Title 34

SECTION 9.14

9.14 Significant guidance documents.

§ 9.14 Significant guidance documents.

(a) Significant guidance document means a guidance document that may reasonably be anticipated to -

(1) Lead to an annual effect on the economy of $100 million or more or adversely affect in a material way the economy, a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or Tribal governments or communities;

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

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

(4) Raise novel, legal, or policy issues arising out of legal mandates, the President's priorities, or the principles of Executive Order 12866.

(b) Before a POC may proceed to develop a significant guidance document, the POC head must consult with DRS and consider the regulatory philosophy and principles set forth in Executive Order 13891 and the policies set forth in §§ 9.4 and 9.12. If the POC head determines that a significant guidance document is warranted, consistent with those policies and principles, the POC may prepare a Significant Guidance Document Initiation Request to the Working Group of the RRTF.

(1) A proposed title for the document;

(2) The need for the document, including a description of the relevant statutes and regulations;

(3) The legal authority for the document;

(4) A description of the economic impact associated with the document;

(5) The tentative target date for completion of the significant guidance document; and

(6) Whether there is a statutory or judicial deadline, or some other urgency, associated with the significant guidance document.

(d) The POC head submits the Significant Guidance Document Initiation Request to the Assistant General Counsel for DRS and the RPO, together with any other documents that may assist in the RRTF's consideration of the request.

(e) DRS includes the Significant Guidance Document Initiation Request on the agenda for consideration at the next RRTF Working Group meeting.

(f) The Working Group forwards the Significant Guidance Document Initiation Request to the Leadership Council and provides the Leadership Council with a recommendation.

(g) The Department will seek significance determinations from OIRA for certain guidance documents, as appropriate, in the same manner as for rulemakings. Prior to publishing these guidance documents, and with sufficient time to allow OIRA to review the document in the event that a significance determination is made, Department should provide OIRA with an opportunity to review the designation request or the guidance document, if requested, to determine if it meets the definition of “significant” or “economically significant” under Executive Order 13891.

(h) Unless the Department and the Administrator agree that exigency, safety, health, or other compelling cause warrants an exemption from some or all requirements, upon approval of the Leadership Council, the Department will issue the significant guidance document only after completing the following requirements:

(1) A period of public notice and comment of at least 30 calendar days before issuance of the final significant guidance document, and a public response from the Department to significant comments, except when the Department, for good cause, finds (and incorporates such finding and a brief statement of the reasons into the significant guidance document) that notice and public comment thereon are impracticable, unnecessary, or contrary to the public interest, according to the same standards applicable to agency rules under 5 U.S.C. 553(b)(B).

(2) Approval by the Secretary and signature by the Secretary or the component head or by an official who is serving in an acting capacity as either of the foregoing before issuance.

(3) Review by OMB under Executive Order 12866.

(4) Compliance with the applicable requirements for regulations or rules, including significant regulatory actions, set forth in Executive Orders 12866, 13563, 13771, and 13777, and any Executive orders that supersede such orders, for such time as they are in effect.