Administrative Guidance
| Published date | 20 April 2020 |
| Citation | 85 FR 21770 |
| Record Number | 2020-07523 |
| Section | Rules and Regulations |
| Court | Federal Mediation And Conciliation Service |
Federal Register, Volume 85 Issue 76 (Monday, April 20, 2020)
[Federal Register Volume 85, Number 76 (Monday, April 20, 2020)]
[Rules and Regulations]
[Pages 21770-21773]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-07523]
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FEDERAL MEDIATION AND CONCILIATION SERVICE
29 CFR Part 1473
RIN 3076-AA15
Administrative Guidance
AGENCY: Federal Mediation and Conciliation Service.
ACTION: Final rule.
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SUMMARY: This final rule sets forth the Service's procedures governing
the issuance of guidance documents as required by the Executive order
titled ``Promoting the Rule of Law Through Improved Agency Guidance
Documents''.
DATES: Effective on May 20, 2020.
FOR FURTHER INFORMATION CONTACT: Sarah Cudahy, Office of the General
Counsel, 202-606-8090, [email protected].
SUPPLEMENTARY INFORMATION: This final rule, which adds to the Code of
Federal Regulations at 49 part 1473, is adopted pursuant to Executive
Order 13891, titled: ``Promoting the Rule of Law Through Improved
Agency Guidance Documents'' (October 9, 2019). In that Executive order,
Federal agencies are required to finalize regulations, or amend
existing regulations as necessary, to set forth processes and
procedures for issuing guidance documents.
Administrative Procedure
Under the Administrative Procedure Act, an agency may waive the
normal notice and comment procedures if the action is a rule of agency
organization, procedure, or practice. See 5 U.S.C. 553(b)(3)(A). As
this final rule merely codifies procedures applicable to the Service's
administrative procedures into the Code of Federal Regulations, notice
and comment are not necessary.
Rulemaking Analyses and Notices
A. Executive Order 12866
The Office of Management and Budget has determined that this
rulemaking is not a significant regulatory action under Executive Order
12866. The Service does not anticipate that this rulemaking will have
an economic impact on regulated entities. This is a rule of agency
procedure and practice. The
[[Page 21771]]
final rule describes the Service's procedures for processing of
guidance documents. The Service has adopted these internal procedures
as required by Executive Order 13891, and has not incurred any
additional resource costs in doing so. The adoption of these practices
has been accomplished through the use of existing agency resources, and
it is anticipated that the public will benefit from the resulting
increase in efficiency in delivery of government services.
B. Executive Order 13771 (Reducing Regulation and Controlling
Regulatory Costs)
This rule is not an Executive Order 13771 regulatory action because
this rule is not significant under Executive Order 12866.
C. Regulatory Flexibility Act
Since notice and comment rulemaking is not necessary for this rule,
the provisions of the Regulatory Flexibility Act (Pub. L. 96-354, 5
U.S.C. 601-612) do not apply.
D. Executive Order 13132 (Federalism)
Executive Order 13132 requires agencies to ensure meaningful and
timely input by State and local officials in the development of
regulatory policies that may have a substantial, direct effect on the
States, on the relationship between the National Government and the
States, or on the distribution of power and responsibilities among the
various levels of government. This action has been analyzed in
accordance with the principles and criteria contained in Executive
Order 13132 (August 4, 1999), and the Service has determined that this
action will not have a substantial direct effect or federalism
implications on the States and would not preempt any State law or
regulation or affect the States' ability to discharge traditional State
governmental functions. Therefore, consultation with the States is not
necessary.
E. Executive Order 13175
This final rule has been analyzed in accordance with the principles
and criteria contained in Executive Order 13175, ``Consultation and
Coordination with Indian Tribal Governments.'' Because this rulemaking
does not significantly or uniquely affect the communities of the Indian
tribal governments or impose substantial direct compliance costs on
them, the funding and consultation requirements of Executive Order
13175 do not apply.
F. Paperwork Reduction Act
The Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501 et seq.)
requires that FMCS consider the impact of paperwork and other
information collection burdens imposed on the public and, under the
provisions of PRA section 3507(d), obtain approval from the Office of
Management and Budget (OMB) for each collection of information it
conducts, sponsors, or requires through regulations. The Service has
determined there are no new information collection requirements
associated with this final rule.
G. National Environmental Policy Act
The agency has analyzed the environmental impacts of this action
pursuant to the National Environmental Policy Act of 1969 (NEPA) (42
U.S.C. 4321 et seq.) and has determined that it does not apply. The
purpose of this rulemaking is to formalize the Service's administrative
procedures for guidance documents. The agency does not anticipate any
environmental impacts, and there are no extraordinary circumstances
present in connection with this rulemaking.
Regulation Identifier Number
A regulation identifier number (RIN) is assigned to each regulatory
action listed in the Unified Agenda of Federal Regulations. The
Regulatory Information Service Center publishes the Unified Agenda in
the spring and fall of each year. The RIN contained in the heading of
this document can be used to cross reference this action with the
Unified Agenda.
List of Subjects in 29 CFR Part 1473
Administrative practice and procedure, Guidance documents.
Issued in Washington, DC on April 6, 2020.
Gregory Goldstein,
Acting Director.
0
In consideration of the foregoing, the Federal Mediation and
Conciliation Service adds 29 CFR part 1473 to read as follows:
PART 1473--ADMINISTRATIVE GUIDANCE
Subpart A--Guidance Documents
Sec.
1473.1 Purpose and scope.
1473.2 Definition of guidance document.
1473.3 Review and clearance by the Office of the General Counsel.
1473.4 Requirements for clearance.
1473.5 Public access to guidance documents.
1473.6 Waiver of publication of guidance documents.
1473.7 Good faith cost estimates.
1473.8 Definition of significant guidance document.
1473.9 Procedure for guidance documents identified as
``significant''.
1473.10 Notice-and-comment procedures.
1473.11 Petitions to withdraw or modify guidance.
1473.12 Rescinded guidance.
1473.13 Exigent circumstances.
1473.14 Reports to Congress and the Government Accountability Office
(GAO).
1473.15 No judicial review or enforceable rights.
Subpart B--[Reserved]
Authority: 29 U.S.C. 172 and 29 U.S.C. 173, et seq.
Subpart A--Guidance Documents
Sec. 1473.1 Purpose and scope.
(a) This subpart prescribes general procedures that apply to
guidance documents of the Federal Mediation and Conciliation Service.
(b) This subpart governs all Federal Mediation and Conciliation
Service employees and contractors involved with all phases of issuing
Service guidance documents.
(c) This subpart applies to all guidance documents by the Service
in effect on or after February 28, 2020.
Sec. 1473.2 Definition of guidance document.
(a) For purposes of this subpart, the term guidance document means
an agency statement of general applicability, intended to have future
effect on the behavior of regulated parties, that sets forth a policy
on a statutory, regulatory, or technical issue, or an interpretation of
a statute or regulation and is not otherwise required by statute to
satisfy the rulemaking procedures specified in 5 U.S.C. 553 or 5 U.S.C.
556.
(b) This subpart does not apply to:
(1) Rules exempt from rulemaking requirements under 5 U.S.C.
553(a);
(2) Rules of agency organization, procedure, or practice;
(3) Decisions of agency adjudications under 5 U.S.C. 554 or similar
statutory provisions;
(4) Internal executive branch legal advice or legal advisory
opinions addressed to executive branch officials;
(5) Agency statements of specific applicability, including advisory
or legal opinions directed to particular parties about circumstance-
specific questions (e.g., case or investigatory letters responding to
complaints, warning letters), notices regarding particular locations or
facilities (e.g., guidance pertaining to the use, operation, or control
of a Government facility or property), and
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correspondence with individual persons or entities (e.g., congressional
correspondence), except documents ostensibly directed to a particular
party but designed to guide the conduct of the broader regulated
public;
(6) Legal briefs, other court filings, or positions taken in
litigation or enforcement actions;
(7) Agency statements that do not set forth a policy on a
statutory, regulatory, or technical issue or an interpretation of a
statute or regulation, including speeches and individual presentations,
editorials, media interviews, press materials, or congressional
testimony that do not set forth for the first time a new regulatory
policy;
(8) Guidance pertaining to military or foreign affairs functions;
(9) Grant solicitations and awards;
(10) Contract solicitations and awards; or
(11) Purely internal agency policies or guidance directed solely to
Service employees or contractors or to other Federal agencies that are
not intended to have substantial future effect on the behavior of
regulated parties.
Sec. 1473.3 Review and clearance by the Office of the General
Counsel.
All Federal Mediation and Conciliation Service guidance documents,
as defined in Sec. 1473.2, require review and clearance in accordance
with this subpart. All guidance proposed to be issued by the Service
must be reviewed and cleared by the Office of General Counsel.
Sec. 1473.4 Requirements for clearance.
The Service's review and clearance of guidance shall ensure that
each guidance document proposed to be issued by the Federal Mediation
and Conciliation Service satisfies the following requirements:
(a) The guidance document complies with all relevant statutes and
regulation (including any statutory deadlines for agency action);
(b) The guidance document identifies or includes:
(1) The term ``guidance'' or its functional equivalent;
(2) A concise name for the guidance document;
(3) The issuing department;
(4) A unique identifier, including, at a minimum, the date of
issuance, title of the document, and a number assigned by the Office of
General Counsel (or, in the case of a significant guidance document,
the Z-RIN (regulation identifier number));
(5) The general topic addressed by the guidance document;
(6) Citations to applicable statutes and regulations;
(7) A statement noting whether the guidance is intended to revise
or replace any previously issued guidance and, if so, sufficient
information to identify the previously issued guidance; and
(8) A concise summary of the guidance document's content;
(c) The guidance document avoids using mandatory language, such as
``shall,'' ``must,'' ``required,'' or ``requirement,'' unless the
language is describing an established statutory or regulatory
requirement or is addressed to Service staff and will not foreclose the
Service's consideration of positions advanced by affected private
parties;
(d) The guidance document is written in plain and understandable
English; and
(e) All guidance documents include the following disclaimer
prominently: ``The contents of this document do not have the force and
effect of law and are not meant to bind the public in any way. This
document is intended only to provide clarity to the public regarding
existing requirements under the law or agency policies.'' When an
agency's guidance document is binding because guidance is authorized by
law or because the guidance is incorporated into a contract, the agency
should modify this disclaimer to reflect either of those facts.
Sec. 1473.5 Public access to guidance documents.
The Office of General Counsel shall:
(a) Oversee the creation of a guidance portal on the agency's
website;
(b) Ensure all effective guidance documents, identified by a unique
identifier as described in Sec. 1473.4(b)(4), are on the guidance
portal in a single, searchable, indexed database, and available to the
public;
(c) Note on the agency's guidance portal that guidance documents
lack the force and effect of law, except as authorized by law or as
incorporated into a contract;
(d) Maintain and publish on the Service's guidance portal a means
for the public to comment electronically on any guidance documents that
are subject to the notice-and-comment procedures, and to submit
requests electronically for issuance, reconsideration, modification, or
rescission of guidance documents in accordance with Sec. 1473.11;
(e) Include on the agency's guidance portal the date on which all
guidance documents were posted to the website, and a hyperlink to all
the guidance documents;
(f) Receive and address complaints from the public that the Service
is not following the requirements of the Office of Management and
Budget's (OMB) Good Guidance Bulletin, or that the Service is
improperly treating a guidance document as a binding requirement;
(g) Note on the agency's guidance portal that any guidance document
not posted on the guidance portal is rescinded, and that neither the
agency nor a party may cite, use, or rely on any guidance document that
is not posted on the guidance portal, except to establish historical
facts; and
(h) Include on the agency's guidance portal a link to this subpart.
Sec. 1473.6 Waiver of publication of guidance documents.
(a) Section 1473.5(b) and (e) does not apply to guidance documents
for which a waiver has been applied from the OMB Director pursuant to
Subsection 3(c) of E.O. 113891.
(b) Requests for waivers must be written and signed by a senior
policy official at the agency.
Sec. 1473.7 Good faith cost estimates.
Even though not legally binding, some agency guidance may result in
a substantial economic impact. For example, the issuance of agency
guidance may induce private parties to alter their conduct to conform
to recommended standards or practices, thereby incurring costs beyond
the costs of complying with existing statutes and regulations. While it
may be difficult to predict with precision the economic impact of
voluntary guidance, the Federal Mediation and Conciliation Service
(FMCS) shall, to the extent practicable, make a good faith effort to
estimate the likely economic cost impact of the guidance document to
determine whether the document might be significant. When FMCS is
assessing or explaining whether it believes a guidance document is
significant, it shall, at a minimum, provide the same level of analysis
that is required for a major determination under the Congressional
Review Act.\1\ When FMCS, in consultation with OMB's Office of
Information and Regulatory Affairs (OIRA), determines that a guidance
document will be economically significant, FMCS will conduct and
publish a Regulatory Impact Analysis of the sort that would accompany
an economically significant rulemaking, to the extent reasonably
possible.
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\1\ See OMB Memorandum M-19-14, Guidance on Compliance with the
Congressional Review Act (April 11, 2019).
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Sec. 1473.8 Definition of significant guidance document.
(a) The term significant guidance document means a guidance
document that will be disseminated to regulated entities or the general
public and that may reasonably be anticipated:
(1) To lead to an annual effect on the economy of $100 million or
more or adversely affect in a material way the U.S. economy, a sector
of the U.S. economy, productivity, competition, jobs, the environment,
public health or safety, or State, local, or tribal governments or
communities;
(2) To create serious inconsistency or otherwise interfere with an
action taken or planned by another Federal agency;
(3) To alter materially the budgetary impact of entitlements,
grants, user fees, or loan programs or the rights and obligations of
recipients thereof; or
(4) To raise novel legal or policy issues arising out of legal
mandates, the President's priorities, or the principles set forth in
E.O. 12866, as further amended.
(b) The term significant guidance document does not include the
categories of documents excluded by Sec. 1473.2 or any other category
of guidance documents exempted in writing by the Office of General
Counsel in consultation with OIRA.
Sec. 1473.9 Procedure for guidance documents identified as
``significant''.
(a) FMCS will make an initial, preliminary determination about a
guidance document's significance. Thereafter, FMCS must consult with
OIRA to determine whether guidance is significant guidance, unless the
guidance is otherwise exempted from such a determination by the
Administrator of OIRA.
(b) Significant guidance documents, as determined by the
Administrator of OIRA, must be reviewed by OIRA under E.O. 12866 before
issuance; and must demonstrate compliance with the applicable
requirements for regulations or rules, including significant regulatory
actions, set forth in E.O. 12866, E.O. 13563, E.O. 13609, E.O. 13771,
and E.O. 113777.
(c) Significant guidance documents must be signed by the Director.
Sec. 1473.10 Notice-and-comment procedures.
(a) Except as provided in paragraph (b) of this section, all
proposed Federal Mediation and Conciliation Service guidance documents
determined to be a ``significant guidance document'' within the meaning
of Sec. 1473.8 shall be subject to the following informal notice-and-
comment procedures. The Office of General Counsel shall publish a
notice in the Federal Register announcing that a draft of the proposed
guidance document is publicly available, shall post the draft guidance
document on its website, shall invite public comment on the draft
document for a minimum of 30 days, and shall prepare and post a public
response to major concerns raised in the comments, as appropriate, on
its guidance portal, either before or when the guidance document is
finalized and issued.
(b) The requirements of paragraph (a) of this section will not
apply to any significant guidance document or categories of significant
guidance documents for which the Office of General Counsel finds, in
consultation with OIRA, the proposing department, and the Director,
good cause that notice and public procedure thereon are impracticable,
unnecessary, or contrary to the public interest (and incorporates the
finding of good cause and a brief statement of reasons therefor in the
guidance issued).
(c) Where appropriate, the Office of General Counsel or the
proposing department may recommend to the Director that a particular
guidance document that is otherwise of importance to the Service's
interests shall also be subject to the informal notice-and-comment
procedures described in paragraph (a) of this section.
Sec. 1473.11 Petitions to withdraw or modify guidance.
(a) Any person may petition the Office of General Counsel to
withdraw or modify a particular guidance document as specified by Sec.
1473.5(d).
(b) The Office of General Counsel should respond to all requests in
a timely manner, but no later than 90 days after receipt of the
request.
Sec. 1473.12 Rescinded guidance.
(a) The Office of General Counsel, in consultation with the
Director and the issuing department, shall determine whether to rescind
a guidance document.
(b) Once rescinded, the hyperlink to the guidance document will be
removed. The name, title, unique identifier, and date of rescission
will be listed on the guidance portal for at least one year after
rescission.
(c) No party or employee of the Federal Mediation and Conciliation
Service may cite, use, or rely on rescinded guidance documents, except
to establish historical facts.
Sec. 1473.13 Exigent circumstances.
In emergency situations or when the Federal Mediation and
Conciliation Service is required by statutory deadline or court order
to act more quickly than normal review procedures allow, the issuing
department shall coordinate with the Office of General Counsel to
notify OIRA as soon as possible and, to the extent practicable, shall
comply with the requirements of this subpart at the earliest
opportunity. Wherever practicable, the Office of General Counsel should
schedule its proceedings to permit sufficient time to comply with the
procedures set forth in this subpart.
Sec. 1473.14 Reports to Congress and the Government Accountability
Office (GAO).
Unless otherwise determined in writing by the Office of General
Counsel, it is the policy of the Service that upon issuing a guidance
document determined to be ``significant'' within the meaning of Sec.
1473.8, the Director will submit a report to Congress and GAO in
accordance with the procedures described in 5 U.S.C. 801 (the
``Congressional Review Act'').
Sec. 1473.15 No judicial review or enforceable rights.
This subpart is intended to improve the internal management of the
Federal Mediation and Conciliation Service. As such, it is for the use
of Federal Mediation and Conciliation Service personnel only and is not
intended to, and does not, create any right or benefit, substantive or
procedural, enforceable at law or in equity by any party against the
United States, its agencies or other entities, its officers or
employees, or any other person.
Subpart B--[Reserved]
[FR Doc. 2020-07523 Filed 4-17-20; 8:45 am]
BILLING CODE 6732-01-P
