB Review. The OFR publishes both of these documents in the Notices category of the Federal Register. To display an OMB control number in a rule document, you must either place the approval statement and number parenthetically at the end of the appropriate section of the regulatory text (see example 5), or display the number in the regulatory text of a section devoted to OMB control numbers (see example 6) or display the number in a CFR part devoted to OMB control numbers. (See example 7.) Example 5. This table lists the OMB control numbers assigned to the rules in this chapter. CFR cite OMB control no. § 3541.5 2050-11 8.20 How do I request an overrun or a disk of a document published in the Federal Register? OVERRUNS Overruns are additional copies of a separate part of a Federal Register issue or the entire issue. Overruns are available soon after an issue is printed. * You may order overruns of a separate part of a Federal Register issue by: + Requesting that the document be printed as a separate part when it is submitted to the OFR for publication (see Appendix A, Request for Special Handling Form.); + Obtaining the publication date and separate part number of the document from the Information Processing Unit of the OFR (see Appendix A, Special Handling Form); and + Notifying your GPO Printing Officer that: o A completed Standard Form 1 (SF-1)needs to be sent to GPO by noon on the working day before the date of publication; and o Each request for special handling or a special feature must be specified on the SF-1. * An agency may obtain optional special features for overruns of separate parts. Available features include: + Heavier grade paper. + Heavier grade cover. + A redesigned cover. + Use of agency frank on reprints. + Text or tables printed in a larger type size. If your agency desires an optional feature, your GPO printing officer must contact GPO in advance of publication and specify the optional features on the SF-1. At that time, GPO will create a production plan and schedule for the complete printing and binding. DISKS An agency may request that GPO furnish the agency with a diskette of the typeset document. If you have arranged for an open jacket (a specialized billing arrangement with GPO), you may order diskettes by attaching a Special Handling Form (see Appendix A) to the original copy of the document submitted to the OFR for publication. If your agency does not have an open jacket, your GPO Printing Officer may order diskettes by submitting a SF-1 to GPO. ---------- Appendix A: What Types of Letters and Forms Help the Office of the Federal Register Process Your Documents? * Emergency Publication Request * Emergency Filing Request * Incorporation by Reference Request * Special Handling Request * Federal Register Liaison Officer / Certifying Officer Designation * Disk Verification / Certification * Correcting a Document on Public Inspection * Withdrawing a Document from Publication Before Filing * Withdrawing a Document from Publication After Filing ______________________________________________________________________ EMERGENCY PUBLICATION REQUEST ______________________________________________________________________ ______ AGENCY LETTERHEAD January 15, 199x Raymond A. Mosley, Director Office of the Federal Register National Archives and Records Administration Washington, DC 20408 Dear Mr. Mosley: Please publish this [rule, proposed rule, or notice] on [insert subject matter] on the emergency publication schedule. [Explain why you need emergency publication.] [Give any special printing and/or processing instructions.] Call [insert your name] at [telephone number] to confirm the publication date and for answers to any questions. Sincerely, Sign Type name, Title ______________________________________________________________________ EMERGENCY FILING REQUEST ______________________________________________________________________ _____ AGENCY LETTERHEAD March 10, 199x Raymond A. Mosley, Director Office of the Federal Register National Archives and Records Administration Washington, DC 20408 Dear Mr. Mosley: Please immediately file for public inspection this [rule, proposed rule, or notice] concerning [insert subject matter]. [Explain why you need immediate filing.] [Give any special printing and/or processing instructions.] Call [insert your name] at [telephone number] to confirm the publication date and file time and for answers to any questions. Sincerely, Sign Type name, Title ______________________________________________________________________ INCORPORATION BY REFERENCE REQUEST ______________________________________________________________________ ____ AGENCY LETTERHEAD July 13, 199x Raymond A. Mosley, Director Office of the Federal Register National Archives and Records Administration Washington, DC 20408 Dear Mr. Mosley: In accordance with 1 CFR part 51, we request that you approve the incorporation by reference of the material listed below into the Code of Federal Regulations (CFR). An original copy of the material is enclosed. The following material will be referenced in [list each section where the material will be referenced]: [Insert the name of each standard to be incorporated including title, date, author, publisher, and identification number of the publication.] We have also enclosed a draft of the final rule that incorporates the material into the CFR. Please contact [insert name] of my staff at [telephone number] if you have any questions. Sincerely, Sign Type name, Title ______________________________________________________________________ SPECIAL HANDLING REQUEST ______________________________________________________________________ ____ Request for Special Handling I request the following special handling for this document: ______________________________________________________________________ FEDERAL REGISTER LIAISON OFFICER / CERTIFYING OFFICER DESIGNATION ______________________________________________________________________ ____ AGENCY LETTERHEAD April 15, 199x Raymond A. Mosley, Director Office of the Federal Register National Archives and Records Administration Washington, DC 20408 Dear Mr. Mosley: The [name of agency] designates the following individuals to work with the Office of the Federal Register: Liaison Officer: [name, title, address, telephone number] Alternate Liaison Officer:[name, title, address, telephone number] Certifying Officer:[name, title, address, telephone number] Alternate Certifying Officer:[name, title, address, telephone number] The fax number is [fax number] . Sincerely, Sign Type name, Title ______________________________________________________________________ DISK VERIFICATION / CERTIFICATION One of the following agency officials may sign your letter: * Federal Register Liaison Officer or Alternate; * Federal Register Certifying Officer or Alternate; or * Signer of the document. (See chapter 5.) ______________________________________________________________________ ____ AGENCY LETTERHEAD August 19, 199x Raymond A. Mosley, Director Office of the Federal Register National Archives and Records Administration Washington, DC 20408 Dear Mr. Mosley: This is to certify that the [WordPerfect version X.X, Microsoft Word, or ASCII] disk furnished with the [rule, proposed rule, notice],[agency docket number and subject heading or, for notices, subject heading] is a true copy of the original signed document. [Give any special printing and/or processing instructions.] Sincerely, Sign Type name, Title ______________________________________________________________________ CORRECTING A DOCUMENT ON PUBLIC INSPECTION ______________________________________________________________________ ____ AGENCY LETTERHEAD November 2, 199x Raymond A. Mosley, Director Office of the Federal Register National Archives and Records Administration Washington, DC 20408 Dear Mr. Mosley: Please make the following corrections to the [rule, proposed rule, or notice] concerning [insert subject matter (if a rule or proposed rule document, give the agency docket number or RIN number)] that is currently on public inspection and scheduled to publish on [ insert date]: 1. On page 6, second paragraph, line 7, remove the phrase "outgoing mail". 2. On page 15, after the heading "Introduction" add the sentence: "Indicated in the report is the percentage of correctly manually processed boxes versus correctly electronically processed boxes." If you have any questions, please contact [ insert name] at [telephone number]. Sincerely, Sign Type name, Title ______________________________________________________________________ WITHDRAWING A DOCUMENT FROM PUBLICATION BEFORE FILING ______________________________________________________________________ ____ AGENCY LETTERHEAD November 30, 199x Raymond A. Mosley, Director Office of the Federal Register National Archives and Records Administration Washington, DC 20408 Dear Mr. Mosley: Please return the [rule, proposed rule, or notice] on [insert subject matter (if a rule or proposed rule document, give the agency docket number or RIN number)] which we submitted on [insert date]. Mail the document to: [Name] [Address] or A messenger will pick up the document. Put the following return information on the envelope: [Insert necessary information] Sincerely, Sign Type name, Title ______________________________________________________________________ WITHDRAWING A DOCUMENT FROM PUBLICATION AFTER FILING ______________________________________________________________________ ____ AGENCY LETTERHEAD September 23, 199x Raymond A. Mosley, Director Office of the Federal Register National Archives and Records Administration Washington, DC 20408 Dear Mr. Mosley: Please withdraw from publication on [insert date], the [rule, proposed rule, or notice] on [insert subject matter (if a rule or proposed rule document, give the agency docket number or RIN number)] which is currently on public inspection and scheduled to publish on [insert date]. Sincerely, Sign Type name, Title ---------- Appendix B: What Services Does the Office of the Federal Register Provide? * A class open to the public called "The Federal Register: What It Is and How To Use It." This workshop covers: + The regulatory process; + The relationship between the Federal Register and the Code of Federal Regulations; + The elements of a typical Federal Register document; and + An introduction to the finding aids of the Federal Register publication system. For information on this workshop, write to: Public workshops; The Federal Register: What It Is And How To Use It, National Archives and Records Administration, Office of the Federal Register, Washington, DC 20408 or telephone 202-523-4534. * Liaison Officer Training Workshops, 202-523-3187 * Technical Assistance in Drafting Federal Register Documents, 202-523-3187 (Request through your Liaison Officer) * Federal Register Electronic Bulletin Board (FREND), 202-275-0920 (via modem) * Federal Register Legal Drafting Style Manual * Federal Register Thesaurus of Indexing Terms via FREND or the Internet at gopher://clio.nara.gov/00/register/thes.txt * Requests for Advance Galleys for a Federal Register Document, 202-523-3187 * Requests for Special Formatting of Documents, 202-523-3187 * Certification of Authenticity of Copies of Documents printed in the Federal Register and Code of Federal Regulations, 202-523-5240 ---------- Appendix C: Laws That Affect Federal Register Publication This Appendix lists laws that you will use to determine what documents your agency may need to publish in the Federal Register, or the procedures you will use to publish in the Federal Register, or the procedures you will use to conduct a rulemaking. These laws are: * Federal Register Act (44 U.S.C. chapter 15) * Administrative Procedure Act (5 U.S.C. subchapter II) * Federal Advisory Committee Act (5 U.S.C. appendix) * Freedom of Information Act (5 U.S.C. 552) * Privacy Act (5 U.S.C. 552a) * Government in the Sunshine Act (5 U.S.C. 552b(e)(3)) * Negotiated Rulemaking Act (5 U.S.C. 561 et seq.) * Small Business Regulatory Fairness Enforcement Act (5 U.S.C. 801 et seq.) * Regulatory Flexibility Act (5 U.S.C. 601 et seq.) * Paperwork Reduction Act (44 U.S.C. 3501 et seq.) The Federal Register Act and the Freedom of Information Act require that documents published in the Federal Register be official agency actions. The Federal Register Act (44 U.S.C. chapter 15) requires publication of the following documents in the Federal Register: * Presidential proclamations and Executive orders, except those not having general applicability and legal effect or effective only against Federal agencies or persons in their capacity as officers, agents, or employees of a Federal agency. For purposes of the act, every document that prescribes a penalty has general applicability and legal effect. * Documents or classes of documents that the President may determine from time to time to have general applicability and legal effect. * Documents or classes of documents that may be required to be published by Act of Congress. * Documents authorized to be published by regulations except for comments and news items. The Freedom of Information Act (5 U.S.C. 552) requires publication of the following documents in the Federal Register: * Descriptions of central and field organizations of each Federal agency; * Descriptions of the course and method by which each Federal agency's functions are channeled and determined; * Rules of procedure and a description of forms available; * Substantive rules of general applicability; * Statements of general policy or interpretations of general applicability; and * Each amendment, revision, or repeal of the above materials. The Freedom of Information Act also authorizes the Director of the Federal Register to approve the incorporation by reference of eligible material in the Federal Register. The regulations of the Administrative Committee of the Federal Register provide that whenever the Director of the Federal Register finds that publication of a document would be in the public interest, the document may be published in the Federal Register. ---------- II. Making Regulations Readable Readable regulations help the public find requirements quickly and understand them easily. They increase compliance, strengthen enforcement, and decrease mistakes, frustration, phone calls, appeals, and distrust of government. Everyone gains. Of the seven techniques below for writing readably, two do the most to improve the look and sound of a regulation: * Sections as questions and answers. * "You" for whoever must comply. You may wish to introduce these techniques when subparts or more of your regulations come due for revision. They will cause some stylistic inconsistency, but it will be temporary. Over time, you will improve entire regulations and, in turn, public productivity and Government credibility. Craft the table of contents The most difficult and most important part of writing a regulation comes at the start, as you think out the simplest way to get the results you seek. Your best tool is the table of contents. It is the outline that helps you to: * Include key topics. Headings for sections and higher divisions appear in the table of contents, your reader's road map. Put key topics there, not in paragraphs. Aim the content at readers new to your regulation. You will be more likely to spell things out. When the Federal Communications Commission revised its regulation on citizens band radios, it added some recommended practices to the required ones and eliminated an entire handbook that had explained the earlier, spare regulation. * Group related topics. Group long runs of sections, roughly ten or more, into parts or subparts. Typical groupings are by functions, organizations, and process stages. An especially helpful grouping is by type of readers. A regulation on loans might devote separate parts to borrowers, lenders, and the overseeing agency so each type of reader can go right to topics of interest. (The writer's challenge is to isolate each group's duties and avoid excessive repetition.) * Follow a logical order. What do your readers need to know first, second, third, and so on? In the regulation on loans, sections might flow in many ways: from major matters to minor ones, from usual practices to rare or temporary ones, and (the most common way) from first step to last. * Avoid gaps, overlaps, and contradictions. Can your reader move easily from one section to the next? Take these consecutive section headings: "Application," "Applicable criminal histories," and "Employment application." If you were a day-care operator who had to read those headings, could you tell them apart? When you revise a regulation, go through it to strike outdated requirements and insert new ones. Your computer's redline function will help you keep track of changes. But once a regulation has undergone many piecemeal changes, the best revisions start with a blank computer screen. Rethink the content and structure with a reader's convenience in mind. Use questions and other informative headings Few readers study a regulation from beginning to end; most want to go right to whatever interests them. Like drivers on unfamiliar roads, they need lots of signs. You will give readers those signs by using lots of sections. Section headings offer the double advantage of appearing in both the text and the table of contents. Headings are not required for paragraphs, but they are a good idea. Beware of any heading that is a vague word or two. It forces readers new to your regulation to study whatever follows in search of what might apply to them. A key to clarity is longer, informative headings: * For "Uses," try "Where you may use an off-highway vehicle." * For "Scope," try "What does this regulation cover?" Questions, with their subjects and predicates, make headings uncommonly informative. They provide a consistent way not only to identify topics but to say something about them. Many people think in question and answers, which makes them a natural way to design sections. Writers report that questions and answers promote step-by-step thinking that helps them spot omissions."I" questions and "you" answers help readers see where they fit into the writing. Examples: § 3172.1 May I apply for a spacing unit? You may apply for a spacing unit if . . . § 101.1. What special definitions apply to this part? Applicant means someone who . . . Limit levels of paragraphs Different levels of paragraphs clarify relative importance, allow pinpoint citations, and simplify revisions all while taking up little or no extra space. They are useful for identifying everything from steps and items to conditions and exceptions. But avoid excessive levels of paragraphs. Rarely use three designated levels (a)(1)(i) and never use more. Create more sections instead. The example on the right simplifies the text and adds a heading to the table of contents: § 211.14 Who is liable? (a) an owner is liable for . . . (1) The amount set by . . . (i) The percentage of. . . (ii) The portion of . . . (2) The special assessment by . . . (b) An operator is liable for . . . § 211.14 How is an owner liable? (a) The amount set by . . . (1) The percentage of . . . (2) The portion of . . . (b) The special assessment by . . . § 211.15 How is an operator liable? Use more tables and illustrations If-then tables display complex relationships simply. Their side-by-side arrangement helps writers and readers alike to sort out multiple options, steps, conditions, and choices. Study the next example for its capitalization, punctuation, paragraph designations, and limited use of lines (horizontal ones only, solid and dotted): (d) To see whether your transportation is an incidental expense or separately reimbursable, follow this table: If You . . . And If You . . . Then Transportation Is . . . (1) don't discuss business at the place where you obtain a meal can obtain a suitable meal at your place of lodging or business an incidental expense (2) don't discuss business at the place where you obtain a meal can't obtain a suitable meal at your place of lodging or business separately reimbursable (3) do discuss business at the place where you obtain a meal . separately reimbursable Flow charts, with their boxes and branches, clarify complex processes. Whether or not one appears in your regulation you should imagine a flow chart for your regulation to make sure you understand how all the parts fit the whole. Use "you" for whoever must comply Look for opportunities to write directly to "you," whoever must comply. The direct approach turns vague, passive statements of fact into pointed directions: "The plan must be followed [by whom?]" becomes "You must follow the plan" or "Follow the plan." With a fix on who is responsible, "you" will come naturally. Write to one reader. Though you may regulate many thousands of people, only one of them reads your writing at any one time. Here are a few ways to identify the "you": * Use a definitions section. "You means a licensee." * Use a section heading. "As a contracting officer, may I...?" * Answer a section heading. "Who must follow this regulation? This regulation tells you, a lending institution, how to..." To announce a new "you," use a heading or "if you are..." clause. Both appear in the following example: § 211.13 Who is liable for royalties due on a lease? This section establishes who is liable for royalty payments due on production from a lease: (a) Record title owner. If you are a title owner of a lease, you are liable for.... (b) Operating rights owner. If you own operating rights that were.... "You" is easiest to use in simple procedures and hardest when different readers share overlapping duties. Still, the word so focuses thinking and writing that it is among your most powerful tools. Rely on active verbs Limit passive verbs to a few per page. Sentences written with them do severe damage because they rarely say who or what does the verb's action. They assert vaguely that things "must be requested" or "may be submitted" or "will be decided." By whom? A passive verb has two parts: * Any form of to be (am, is, are, was, were, be, being, been) PLUS * The past participle of a main verb (most end in -ed). Here are some ways to turn passive verbs into active ones: * Put a doer before the verb. For "An arrangement must be established," try "You must establish an arrangement." For "After the forms are received by the control staff, they are copied," try "After the control staff receives the forms, the control staff copies them." * * Change the verb. For "If you press Control-N, you are shown a blank screen," try "...you see a blank screen" or "...the computer shows you a blank screen.." Control your sentences Three techniques will help you write sentences that are clear in a single reading. First, average about 15 words a sentence, and let any one sentence run beyond 30 words only if it ends in a parallel list. To keep the average down, use fewer words and more periods: Second, put two or more complicated qualifications after the main clause. In the next example, the original sentence forces readers to hold too much in their minds before they reach the late main clause. The revision puts the main clause first (and, for a further improvement, it should list the two conditions vertically). Third, keep subjects and verbs together and compound verbs together. In the next example, the original sentence interrupts the compound verb "may take." The interruption belongs elsewhere but not right after "The Director," where it would separate the subject and verb. Further improvements include shrinking "in accordance with the procedures set forth in" to "under" and "in the course of" to "during." Improvements like these last ones and a good many others are covered in the expanded NPR guidance "How to Write Well," which is available on the Internet at http://www.blm.gov/nh p/NPR/plaineng.html. National Archives and Records Administration _________________________________________________________________ Send comments or questions to info@fedreg.nara.gov URL:http://www.nara.gov/nara/fedreg/ddh/mrr.html Last updated: June 26, 1997 ---------- End of Document