Jeffrey S. Lubbers

A Guide to Federal Agency Rulemaking, Sixth Edition (eBook, ePUB)

• Format: ePub

Produktbeschreibung

As procedures governing the rulemaking process have proliferated since the Administrative Procedure Act was enacted, the potential procedural pitfalls have multiplied. This 6th edition brings the Guide up-to-date with respect to recent cases and changes introduced during the latter half of the Obama Administration and the early years of the Trump Administration.

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Produktdetails

• Verlag: American Bar Association
• Seitenzahl: 500
• Erscheinungstermin: 7. Dezember 2019
• Englisch
• ISBN-13: 9781641053174
• Artikelnr.: 62321874

Autorenporträt

By Jeffrey S. Lubbers

Inhaltsangabe

TABLE OF CONTENTS Dedication iii About the Author xv Preface xvii Note about the Administrative Conference of the United States (1968-1995, 2010- ) xxi List of Acronyms Used in the Text xxiii PART I OVERVIEW OF FEDERAL AGENCY RULEMAKING 1 A. Rulemaking under the Administrative Procedure Act 4 B. Agency Rulemaking and the Courts 6 C. Agency Rulemaking and the Congress 12 D. Agency Rulemaking and the President 18 1. The Development of Presidential Review 19 2. Executive Order 12,866 23 3. Developments in the Bush II Administration 29 4. Developments in the Obama Administration 31 5. Developments in the Trump Administration 33 6. Judicial Reaction to Presidential Review 38 E. Overviews of Rulemaking
Other Views 39 1. The Administrative Conference's Comprehensive Review of the
State
of Rulemaking 39 2. The
Blackletter Statement
of the ABA Section of Administrative Law and Regulatory Practice 40 3. Other Overviews of Rulemaking 41 Excerpts from
A Blackletter Statement of Federal Administrative Law
43 PART II THE STATUTORY FRAMEWORK FOR RULEMAKING 49 Chapter 1 The Administrative Procedure Act's Rulemaking Provisions 51 A.
Rules
and
Rulemaking
Under the APA 51 B. Formal Rulemaking under the APA 58 C. Informal Rulemaking under Section 553 of the APA 60 vi A Guide to Federal Agency Rulemaking D. Rules Exempt from All of Section 553's Requirements 61 1. Proprietary Matters: Public Property, Loans, Grants, Benefits, and Contracts 62 2. Agency Management or Personnel 66 3. Military or Foreign Affairs 67 E. Rules Exempt from Notice and Comment 68 1. Rules of Agency Organization, Procedure, or Practice 69 2. Interpretive Rules and Policy Statements (also known as
Non-Legislative Rules
or
Guidance
) 74 a. The agency's label 77 b. Distinguishing between interpretive rules and legislative rules 78 i. The
legal effect
test 79 ii. The
binding norm
test 80 iii. The modern test: Is the rule truly interpretive or does it effect substantive change? 84 iv. Agency modification of prior interpretations of their regulations 88 c. Distinguishing between legislative rules and policy statements 90 i. Case law: true policy statements do not establish a binding norm 91 ii. Importance of agency practice 94 iii. ACUS Recommendations 96 iv. OMB
Good Guidance
Bulletin 98 v. Other agency stratagems 99 d. Summary of the law on the guidance exemption 100 e. The intertwining of procedural claims and finality for the purposes of judicial review 103 f. Post-promulgation comment period 104 3.
Good Cause
Exemptions 105 a. Emergency health or safety standards 109 b. Congressional deadlines 110 c.
Interim-final
rules 114 d.
Direct-final
rulemaking 116 e. Remedies for violations of the good-cause provision 118 f. Suspension of effective dates and
midnight rules
119 4. Exemptions from Delayed Effective Date Requirement 125 F. Publication Requirements of Section 552 of the APA 126 Chapter 2 Use of Rulemaking or Adjudication for the Setting of Policy: A Comparison 129 A. Legal Constraints on Choosing Rulemaking or Adjudication 132 1. Statutory Requirements 132 2. Statutory Authority 132 3. Judicial Constraints 136 Contents vii B. Practical Considerations in Choosing Rulemaking or Adjudication 141 1. Advantages of Rulemaking 141 2. Advantages of Adjudication 144 3. Declaratory Orders 146 4. Summary 146 Chapter 3 Other Procedural Statutes Affecting Rulemaking 149 A. The Federal Register Act 149 B. The National Environmental Policy Act 151 C. The Regulatory Flexibility Act 153 D. The Paperwork Reduction Act 160 1. The OMB Clearance Requirements 162 2. Clearance Procedure 163 3. PRA and the Internet 167 4. Standard of Review 168 5. The Small Business Paperwork Relief Act 169 E. The Federal Advisory Committee Act 170 F. The Negotiated Rulemaking Act 173 G. The Unfunded Mandates Reform Act 177 H. The Information Quality Act 179 I. The E-Government Act of 2002 184 J. Congressional Review of Rules 185 K. Miscellaneous Other Statutes Affecting Rulemaking 193 1. The Trade Agreements Act 193 2. The National Technology Transfer and Advancement Act 194 3. Assessment of Federal Regulations and Policies on Families 194 PART III INFORMAL RULEMAKING IN PRACTICE 197 Chapter 1 Beginning the Process 199 A. External Considerations 200 1. Congressional and Judicial Pressure 202 2. Public Petitions for Rulemaking 203 3. Agency Priority Setting 206 4. Other Influences on an Agency's Decision to Begin Rulemaking 209 5. Litigation Settlements and Consent Decrees 210 B. Procedural Decisions 215 1. Advance Notice of Proposed Rulemaking (ANPRM) 216 2. Negotiated Rulemaking 217 viii A Guide to Federal Agency Rulemaking Chapter 2 Electronic Rulemaking 227 A. Potential Benefits 230 B. Legal and Technical Issues 231 1. Questions about the Informational Goal 234 a. How should we best integrate existing sources of information? 234 b. Docketing issues 235 2. Questions Concerning the Participatory Goal 241 a. How can we best reach the goal of better, more targeted notices? 241 b. Can we also provide easier, more convenient comment opportunities? 241 c. What rules should govern rulemaking
chat rooms
? 242 C. The Impact of E-Rulemaking on the Rulemaking Process 243 Chapter 3 Regulatory Analysis and Review 251 A. Executive Order 12,866 252 1. Rules Covered by Executive Order 12,866 Review 253 2. Content of the Regulatory Analysis 255 3. OIRA Review 261 B. The Paperwork Reduction Act 263 1. Coverage 263 2. Content of the Analysis 264 3. OIRA Review 264 C. The Regulatory Flexibility Act 265 1. Coverage 265 2. Content of the Analysis 265 3. Review by the Small Business Administration 266 D. Unfunded Mandates Reform Act (UMRA) 267 1. Coverage 267 2. Content of the Analysis 267 3. Review of the Analyses 268 E. OMB Peer Review Bulletin 269 F. OMB/OSTP Risk Assessment Principles 272 G. Assessment of Federal Regulations and Policies on Families 273 H. Privacy Assessments 274 I. Other Executive Orders 274 J. Coordination of Analysis Requirements 279 Chapter 4 The Notice of Proposed Rulemaking 283 A. Publication Requirements 283 B. Contents of the Notice of Proposed Rulemaking 285 C. Federal Register Requirements and Incorporation by Reference 286 Contents ix D. Adequacy of the Notice 289 E. Need for a Second Cycle of Notice and Comment (
Logical Outgrowth
Test) 291 1. Formulations of the
Logical Outgrowth
Test 292 2. The Supreme Court Adopts the Test 295 3. Examination of the Comments 296 4. Importance of the Wording of the NPRM 298 5. Voluntary Use of Two Cycles of Notice and Comment 301 F. Dissents 303 Chapter 5 Public Participation 305 A. Opportunity for Written Comment 305 1. Minimum Time 306 2. Agency Disclosure of Important Data or Information 310 3. Open-mindedness 314 B. Special Consultation Requirements 315 C. Oral Hearings in APA Rulemakings 316 1. Formal Rulemaking under the APA 316 2. Hearing Requirements in Hybrid Rulemaking Statutes 319 3. The Position of the Administrative Conference on Hearings in Rulemaking 320 4. Agency Oral Hearing Procedures 321 Chapter 6 The Rulemaking Record 325 A. The Evolution of the
Rulemaking Record
Concept 325 B. The Importance of the Rulemaking Record in Informal Rulemaking 329 1. The Rulemaking Record as an Aid to Public Participation 330 2. The Rulemaking Record as the Basis for the Agency's Rulemaking Decisions 330 3. The Rulemaking Record as the Basis for Judicial Review 332 4. Treatment of
Confidential
Comments 339 Chapter 7
Off-the-Record
or
Ex Parte
Communications in Rulemaking 343 A. Summary of the Law 343 B. Agency Practices for Handling Ex Parte Communications 346 1. Policy Considerations 346 2. The Administrative Conference's Recommendations 347 3. Agency Practice 348 C. Executive Branch Communications in Rulemaking 350 1. The Administrative Conference's Recommendations 350 x A Guide to Federal Agency Rulemaking 2. The Transparency of OMB's Review of Agency Rules 352 3. The Judicial Perspective 354 D. Congressional Communications in Rulemaking 355 E. Intra-agency Communications in Rulemaking 357 F. Communications with Consultants 359 Chapter 8 The Final Rule 361 A. Issues for Agency Consideration 361 1. Time Limits for Agency Action 361 2. Interagency Coordination and Review 363 3. International Regulatory Cooperation 365 4. The Final Regulatory Analysis and OMB Review 368 5. Legal and Jurisdictional Issues 369 6. Determining the Effective Date and Compliance Date for the Final Rule 370 a. APA requirements; OIRA review 370 b. Congressional review
special impact on major rules 371 c. Retroactivity concerns 372 7. Disqualification of Decisionmakers 377 B. The Statement of Basis and Purpose 379 1. Impact of Judicial Review 380 2. Discussion of Alternatives 384 3. Response to Comments 385 C. Publication of the Final Rule 389 1. Section 552 Requirements 389 2. Federal Register Requirements 390 3. Plain Language Requirements 395 4.
Issuance
and
Promulgation
of the Final Rule 396 5. Dissents 396 Chapter 9 Agency Responsibilities after the Rule Is Issued 399 A. Implementation, Guidance, and Enforcement 399 B. Waivers and Exceptions 400 C. Periodic Review of Existing Regulations 404 1. White House Efforts at
Lookback
406 2. ACUS Recommendations 409 D. Legal Constraints on Rescinding Existing Rules 412 PART IV JUDICIAL REVIEW OF AGENCY RULEMAKING 415 Chapter 1 Availability of Judicial Review 417 A. Is the Agency Action Reviewable? 417 B. Who Has Standing to Obtain Judicial Review? 421 1. Under the APA 421 2. Associational or Organizational Standing 423 3. The Injury-in-Fact Test 426 a. Origins 426 b. The Lujan cases 427 c. The pendulum swings back in Akins and Laidlaw 428 d. Massachusetts v. EPA 431 e. Cutting back on
probabilistic injury
432 f. Special rules for
procedural injuries
or
informational injuries
? 436 g. Proof of injury 439 4. Causation (Traceability and Redressability) 441 5. Other Statutory and Constitutional (But not Prudential) Principles Governing Standing 444 a. Prudential or not prudential? 444 b. The
zone-of-interests
test 445 C. The Proper Forum for Review: Court of Appeals or District Court? 451 1. Statutory Review 451 2. Non-statutory Review 455 D. The Venue (Location) of Review 456 E. The Appropriate Timing for Judicial Review 458 1. Finality 458 2. Exhaustion 466 3. Ripeness 470 a. Ripeness and pre-enforcement review 472 i. No pre-enforcement review statute 473 ii. Pre-enforcement review statutes and deadlines 478 b.
Reopening
the deadline 483 c. When is the rule
issued
for time-limits purposes? 485 d. Time limits and challenges to non-legislative rules 487 Chapter 2 The Scope of Judicial Review 489 A. Scope of Review
General Provisions 489 1. APA Section 706(1):
agency action unlawfully withheld or unreasonably delayed
490 xii A Guide to Federal Agency Rulemaking 2. APA Section 706(2)(A):
arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law
491 a. Significant Supreme Court decisions applying the arbitrary and capricious test 496 b. The
hard look
doctrine 500 c. Scope of review of agency policy changes 509 d. Debate over the proper place for politics 514 e. Summary 515 3. APA Section 706(2)(B):
contrary to constitutional right, power, privilege, or immunity
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 517 4. APA Section 706(2)(C):
in excess of statutory jurisdiction, authority, or limitations, or short of statutory right
. . . . . . . . . . . . . . . . . . 517 a. The Chevron decision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519 b. Step One of Chevron . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 521 c. Step Two of Chevron . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 526 d. When does Chevron apply? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 530 i. Informal issuances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 536 ii. Jurisdictional determinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 543 iii.
Major questions.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 545 iv. Previously litigated interpretations . . . . . . . . . . . . . . . . . . . . . . . . . 547 v. Does all this matter? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549 e. Rising opposition to Chevron . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 550 f. When Chevron does not apply, what does Skidmore deference mean? . . . . . . . 554 g. Judicial deference to agency interpretations of their own regulations . . . . . . . . 556 5. APA Section 706(2)(D):
without observance of procedure required by law
. . 564 a. The APA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 566 b. Other statutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 566 c. The agency's procedural regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . 567 d. Procedural requirements imposed by courts . . . . . . . . . . . . . . . . . . . . . 568 e. Need to decide substantive claims after vacating a rule on procedural grounds . 571 6. APA Section 706(2)(E):
unsupported by substantial evidence in a case subject to sections 556 and 557 of this title or otherwise reviewed on the record of an agency hearing provided by statute
. . . . . 571 7. APA Section 706(2)(F):
unwarranted by the facts to the extent that the facts are subject to trial de novo by the reviewing court
. . . . . . 573 B. Record on Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 574 C. Judicial Remedies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 575 1. Stays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 575 2. Remand without Vacatur . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577 Contents xiii Chapter 3 Judicial Review of Agency Failure to Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 585 A. General Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 585 B. Types of Agency Inaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 589 1. Failure to Initiate a Rulemaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 589 2. Delay in a Rulemaking Proceeding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 596 3. Termination of Rulemaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599 C. Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 601 Appendix A: Selected Federal Statutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 603 Appendix B: Executive Order No. 12,866: Regulatory Planning and Review . . . 635 Appendix C: Executive Order No. 13,563: Improving Regulation and Regulatory Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 649 Appendix D: Executive Order No. 13,771: Reducing Regulation and Controlling Regulatory Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 653 Table of Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 657 Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 703