Congressional Action to Overturn Agency Rules: Alternatives to the "Legislative Veto"

Congressional research reportSep 24, 1979

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Report No. 79-206 GOV

GOVERNMENT DOCUMENTS COLLECTION

NORTHERN KENTUCKY UNiVERSlTY

CONGRESSIONAL ACTION TO OVERTURN AGENCY RULES:

ALTERNATIVES TO THE "LEGISLATIVE VETO"

Frederick M. Kaiser

Analyst in American National Government

Government Division

September 24, 1979

T h e Congressional Research Service works exclusively forthe Conqress, conducting research. analyzing legislation, and

providikg information at the request of com&ittees. \ l e u hers, and their staff's.

T h e Service makes such research available, without partisan bias, in many forms including studies, reports, compilations, digests, and background briefings. Upon request. CRS

assists committees in analyzing legislative proposals and

issues, and in assessing the possible effects of these proposals

and their alternatives. The Service's senior specialists and

subject analysts are also available for personal consultations

in their respective fields of expertise.

Congress has available a variety of statutory and nonstatutory

techniques, other than the "legislative veto," that have been used

to overturn Federal agency rules, prevent their enforcement, limit

their impact, or hinder their promulgation.

This survey of the

different statutory instruments of congressional control--direct

overturn of rules, modification of agency jurisdiction, limitations

in authorizing and appropriating statutes, requiring inter-agency

consultation, and advance notification to the Congress--discusses

a variety of mechanisms that vary in their use and their specificity,

range of impact, and length of effect.

CONTENTS

............................................. 1

I1 . STATUTORY TECLilJIQUES ..................................... 5

A . DIRECT OVERTURN OR PREEMPTION OF KULES ............. 5

1 . Discussion ................................... 5

2 . i5xamples ..................................... 6

INTRODUCTION

. STATUTORY

nODIPICATION OF AGENCY JURISDICTION ...... 12

1 . Discussion ................................... 12

2 . Examples ..................................... 13

. LIMIrATIONS IN AUTHORIZING AND APPROPRIATING

STATUTLS ......................................... 35

1 . Discussion .................................. 35

2 . Examples ..................................... 38

D . REQUIRING FEDERAL AGENCY PRIOR CONSULTATION AND

mVIEkJ ........................................... 49

1 . Discussion ................................... 49

2 . Examples ..................................... 50

. ADVANCE

OR PRIOR NOTICE PROVISIONS ................. 58

1 . Discussion .................................. 58

2 . Examples .....................................

I11 . NONSTATUTOKY TECHNIQUES: COMMITTEE REPORTS .............. 65

The author wishes to credit Robert Amorosi

for the secretarial production of this report

THE LIBRARY OF CONGRESS

C o n g r e s s i o n a l Research Service

WASHINGTON, D.C.

20540

CONGRESSIONAL ACTION TO OVERTURN AGENCY RULES:

ALTERNATIVES TO THE "LEGISLATIVE VETO"

INTRODUCTION

Mounting interest in the "legislative veto" as a device for

congressional disapproval of Federal agency rules

L/ also has prompted

a related inquiry:

What other mechanisms are available to accomplish

the same purpose?

The most direct, of course, is a statutory rejection

of the offending rule; but other approaches, which vary in scope,

directness, and explicitness, exist.

This report, surveying recent

congressional action, identifies different legislative instruments,

with an emphasis on statutory techniques, and provides examples

illustrating their use.

Harold Bruff and Ernest Gellhorn, in a report prepared for the

Administrative Conference of the United States, highlight the principal

alternatives to the legislative veto from the vantage point of a

congressional committee:

11 "Rule" is defined in 5 U.S.C. 551(4) and includes different

typesof agency statements of general or particular applicability-establishment of standards and guidelines, rates, and regulations-designed to implement, interpret, or prescribe law or policy.

The focus of this study is on regulations, although other types

of related rules, e.g., standards, are considered also. Moreover,

the legislative techniques to override or disapprove such rules

have been applied to other types of executive and administrative

action, not just rule-making

Without the veto, a committee displeased with

an agency rule has two major options. It may stage

an embarrassing oversight hearing, or it may propose

legislation to rectify the problem it perceives. But

any legislation it proposes must obtain passage in

both houses of Congress and approval by the President

or a veto override. Until the proposed legislation

is adopted, a controversial agency rule, if issued,

remains in effect. If the committee chooses to

hold a hearing, the agency may resist, testing the

committee's power to obtain legislation. 11

Yet there are other types of statutory and nonstatutory techniques

that have the effect of overturning rules, that prevent their enforcement,

or that seriously impede or even preempt the promulgation of projected

rules.

For instance, a statute may alter the jurisdiction of a

regulatory agency or extend the exemptions to its authority, thereby

affecting existing or anticipated rules.

Legislation that affects an

agency's funding may be employed to prevent enforcement of particular

rules or to revoke funding discretion for rulemaking activity or both.

Still other statutory actions, less direct but potentially significant,

are mandating agency consultation with other Federal or State authorities

and requiring prior congressional review of proposed rules (separate

from the legislative veto sanctions).

Such provisions may change or

1/ Bruff, Harold H., and Ernest Gellhorn. Congressional Control

of ~dzinistrativeRegulations: A Study of Legislative Vetoes. Harvard

Law Review, v. 90, May 1977: 1423.

An overview of some of the prominent statutory and nonstatutory

techniques is included in U.S. Congress. Senate. Committee on

Government Operations. Study on Federal Regulation. Volume 11:

Congressional Oversight of Regulatory Agencies. (Committee print)

Washington, U.S. Govt. Print. Off., 1977. Chapter 6. Legislative

Committee Oversight: Techniques and Processes.

erein in after referred

to as Senate Study on Federal Regulation.)

even halt proposed rules by interjecting novel procedural ingredients

along witn different perspectives and influences into the process.

It is also useful to examine nonstatutory controls available to

tne Congress.

These techniques include legislative, oversight,

investigative, and confirmation hearings; specialized committee

staff and General Accounting Office examinations; establishment of

select commit tees and specialized subcommittees to oversee agency

rulemaking and enforcement; provisions in committee reports, especially

accompanying authorizations and appropriations, advocating agency

reconsideration oi particular rules and their implementation; floor

statements critical of specific rules or agency enforcement procedures;

and direct contact between a regulatory agency and a congressional

office that opposes existing regulations or questions projected

rules.

Sucn mechanisms are all indirect influences; unlike statutory

provisions, they are neitner self-effecting nor legally enforceable.

Nonetheless, nonstatutory devices are more readily available and

more easily efiectuated than controls imposed by statute.

Although

an explicit cause-effect relationship between such devices and the

overturn or modification of a particular rule is impossible to

determine, observers have attributed substantial influence to

nonstatutory controls in regulatory as well as other matters. 1/

11 Inter alia, see: Harris, Joseph P. Congressional Control

of ~dGinistration. Washington, Brookings, 1964; Ogul, Morris. Congress

(11 Continued )

It is impossible, in a limited time, to provide a comprehensive

and exhaustive listing of congressional actions that override or have

the effect of overturning actual and proposed rules or that prevent the

promulgation of projected rules.

Consequently, this report concentrates

upon the more direct statutory devices, although it also discusses committee

reports accompanying bills, the nonstatutory technique that is frequently

most authoritatively connected with the final legislative product.

The statutory mechanisms surveyed in this report cross a wide spectrum

of possible congressional action:

--single-purpose provisions to overturn or preempt a

specific rule;

--alterations in program authority that remove

jurisdiction from an agency;

--agency authorization and appropriation limitations;

--agency prior consultation requirements; and

--congressional prior notification provisions.

(A/

Continued) Oversees the Bureaucracy: Studies in Legislative

Supervision. Pittsburgh, University of Pittsburgh Press, 1976;

Fenno, Richard. The Power of the Purse: Appropriations Politics

in Congress. Boston, Little, Brown, 1966; Freeman, J. Leiper. The

Political Process: Executive Bureau-Legislative Committee Relations.

New York, Random House, 1965; Kirst, Michael. Government Without

Passing Laws: Congress' Nonstatutory Techniques for Appropriations

Control. Chapel Hill, University of North Carolina Press, 1969;

Melville, Charles. Legislative Control Over Administration Rule

Making. University of Cincinnati Law Review, v. 32, Winter, 1963:

33-54; Scher, Seymour. Congressional Committee Members as

Independent Agency Overseers: A Case Study. American Political

Science Review, v. 54, December, 1960: 911-920; Marx, Fritz Morstein.

Congressional Investigations: Significance for the Administrative

Process. University of Chicago Law Review, v. 18, Spring, 1951:

503-520; Vinyard, Dale. Legislative committee-Executive

Agency Relations. Western Political Quarterly, v. 21, September,

1968: 391-399; and Senate Study on Federal Regulation.

11.

STATUTORY TECHNlQUfiS

UIMC'f OVEKTUkNING OK PREEMPTlON OF RULES BY STAIUTE

The most f u n d a m e n t a l and d i r e c t mechanism f o r C o n g r e s s t o o v e r t u r n

a r u l e i s ~ y e n a c t m e n t of a s t a t u t e which e x p l i c i t l y r e v o k e s t h e

of f e n d i n g r u l e o r p r e e m p t s t h e a r e a c o v e r e d by t h e r u l e .

Although

s e v e r a l r e c e n t e x a m p l e s c a n be c i t e d , t h e r e l a t i v e p a u c i t y of s u c h

s t a t u t e s may i m p l y t h a t t h i s t e c h n i q u e p r e s e n t s d i f f i c u l t i e s f o r

Congress.

I t makes heavy demands on c o n g r e s s i o n a l r e s o u r c e s ,

r e q u i r e s r e v i e w and a p p r o v a l by t h e e n t i r e C o n g r e s s , and m u s t De

s i g n e d by t h e P r e s i d e n t ( o r h i s v e t o o v e r r i d d e n ) .

A l s o , Members

may h a v e t o c l a r i f y "vague s t a t u t e s " i n a r e a s w h e r e t h e r e may be

a " l a c k of s t a t u t o r y d i r e c t i o n , " w h e r e Congressmen " a r e f a c e d w i t h

t h e c l a s h of p o w e r f u l i n d u s t r y f o r c e s , " 11 and w h e r e l e s s a r d u o u s

a p p r o a c h e s may be a v a i l a b l e t o a c c o m p l i s h t h e same e n d .

I t s n o u l d be e m p h a s i z e d t h a t s t a t u t o r y o v e r r i d e s o f F e d e r a l

a g e n c y r u l e s a r e more p o w e r f u l c o n g r e s s i o n a l i n s t r u m e n t s o f c o n t r o l

t n a n l e g i s l a t i v e v e t o e s of t h e same:

- - s t a t u t o r y o v e r r i d e s may o c c u r e v e n t h o u g h a

s p e c i f i c r u l e n a s been " a p p r o v e d 1 ' by a f a i l u r e

l e g i s l a t i v e l y t o veto it e a r l i e r ;

- - s t a t u t o r y o v e r r i d e s t e r m i n a t e agency r u l e s

i m m e d i a t e l y and p r e c l u d e s i m i l a r f u t u r e e n d e a v o r s ,

w h e r e a s l e g i s l a t i v e v e t o e s , which d i s a p p r o v e o r

f a i l t o a p p r o v e r u l e s i n t h e p r e s e n t , do n o t

n e c e s s a r i l y p r e v e n t l a t e r p r o m u l g a t i o n of t h e

same t y p e of r u l e ;

11 S e n a t e S t u d y on F e d e r a l R e g u l a t i o n , p. 5 0 .

- - s t a t u t o r y o v e r r i d e s may n u l l i f y b o t h proposed and

f i n a l r u l e s , including those already administered,

w h i l e l e g i s l a t i v e v e t o e s a p p l y o n l y t o proposed

r u l e s , a l t h o u g h such v e t o e s may r e q u i r e

r e c o n s i d e r a t i o n o f e x i s t i n g r u l e s ; and

- - s t a t u t o r y o v e r r i d e s impose a d i r e c t i v e o f t h e

e n t i r e C o n g r e s s , u n l i k e t h e l e g i s l a t i v e v e t o which

may r e f l e c t t h e v i e w p o i n t o f o n l y a s i n g l e committee

o r one Chamber and which may simply b e a f a i l u r e t o

approve an agency r u l e w i t h i n a narrowly-bounded

time frame.

The p o t e n c y o f s t a t u t e s i s such t h a t even t h e t h r e a t o f enactment

may be s u f f i c i e n t t o modify a d m i n i s t r a t i v e r u l e s and t h e i r enforcement.

I n t h i s c a s e , t h e S e n a t e S t u d y on F e d e r a l R e g u l a t i o n d e t e r m i n e d t h a t :

I t i s a r a r e and s h o r t - t e n u r e d a d m i n i s t r a t o r

who w i l l d e f y a c l e a r c o n g r e s s i o n a l d i r e c t i v e

c o n t a i n e d i n a p u b l i c law.

Recognizing t h i s ,

committees sometimes go t h r o u g h t h e m o t i o n s o f marking

up a b i l l b e f o r e a n agency w i l l r e s p o n d t o

c o n g r e s s i o n a l prodding.

I n a d i s p u t e o v e r agency p o l i c y one committee

r e c e n t l y h e l d h e a r i n g s and a mark-up on a proposed

amendment t o t h e a g e n c y ' s e n a b l i n g a c t . The

cormnittee t h e n r e p o r t e d t h e b i l l t o t h e f l o o r o f

i t s House, A t t h a t p o i n t , t h e agency dropped i t s

opposition t o t h e committee's p o s i t i o n f o r f e a r

o f a n e m b a r r a s s i n g d e f e a t . 1/

During t h e 1973-1978 p e r i o d , Congress used s t a t u t e s t o o v e r t u r n

o r preempt F e d e r a l agency r u l e s on r e l a t i v e l y few o c c a s i o n s .

S i x examples

are:

(1)

L i t t l e C i g a r Act o f 1973 (P.L.

93-209;

87 S t a t . 352).

Congress p r o h i b i t e d c i g a r e t t e a d v e r t i s i n g on t e l e v i s i o n w i t h passage

o f t h e P u b l i c H e a l t h C i g a r e t t e Smoking Act o f 1969, which amended

t h e F e d e r a l C i g a r e t t e L a b e l i n g and A d v e r t i s i n g Act o f 1965 ( 1 5 U.S.C.

-1/ I b i d . , p. 51.

1331-1340).

These actions preempted the field from regulatory

agency jurisdiction.

Subsequently, the Internal Revenue Service ( I R S ) determined

that "little cigars" could not be classified as cigarettes;

therefore, it was not illegal to advertise them on television, a

1 However,

technique several tobacco companies adopted in 1973. 1

"the overriding public interest and the immediacy of the problem" 2/

generated by such advertising, according to the report of Senate

Commerce Cormnittee, engendered new legislation, P.L. 93-209, which

made it "unlawful to advertise cigarettes and little cigars on any

medium of electronic communication subject to the jurisdiction of

the Federal Communications omm mission ." (Emphasis added. )

By this

statute, Congress extended its preemption to another commodity that

would otherwise have been subject to FCC jurisdiction and neutralized

the IRS determination, as it applied to "little cigar" advertising

on television and radio.

(2)

Lead Based Paint Poisoning Prevention Act Amendments of 1973

(P.L. 93-151; 87 Stat. 565, 567).

P.L. 93-151 amended the statutory

definition of the term "lead based paint" and in so doing imposed new

statutory regulations regarding the content of lead in interior

1/ U.S. Congress. Senate. Committee on Commerce. Little

~ i ~ a r - ~ of

c t 1973; Report to Accompany S. 1165. washington, U.S.

Govt. Print. Off., 1973. (93d Congress, 1st session. Senate.

Report no. 93-103).

p. 3-4.

-21

Ibid., p. 5.

residential paints.

The pre-existing regulations, promulgated by

the Food and Drug Administration (FDA), were, in effect, overriden

by the Act.

FDA had considered lowering the required level but cited

the need for further study before issuing a rule that would establish

a more restrictive level. 11

P.L. 93-151, however, mandated a lower

maximum lead content level, effective by the end of calendar year

1974, unless the Chairman of the Consumer Product Safety Commission

(CPSC), not FDA, determined a higher level was safe. 21

That

determination, however, would have to be based on statutorilymandated studies.

Although the 1973 amendments permitted some administrative

discretion over future determinations and allowed the FDA-designated

level to remain in the interim, the statutory language superseded

FDA authority and imposed new administrative requirements regarding

any deviation from the forthcoming legislatively-established lead

content levels.

(3)

Motor Vehicle and Schoolbus Safety Amendments of 1974

(P.L. 93-492; 88 Stat. 1470, 1481-1483).

These amendments included

a provision that, in effect, overturned the regulation governing

11 U.S. Congress. Senate. Committee on Labor and Public

~e1faTe. Lead Based Paint Poisoning Prevention Amendments ; Report

to Accompany S. 607. Washington, U.S. Govt. Print. Off., 1973.

(93d Congress, 1st session. Senate. Report no. 93-130). p. 4-5.

21 The original bill, S. 607, in the 93d Congress had allowed

that authority to remain with FDA in the Department of Health,

Education and Welfare. Ibid.

safety belt interlock systems.

The Department of Transportation

(DOT) had issued a regulation requiring that all 1974 model year

cars have systems that prevented the automobile's engine from being

started unless the safety belt was secured.

Section 109 of P.L. 93-492

required that the Secretary of DOT amend the motor vehicle safety

standard (49 CFR 571.208) according to new requirements enumerated

in the remainder of the section.

The section precluded any future

regulatory requirement for a safety belt interlock system or for

a continuous buzzer system and added a legislative veto provision

over any further occupant restraint system standards promulgated by

the Secretary.

(4) Highway Safety Act of 1976 (P.L. 94-280; 90 Stat. 425,

454).

Title I1 of P.L. 94-280 authorized funds for certain programs

administered by the National Highway Traffic Safety Administration

(NHTSA).

Congress, responding to a volume of compliants from States,

modified existing safety standards imposed on the States and overturned

a specific standard stipulating that States require motorcyclists

to wear safety helmets. 1/

Section 208 of P.L. 94-280 prohibited

the Secretary of Transportation from requiring that a State adopt or

1/ U.S. Congress. House. Committee on Public Works and

~ransFortation. Federal-Aid Highway Act of 1975; Report to Accompany

H.R. 8235. Washington, U.S. Govt. Print. Off., 1975. (94th Congress,

1st session. House. Report no. 94-716). The Senate bill, S. 2711,

as reported by the Senate Public Works Committee, did not contain

such a provision, which was added by amendment on the floor of the

Chamber following extensive debate. Congressional Record (daily ed.),

v. 121, Dec. 12, 1975: S21935-S21941.

e n f o r c e a law, r u l e , o r r e g u l a t i o n r e q u i r i n g m o t o r c y c l e o p e r a t o r s

o r p a s s e n g e r s 18 y e a r s o f age o r o l d e r t o wear a s a f e t y helmet

when o p e r a t i n g o r r i d i n g on a motorcycle.

(5)

(P.L.

H e a l t h Research and H e a l t h S e r v i c e s Amendments of 1976

94-278;

90 S t a t . 401, 411).

The Food and Drug A d m i n i s t r a t i o n

(FDA) of t h e Department o f H e a l t h , Education and Welfare (HEW) had

i s s u e d r e g u l a t i o n s designed t o p r o t e c t consumers a g a i n s t v i t a m i n and

m i n e r a l p r o d u c t s FDA determined t o be e i t h e r u s e l e s s o r harmful i f

i n g e s t e d i n l a r g e d o s e s o r over an extended period of time.

A final

FDA r e g u l a t i o n , p u b l i s h e d on Aug. 2, 1973, t o become e f f e c t i v e on

J a n . 1, 1975, but s t a y e d by t h e A d m i n i s t r a t i o n , proposed t h a t most

v i t a m i n s and m i n e r a l s with a potency of 150% o r more o f t h e i r

recommended d a i l y allowance (RDA) be c l a s s i f i e d a s drugs.

Vitamins

A and D were t o be c l a s s i f i e d a s d r u g s a t 100% of t h e i r RDA.

T h i s c o n t r o v e r s i a l r u l e , which had a n t e c e d a n t s d a t i n g t o t h e

mid-1960s,

was c o n s i d e r e d an i n f r i n g e m e n t on t h e consumers1 "freedom

o f c h o i c e , " a c c o r d i n g t o c o n g r e s s i o n a l opponents.

s e c t i o n 501(b) o f P.L.

L/ As a r e s u l t ,

94-278 countered t h e r e g u l a t i o n s by d i r e c t i n g

t h e S e c r e t a r y of HEW t o "amend any r e g u l a t i o n promulgated under t h e

F e d e r a l Food, Drug, and Cosmetic Act which i s i n c o n s i s t e n t with"

new r e s t r i c t i o n s on h i s a u t h o r i t y .

Those r e s t r i c t i o n s b a r r e d

11 Rogers, Paul C. Conference Report on H.R. 7988, Health Research

and ~ T a l t hS e r v i c e s Amendments of 1976. Remarks i n House. Congressional

Record ( d a i l y e d . ) , v . 122, A p r i l 12, 1976: H3244-H3245.

CRS- 11

regulation of the composition or maximum potency of vitamins,

minerals, or combinations thereof, unless they were of a specified

type (e.g., toxic, habit-forming, administered by a doctor) or

unless they were intended for use by a specified clientele (e.g.,

by individuals in the treatment of specific diseases or disorders,

by children, by pregnant women).

(6) Saccharin Study and Labeling Act (P.L. 95-203; 91 Stat.

1452-1453).

This Act included several provisions affecting proposed

Food and Drug Administration (FDA)/Health, Education and Welfare (HEW)

regulations regarding the distribution of saccharin or any product

containing it.

One provision, discussed in the next section of this

report, affected the authority of the Secretary of HEW to issue

regulations in the area.

A second provision, contained in section 4(a)(l),

stipulated

express language to be used on labels of saccharin products, thereby

preempting a possible FDA/HEW rule that might have required more

cautionary language.

In addition, Section 4 precluded any such label

from being construed as restricting or prohibiting the sale or

distribution of saccharin products. The secretary of HEW was granted

authority to review and revise or remove this label requirement only

on the basis of new information, that is, "if the Secretary determines

such action is necessary to reflect the current state of knowledge

concerning saccharin." That restriction on the Secretary's discretion

prevented sole reliance on then-existing data, which had encouraged

the proposed saccharin regulations initially.

STATUTORY MODIFICATION OF AGENCY JURISDICTION

A second major statutory technique for Congress to limit the

impact or effect the overturn of existing or proposed rules is to alter

the jurisdiction of the issuing Federal agency:

--by granting exemptions to the rulemaking authority

of the agency head;

--by removing express areas from the regulatory authority

of the agency head;

--by establishing moratoriums on certain rulemaking;

--by transferring jurisdiction from one agency to another

or from the Federal agency to State authorities;

--by providing for waivers for regulated categories; and

--by deregulating an area.

Such statutory instruments, occasionally used in tandem with direct

overrides or congressional preemption of specific rules, usually have

a broader impact than the more focused revocation or preemption.

is evident from floor debates and committee reports accompanying statutory

changes of jurisdiction that, at least in notable instances, the incentive

for modifying agency jurisdiction was to repeal or mitigate the impact

of a series of interrelated rules or a specific regulation. By removing

jurisdiction from an agency, such a statute has the effect of annulling

rules and regulations applicable to that area.

A well-known illustration of jurisdictional modification occurred

with the 1959 amendment of Section 315(a) of the Communications Act-the requirement that broadcasters provide equal broadcasting opportunities

to candidates for public office--administered by the Federal Communications

Commission (FCC).

Because of FCC's literal interpretation of Sec.

315(a), Congress explicitly exempted four kinds of news programs

that are under the control of the broadcaster (rather than the

candidate) and, thus, precluded FCC "equal time" regulation in those

areas. Recent examples include the following statutory provisions:

(1)

Lead Based Paint Poisoning Prevention Act Amendments of 1973

(P.L. 93-151; 87 Stat. 565, 567).

As described in the previous

section, P.L. 93-151 included a provision establishing new standards

regarding the acceptable level of lead in interior residential paint.

In addition, section 6 of the 1973 Amendments realigned jurisdiction

for promulgating future regulations over lead levels between a

congressionally mandated minimum and maximum.

The authority was

transferred from the Food and Drug Administration/HEW, which had

considered but delayed issuing new regulations, to the Consumer

Product Safety Commission (CPSC).

Along with the transfer of

authority, Congress established guidelines, in section 5, for studies

to be conducted prior to CPSC issuance of regulations promulgating

any new levels that exceeded the lower level.

(2)

Interstate Commerce Act--Exemption (P.L. 93-201; 8? Stat. 838).

This act of Dec. 27, 1973, amended the Interstate Commerce Act

(49 U.S.C.

903(b)),

exempting "the transportation by a water carrier

11 P.L. 86-274; 73 Stat. 557. For a brief review of the FCC

interpretation of Sect ion 315(a) and the subsequent congressional

action, see: Schmidt, Benno C., Jr. Freedom of the Press vs.

Public Access. New York, Praeger, 1976, p. 143-145.

of commodities in bulk . . . which are loaded and carried without

wrappers or containers and received and delivered by carrier without

transportation mark or count." The effect of such an amendment was

"to remove outmoded restrictions upon the application and scope of

the qualified exemption from regulation contained in section 303(b)

of the Interstate Commerce Act." 11

The Senate Commerce Committee

report on the proposed legislation noted that statutory action was

required to overturn "an interpretation by the Interstate Commerce

Commission of the obsolete and restrictive wording," 21 an

interpretation, incidentally, that had not been implemented, awaiting

"completion of congressional consideration of the problem." 31

P.L. 93-201, thus, terminated possible implementation of this pending

rule and also made permanent certain improvements in the language

of the exemption from ICC economic regulation contained in P .L. 91-590,

a statute which was scheduled to expire on December 28, 1973.

(3)

To Authorize and Request the President to Call a White

House Conference on Library and Information Services Not Later Than

1978, and for Other Purposes (P.L. 93-568; 88 Stat. 1855, 1862).

This

statute contained an amendment that exempted particular organizations--

1/ U.S. Congress. Senate. Committee on Commerce. Water

~arri<r Barge Mixing Kule Legislation of 1973; Report to Accompany

S. 2267. Washington, U .S. Govt. Print. Off., 1973. (93d Congress,

1st session. Senate. Report no. 93-513). p. 1.

Ibid.

Ibid., p. 3.

social fraternities and sororities at universities and Girl Scouts

and Boy Scouts, among others--from regulations promulgated by the

Secretary of Health, Education and Welfare under title IX of tne

Education Amendments of 1972.

That title prohibited discrimination on the'basis of sex in

any educational program or activity receiving Federal funds.

The

P.L. 93-568 exemptions were prompted by title IX regulations that

would otherwise have been applicable to "a number of organizations

which have no legitimate bearing on the original intent of title Ix,"

according to Senator Bayh, the amendment's sponsor and principal

author of title Ix. I/

(4) Kailroad Revitalization and Regulatory Reform Act of 1976

(P.L.

94-210; 9 0 Stat. 31, 34-35, 42, 124).

This statute included

several provisions altering Federal rulemaking jurisdiction and

represented one of the broadest efforts in deregulation, a primary

purpose of which was "to provide for an extensive overhaul

of railroad rate regulation by the Interstate Commerce Commission"

11 Bayn, Birch. dhite House Conference on Library and

~nforzationServices in 1978. Remarks in Senate. Congressional Record,

v. 120, Dec. 16, 1974: 39992. Added as a nongermane amendment to

S.J. kes. 40, the exemption provision was described by Senator Bayh

as "a rather complicated unanimous-consent agreement," since the

Chamber had already considered and approved S.J. Res. 40 three days

before. Ibid., p. 39991.

21 U .S

Congress. Committee of Conference. Railroad

~evit-alizationand degulatory Reform Act ; Report to Accompany

S. 2718. qasnington, U.S. Govt. Print. Off., 1976. (94th Congress,

2d session. Senate. Report no. 94-595). p. 134.

(ICC).

-21 Those deregulation provisions, incorporated in title I1

of P.L. 94-210, were intended to "eliminate needless and harmful

regulatory constraints on railroads, and

. . . prescribe ratemaking

practices which will encourage effective competition and protect

consumers.If 1/

Section 202 established new standards for determining the

justness and reasonableness of rates chaged by common carriers by

railroad, thereby affecting existing determinations based on formulas

established by the ICC.

The section also adopted language clarifying

the meaning of the term "variable cost" and its determination.

addition, this section stipulated that the ICC could not find a

rate unlawful on the ground that it exceeded a just and reasonable

maximum unless it found that the carrier had "market dominance"

over the service rendered under such a rate.

This provision statutorily

modified existing standards and rules under which a rate would have

been found unlawful.

Finally, under section 202, the Commission

would inaugurate procedures for the establishment of railroad rates

based on seasonal, regional, or peak period demand for rail services

and for separate rates for district rail services, again altering

existing rules which did not include such considerations.

Section 207 amended section 12 of the Interstate Commerce Act

(49 U.S.C.

12(1))

by adding certain possible exemptions.

The ICC

derived authority to grant exemptions to common carriers by

railroad subject to Part I of the Interstate Commerce Act, where

regulation was not necessary to effectuate the national transportation

policy in that Act, and where the Commission found that regulation

would serve little or no public purpose.

Any such exemption could

be evoked only after notice and opportunity for a hearing.

Although

the language is not mandatory, permitting ICC discretion in granting

exemptions in this regard, section 207 asserted a congressional

interest in extending exemptions from ICC authority to certain carriers, L/

thereby reducing tne effective impact of regulatory rules under the

national transportation policy provision.

The Senate Commerce

Committee report on the original bill, S. 2718, noted the rationale

and intent in conferring this exemption authority:

Tne Committee believes that an exemption power

in the Commission is very desirable, and the Commission

itself has recommended for several years that it be

given such power. The requirement of full proceedings

before exemption can be granted and before reimposition

of regulation, as well as the findings which must be

made, assure that the Commission will not act in such

a manner as to contravene its Congressional mandate to

regulate interstate commerce. At the same time, the

power to exempt from regulation in whole or in part

will enable the Commission to commit its limited

resources in areas where they are most needed, by

enabling it to deregulate those areas which have no

significant bearing on the overall regulatory scheme. 2/

1/ The exemption provision was limited to common carriers by

railroad, vis-a-vis other parties, subject to Part I of the

Interstate Commerce Act, "because of the jurisdictional objections

of tne Committee on Public Works and Transportation of the House

of Representatives." Ibid., p. 153.

U.S. Congress. Senate. Committee on Coinmerce.

ail Services

Act o? 1975; Report to Accompany S. 2718. Washington, U.S. Govt.

Print. Off., 1975. (94th Congress, 1st session. Senate. Report no.

94-499). p. 53.

Section 705(e) of P.L. 94-210 eliminated Food and Drug

Administration (FDA) jurisdiction over intercity passenger trains

regarding regulation of dining car service and waste disposal from

railroad conveyances operated in rail passenger service.

The section,

amending section 306 of the Rail Passenger Service Act (45 U.S.C.

546),

was intended to curtail operating expenses and additional financial

costs that might accrue to the railroad industry in meeting FDA

regulations promulgated under the Public Health Service Act (42 U.S.C.

264). 1/

(5)

Health Research and Health Services Amendments of 1976

(P.L. 94-278; 90 Stat. 401, 410-413).

As noted in the previous

section, Title V of these 1976 Amendments to the Federal Food, Drug,

and Cosmetic Act (21 U.S.C.

349) required the Secretary of Health,

Education and Welfare (HEW) to amend any existing vitamin potency

regulation promulgated under that Act which was inconsistent with

new statutory restrictions on his authority.

Section 501(a) listed those restrictions:

the Secretary may not

establish maximum limits on the potency of any synthetic or natural

vitamin or mineral within a food to which this section applies; may

not classify any natural or synthetic vitamin or mineral (or combination

thereof) as a drug solely because it exceeds the level of potency

1/ This provision was shortly thereafter amended by sec. 105

of P.T. 94-555 (90 Stat. 2615), in effect restoring FDA authority

to regulate dining car service but expressly prohibiting similar

authority with regard to waste disposal. This statute is discussed

below.

CRS- 19

which he determines nutritionally rational or useful; and may not

limit the combination or number of any synthetic or natural vitamin,

mineral or other ingredient of food within a food to which this

section applies.

Section 501(a) provided exceptions to the restrictions

on the Secretary's authority for classes of users (e.g., children,

pregnant or lactating women) and for certain types of vitamin and

mineral substances (e. g. , toxic, habit-forming, carcinogenic).

This amendment curtailing the regulatory jurisdiction of FDA

had a lengthy heritage of congressional concern about FDA regulation

of dietary supplement labeling and the content of special dietary

food products. 1/ The resulting restrictions were perceived by one

Member of Congress as follows:

For 20 long years the FDA has been overzealously

trying to protect Americans from a threat that really

does not exist

attempting to treat all vitamins

and minerals, when they are of a potency or a

combination they do not like, as drugs...What the

Congress has done is tell the FDA that they were

throwing too wide a net. They were going too far

in trying to protect citizens from themselves.

They were interfering with legitimate freedom

of choice. 2/

...

(6 )

Consumer Product Safety Commission Improvements Act of 1976

(P.L. 94-284; 90 Stat. 503, 504).

Section 3 of this Act placed

limitations on the jurisdiction of the Consumer Product Safety

1/ Rogers, Paul C. Conference Report on H.R. 7988. Remarks

in ~ouse. Congressional Record (daily ed.), v. 122, April 12, 1976:

H3245.

-2/

Goldwater, Barry M. Jr.

Ibid., p. H3246.

Commission (CPSC), specifically prescribing CPSC regulatory

jurisdiction of pesticide safety labeling; tobacco and tobacco

products; and sale and manufacture of firearms and ammunition or

its components, such as gun powder, under certain acts.

The section

prohibited CPSC regulation of tobacco products or.ammunition as a

"hazardous substance" under the Federal Hazardous Substances Act

(15 U.S.C.

1261 et seq.), and regulation of pesticides under the

Poison Prevention Packaging Act of 1970 (15 U.S.C.

1471), i.e.,

pesticide-regulated packaging standards for child protection.

The genesis of the restrictions on CPSC regulatory jurisdiction

came indirectly from the Commission itself, which had denied

petitions from private groups that it had authority to regulate

handgun ammunition or tobacco products as hazardous substances. 1/

The Commissions' denials were appealed in Federal court, which

subsequently concurred with the petitioners--that CPSC did in

fact have jurisdiction--and ordered the Commission to consider the

petitions on their merits. 2/

Section 3 of P.L. 94-284 was

necessary to preclude potential CPSC regulations that might have

1/ U.S. Congress. Senate. Committee on Commerce. Consumer

product Safety Commission Improvements Act of 1975; Report to

Accompany S. 644. Washington, U.S. Govt. Print. Off., 1975 (94th

Congress, 1st session. Senate. Report no. 94-251).

p. 5-6.

-2/

Ibid.

conflicted with the intent of Congress in the Federal Hazardous

Substances Act, as the petitioners wanted stronger Federal control

of such products than existed. 11

(7)

Coastal Zone Management Act Amendments of 1976 (P.L. 94-

370; 90 Stat. 1013, 1032).

These amendments included a provision

prohibiting certain regulations by the Secretary of Health,

Education and Welfare (HEW) for a specified time period.

Section

16(b) ordered that the Secretary "shall not promulgate final

regulations concerning the national shellfish safety program before

June 30, 1977" and shall consult with the Secretary of Commerce

prior to issuance of any such future regulations.

The mandated delay in promulgating such final regulations

was designed to ensure adequate time for the Commerce Department

to complete a special study of shellfish and a comprehensive review

of all aspects of the molluscan shellfish industry, expected to be

completed by April 30, 1977. 2 /

The moratorium held in abeyance

HEW regulations, developed by its Food and Drug Administration, that

were perceived as injurious to the shellfish industry:

-11

Ibid.

21 U.S. Congress. Committee on Conference. Coastal Zone

~ a n a g m e n tAct Amendments of 1976; Report to Accompany S. 586.

Washington, U.S. Govt. Print. Off., 1976. (94th Congress, 2d

session. House. Report no. 94-1298). p. 39.

Proposed Federal regulations which were

to be promulgated by the FDA would have

driven the many shellfish processors and

watermen into bankruptcy. It has been

estimated by the President's Council on

Wage and Price Stability that had these FDA

regulations gone into effect, they would

have cost the shellfish industry almost

one fourth of their annual product value.

This not only portended increased prices

for consumers of oysters and clams, but

it would have meant that the many families

dependent on the shellfish industry as a

way of life and a means of support would

henceforth be included in our national

unemployment figures. 11

(8)

Energy Conservation and Production Act (P.L. 94-385;

90 Stat. 1125, 1129).

The Energy Conservation and Production Act

included a provision that, in effect, curtailed the regulatory

jurisdiction of the Federal Energy Administration (FEA) by limiting

the enforcement authority of the AdministratorlFEA over certain

rules.

Sec. 106 of the act amended sec. 7 of the Federal Energy

Administration Act of 1974 by adding that:

The Administrator or his delegate may not exercise

discretion to maintain a civil action...or issue

a remedial order against any person whose sole

petroleum industry operation relates to the

marketing of petroleum products, for any violation

of any rule or regulation, if (1) such civil action

or order is based upon a retroactive application or

interpretation of such rule or regulation, and ( 2 )

such person relied in good faith upon rules,

regulations, or rules interpreting such rules and

regulations, in effect on the date of the violation.

1/ Bauman, Robert E. Statement on Conference Report on S. 586.

~emarxsin House. Congressional Record (daily ed.), v. 122, June 30,

1976: H7077.

In other words, Sec. 106 prevented retroactive enforcement

of rules and regulations against the small independent operators

in the petroleum industry, with the "intent

. . . to provide relief

to businesses which have been subjected to seemingly endless changes

in rules and regulations by FEA and to penalties arising from those

changes made after the original effective date of such rules and

regulations."

Many small firms, the conference committee determined,

had been "confronted by subsequent amendments to those [existing]

rules applied retroactively

and unjust penalties

. . . [causing] an unnecessary burden

. . ." -21 Similar prohibitions were not applied

to "marketers with the means to challenge all enforcement actions

based upon arguably ambiguous rules, regulations or rulings or upon

clarifying amendinents thereto." 2/

Nor did this provision prohibit

FEA from "perfecting its rules and regulationst'in the future;

it only removed enforcement authority over certain amended rules

applied retroactively to a particular type of petroleum marketer.

(9) Education Amendments of 1976 ( P . L .

2234).

94-482; 90 Stat. 2081,

The Education Amendments of 1976 incorporated a provision

that exempted specified programs and activities from regulations

11 U.S. Congress. Committee of Conference. Energy Conservation

and production Act; Conference Report to Accompany H.R. 12169.

Washington, U.S. Govt. Print. Off,, 1976. (94th Congress, 2d session.

House. Report no. 94-1392). p. 62.

-21

-3/

Ibid.

promulgated under title IX of the Education Amendments of 1971.

Section 412 of P.L. 94-482 provided the following exemptions to

Health, Education and Welfare rules and regulations regarding

sex discrimination in educational programs or activities receiving

Federal funds :

--Boys State and Nation and Girls State and Nation conference

activities;

--father-son or mother-daughter activities, with the

provision that if such activities are provided for

students of one sex, opportunities for reasonably

comparable activities are to be provided for the

other; and

--beauty-talent contestant scholarships.

The exemptions were added to the basic bill, H.R. 12851 in

the 94th Congress, by floor amendments:

that affecting talent-

beauty contestant scholarships by the House and those affecting

American Legion Boys and Girls State and father-son or motherdaughter events by the Senate.

The House amendment, agreed to

by voice vote, 1/ was designed to restore scholarships terminated

by HEW regulations developed under title IX, what the amendment's

sponsor regarded as an "unintended result

. . .[and] most unfortunate

that title IX has resulted in a termination of these educational

programs .I1 2/

The Senate provisions regarding American Legion Boys/Girls

State programs and mother-daughter or father-son events followed

-1/ Congressional Record (daily ed.), v. 122, May 12, 1976: H4320.

-2/ Edwards, Jack. Statement. Ibid., p. H4329.

HEW rulings, based on title IX regulations, that banned such

activities.

Although the rulings were subsequently suspended, the

decision to do so was "administrative and could change again.

fact, HEW officials, in a meeting with the American Legion, stated

that legislation would be the only permanent solution to the problem,"

according to the amendments' sponsor, Senator Fannin. 1/

The

amendments to title IX did so, by removing such areas from HEW

jurisdiction.

(10)

Rail Transportation Improvement Act (P.L. 94-555; 90 Stat.

2613, 2616, 2621, 2628).

The Rail Transportation Improvement Act included

three sections that restricted Interstate Commerce Commission (ICC)

jurisdiction:

(1) section 108 prohibited the ICC from issuing

regulations requiring Amtrak "or any railroad

providing intercity rail passenger service to

provide food service other than during customary

dining hours";

(2) section 206 exempted local commuter

service provided by rail but not by bus, if its

fares are "subject to approval or disapproval

by a Governor of any State in which it provides

services"; and

(3) section 218 explicitly precluded ICC authority

over "(a) abandonment or discontinuance with respect

to spur, industrial team, switching, or side tracks

if such are located entirely within one State,

or (b) any street, suburban, or interurban electric

railway which is not operated as part of a general

system of rail transportation."

I/ Fannin, Paul J.

An Amendment Relating to Sex Discrimination.

ema arcs in Senate. Congressional Record (daily ed.), v. 122, Aug. 26,

1976: S14643.

Section 108, as part of Title I, was designed "to reduce the

cost of providing rail passenger service." 1/

The ICC-related

provisions in Title 11, which affected ConRail, were designed to

limit unintended ICC regulatory authority and encourage expanded

State authority.

In the latter case, Section 206 granted an exemption

to local bodies providing mass transportation services by rail if

their fares were subject to approval by a State governor.

This

provision, in effect, transferred certain ICC jurisdiction to

States which had such gubernatorial authority.

Section 218 amended section la(1) of the Interstate Commerce

Act (49 U.S.C.

la(l)),

a section which had been only recently

added by the Railroad Revitalization and Regulatory Reform Act of

1976 (P.L. 94-210).

That "new section, however, inadvertently [did]

not expressly exempt 'spur lines' from its provisions." 2/

The

House Interstate and Foreign Commerce Committee report on the Rail

Transportation Improvement Act offered an explanat ion why ICC

rulemaking authority should be excluded in this regard:

1/ U.S. Congress. Senate. Committee on Commerce. Rail

~mendzentsof 1976; Report to Accompany S. 3131. Washington, U.S.

1976. (94th Congress, 2d session. Senate.

Govt. Print. Off

Report no. 94-851). p. 1.

21 U.S.

Congress. House. Committee on Interstate and Foreign

Commerce. Rail Amendments of 1976; Report to Accompany H.R. 14932.

Washington, U.S. Govt. Print. Off., 1976. (94th Congress, 2d session.

House. Report no. 94-1479). p. 22.

The Comission's abandonment procedures

have never applied to such track and it is not

Congress' intent (nor does the Commission desire)

that such track should be subject to its abandonment

procedures. These tracks are not operated as a

part of a general system of rail transportation

and thus are purely local and should be subject to

local jurisdiction as has been tne case historically. 1/

(11)

Clean Air Act Amendments of 1977 (P.L. 95-95; 91 Stat.

685, 695-697).

Section 108 of the Amendments to the Clean Air Act

restricted the authority of the Administrator of the Environmental

Protection Agency (EPA) to require indirect source review programs as

part of State implementation plans, which otherwise must be approved

by the Administrator.

In defending this provision before the House,

one of the conferees on the bill, Rep. Broyhill, alluded to EPA's

previous experience:

One of the more troublesome activities

in which EPA had been involved was the

attempted regulation of indirect sources-such as shopping centers--which attract mobile

sources of pollution. I am pleased to report

that the conference report, following the

general intention of the House bill, prohibited

the Administrator of EPA from requiring

indirect source review programs. States are

given authority to adopt, suspend, or revoke

such programs. 11

21 Broyhill, James T. Conference Report on H.R. 6161, Clean Air

Act Gendments of 1977. Remarks in House. Congressional Record

(daily ed.), v. 123, Aug. 4 , 1977: H8668. The exceptions to such

prohibition, which are eligible for EPA regulation, are major

federally funded public works projects, such as highways and airports,

and federally owned and operated indirect sources. Two years earlier,

Congress had adopted appropriations limitations preventing EPA from

administering or promulgating any program to regulate parking in

the FY 1976 appropriations, P .L. 94-116 (discussed below).

(12)

Saccharin Study and Labeling Act (P.L. 95-204; 91 Stat.

1451, 1452).

This Act statutorily preempted saccharin-product

labeling, as noted in the previous section dealing with statutory

overrides of (prospective) rules.

The Act, through section 3, also provided for an 18-month

moratorium on the banning of saccharin or saccharin products by

requiring that the Secretary of Health, Education and Welfare (HEW)

not take action "to prohibit or restrict the sale or distribution

of saccharin, any food permitted by

. . . [an FDA] interim food

additive regulation to contain saccharin, or any drug or cosmetic

containing saccharin."

The exception to this restriction was that

the Secretary may ban such products within the period only on the

basis of new information made available before the end of the period;

that determination could not be made solely on the basis of

information made available before enactment. -/

This qualification

on the secretary's discretion to ban saccharin products during

the 18-month moratorium prevented exclusive reliance on the

original studies that had determined carcinogenic effects of

saccharin.

11 U.S. Congress. Committee of Conference. Saccharin Study

and ~;belin~ Act; Conference Report to Accompany S. 1750.

Washington, U.S. Govt. Print. Off

1977. (95th Congress, 1st session.

House. Report no. 95-810). p. 9.

Prompting the statutory moratorium was a proposed FDA rule,

announced April 14, 1977, banning saccharin in diet soft drinks and

foods as well as in cosmetics, such as lipstick, toothpaste, and

mouthwash, thereby terminating an estimated 90% of the saccharin

market.

FDA had reviewed saccharin tests by the Canadian government

which had discovered an increased incidence of bladder cancer in

laboratory test animals.

Regarding new testing required by P.L. 95-204,

during the moratorium, HEW was first to request that the National

Academy of Sciences conduct the necessary studies, the components of

which were detailed in section 2.

After specified intervals of time,

the Secretary was required to report the findings and any

recommendations to the appropriate congressional committees. _1/

(13)

Clean Water Act of 1977 (P.L. 95-217; 91 Stat. 1566, 1583,

1599-1606).

This statute amended the Federal Water Pollution Control

Act Amendments of 1972 (P.L.

92-500) and included a number of

different types of alterations of rule-making jurisdiction.

These

included granting waivers for regulated items, transfering authority

from Federal to State jurisdiction, and providing exempt ions for

certain activities.

One of the changes involved amendments to section 404 of the

Federal Water Pollution Control Act, the section which granted

Federal regulatory jurisdiction over water pollution from point

sources through the issuance of permits by the Army Corps of Engineers.

-1/

Ibid., p. 8-9.

Sec. 67 o f P.L.

95-217,

a f f e c t i n g p e r m i t s f o r dredged o r f i l l

m a t e r i a l , r e d u c e d such F e d e r a l j u r i s d i c t i o n by exempting t h e

"discharge of dredged o r f i l l m a t e r i a l

. . . from normal f a r m i n g ,

s i l v i c u l t u r e , and r a n c h i n g a c t i v i t i e s " from t h e r e q u i r e m e n t o f

s p e c i f i c permits.

F u r t h e r m o r e , c e r t a i n " g r a y a r e a s " were removed

from F e d e r a l j u r i s d i c t i o n i f a S t a t e had an approved program ( i . e . ,

u n d e r s e c t i o n 208 o f t h e F e d e r a l Water P o l l u t i o n C o n t r o l A c t ) :

S i m i l a r l y , no permits a r e r e q u i r e d f o r o t h e r

such "gray area" p r a c t i c e s involving those

a g r i c u l t u r e , m i n i n g and c o n s t r u c t i o n a c t i v i t i e s

l i s t e d i n s e c t i o n 2 0 8 ( b ) ( 2 ) (F) t h r o u g h (I) t h a t

a r e more p r o p e r l y c o n t r o l l e d by S t a t e and l o c a l

a g e n c i e s u n d e r s e c t i o n 2 0 8 ( b ) ( 4 ) and f o r which

t h e r e a r e approved b e s t management p r a c t i c e programs.

F o r example, s e c t i o n 2 0 8 ( b ) ( 4 ) r e g u l a t o r y programs

are responsible for controlling pollution that

may r e s u l t from s h e e t f l o w a c r o s s a s i t e p r e p a r e d

f o r c o n s t r u c t i o n o r from t h e placement o f p i l i n g s

i n w a t e r t o s u p p o r t s t r u c t u r e s s u c h a s highways,

r a i l r o a d t r a c k s , and d o c k i n g f a c i l i t i e s . Under

t h e committee amendment, no p e r m i t s a r e r e q u i r e d

f o r such a c t i v i t i e s when r e g u l a t e d under s e c t i o n 208. 11

S e c t i o n 67 a l s o e s t a b l i s h e d "a p r o c e s s t o a l l o w t h e Governor

o f any S t a t e t o a d m i n i s t e r an i n d i v i d u a l and g e n e r a l p e r m i t program

f o r t h e d i s c h a r g e o f dredged o r f i l l m a t e r i a l i n t o phase 2 o r 3

w a t e r s a f t e r t h e a p p r o v a l o f a program by t h e A d m i n i s t r a t o r "

11 U.S. C o n g r e s s . S e n a t e . Committee on Environment and P u b l i c

C l e a n Water Act of 1977; Report t o Accompany S. 1953.

works.

w a s h i n g t o n , U.S. Govt P r i n t . O f f . , 1977. ( 9 5 t h C o n g r e s s , 1 s t s e s s i o n .

S e n a t e . R e p o r t no. 95-370) p. 76.

21 U.S.

C o n g r e s s . Committee o f C o n f e r e n c e . Conference Report

t o ~ c F o m ~ aH.R.

n ~ 3199. Washington, U.S. Govt. P r i n t . O f f . , 1977.

p. 101.

( 9 5 t h C o n g r e s s , 1st s e s s i o n . House. Report no. 95-830).

of the Environmental Protection Agency (EPA)

. EPA retained oversight

of and could reject State programs; but the amendment allowed "States

to assume the primary responsibility for protecting those lakes, rivers,

streams, swamps, marshes, and other portions of the navigable waters

outside the corps program in the so-called phase 1 waters."

Section 67 of P.L. 95-217 added still another exemption to the

regulatory jurisdiction regarding permits for dredged or fill material,

resulting from Federal construction projects.

A new section exempted

Federal activities that discharge dredged or fill material from the

permit process when the Federal construction project has been

specifically authorized by Congress, if information on the effects

of such discharge is included in an environmental impact statement

and submitted to the Congress before the actual discharge and prior

to either the authorization or the appropriation of funds for such

construction.

This exemption for certain Federal construction

projects from the 404-permit requirement was "in recognition of the

Constitutional principal of separation of powers.

Where a project

has been specifically authorized by the Congress that authorization

should not thereafter be subject to nullification by an executive

agency." 21

--------------works.

11 U.S. Congress. Senate. Committee on Environment and Public

Clean Water Act of 1977, p. 75.

21 U.S. Congress. Committee of Conference.

3199, p. 104.

~ c c o m F a nH.R.

Conference Report to

In addition, P.L. 95-217 amended certain EPA regulatory activity

through the issuance of permits, i.e., under authority of section 402

of the Federal Water Control Act Amendments of 1972.

Section 33 of

P.L. 95-217 prevented the Administrator/EPA from requiring a permit

under his authority in section 402 "for discharges composed entirely

of return flows from irrigated agriculture."

Thereafter, such sources

of pollution would be included in areawide waste treatment management

under the responsibility of the States.

According to the Conference

Committee report on the Clean Water Act of 1977, "the purpose of

this [new] section is to assure that no permit can be required by

EPA for regulation of irrigation return flows." 1/

P.L.

95-217, through section 43, provided yet another transformat ion

of Federal regulatory jurisdiction by establishing procedures for

the ~dministrator/E~A

to grant a waiver for nonconventional pollutants ,

a new category vis-a-vis conventional and toxic pollutants, and a

"gray area

. . . about which there is the most to learn." -21 Described

as a "safety valve" by the proposed legislation's Senate floor manager,

Senator Muskie, the provision permitted that in the case of such nonconventional pollutants, an industry "has a chance under these amendments

to prove no adverse environmental effects relating to a particular

-1/

Ibid., p. 69.

21 Muskie, Edmund. Clean Water Act Amendments of 1977--Conference

~ e ~ o r t .Remarks in Senate. Congressional Record (daily ed.) ,

v. 123, Dec. 15, 1977: S19638.

pollutant, and after making a showing, escape regulation." 1

1 House

conferee Rep. Ray Roberts offered the following explanation for including

the provision:

Another major problem area was the law's [Federal

Water Pollution Control Act] strict requirement for

industry that would cost millions of dollars and

result only in a little more clean-up of our waters.

The conferees wrestled with this problem and

developed a fair and workable compromise. Strict

requirements are still in effect for damaging

pollutants, such as toxics. However, for certain

other [nonconventional] pollutants, industry may

get a waiver. By way of summary, P.L. 95-217 provided three distinct mechanisms-transferring authority from Federal to State authorities, providing

exemptions, and granting waivers--for modifying rulemaking authority,

changing specific rules and their implementation, and mitigating the

effect of others.

(14)

1705-1747).

Airline Deregulation Act of 1978 (P.L. 95-504; 92 Stat.

Approved on the final day of the 95th Congress, the

Airline Deregulation Act of 1978 contained a number of mechanisms

which would, in effect, overturn existing rules and regulations,

lessen their impact, prevent the promulgation of more rigid rules,

and remove rule-making authority.

The complex legislation, developed

over a four-year period, included five distinct techniques that

11 Ibid., p. S19637.

21 Roberts, Ray. Report on the Resolution Providing for

consixeration of Conference Report on H.R. 3199, Clean Water Act of

1977. Remarks in House. Congressional Record (daily ed.), v. 123,

Dec. 15, 1977: H12919.

affected the jurisdiction of the Civil Aeronautics Board (CAB):

--graduated or phased termination of CAB authority over

domestic air routes (Dec. 31, 1981) and over domestic

air fares, rates, mergers, and acquisitions

1, 1983),

along with abolition of the Board itself on Jan. 1,

1985, unless Congress overrides these "sunset" prov sions ;

an.

--eventual transfer of CAB authority to other Federal agencies,

including the determination of small carriage rates to the

U.S. Postal Service; the jurisdiction for mergers,

interlocking directorates, and antitrust actions re ating

to interstate and foreign air transportation to the Just ice

Department; the compensation for air transportation to

small communities to the Transportation Department; and

authority for foreign air transportation to Transportation

in consultation with the State Department;

--exemptions from CAB authority, including regulation of much

comuter aircraft, airline company acquisition by non-airline

companies, certain classes of services (as CAB determines),

and certain air carrier transportation involving the State

of Alaska;

-restrictions on CAB rulemaking with respect to charter airlines,

requiring the Board to impose rules on such airlines that were

no more rigid than those imposed on other classes and precluding

the Board from making charter rules and regulations any more

restrictive than on October 1, 1978, thus, in effect, "approving

all actions the Board has taken with respect to the liberalization

" 1/ ; and

of charters

...

--waiving CAB approval authority for an additional route for

each airline during 1979-1981.

(15)

92 Stat.

Endangered Species Act Amendments of 1978 (P.L. 95-632;

3751, 3752-3758).

Following a Supreme Court decision

preventing Tennessee Valley Authority operation of the Tellico Dam

because of endangerment to the snail darter fish, listed as an

1/ Cannon, Howard. Airline Deregulation Act of 1978--Conference

~ e ~ o r t .Remarks in Senate. Congressional Record (daily ed.), v. 124.

Oct. 14, 1978: S18799. See also Edward Kennedy, ibid., p. 518798,

on other CAB reform efforts prior to enactment of the deregulation bill.

e n d a n g e r e d s p e c i e s , C o n g r e s s approved amendments i n 1978,

e s t a b l i s h i n g new mechanisms f o r d e t e r m i n i n g e x e m p t i o n s t o t h e 1973

Endangered S p e c i e s Act.

The Amendments c r e a t e d a seven-member

i n t e r a g e n c y Endangered S p e c i e s Committee, composed o f t h e h e a d s o f :

t h e C o u n c i l o f Economic A d v i s o r s , E n v i r o n m e n t a l P r o t e c t i o n Agency,

N a t i o n a l Oceanic and Atmospheric A d m i n i s t r a t i o n , and t h e D e p a r t m e n t s

o f A g r i c u l t u r e , t h e Army, and t h e I n t e r i o r who c h a i r s t h e new Committee.

The s e v e n t h member would b e a P r e s i d e n t i a l a p p o i n t e e r e p r e s e n t i n g

t h e Governor o f t h e a f f e c t e d S t a t e .

The Committee makes f i n a l

d e t e r m i n a t i o n s based upon recommendations from a three-member

r e v i e w p a n e l which r e p o r t s on exemption a p p l i c a t i o n s t h a t may b e

s u b m i t t e d by t h e a f f e c t e d F e d e r a l agency, by t h e Governor o f t h e S t a t e

i n which an agency a c t i o n w i l l o c c u r , o r by a p e r m i t o r l i c e n s e e

applicant.

LIMITATIONS I N AUTHORIZING AND APPROPRIATING STATUTES

S t a t u t o r y l i m i t a t i o n s and d i r e c t i v e s a f f e c t i n g s p e c i f i c F e d e r a l

r u l e s and r e g u l a t i o n s e x i s t i n b o t h a p p r o p r i a t i n g and a u t h o r i z i n g

l e g i s l a t i o n , a l t h o u g h t h e f o r m e r a r e t h e more common v e h i c l e s f o r

such f u n d i n g r e s t r a i n t s .

I n most i n s t a n c e s , t h e y p r o h i b i t e x p e n d i t u r e s

f o r s p e c i f i e d r e g u l a t o r y a c t i v i t y o r f o r enforcement o f a p a r t i c u l a r

rule.

I n t h a t f a s h i o n , t h e s e l i m i t a t i o n s p r e v e n t an a g e n c y from

p r o m u l g a t i n g o r implementing a r u l e a n d , t h u s , n u l l i f y t h e r u l e f o r

t h e d u r a t i o n of t h e a u t h o r i z a t i o n o r a p p r o p r i a t i o n p e r i o d .

The last phrase, however, suggests the major qualification

on such statutory techniques.

Their impact is restricted to a

specified time period; and unless reenacted in subsequent authorization

or appropriation statutes, their effect terminates. As a corollary,

these restraints applied to funding amounts lack permanency, with

the consequence that the offending rule would be enforced in the

future without continued congressional approval of the statutory

language.

Moreover, appropriation bills, as distinct from authorizations

in this case, cannot propose new or general legislation or amendments

to existing legislation, for the most part. 11

Therefore, provisions

in appropriation statutes can neither permanently override the statutory

authority on which a particular rule is based nor overturn a specific

rule in an absolute sense.

11 Senate Rule XVI reads in part: "The Committee on Appropriations

shall-not report an appropriation bill containing amendments proposing

new or general legislation ...No amendment which proposes general

legislation shall be received to any general appropriation bill ...I1

House Rule XXI reads similarly: "Nor shall any provision in

any such [appropriation] bill or amendment thereto changing existing

law be in order, except such as being germane to the subject matter

of the bill shall retrench expenditures...by reduction of the amounts

of money covered by the bill.. ." House Rule X X I is elaborated upon

in section 483 of the Rules of the House of Representatives: "Although

the rule forbids on any general appropriation bill a provision 'changing

existing law,' which is construed to mean legislation generally, the

~ouse's practice has established the principle that certain 'limitations'

may be admitted. It being established that the House under its rules

may decline to appropriate for a purpose authorized by law, so it

may by limitation prohibit the use of money for part of the purpose

while appropriating for the remainder.. . "

However, Louis Fisher has provided an overview of the intricacies

and nuances of appropriations bills that "dilute the force of this rule"

of Congress. U. S. Library of Congress. Congressional Research

Service. The Authorization-Appropriat ions Process : Formal Rules

and Informal Practices (by) Louis Fisher. (washington) Aug. 1,

1979, p. 31 and 29-39.

Finally, the potential effectiveness of authorization and

appropriation restraints is limited because some kinds of

budget expenditures are largely immune from either express

appropriation or authorization:

borrowing and contract authority

or "backdoor spending"; permanent authorizations or appropriations;

existence of off-budget agencies; trusts and special funds; certain

uncontrollable expenditures, such as those mandated by statutory

formulae; and carry-overs of unexpended funds. 11 Also, reprogramming

of funds 2 / permits certain administrative spending discretion once

programs are in effect.

In the case of major regulatory agencies, however, most budget

accounts are at least periodically appropriated. The Senate Study

on Federal Kegulation found that the fourteen major regulatory agencies

"are funded through 43 separate budget accounts, only four of which

are not subject to appropriaitons review." -

Consequently, the

11 A comprehensive review of these techniques has been prepared

by lien Schick. See: U .S. Congress. House Committee on the

Budget. Congressional Control of Expenditures. (Committee print)

Washington, U.S. Govt. Print. Off., 1977.

-21 See: Fisher, Louis. Presidential Spending Power. Princeton,

N.J., Princeton University Press, 1975.

-3/

Senate Study on Federal Regulation, p. 21.

potential for appropriations limitations is greater in the regulatory

field than in most other areas.

Yet, since nearly all Federal

agencies, not just major regulators, have authority to promulgate

rules, and because of the difficulties and limitations associated

with statutory authorization or appropriation spending controls,

that ~otent

ial may remain unevenly and infrequently ut lized

Nonetheless, the Senate Study on Federal Regulation ar ued the

significance of this statutory technique in controlling Federal

regulations :

Once enacted, these statutory controls are

completely straightforward. In fact, it could be

argued that appropriations oversight is effective

precisely because the statutory controls are so

direct, unambiguous, and virtually sel f-enforcing.

While agencies are able to bend the more ambiguous

language of authorizing legislation to their own

purposes, the dollar figures in appropriations bills

represent commands which cannot be bent or ignored

except at extreme peril to agency officials. 11

Some recent examples of appropriations or authorizations

limitations applied to specific rules include:

(1)

Appropriations for the Departments of Labor, and Health,

Education and Welfare and Related Agencies for FY 1974 (P.L. 93-194;

87 Stat. 7 4 6 , 7 6 3 ) .

This Act continued to apply the following

limitation to National Labor Relations Board (NLRB) appropriations:

No part of the appropriation could be used in connection with NLRB

activities concerning bargaining units composed of agricultural

laborers or to organize or assist in organizing agricultural laborers.

-11

Ibid., p. 31.

The p r o v i s i o n a l s o i n c l u d e d i n t h e d e f i n i t i o n o f a g r i c u l t u r a l l a b o r e r s ,

employees engaged i n t h e m a i n t e n a n c e and o p e r a t i o n o f c e r t a i n waterways

and r e s e r v o i r s , o p e r a t e d on a m u t u a l , n o n - p r o f i t b a s i s , i n which a t

l e a s t 95% o f t h e w a t e r s t o r e d o r s u p p l i e d i s used f o r f a r m i n g p u r p o s e s .

This l i m i t a t i o n reaffirmed t h e exclusion of a g r i c u l t u r a l l a b o r e r s

from t h e Labor Management R e l a t i o n s Act of 1947 ( 2 9 U.S.C.

t h e F a i r Labor S t a n d a r d s Act o f 1938 (29 U.S.C.

203).

1 5 2 ) and

I n s o doing,

t h e FY 1974 Act used l a n g u a g e t h a t was i n i t i a l l y a t t a c h e d t o NLRB

a p p r o p r i a t i o n s f o r FY 1947 (P.L.

79-549;

60 S t a t . 6 9 8 ) .

t h e e x t e n d e d d e f i n i t i o n o f a g r i c u l t u r a l l a b o r e r s , P.L.

By m a i n t a i n i n g

93-194

i n c o r p o r a t e d language f i r s t a p p l i e d i n t h e FY 1954 a p p r o p r i a t i o n s

a c t (P.L.

83-170; 6 7 S t a t . 257-2581,

and, t h e r e b y , r e t a i n e d t h e e x p r e s s

exempt i o n o f t h i s g r o u p i n g from p o s s i b l e NLRB r u l e m a k i n g j u r i s d i c t i o n .

(2)

A p p r o p r i a t i o n s f o r t h e Department o f Housing and Urban

Development and Sundry I n d e p e n d e n t A g e n c i e s f o r FY 1976 (P.L.

89 S t a t . 581, 6 0 0 ) .

94-116,

Two p r o v i s i o n s were a t t a c h e d t o t h e a p p r o p r i a t i o n s

a c t t h a t l i m i t e d t h e rulemaking a u t h o r i t y o f two a g e n c i e s , t h e

Environmental P r o t e c t i o n Agency (EPA) and t h e Department o f Housing

and Urban Development (HUD)

1 / I n t h e 92d and 93d C o n g r e s s e s , t h e r e was c o n s i d e r a t i o n o f

s t a t u t o r i l y a p p l y i n g t h e s e two a c t s t o a g r i c u l t u r a l w o r k e r s ,

p o s s i b l y under t h e j u r i s d i c t i o n o f NLRB o r under a proposed

A g r i c u l t u r a l Labor Board w i t h s i m i l a r powers.

See: U.S.

Congress.

House. Committee on E d u c a t i o n and Labor.

Subcommittee on

A g r i c u l t u r a l Labor Management R e l a t i o n s .

H e a r i n g s , 93d C o n g r e s s ,

1st s e s s i o n , May 21, 1973. Washington, U.S. Govt. P r i n t . O f f . , 1974.

S e c t i o n 407 p r o v i d e d t h a t no such f u n d s c o u l d be used by EPA

t o " a d m i n i s t e r o r p r o m u l g a t e , d i r e c t l y o r i n d i r e c t l y , any program

t o t a x , l i m i t o r otherwise r e g u l a t e parking t h a t i s n o t s p e c i f i c a l l y

required pursuant t o subsequent l e g i s l a t i o n . "

The p r o h i b i t i o n on

EPA was based on t h e e x p e c t a t i o n t h a t EPA might d e v e l o p r e g u l a t i o n s

o r r e q u i r e c i t i e s t o impose t a x s u r c h a r g e s d e s i g n e d t o r e d u c e a i r

p o l l u t i o n g e n e r a t e d where l a r g e numbers o f a u t o m o b i l e s a r e g a t h e r e d ,

a s a t shopping c e n t e r s o r stadiums.

P r e c i s e l y what a c t i o n EPA

might have t a k e n was u n c e r t a i n , a c c o r d i n g t o f l o o r s t a t e m e n t s on

b e h a l f o f t h e p r o v i s i o n , s i n c e no s p e c i f i c r u l e s had been p r o p o s e d ;

and " t h e S e n a t e dropped t h i s p r o v i s i o n w i t h t h e u n d e r s t a n d i n g t h a t

t h e E n v i r o n m e n t a l P r o t e c t i o n Agency d i d n o t i n t e n d t o implement

t h e p a r k i n g p r o p o s a l w i t h o u t f u r t h e r a p p r o v a l and c l a r i f i c a t i o n

from t h e l e g i s l a t i v e c o m m i t t e e s

.'I

-11 N o n e t h e l e s s , a t t h e

i n s i s t e n c e o f t h e House c o n f e r e e s , t h e a p p r o p r i a t i o n s s t a t u t e

l i m i t a t i o n was e n a c t e d , a s an amended v e r s i o n o f t h e o r i g i n a l House

provision.

It p r e c l u d e d any EPA rulemaking w i t h r e s p e c t t o

parking, b a r r i n g subsequent l e g i s l a t i o n t h a t might permit such a u t h o r i t y .

1/ Boland, Edward P. Conference Report on H.R. 8070. Remarks

i n ~ o u s e . C o n g r e s s i o n a l Record ( d a i l y e d . ) , v . 1 2 1 , Oct. 3 , 1975: H9567.

C o n g r e s s . Committee o f C o n f e r e n c e . Conference Report

2/ U.S.

t o ~ c k ~ H.R.

a n 8070.

Washington, U.S. Govt. P r i n t . O f f . , 1975.

( 9 4 t h C o n g r e s s , 1 s t s e s s i o n . House. Report no. 94-502).

p. 14.

A provision in section 408, also retained as a modification of

the House version, limited HUD's authority to establish noise control

standards for federally insured or federally assisted housing.

However, the effective scope of the limitation was severely constrained

through the Senate modification, which made the restraint applicable

only "in connection with construction in an area zoned for

residential use in Merced County, California." 1/

The final version,

incorporated as section 408, read:

Sec. 408. None of the funds provided by this

Act shall be used to deny or fail to act upon, on

tne basis of noise contours set forth in an Air

Installation Compatible Use Zone Map, an otherwise

acceptaole application for Federal Housing

Administration mortgage insurance in connection

witn construction in an area zoned for residential

use in Merced County, California.

(3)

454-455).

~ i g h w a ySafety Act of 1976 ( P . L .

94-280; 90 Stat. 425,

As noted above, sec. 20 of the Highway Safety Act overturned

a specific standard requiring motorcyclists to wear safety helmets,

promulgated by the National Highway Traffic Safety Administration/

Department of Transportation.

That section, in this authorization

act, also imposed funding restraints on the Secretary of Transportation's

discretion to ensure the adequacy and appropriateness of certain

safety standards.

Sec. 208(b) required the Secretary, in cooperation

with the States, to conduct an evaluation of the adequacy and

11 Merced County, California is in the congressional district

of ~ e p .B. F. Sisk, who had proposed broader limitations on the

House floor.

appropriateness of all uniform safety standards devised under this

program, and to report his findings and recommendations, including

revision or consolidation of existing standards, to Congress on or

before July 1, 1977.

The authorization limitation then followed : "Until such report

is submitted, the Secretary shall not

. . . withhold any apportionment

or any funds apportioned to any State because such State is failing

to implement a highway safety program approved by the Secretary

The funding restriction in sec

I'.

. 208(b) prohibited the withholding

of funds for approximately one year, from May 5, 1976, when the law

was enacted, until July 1, 1977, the final date of submission of

the secretary's required report.

Based on complaints from States,

sec. 2O8(b),

in effect,

relaxed enforcement of the safety standards, complementing an

earlier provision in sec. 208(a) that eased compliance with the

uniform safety standards.

Appropriations for the Departments of Labor, and Health,

Education and Welfare, and Related Agencies for FY 1977 (P.L. 94-439;

90 Stat. 1418, 1421).

Within this Act, the appropriations for the

Occupational Safety and Health Administration (OSHA) in the Labor

Department included two limitations on expenditures on behalf of

11 U.S.

Congress.

House.

Committee on Public Works and

rans sport at ion. Federal-Aid Highway Act of 1975: Report to

Accompany H.R. 8235. Washington, U.S. Govt. Print. Off

1975.

(94th Congress, 1st session. House. Report no. 94-716.)

OSHA r u l e s and r e g u l a t i o n s .

The f i r s t p r o h i b i t e d OSHA from expending

o r o b l i g a t i n g any such f u n d s f o r t h e a s s e s s m e n t o f c i v i l p e n a l t i e s

i s s u e d f o r f i r s t i n s t a n c e v i o l a t i o n s o f any s t a n d a r d , r u l e o r r e g u l a t i o n

promulgated u n d e r t h e O c c u p a t i o n a l S a f e t y and H e a l t h Act of 1970

( o t h e r than c e r t a i n s e r i o u s o r repeated v i o l a t i o n s ) , u n l e s s t h e

workplace was c i t e d f o r more t h a n 10 v i o l a t i o n s i n t h e f i r s t i n s p e c t i o n .

The second l i m i t a t i o n p r e c l u d e d o b l i g a t i n g o r expending such

appropriated funds t o p r e s c r i b e , i s s u e , administer, o r enforce

any s t a n d a r d , r u l e , r e g u l a t i o n , o r o r d e r under t h e O c c u p a t i o n a l

S a f e t y and H e a l t h Act of 1970 which i s a p p l i c a b l e t o any p e r s o n

who i s engaged i n a farming o p e r a t i o n and employs 10 o r fewer

employees.

T h i s p r o v i s i o n adopted House l a n g u a g e i n l i m i t i n g OSHA

enforcement of i t s r e g u l a t i o n s 11 and a l o n g w i t h t h e former

l i m i t a t i o n s on OSHA e n f o r c e m e n t , was e x t e n d e d t o t h e FY 1978

a p p r o p r i a t i o n s through a p r o v i s i o n i n t h e subsequent r e s o l u t i o n

(P.L.

95-2051,

which s t a t e d :

11 U.S. Congress. Committee o f C o n f e r e n c e . C o n f e r e n c e Report

t o ~ c c o m ~ aH.R.

n ~ 14232. Washington, U.S. Govt. P r i n t . Off

1976.

( 9 4 t h C o n g r e s s , 2d s e s s i o n . House. Report no. 94-1384).

No a p p r o p r i a t i o n o r fund made a v a i l a b l e o r a u t h o r i t y

g r a n t e d p u r s u a n t t o t h i s j o i n t r e s o l u t i o n s h a l l be

used t o i n i t i a t e o r resume any p r o j e c t o r a c t i v i t y

f o r which a p p r o p r i a t i o n s , f u n d s , o r o t h e r a u t h o r i t y

were n o t a v a i l a b l e d u r i n g t h e f i s c a l y e a r 1977. (5)

A p p r o p r i a t i o n s f o r t h e Department o f Housing and Urban

Development f o r FY 1978 (P.L.

95-119;

91 S t a t . 1073, 1 0 8 9 ) .

Sec. 408

of t h e s e a p p r o p r i a t i o n s included a funding l i m i t a t i o n , providing t h a t

no s u c h f u n d s " s h a l l be s u b j e c t t o t h e F e d e r a l r e g u l a t i o n d e f i n i n g

t h e c o n d i t i o n s u n d e r which two o r more p e r s o n s s h a l l b e e l i g i b l e

f o r admission t o public housing a s a family

. . ." I n e s s e h c e ,

t h i s r e s t r i c t i o n n u l l i f i e d a Housing and Urban Development (HUD)

r e g u l a t i o n t h a t u n i n t e n t i o n a l l y p e r m i t t e d homosexual c o u p l e s t o

be e l i g i b l e f o r public housing.

11 P.L. 95-205; 91 S t a t . 1460, 1461. The c o n t i n u i n g r e s o l u t i o n

f o r FF 1978 a p p r o p r i a t i o n s was n e c e s s i t a t e d by t h e f a i l u r e o f t h e

House and S e n a t e t o r e s o l v e d i f f e r e n c e s o v e r HEW a p p r o p r i a t i o n

restrictions.

A m o d i f i e d v e r s i o n o f t h e second l i m i t a t i o n on OSHA had a l s o

b e e n approved b y t h e S e n a t e i n t h e 9 5 t h Congress. H.R. 11445, t h e

Small B u s i n e s s A d m i n i s t r a t i o n A u t h o r i z a t i o n Act , had been amended

t o p r o v i d e t h a t s m a l l b u s i n e s s e s which employ 10 o r fewer employees

s h a l l be exempt from c o v e r a g e under t h e O c c u p a t i o n a l S a f e t y and

Health Act, u n l e s s a f i r m ' s i n j u r y / i l l n e s s r a t e i s c e r t i f i e d a t a

s p e c i f i e d l e v e l t o be too high.

T h i s would, t h e r e f o r e , exempt

a l l c e r t i f i e d small b u s i n e s s e s , n o t j u s t farms, a s t h e a p p r o p r i a t i o n s

a c t l i m i t a t i o n p r o v i d e s . House and S e n a t e o n f e r e e s a g r e e d t o a

s u b s t i t u t e v e r s i o n o f t h e s m a l l b u s i n e s s exemption t o OSHA h e a l t h

and s a f e t y r e g u l a t i o n s , r e t a i n i n g t h e c i v i l p e n a l t y and r e p o r t i n g

p r o v i s i o n s . U. S. Congress. House. Committee o f C o n f e r e n c e .

Amending t h e Small B u s i n e s s Act and t h e Small B u s i n e s s I n v e s t m e n t

Act o f 1 9 5 8 ; C o n f e r e n c e Report t o Accompany H.R. 11445. Washington,

U.S. Govt. P r i n t . O f f . , 1978. ( 9 5 t h C o n g r e s s , 2d s e s s i o n . House.

R e p o r t no. 95-1671).

p. 46. However, t h e b i l l , H.R. 11445, was

p o c k e t v e t o e d by P r e s i d e n t C a r t e r .

I n f i n a l r e g u l a t i o n s p u b l i s h e d on May 9 , 1977, HUD i n t r o d u c e d

t h e c r i t e r i a of a " s t a b l e family relationship'' t o determine

e l i g i b i l i t y , a c o n c e p t which gave r i s e t o unexpected i n t e r p r e t a t i o n s .

According t o t h e House s p o n s o r o f t h e amendment t o HUD a p p r o p r i a t i o n s :

T h i s development was n o t c o n t e m p l a t e d by t h e Department

and p o s e s a n i s s u e which i t i s u n p r e p a r e d t o d e a l w i t h

a t t h i s t i m e . It i s my u n d e r s t a n d i n g t h a t t h e

Department would l i k e t o r e c o n s i d e r t h e s e r e g u l a t i o n s

Department ought t o have an

f o r t h a t reason...The

opportunity t o reconsider those regulations

... L/

(6)

A p p r o p r i a t i o n s f o r t h e Department o f T r a n s p o r t a t i o n and

R e l a t e d A g e n c i e s f o r FY 1979 (P.L.

95-335; 92 S t a t . 435, 4 5 0 ) .

T h i s a p p r o p r i a t i o n a c t i n c l u d e d a p r o v i s i o n i n s e c . 317 t h a t

p r e c l u d e d t h e u s e o f such f u n d s " t o implement o r e n f o r c e any s t a n d a r d

o r r e g u l a t i o n which r e q u i r e s any motor v e h i c l e t o b e equipped w i t h

a n o c c u p a n t r e s t r a i n t system ( o t h e r t h a n a b e l t system)."

This

l i m i t a t i o n was added a s a n amendment on t h e House f l o o r , b y a v o t e

of 237-143 on June 1 2 , 1978, 2/ and l a t e r r e s t o r e d by t h e c o n f e r e e s ,

when t h e S e n a t e had f a i l e d t o approve i t . -

1 / Boland, Edward P.

HUD A p p r o p r i a t i o n s f o r FY 1978. Remarks

i n th; House. C o n g r e s s i o n a l Record ( d a i l y e d . ) , v . 1 2 3 , J u n e 1 5 , 1977:

H593l.

-21

C o n g r e s s i o n a l Record ( d a i l y e d . ) , v . 124, J u n e 1 2 , 1978:

H5321.

3 / U.S.

Congress. Committee o f C o n f e r e n c e . C o n f e r e n c e Report

t o ~ c c o m ~ aH.R.

n ~ 12933. Washington, U.S. Govt P r i n t . O f f . , 1978.

p. 14.

( 9 5 t h C o n g r e s s , 2d s e s s i o n . House. Report no. 95-1329).

The main focus of the provision was a National Highway Traffic

Safety Administration (NHTSA)/Department of Transportation regulation

mandating that all new automobiles be equipped with air bags or other

passive restraints by the 1984 model year.

The regulation was

promulgated in June, 1977, calling for a phased introduction of passive

restraints, either automatic belt systems or airbags, beginning with

the 1982 model year and extending to all automobiles produced in the

1984 model year.

Consequently, the limitation included in the 1979

appropriations statute would not directly affect the standard whose

effective implementation dates were two and four years beyond the

end of the appropriations period.

Nonetheless, according to the

amendment's sponsor, Rep. Shuster, "this appropriations bill, while

not the best vehicle, is the only vehicle left for Members to express

themselves on an issue affecting the lives and pocketbooks of millions

of Americans ."11

Previous1y, 160 House Members cosponsored a

resolution of disapproval of the NHTSA rule; but the House did not

vote on it, since the Interstate and Foreign Commerce Committee

had voted against reporting out the disapproval resolution. 21

11 Bud Shuster

Remarks on an Amendment to the Transportation

~ ~ ~ r o p r i a t i oFiscal

Year 1979. Remarks in House. Congressional

Record (daily ed.), v. 124, June 12, 1978: H5308.

21 Ibid. Interestingly, the Shuster amendment had been subject

to a parliamentary inquiry and point of order. Rep. Eckhardt stated

that "since this amendment in no way changes that [NHTSA] requirement

with respect to seat belts, passive seat belts, therefore this is

not in fact a retrenchment [of appropriated funds] .this is

legislation within an appropriations bill calling for specific

(21 continued)

(7)

A p p r o p r i a t i o n s f o r t h e T r e a s u r y Department

95-429;

(P.L.

92 S t a t . 1001, 1 0 0 2 ) .

...f o r FY 1 9 7 9

The f i s c a l y e a r 1979

a p p r o p r i a t i o n s f o r t h e Bureau o f A l c o h o l , Tobacco, and F i r e a r m s

(BATF) i n t h e T r e a s u r y Department c o n t a i n e d a p r o h i b i t i o n on u s i n g

such f u n d s f o r proposed gun c o n t r o l r e g u l a t i o n s .

No f u n d s were t o be

a v a i l a b l e f o r a d m i n i s t r a t i v e e x p e n s e s i n c o n n e c t i o n w i t h proposed

BATF r u l e s of March 2 1 , 1978, t h a t would have c o n s o l i d a t e d o r c e n t r a l i z e d

t h e r e c o r d s o f r e c e i p t and d i s p o s i t i o n o f f i r e a r m s , m a i n t a i n e d b y t h e

T r e a s u r y Department.

Moreover, b o t h Chambers a g r e e d t o d e l e t e $4.2

m i l l i o n from t h e BATF a p p r o p r i a t i o n s r e q u e s t , t h e amount e s t i m a t e d f o r

implementing t h e proposed r e g u l a t i o n s .

The r e s t r i c t i v e l a n g u a g e of

t h e f i n a l b i l l , which would a l s o p r e v e n t reprogramming t o implement

t h e proposed r e g u l a t i o n s , was d e f e n d e d by t h e S e n a t e A p p r o p r i a t i o n s

. . . t h e proposed r e g u l a t i o n s g o beyond t h e i n t e n t o f

Congress . . . I t would a p p e a r t h a t BATF and t h e Department o f T r e a s u r y

Committee:

(2/ c o n t i n u e d ) a d d i t i o n a l d u t i e s on t h e p a r t o f t h e S e c r e t a r y of

Transportation; t h a t i s , i t d i r e c t s the Secretary of Transportation

t o r e v i s e h i s p r e s e n t modes o f p u t t i n g i n t o e f f e c t t h e r e s t r a i n t s

Rep. S h u s t e r r e b u t t e d , i n s i s t i n g t h a t t h e amendment " i s s i m p l y a

p r o p e r l i m i t a t i o n on t h e u s e o f f u n d s . No a d d i t i o n a l d u t i e s a r e

imposed upon t h e e x e c u t i v e . I ' The C h a i r c o n c u r r e d w i t h Rep. Shus t e r

and o v e r r u l e d t h e p o i n t o f o r d e r , a r g u i n g t h a t " i t i s w e l l s e t t l e d

t h a t a l i m i t a t i o n may n e g a t i v e l y r e s t r i c t f u n d i n g i n an a p p r o p r i a t i o n

a c t f o r p a r t o f a d i s c r e t i o n a r y a c t i v i t y a u t h o r i z e d by l a w i f no

new a f f i r m a t i v e d u t i e s o r d e t e r m i n a t i o n s a r e t h e r e b y r e q u i r e d ."

Ibid

J u n e 9 , 1978: H528O-H5281.

..."

a r e a t t e m p t i n g t o exceed t h e i r s t a t u t o r y a u t h o r i t y and a c c o m p l i s h by

r 2 y u l a t i o n t h a t which C o n g r e s s h a s d e c l i n e d t o l e g i s l a t e . "

(8)

-1/

A p p r o p r i a t i o n s f o r t h e Departments o f L a b o r , and H e a l t h ,

E d u c a t i o n and W e l f a r e , and R e l a t e d Agencies f o r FY 1979 (P.L.

92 S t a t . 1567, 1569-1570).

95-480;

Approved on t h e f i n a l d a y o f t h e 9 5 t h

C o n g r e s s , t h e FY 1979 a p p r o p r i a t i o n s f o r t h e Department o f Labor

:nntained

l i m i t a t i o n s on t h e O c c u p a t i o n a l S a f e t y and H e a l t h

:r i n i s t r a t i o n

(OSHA) t h a t e x t e n d e d beyond t h e p r e v i o u s r e s t r i c t i o n s

i n f i s c a l y e a r s 1977 and 1978, t h r o u g h P.L.

r e s p e c t i v e l y ( d e s c r i b e d above).

94-439

and P.L.

95-205,

Those l i m i t a t i o n s on OSHA a u t h o r i t y

p r e s c r i b e , i s s u e , a d m i n i s t e r , o r enforce c e r t a i n r u l e s included :

- - p r o h i b i t i n g OSHA from imposing c i v i l f i n e s f o r f i r s t - i n s t a n c e

h e a l t h o r s a f e t y v i o l a t i o n s of a non-serious n a t u r e , u n l e s s

t h e o f f e n d i n g e s t a b l i s h m e n t had been c i t e d f o r 10 o r more

v i o l a t i o n s on such i n s p e c t i o n ;

-prohibiting

OSHA from i s s u i n g c i v i l p e n a l i t i e s f o r n o n - s e r i o u s

v i o l a t i o n s by a n employer of 10 o r fewer employees i f t h e

e m p l o y e r , p r i o r t o t h e i n s p e c t i o n , had : ( 1 ) v o l u n t a r i l y r e q u e s t e d

c o n s u l t a t i o n u n d e r a s p e c i f i c a s s i s t a n c e program, ( 2 ) had t h e

c o n s u l t a n t examine t h e c o n d i t i o n c i t e d , and ( 3 ) made o r i s

making a " r e a s o n a b l e good f a i t h e f f o r t t o e l i m i n a t e t h e h a z a r d

c r e a t e d by t h e c o n d i t i o n c i t e d " ;

--exempting from OSHA j u r i s d i c t i o n , "any work a c t i v i t y by r e a s o n

of r e c r e a t i o n h u n t i n g , s h o o t i n g , o r f i s h i n g " ; and

1/ U.S.

C o n g r e s s . S e n a t e . Committee on A p p r o p r i a t i o n s .

, s u r y , P o s t a l S e r v i c e , and G e n e r a l Government A p p r o p r i a t i o n s B i l l ,

; Report t o Accompany H.R.

12930. Washington, U.S. Govt. P r i n t .

1978. ( 9 5 t h C o n g r e s s , 2d s e s s i o n . S e n a t e . Report no. 95-939).

12.

L e y

--exempting from OSHA j u r i s d i c t i o n , "any p e r s o n who i s engaged i n

a f a r m i n g o p e r a t i o n which d o e s n o t m a i n t a i n a t e m p o r a r y l a b o r

camp and employs 10 o r fewer employees."

This f i n a l r e s t r i c t i o n

r e s t o r e d l a n g u a g e from t h e House v e r s i o n t h a t had b e e n d e l e t e d

by t h e S e n a t e t o p e r m i t OSHA " t o i n s p e c t any f a r m , r e g a r d l e s s

o f s i z e , t h a t m a i n t a i n s a t e m p o r a r y l a b o r camp" 1 / ( i . e . , m i g r a n t

worker camp).

There had been an a t t e m p t on t h e f l o o r o f t h e House t o p r e v e n t

OSHA i n s p e c t i o n s o f any w o r k p l a c e employing fewer t h a n 100 p e r s o n s

w i t h o u t a s e a r c h w a r r a n t , i n t h e wake o f a Supreme C o u r t d e c i s i o n

p e r m i t t i n g an employer t o r e q u i r e a s e a r c h w a r r a n t b e f o r e i n s p e c t i o n .

A p o i n t o f o r d e r , however, was s u s t a i n e d a g a i n s t t h i s amendment, on t h e

g r o u n d s t h a t i t would h a v e r e q u i r e d " a f f i r m a t i v e a c t i o n b y a n e x e c u t i v e , I t

which c a n n o t accompany a p p r o p r i a t i o n s l i m i t a t i o n s . 2/

REQUIRING FEDERAL AGENCY PRIOR CONSULTATION AND REVIEW

The s t a t u t o r y t e c h n i q u e s d i s c u s s e d above d i r e c t l y o v e r r i d e , p r e v e n t

t h e p r o m u l g a t i o n o f , o r e f f e c t t h e o v e r t u r n o f s p e c i f i c r u l e s and

r e g u l a t i o n s , by r e v o k i n g an e x p r e s s r u l e , a l t e r i n g t h e i s s u i n g a g e n c y ' s

j u r i s d i c t i o n , o r denying funds f o r enforcement o r implementation.

I n a d d i t i o n t o t h e s e m a n i f e s t c o n t r o l mechanisms, two o t h e r s t a t u t o r y

techniques--agency

p r i o r c o n s u l t a t i o n and r e v i e w r e q u i r e m e n t s and

advance n o t i c e ( t o C o n g r e s s ) p r o v i s i o n s - - d e s e r v e

mention.

Although

1 / U.S.

C o n g r e s s . Committee o f C o n f e r e n c e . Making A p p r o p r i a i o n s

f o r t?;e D e p a r t m e n t s o f L a b o r , and H e a l t h , E d u c a t i o n , and W e l f a r e , and

R e l a t e d A g e n c i e s ; Report t o Accompany H.R. 12929. Washington, U.S.

Govt. p r i n t . O f f . , 1978. ( 9 5 t h C o n g r e s s , 2d s e s s i o n . House. R e p o r t no.

p. 10.

95-1746).

2/ For d e b a t e and d e c i s i o n b y t h e c h a i r , s e e C o n g r e s s i o n a l Record

( d a i l y e d . ) , v . 1 2 4 , J u n e 7, 1978: H5117.

their influence is indirect and applicable to a category of rules,

rather than expressiy tied to a single rule, consultation and review

requirements interject new and possibly different perspectives and

recommendations in the decision-making process by requiring review

or consultation with units (i.e., other Federal agencies or

congressional committees) outside the rule-issuing agency.

The purpose

or effect of such statutory requirements, in certain instances, is to

retard the development or change the orientation of prospective rules

emanating from a particular agency.

The next section focuses on advance notification to the

Congress, whereas this section concentrates on statutory consultation

requirements among Federal agencies and between the Federal

agency and State authorities.

There appears to be a substantial

and increasing number of both types of prior notification,

consultation, and review provisions.

Several illustrations of

non-congressional review or consultation requirements follow.

( 1)

Insecticide , Fungicide, and Rodenticide Act ( P.L. 94-140;

89 Stat. 751, 752).

Sec. 2 of P.L. 94-140 amended the Federal

Insecticide, Fungicide, and Kodenticide Act, as amended, by providing

procedural changes for both proposed and final rules promulgated by

the Administrator of the Environmental Protection Agency (EPA).

Sixty days prior to signing proposed regulations and 30 days prior

to signing final regulations under that authority, the Administrator/

EPA must provide copies to the Secretary of Agriculture.

The

S e c r e t a r y may comaent i n w r i t i n g w i t h i n a s p e c i f i e d t i m e p e r i o d and

t h o s e comments, a l o n g w i t h t h e r e s p o n s e o f t h e A d m i n i s t r a t o r / ~ ~ A ,

a r e t o be p u b l i s h e d i n t h e F e d e r a l R e g i s t e r .

S u p p o r t i n g t h i s c o n s u l t a t i o n p r o v i s i o n , t h e S e n a t e Committee

on A g r i c u l t u r e and F o r e s t r y n o t e d t n e c o m p l e x i t y s u r r o u n d i n g r e g u l a t i o n s

i n t n e f i e l d of p e s t i c i d e c o n t r o l and EPA's " u n e n v i a b l e p o s i t i o n of

c h o o s i n g a c o u r s e t h a t must have t r a d e - o f f s

between t h e c o n f l i c t i n g

o b j e c t i v e s of e n v i r o n m e n t a l p r o t e c t i o n , and t h e economic a d v a n t a g e s

t h a t pesticide uses afford."

-11 I t was d e t e r m i n e d t h a t "EPA h a s

n o t always given adequate c o n s i d e r a t i o n t o a g r i c u l t u r e i n i t s

decisions.

. . Tnere i s c l e a r l y a need t o c o n s i d e r t h e i m p a c t o f

E P A ' S d e c i s i o n s on a g r i c u l t u r e i f b a l a n c e i s t o b e a c h i e v e d . "

(2)

(P.L.

-21

R a i l r o a d f i e v i t a l i z a t i o n and R e g u l a t o r y Reform Act o f 1976

94-210;

90 S t a t . 3 1 , 3 5 ) .

Among o t h e r t h i n g s , t h i s s t a t u t e

r e q u i r e d I n t e r s t a t e Commerce Commission ( K C ) c o n s u l t a t i o n w i t h t h e

F e d e r a l T r a d e Commission (FTC) and t h e A t t o r n e y G e n e r a l i n

e s t a b l i s h i n g r u l e s t o d e t e r m i n e "market dominance" o v e r a s e r v i c e

rendered a t a p a r t i c u l a r r a t e o r r a t e s .

The c o n f e r e n c e r e p o r t on

t h e b i l l emphasized t h a t t h e new r u l e s were " i n t e n d e d t o i n a u g u r a t e

1/ U.S.

Congress.

S e n a t e . Committee on A g r i c u l t u r e and

~ o r e s t r ~ I. n s e c t i c i d e , F u n g i c i d e , and R o d e n t i c i d e A c t ; R e p o r t t o

Accompany H.R. 8841. Washington, U.S. Govt. P r i n t . O f f . , 1975.

( 9 4 t h Congress, 1 s t session.

S e n a t e . R e p o r t n o . 94-452).

p. 5 .

-21

I b i d . , p. 9 .

a new e r a o f c o m p e t i t i v e p r i c i n g , " 1/ and adopted t h e concept of

"market dominance" a s a f a c t o r i n d e t e r m i n i n g whether a r a t e i s

lawful.

Rather than allowing the I C C t o e s t a b l i s h appropriate

s t a n d a r d s and procedures e x c l u s i v e 1y, sec

. 202 r e q u i r e d t h a t : "The

Commission s h a l l s o l i c i t and c o n s i d e r t h e r e c o r n e n d a t i o n s o f t h e

A t t o r n e y General and of t h e F e d e r a l Trade Commission i n t h e c o u r s e

o f e s t a b l i s h i n g such r u l e s . "

I n so doing, the provision incorporated

F e d e r a l a g e n c i e s a l r e a d y i n t i m a t e l y involved i n t h e i s s u e of

e f f e c t i v e competition.

(3)

454-455).

Highway S a f e t y Act of 1976 (P.L.

94-280;

90 S t a t . 425,

T h i s l e g i s l a t i o n i n c o r p o r a t e d s e v e r a l t e c h n i q u e s of

s t a t u t o r y c o n t r o l s over F e d e r a l r u l e s , i n c l u d i n g o v e r r i d i n g of a

r u l e and funding r e s t r a i n t s .

provided f o r F e d e r a l - S t a t e

I n a d d i t i o n , s e c . 208(b) of P.L.

94-280

c o o p e r a t ion i n e v a l u a t i n g and recommending

changes i n e x i s t i n g uniform s a f e t y s t a n d a r d s :

"The S e c r e t a r y of

T r a n s p o r t a t i o n s h a l l , i n c o o p e r a t i o n with t h e S t a t e s , conduct an

e v a l u a t i o n of t h e adequacy and a p p r o p r i a t e n e s s of a l l uniform s a f e t y

s t a n d a r d s e s t a b l i s h e d under s e c t i o n 402 of t i t l e 23 of t h e United

S t a t e s Code which a r e i n e f f e c t on t h e d a t e o f enactment

shall report

. . . [and]

h i s f i n d i n g s , t o g e t h e r with h i s recommendations,

1/ U.S.

Congress. Committee of Conference. Railroad R e v i t a l i z a t i o n

and ~ G ~ u l a t Reform

or~

Act; Report t o Accompany S. 2718. Washington,

U.S. Govt. P r i n t . O f f . , 1976. ( 9 4 t h Congress, 2d s e s s i o n . Senate.

Report no. 94-595).

p. 148.

i n c l u d i n g b u t n o t l i m i t e d t o , t h e need f o r r e v i s i o n o r c o n s o l i d a t i o n

o f e x i s t i n g s t a n d a r d s and t h e e s t a b l i s h m e n t o f new s t a n d a r d s , t o

Congress

. . ."

A s w i t h t h e o t h e r p r o v i s i o n s l i m i t i n g t h e Department o f T r a n s p o r t a t i o n

i n t h e A c t , s e c . 208(b) was added i n r e s p o n s e t o c o m p l a i n t s from S t a t e s

o f o v e r l y r i g i d a d m i n i s t r a t i o n and i n f l e x i b i l i t y r e g a r d i n g t h e s a f e t y

s t a n d a r d s promulgated by t h e N a t i o n a l Highway T r a f f i c S a f e t y A d m i n i s t r a t i o n . 1/

T h i s s e c t i o n sought t o p r o v i d e d i r e c t S t a t e p a r t i c i p a t i o n i n t h e e n s u i n g

evaluation.

I t d i d s o , i n c i d e n t a l l y , a t t h e same t i m e t h e S e c r e t a r y

was p r o h i b i t e d from w i t h h o l d i n g f u n d s a p p o r t i o n e d t o any S t a t e f o r

f a i l i n g t o implement a highway s a f e t y program approved by t h e S e c r e t a r y .

(4)

C o a s t a l Zone Management Act Amendments o f 1976 (P.L.

90 S t a t . 1013, 1 0 3 3 ) .

94-370;

T h i s Act p r e v e n t e d t h e S e c r e t a r y o f H e a l t h ,

E d u c a t i o n and Welfare (HEW) from p r o m u l g a t i n g f i n a l s h e l l f i s h s a f e t y

r e g u l a t i o n s u n t i l June 3 0 , 1977, n e a r l y a y e a r h e n c e .

t h a t m o r a t o r i u m was a c o n s u l t a t i o n r e q u i r e m e n t :

Accompanying

A t l e a s t s i x t y days

p r i o r t o t h e p r o m u l g a t i o n o f any such r e g u l a t i o n s , t h e Secretary/HEW,

i n c o n s u l t a t i o n w i t h t h e S e c r e t a r y o f Commerce, s h a l l p u b l i s h a n

a n a l y s i s o f ( 1 ) t h e economic impact o f s u c h r e g u l a t i o n s on t h e

d o m e s t i c s h e l l f i s h i n d u s t r y , and ( 2 ) t h e c o s t o f s u c h n a t i o n a l

s h e l l f i s h s a f e t y program r e l a t i v e t o t h e b e n e f i t s t h a t i t i s e x p e c t e d

t o achieve.

U.S.

Congress. House. Committee on P u b l i c Works and

Federal-Aid Highway Act of 1975; R e p o r t t o Accompany

H.R. 8235. Washington, U.S. Govt. P r i n t . Off

1975. ( 9 4 t h C o n g r e s s ,

1st s e s s i o n . House. R e p o r t no. 94-716).

rans sport at ion.

This moratorium on HEW rulemaking and the attendant consultation

requirement were designed to allow adequate time for the completion

of a comprehensive review of all aspects of the molluscan shellfish

industry and evaluation of the impact of Federal law concerning water

quality on that industry, to be conducted by the Commerce Department.

In consequence, projected Food and Drug Administration/HEW regulations,

anticipated to affect adversely shellfish processors and watermen,

would thereafter necessarily consider new data regarding their potential

impact /-I

(5)

Energy Conservation and Production Act (P.L.

90 Stat. 1125, 1128-1129).

94-385;

This Act limited the enforcement authority

of the Administrator of the Federal Energy Administration (FEA), as

noted above.

It also provided a requirement for hearings to be held

in geographical areas affected by FEA rules and regulations.

Where

hearings were to be held and the effects of proposed rulemaking were

"localized," 21 that is, confined to a single state or political

subdivision thereof, "the conference intended to assure that the

Federal Energy Administration will take into consideration the

particularized concerns and needs of the areas, governmental units

or residents most substantially affected."

1/ For discussion of the moratotium and consultation provisions,

see ~zn~ressional

Record (daily ed.), v. 122, June 30, 1976: H7077-H7078.

21 U.S.

Congress. Committee of Conference. Energy Conservation

and yod duct ion Act; Report to Accompany H.R. 12169, Washington, U.S.

Govt. Print. Off., 1976. (94th Congress, 2d session. House. Report no.

94-1392).

p. 61.

-31 Ibid.

(6)

Rail Transportation Improvement Act (P.L.

2613, 2630-2631).

94-555; 90 Stat.

As identified in a previous section, this act

of Oct. 19, 1976, contained a number of provisions affecting the

jurisdiction of the Interstate Commerce Commission (ICC).

It also

included in sec. 301 a required report incorporating prospective

regulations and utilizing inter-agency consultation, regarding "the

risk of outbreaks of disease or illnesses and any other adverse

environmental effects resulting from the discharge of waste from

railroad conveyances

. . . and the financial and operating hardships

on railroads or public authorities which would result from a

prohibition of waste disposal."

The report, submitted to Congress

by the Secretary of Health, Education and Welfare (HEW) in consultation

with the Interstate Commerce Commission and the Secretary of

Transportation, was to contain recommendations that any of the

authorities consider "appropriate to balance possible dangers of

disease or illness and environmental considerations with operating

or financial considerations

.I1

The required report was in recognition of concerns about

unregulated waste disposal, then only recently exempted from Food and

Drug Administration (FDA)/HEW regulatory authority. 1/ Nonetheless,

the consultation provision, attendant to that report and recommendation,

assured that they would not be HEW products exclusively and that

---------------

-1/ Sec. 705(e) of P.L. 94-210; 90 Stat. 124.

considerations other than the " r i s k of outbreaks of disease o r

i l l n e s s e s " would be i n c o r p o r a t e d - - i .e.,

f i n a n c i a l and o p e r a t i n g

h a r d s h i p s , t h e p r i n c i p a l r e a s o n s f o r exempting w a s t e d i s p o s a l from

FDA/HEW j u r i s d i c t i o n i n t h e e a r l i e r R a i l r o a d R e v i t a l i z a t i o n and

Reform Act (P.L.

(7)

94-210;

90 S t a t . 1 2 4 ) .

Clean A i r Act Amendments o f 1977 (P.L.

95-95;

91 S t a t .

S e c t i o n 120 o f t h e s e amendments t o t h e Clean A i r Act

685, 720-721).

r e q u i r e d t h e Environmental P r o t e c t i o n Agency (EPA) t o c o n s u l t w i t h

t h e N u c l e a r R e g u l a t o r y Commission (NRC) r e g a r d i n g r a d i o a c t i v e p o l l u t a n t s

t h a t were p l a c e d u n d e r t h e Act and EPA j u r i s d i c t i o n .

was two-fold:

That r e q u i r e m e n t

( 1 ) an EPA o b l i g a t i o n t o c o n s u l t w i t h NRC p r i o r t o

" l i s t i n g any s o u r c e m a t e r i a l , s p e c i a l n u c l e a r , o r b y p r o d u c t m a t e r i a l

a s an a i r p o l l u t a n t ; and ( 2 ) e s t a b l i s h m e n t o f "an i n t e r a g e n c y

agreement w i t h r e s p e c t t o t h o s e s o u r c e s o r f a c i l i t i e s which a r e

u n d e r t h e j u r i s d i c t i o n o f t h e C o m i s s i o n " r e g a r d i n g development,

i m p l e m e n t a t i o n , and enforcement o f e m i s s i o n l i m i t a t i o n s , s t a n d a r d s ,

and o t h e r r e q u i r e m e n t s .

S e c t i o n 120 a l s o extended beyond formal c o n s u l t a t i o n by p e r m i t t i n g

NRC t o o v e r r i d e o r " d i s a p p r o v e any EPA, S t a t e o r l o c a l s t a n d a r d

[ o r e m i s s i o n l i m i t a t i o n ] promulgated under t h e C l e a r A i r Act i f t h e

Commission f i n d s

. . . t h a t t h e a p p l i c a t i o n o f such s t a n d a r d would

.'I

endanger p u b l i c h e a l t h and s a f e t y . "

-11 The p r e s i d e n t , however, may

o v e r t u r n t h e NRC d i s a p p r o v a l w i t h i n 90 d a y s .

(8) Emergency I n t e r i m Consumer P r o d u c t S a f e t y S t a n d a r d s Act o f

1978 (P.L. 95-319; 92 S t a t . 386, 389).

This Act, e s t a b l i s h i n g a

s t a t u t o r y i n t e r i m s a f e t y standard f o r the manufacture o f c e l l u l o s e

i n s u l a t i o n , preempted Consumer P r o d u c t S a f e t y Commission (CPSC)

a u t h o r i t y i n t h i s regard.

CPSC, which had f a i l e d " t o e x e r c i s e i t s

a u t h o r i t y i n a time1 y manner , I 1 2 / however, was empowered t o amend

the interim standard.

The Commission, which was t o r e l y upon

a l r e a d y e x i s t i n g r e l e v a n t s t a n d a r d s d e v e l o p e d by t h e G e n e r a l S e r v i c e s

A d m i n i s t r a t i o n f o r t h e amendment, would n o t be r e q u i r e d t o p r o m u l g a t e

i t i f , a f t e r c o n s u l t a t i o n w i t h t h e S e c r e t a r y o f Energy, CPSC d e t e r m i n e d

t h a t t h e amendment was u n n e c e s s a r y o r i t s i m p l e m e n t a t i o n would c r e a t e

an undue burden upon t h e i n d u s t r y .

The r e p o r t i n g House Committee

on I n t e r s t a t e and F o r e i g n Commerce r e q u i r e d s u c h c o n s u l t a t i o n , a g r e e d

t o by t h e c o n f e r e n c e , " b e c a u s e t h e S e c r e t a r y may h a v e u s e f u l i n f o r m a t i o n

r e l a t i n g t o t h e need f o r t h e amendment and t h e amendment's i m p a c t on

---------------

the industry." 3/

1/ U.S.

C o n g r e s s . Committee o f C o n f e r e n c e . Clean A i r Act

~ m e n d z e n t sof 1977; Report t o Accompany H.R. 6161. ( 9 5 t h C o n g r e s s ,

1 s t s e s s i o n . House. Report n o . 95-564).

I n C o n g r e s s i o n a l Record

( d a i l y e d . ) , v . 1 2 3 , Aug. 3 , 1977: H8547.

21 U.S.

Congress. House. Committee on I n t e r s t a t e and F o r e i g n

commerce. Emergency I n t e r i m Consumer P r o d u c t S a f e t y Rule Act o f 1978;

Report t o Accompany H.R. 11998. Washington, U.S. Govt P r i n t . O f f . ,

1978. ( 9 5 t h C o n g r e s s , 2d s e s s i o n . House.

Report no. 95-1116).

p. 3 .

-31

Ibid.,

p. 8.

ADVANCE OR PRIOR NOTICE PROVISIONS

A second indirect statutory mechanism that might be used to

constrain the promulgation of Federal agency rules is the advance

or prior notice provision; i.e.,

a statutory requirement that an

agency directly notify Congress or appropriate committees regarding

proposed or final rules, usually within a specified time (e .g., 30

or 60 days) before the rules become effective.

Many prior notification

requirements are associated with subsequent legislative veto mechanisms,

whereby a committee, a single Chamber, or Congress can disapprove

the proposed rule.

This section, however, considers only exclusive

prior notice provisions in an attempt to delineate alternatives to

legislative vetoes.

Such a requirement, of course, does not permit direct rejection

of a rule; but it does enable appropriate committees to be more

readily aware of forthcoming regulations than would otherwise be

the case. -

In addition, since prior notification inc udes a lead-

time, usually of thirty or sixty days commensurate with the public

notice and comment provisions for the agency rules, the congressional

committee has opportunity to scrutinize the proposal before its

effective date, conduct hearings or authorize staff studies, and

1/ The Senate Study on Federal Regulation, p. 66, found that

under-the present circumstances, "Very few committees or committee

staff members systematically review the regulations issued by agencies

under their jurisdiction. Issues of the Federal Register containing

proposed agency rules are not regularly scrutinized."

comment on the proposed rule.

Moreover, such review authority,

even though lacking the sanction of a legislative veto, may provide

the necessary incentive for the informal negotiations between the

regulatory agency and congressional committee that Harold Bruff and

Ernest Gellhorn have described as "a highly efficient review technique:"

The congressional procedures required to bring

a legislative veto resolution to the floor of

either house are cumbersome and time-consuming.

It is therefore in the interest of both the agency

and its congressional oversight committees to avoid

resorting to these procedures by resolving policy

issues informally. As the case studies show,

informal negotiations with compromise on both sides

is characteristic of the review process under a

legislative veto provision. These negotiations

are a highly efficient review technique in

the sense that they resolve policy differences

between the agency and the committees relatively

quickly, and without destroying the coherence

of the resulting rule as an item veto might.

Indeed, it is when negotiations fail and the

formal machinery is invoked that policy impasse

threatens. I-/

Prior notice requirements, exclusive of those associated with

legislative veto provisions, have been incorporated in at least

fifteen pieces of legislation affecting Federal agency rulemaking

from 1973 through 1978. 2/

1/ Bruff and Gellhorn, Congressional Control of Administrative

~ e ~ u l ion,

T t p. 1433.

2/ This listing is extracted from three Congressional Research

serviTe inventories of legislative veto and advance notice provisions

included in statutes during the past forty-five years: U.S.

Library of Congress. Congressional Research Service.

(2-1' Continued )

(1) Comprehensive Employment and Training Act of 1973

(P.L. 93-203; 87 Stat. 839, 877).

Sec. 602(a) of this Act

required that rules, regulations, and guidelines proposed by the

Secretary of Labor under this statute must be submitted to the

appropriate committees of the Congress and also be published in

the Federal Register at least thirty days before their effective

date.

(2) Air Transportation Security Act of 1974 (P.L. 93-366;

88 Stat. 409, 415).

This Act, approved on August 5, 1974, in

the aftermath of numerous incidents of air piracy, required that

rules, regulations, and amendments thereto prescribed under Title I1

by the Administrator of the Federal Aviation Administration--for

the screening of passengers and property intended to be carried in

air transportation--must be submitted to Congress at least thirty

days in advance of their effective date, unless the Administrator

determines that an emergency exists. If so, such regulations may

take effect in less than thirty days and the Administrator must

notify Congress of this determination.

(3) Education Amendments of 1974 (P.L. 93-380; 88 Stat. 484,

567-568).

This Act incorporated a number of complex legislative

veto mechanisms and Sec. 509 included two exclusive prior notification

obligations. The first prior notice provision required that whenever

a concurrent resolution of disapproval is enacted by the Congress

under the provisions of section 509, the agency which issued the

disapproved standard, rule, regulation or requirement may thereafter

issue a modified standard, rule, regulation, or requirement to govern

the same or substantially identical circumstances, but shall, in

publishing such modification in the Federal Register, submit it to

the Speaker of the House of Representatives and the President of

the Senate, indicating how the modification differs from the

forerunner earlier disapproved, and how the agency believes the

modification disposes of the findings by the Congress in the

concurrent resolution of disapproval.

(2/ Continued) Congressional Review, Deferral and Disapproval of

~GecutiveActions: A Summary and an Inventory of Statutory

1976-1977

Authority (by) Clark Norton. (washington) 1976; ----Congressional Acts Authorizing Prior Review, Approval or Disapproval

of Proposed Executive Action (by) Clark Norton. (Washington) 1978;

----- 1978 Congressional Acts Authorizing Congressional

Approval or Disapproval of Proposed Executive Actions (by) Clark Norton.

(Washington) 1979.

A second obligation of section 509 provided that not later than

sixty days after the enactment of any part of an Act affecting the

administrat ion of any applicable program, the Commissioner of

Education shall submit to the Committee on Education and Labor of

the House of Representatives and the Committee on Labor and Public

Welfare (now the Committee on Human Resources) of the Senate a

schedule with which the Commissioner has planned to promulgate

rules, regulations, and guidelines implementing such Act or parts

thereof. However, if the Commissioner finds that, due to circumstances

unforeseen at the time of the submission of such schedule, he cannot

comply with it, he shall notify those committees of that finding

and submit a new schedule. The initial schedule submitted by the

Commissioner would not require committee approval, although the

modified new schedule would.

(4) Age Discrimination Act of 1975 (P.L. 94-135; 89 Stat. 713,

728-731).

The Age Discrimination Act of 1975, Title I11 of the

Older Americans Act Amendments of 1975, provided a two-tiered approach

for congressional review of proposed regulations. Sec. 304

required the Secretary of Health, Education and Welfare to publish

proposed general regulations to implement a statutory provision

prohibiting the exclusion of persons on the basis of age from

participating in programs receiving Federal financial assistance,

within one year after receipt of a report on the subject from the

Commission on Civil Rights. The Commission report, including

suggested general regulations, was to be transmitted to the Congress

and to the President and copies provided to the head of each Federal

department and agency with respect to which the Commission makes

findings or recommendations. Sec. 307(e) provided that each such

Federal department or agency, within 45 working days after receiving

a copy of the report, submit its comments and recommendations

regarding the report to the President and to the Senate Committee

on Labor and Public Welfare and the House Committee on Education

and Labor. During a subsequent 45-day period, any committee with

jurisdiction over this subject matter may conduct hearings with

respect to the Commission report and with respect to the department

and agency comments and recommendations resulting therefrom.

Following the 90-day period, the Secretary of HEW was to publish

final general regulations, taking into considerat on any comments

received with respect to the proposed regulations

( 5 ) Insecticide, Fungicide, and Rodenticide Act (P.L. 94-140;

89 Stat. 751, 753). Under the general authority o f this Act, the

Administrator of the Environmental Protection Agency is required

to submit copies of proposed regulations at least sixty days prior

to signing and copies of final regulations at least thirty days

prior to signing to the House Committee on Agriculture and the

Senate Committee on Agriculture and Forestry, along with copies

of both forms to the Secretary of Agriculture.

( 6 ) F o r e i g n R e l a t i o n s A u t h o r i z a t i o n A c t , F i s c a l Year 1976

(P.L. 94-141; 89 S t a t . 756, 770-7711.

The Act p r o v i d e d i n s e c t i o n

406 t h a t : r e g u l a t i o n s p r e s c r i b e d by t h e S e c r e t a r y o f S t a t e g o v e r n i n g

t h e c a r r y i n g o f f i r e a r m s by d e s i g n a t e d s e c u r i t y o f f i c e r s f o r t h e

purpose o f s p e c i f i e d p r o t e c t i v e r e s p o n s i b i l i t i e s , s h a l l be t r a n s m i t t e d

t o t h e S p e a k e r o f t h e House o f R e p r e s e n t a t i v e s and t h e S e n a t e

Committee on F o r e i g n R e l a t i o n s n o t more t h a n t w e n t y d a y s b e f o r e t h e

d a t e on which such r e g u l a t i o n s t a k e e f f e c t .

( 7 ) E d u c a t i o n f o r A l l Handicapped C h i l d r e n Act of 1975

(P.L. 94-142; 89 S t a t . 773, 794). T h i s Act amended t h e " E d u c a t i o n

S e c t i o n 5 ( a ) p r o v i d e d t h a t t h e Commissioner

o f t h e Handicapped Act .I'

of E d u c a t i o n p r e s c r i b e w i t h i n one y e a r c e r t a i n r e g u l a t i o n s a f f e c t i n g

m a t t e r s r e l a t e d t o p a r t i c u l a r l e a r n i n g d i s a b i l i t i e s and t h a t s u c h

proposed r e g u l a t i o n s be s u b m i t t e d t o t h e House Commit t e e on E d u c a t i o n

and Labor and t h e S e n a t e Committee on Labor and P u b l i c W e l f a r e , " f o r

r e v i e w and comment b y e a c h such c o m m i t t e e , a t l e a s t f i f t e e n d a y s

b e f o r e such r e g u l a t i o n i s published i n t h e Federal Register."

( 8 ) Energy P o l i c y and C o n s e r v a t i o n Act (P.L. 94-163; 89 S t a t .

871, 8 9 4 ) . One e x c l u s i v e p r i o r n o t i c e p r o v i s i o n was i n c l u d e d i n

t h i s A c t , which i n c o r p o r a t e d numerous l e g i s l a t i v e v e t o r e q u i r e m e n t s .

S e c t i o n 251 r e q u i r e d t h a t t h e P r e s i d e n t d e v e l o p r u l e s r e g a r d i n g

c e r t a i n U.S. o b l i g a t i o n s under t h e i n t e r n a t i o n a l e n e r g y program

b u t t h a t n o s u c h r u l e may t a k e e f f e c t u n l e s s t h e P r e s i d e n t h a s

t r a n s m i t t e d such r u l e t o t h e C o n g r e s s ; h a s found t h a t p u t t i n g s u c h

r u l e i n t o e f f e c t i s r e q u i r e d t o f u l f i l l U.S. o b l i g a t i o n s under

t h e i n t e r n a t i o n a l e n e r g y program; and h a s t r a n s m i t t e d s u c h f i n d i n g

t o t h e Congress, t o g e t h e r with a statement of t h e e f f e c t i v e d a t e

and manner f o r e x e r c i s e o f such r u l e . Moreover, such a r u l e

t r a n s m i t t e d by t h e P r e s i d e n t may n o t b e p u t i n t o e f f e c t o r remain

i n e f f e c t a f t e r t h e e x p i r a t i o n o f 12 months a f t e r t h e d a t e such

r u l e was t r a n s m i t t e d t o t h e C o n g r e s s .

( 9 ) R a i l r o a d R e v i t a l i z a t i o n and R e g u l a t o r y Reform Act o f 1976

(P.L. 94-210; 9 0 S t a t . 31, 3 9 ) . Among o t h e r t e c h n i q u e s f o r s t a t u t o r y

c o n t r o l o f a g e n c y r u l e s , t h i s Act i n c l u d e d a p r o v i s i o n f o r a r e p o r t

t o t h e C o n g r e s s b a s e d on s t u d i e s r e q u i r e d o f t h e I n t e r s t a t e Commerce

Commission (ICC) and t h e S e c r e t a r y o f T r a n s p o r t a t i o n . Sec 2 0 2 ( g )

p r o v i d e d f o r s e p a r a t e s t u d i e s by b o t h e n t i t i e s r e g a r d i n g t h e e f f e c t

o f r a i l r o a d r a t e m a k i n g amendments on t h e development o f an e f f i c i e n t

and f i n a n c i a l l y s t a b l e r a i l w a y system. Such s t u d i e s would i n c l u d e

" p r o p o s a l s f o r f u r t h e r r e g u l a t o r y and l e g i s l a t i v e c h a n g e s , i f

necessary," thereby ensuring p r i o r n o t i c e f o r prospective o r

p o s s i b l e r e g u l a t o r y c h a n g e s under t h i s t i t l e .

( 1 0 ) Consumer Product S a f e t y Commission Improvements Act o f

1976 (P.L. 94-284; 90 S t a t . 503, 509). S e c t i o n 14 o f t h e Act

r e q u i r e d t h a t t h e Commission t r a n s m i t t o t h e Senate Committee on

Commerce, and t o t h e House Committee on I n t e r s t a t e and Foreign

Commerce each proposed consumer product s a f e t y r u l e under t h e

Consumer Product S a f e t y A c t , and each proposed r e g u l a t i o n under

s e c t i o n 2 and 3 of t h e F e d e r a l Hazardous Substances Act, with

c e r t a i n e x c e p t i o n s r e g a r d i n g imminent h a z a r d s , under s e c t i o n 3

of t h e Poison P r e v e n t i o n Packaging Act o f 1970, o r under s e c t i o n

4 of t h e Flammable F a b r i c s Act. Furthermore, no consumer product

s a f e t y r u l e and no such r e g u l a t i o n may be adopted by t h e Commission

b e f o r e t h e t h i r t i e t h day a f t e r t h e proposed r u l e o r r e g u l a t i o n i s

t r a n s m i t t e d t o t h e r e s p e c t i v e committees.

(11) S a c c h a r i n Study and Labeling Act (P.L. 95-203; 91 S t a t .

1451, 1452-1453).

This Act provided f o r s t a t u t o r y p r o h i b i t i o n s

a g a i n s t t h e banning of t h e s a l e o f s a c c h a r i n p r o d u c t s by t h e

S e c r e t a r y of H e a l t h , Education and Welfare (HEW) and f o r t h e

e x p r e s s language t o be used on l a b e l s of p r o d u c t s which i n c l u d e

s a c c h a r i n . Any e x c e p t i o n s t o such s t a t u t o r y language must be

based on new i n f o r m a t i o n r e c e i v e d by t h e S e c r e t a r y of HEW.

S e c t i o n 2 ( c ) ( l ) r e q u i r e d t h e S e c r e t a r y , based on mandated s t u d i e s ,

t o r e p o r t w i t h i n 12 months t o t h e Senate Committee on Human Resources

and t h e House Committee on I n t e r s t a t e and Foreign Commerce on "any

a c t i o n proposed t o be taken on t h e b a s i s of t h e r e s u l t s o f t h e study."

Presumably, such a c t i o n might i n c l u d e a proposal t o ban such

p r o d u c t s w i t h i n t h e 18-month p e r i o d based on new i n f o r m a t i o n , a s

p e r m i t t e d under s e c . 3. S e c t i o n 4 ( a ) ( l ) , which s p e c i f i e d mandatory

l a b e l warning language, p e r m i t t e d t h e S e c r e t a r y , on t h e b a s i s o f

label

new i n f o r m a t i o n , t o review, r e v i s e , o r remove such wa-in

r e q u i r e m e n t s . S e c t i o n 4 ( a ) ( 3 ) , however, r e q u i r e d t h a t t h e S e c r e t a r y

r e p o r t any such a c t i o n t o t h e same committees i d e n t i f i e d above.

( 1 2 ) Housing and Community Development Amendments of 1978

(P.L. 95-557; 92 S t a t . 2080, 2103). S e p a r a t e from a l e g i s l a t i v e v e t o

p r o v i s i o n , s e c . 324 of P.L. 95-557 c o n t a i n s s e v e r a l p r i o r n o t i c e

provisions.

The S e c r e t a r y o f t h e Department of Housing and Urban

Development (HuD) i s i n s t r u c t e d t o t r a n s m i t an agenda o f a l l r u l e s

o r r e g u l a t i o n s which a r e under development o r review by HUD t o t h e

Senate Committee on Banking, Housing, and Urban A f f a i r s and t o t h e

House Committee on Banking, F i n a n c e , and Urban A f f a i r s , w i t h i n 30

days a f t e r t h i s enactment and seminannually t h e r e a f t e r . Any such

r u l e o r r e g u l a t i o n may n o t be published f o r comment p r i o r t o o r

d u r i n g a p e r i o d of 15 c a l e n d a r days o f c o n t i n u o u s s e s s i o n of Congress,

following t r a n s m i t t a l .

I f e i t h e r committee i n t e n d s t o review a

p a r t i c u l a r r u l e which a p p e a r s on t h e agenda, t h e Secretary/HUD s h a l l

submit t o both committees a copy of any such r u l e o r r e g u l a t i o n

i n t h e proposed form a t l e a s t 15 c a l e n d a r d a y s of c o n t i n u o u s s e s s i o n

p r i o r t o i t s being published F e d e r a l R e g i s t e r f o r comment. Any

r u l e o r r e g u l a t i o n which had n o t been p u b l i s h e d f o r comment b e f o r e

t h e d a t e o f e n a c t m e n t o f t h i s s t a t u t e and which i s n o t i n c l u d e d

on a n y s u b s e q u e n t agenda s h a l l b e s u b m i t t e d t o b o t h c o m m i t t e e s a t

l e a s t 15 c a l e n d a r d a y s o f c o n t i n u o u s s e s s i o n o f Congress p r i o r t o

b e i n g p u b l i s h e d f o r comment.

No r u l e o r r e g u l a t i o n may become e f f e c t i v e u n t i l a f t e r t h e

f i r s t p e r i o d of 20 c a l e n d a r d a y s o f c o n t i n u o u s s e s s i o n a f t e r

I f d u r i n g t h a t 20p u b l i c a t i o n of t h e r u l e o r r e g u l a t i o n a s f i n a l .

d a y p e r i o d , e i t h e r committee h a s r e p o r t e d o u t a j o i n t r e s o l u t i o n o f

d i s a p p r o v a l o r o t h e r l e g i s l a t i o n which i s i n t e n d e d t o modify o r

invalidate the r u l e o r regulation, the r u l e o r regulation s h a l l not

become e f f e c t i v e f o r a p e r i o d of 90 c a l e n d a r d a y s from t h e d a t e o f

committee a c t i o n , u n l e s s t h e House t o which s u c h committee h a s

r e p o r t e d h a s r e j e c t e d such r e s o l u t i o n o r l e g i s l a t i o n .

he e f f e c t

o f s u c h a p r o v i s i o n f o r committee r e p o r t i n g i s t o d e f e r t h e

e f f e c t i v e d a t e of t h e r u l e o r r e g u l a t i o n , not t o disapprove i t .

The l a t t e r c o u l d b e accomplished o n l y b y f u r t h e r c o n g r e s s i o n a l a c t i o n - a j o i n t r e s o l u t i o n o r l e g i s l a t i o n , b o t h o f which r e q u i r e a

Presidential signature.)

( 1 3 ) N u c l e a r R e g u l a t o r y Commission A u t h o r i z a t i o n Act f o r FY 1979

(P.L. 95-601; 92 S t a t . 2947, 2 9 4 8 ) . The N u c l e a r R e g u l a t o r y Commission

( M C ) i s p r o h i b i t e d from s p e n d i n g an amount o f $500,000 o r more i n

e x c e s s o f t h e e x p r e s s l y a u t h o r i z e d amounts o r r e d u c i n g t h a t amount

b y more t h a n $500,000 f o r c e r t a i n f u n c t i o n s , i n c l u d i n g r e g u l a t o r y and

p o s s i b l e r u l e m a k i n g a c t i v i t i e s , u n l e s s t h e NRC g i v e s n o t i c e o f t h e

proposed a c t i o n t o t h r e e c o n g r e s s i o n a l committees--the House

Committees on I n t e r s t a t e and F o r e i g n Commerce and on I n t e r i o r and

I n s u l a r A f f a i r s and t h e S e n a t e Committee on Environment and P u b l i c

W o r k s - - t h i r t y d a y s i n advance o r u n l e s s t h e t h r e e c o m m i t t e e s p r o v i d e

w r i t t e n n o t i c e t h a t t h e y have no o b j e c t i o n d u r i n g t h a t t h i r t y - d a y

period.

( 1 4 ) ~ e h a b i l i t a t i o n , Comprehensive S e r v i c e s and Developmental

D i s a b i l i t i e s Amendments o f 1978 (P.L. 95-602; 92 S t a t . 2955, 2982).

S e c t i o n 119 o f t h i s Act p r o v i d e d t h a t t h e head o f any E x e c u t i v e a g e n c y

o r t h e U.S. P o s t a l S e r v i c e i s t o p r o m u l g a t e r e g u l a t i o n s t o c a r r y o u t

t h e amendments made by t h e Act t o s e c t i o n 504 o f t h e R e h a b i l i t a t i o n

Act o f 1973. Such r e g u l a t i o n s may n o t t a k e e f f e c t , however, e a r l i e r

t h a n t h e 3 0 t h d a y a f t e r t h e d a t e on which t h e y a r e s u b m i t t e d t o t h e

a p p r o p r i a t e a u t h o r i z i n g committees o f t h e Congress.

( 1 5 ) Consumer P r o d u c t S a f e t y A c t , Amendment ( P . L . 95-631; 92 S t a t .

3742, 3 7 4 9 ) . T h i s amendment c o n t a i n e d a r e p o r t i n g o b l i g a t i o n f o r t h e

Consumer P r o d u c t S a f e t y Commission (CPSC): t o s t u d y a l l o f i t s

e f f e c t i v e r u l e s d u r i n g an 18-month p e r i o d , a f t e r which t h e Chairman/

CPSC s h a l l r e p o r t t o t h e Congress recommending any r u l e d e l e t i o n s o r

c h a n g e s . During t h a t 18-month p e r i o d , t h e Commission s h a l l n o t i f y t h e

House and S e n a t e o f a n y p r o p o s a l s t o d e l e t e any r u l e o r p o r t i o n t h e r e o f

a t t h e time such a proposal i s published i n t h e Federal R e g i s t e r .

111.

NONSTATUTOKY TECHNIQUES :

COMMITTEE REPORTS

As noted in the introduction, nonstatutory techniques of control

over agency rules range from committee hearings and investigations

to floor statements and direct contact by individual Members.

Such

devices have generated a substantial volume of directives,

recommendations, opinions, and assertions regarding specific agency

rules, their application and enforcement. Yet none of them, even

authoritative committee reports accompanying legislation, are in

themselves legally binding on the rules or on the agencies which

promulgate or enforce them. Moreover, as the Senate Study on

Federal Regulation discovered, as "hard as it is to precisely measure

[nonstatutory] oversight activity, it is even more difficult to gauge

the impact of that effort." 1/

Nevertheless, congressional committee reports accompanying

proposed legislation are one nonstatutory vehicle that has been

cited as an important influence on bureaucratic action:

Reports on proposed legislation submitted by

authorizing, appropriating and conference committees

frequently contain language setting forth the intent,

expectations and even the commands of the Congress

with respect to the implementation of laws. These

range in degree all the way from simple urgings on

1/ Senate Study on Federal Regulation, p. 82. The report

further surmised: "Even when an agency changes a policy subsequent

to congressional prodding, that change may not always be directly

attributed to congressional action. Agency administrators are often

reluctant to view their policy changes as a result of congressional

pressure." Ibid. See ibid., pp. 81-92, for an examination of the

"impact of oversight by legislative committees" in the regulatory arena.

the one hand to outright mandates on the other

and usually include such phrases as "the

committee wishes," "the committee intends,"

"the committee expects," and "the committee

believes." While none of these have any legally

binding effect unless they are merely repetitive

of the law itself, close attention is paid to

them by both the executive and judicial branches

when questions arise about the exact meaning

or application of a particular statute. 11

That perception is corroborated by Associate Justice Jackson, whose

opinion in Schwegmann Brothers v. Calvert Corporation emphasized the

significance of committee report language and the underlying rationale

of employing such reports, vis-a-vis floor statements:

[The Court's] resort to legislative history is

only justified where the face of the Act is

inescapably ambiguous, and then I think we should

not go beyond Committee reports, which presumably

are well considered and carefully prepared

[To] select casual statement from floor debates,

not always distinguished for candor or accuracy,

as a basis for making up our minds what law

Congress intended to enact is to substitute ourselves

for the Congress in one of its important functions

....

.... -2/

The Senate Study on Federal Regulation elaborated on the substance

of reports, identifying language in recent Senate and House Appropriations

Committee reports that directed, urged, or recommended regulatory

agency action. A/

This section provides other illustrations of similar

1/ U.S. Congress. Senate. Committee on Government Operations.

~ u b c o s i t t e eon Oversight Procedures. Congressional Oversight :

Methods and Techniques (prepared by the Congressional Research service),

Washington, U.S. Govt. Print. Off., 1976. p. 62.

-2/

341 U.S. 384, 395-396.

-3/ Senate Study on Federal Regulation, p. 38-41.

r e p o r t l a n g u a g e , where p a r t i c u l a r r u l e s o r t h e i r e n f o r c e m e n t was

q u e s t ioned

(1)

H e a l t h , E d u c a t i o n and Welfare (HEW) A p p r o p r i a t i o n s , FY 1974.

The S e n a t e A p p r o p r i a t i o n s Committee r e p o r t on HEW a p p r o p r i a t i o n s f o r

FY 1974 c o n t a i n e d a r e s p o n s e t o " d e e p l y d i s t u r b i n g r e p o r t s t h a t F e d e r a l

f a m i l y p l a n n i n g f u n d s were a l l e g e d l y used t o a r r a n g e f o r i n v o l u n t a r y

sterilization."

-1/ As a r e s u l t o f such a l l e g a t i o n s , t h e secretary/^^^

promul.gated new r u l e s , r e q u i r i n g w r i t t e n c o n s e n t from a l l c a n d i d a t e s

f o r v o l u n t a r y s t e r i l i z a t i o n , and a p p r o v a l by a l o c a l r e v i e w committee

and i n c o u r t f o r p e r s o n s l e g a l l y i n c a p a b l e o f g i v i n g c o n s e n t .

r e p o r t concluded :

The

"The Committee u r g e s t h a t t h e new r e g u l a t i o n s

b e implemented a s e x p e d i t i o u s l y a s p o s s i b l e , and t h a t t h e Department

redouble i t s e f f o r t s t o i n s u r e enforcement s o t h a t i n c i d e n t s o f

i n v o l u n t a r y s t e r i l i z a t i o n w i l l n o t be repeated.''

(2)

-2 /

O c c u p a t i o n a l S a f e t y and H e a l t h A d m i n i s t r a t i o n (OSHA)

A p p r o p r i a t i o n s , FY 1974.

The House Committee on A p p r o p r i a t i o n s

r e p o r t on 1974 OSHA a p p r o p r i a t i o n s i n c l u d e d two c o n c e r n s r e g a r d i n g

t h e o c c u p a t i o n a l s a f e t y and h e a l t h programs,

The f i r s t was an u r g i n g

t h a t t h e Department o f Labor, OSHA's p a r e n t a g e n c y , "should make e v e r y

e f f o r t t o approve a s many S t a t e program p l a n s a s p o s s i b l e i n f i s c a l

1 / U.S.

Congress. S e n a t e . Committee on A p p r o p r i a t i o n s .

~e~artmeno

t sf Labor, and H e a l t h , E d u c a t i o n and W e l f a r e , and R e l a t e d

Agencies A p p r o p r i a t i o n B i l l , 1974; Report t o Accompany H.R. 8877.

Washington, U.S. Govt. P r i n t . , 1973. (93d Congress, 1st s e s s i o n .

S e n a t e . Report no. 93-414).

p. 7.

Ibid.

CRS-6 8

y e a r 1974.

The u l t i m a t e o b j e c t i v e s h o u l d b e t o a l l o w t h e S t a t e s

t o assume a s much a s p o s s i b l e o f " t h e o c c u p a t i o n a l s a f e t y and h e a l t h

responsibilities

. . . s o t h a t i t w i l l n o t b e n e c e s s a r y t o b u i l d up

a huge f o r c e o f F e d e r a l i n s p e c t o r s . " 1/

I n a d d i t i o n t o e m p h a s i z i n g t h e Committee's p r i o r i t y f o r S t a t e

vis-a-vis

F e d e r a l e n f o r c e m e n t where f e a s i b l e , t h e r e p o r t added a c r i t i c i s m

o f t h e OSHA r e g u l a t o r y e n f o r c e m e n t a g e n t s a c c u s e d o f " h a r r a s s m e n t

...

[ b y ] o p e r a t o r s o f s m a l l b u s i n e s s e s and a g r i c u l t u r a l e n t e r p r i s e s . " 2/

Reminding OSHA o f a t t e m p t s t o e x t e n d exemptions from i t s r e g u l a t o r y

a u t h o r i t y and proposed amendments t h a t "would have t h e e f f e c t o f

weakening t h e p r o v i s i o n s " o f t h e O c c u p a t i o n a l S a f e t y and H e a l t h A c t ,

" [ t l h e committee u r g e [ d ] t h e Department t o make e v e r y e f f o r t t o

i n s u r e t h a t compliance o f f i c e r s

. . . a r e equipped w i t h a s u f f i c i e n t

d e g r e e o f e x p e r t i s e and competence i n t h e a c t i v i t i e s o f t h e e s t a b l i s h m e n t s

which t h e y a r e u n d e r t a k i n g t o i n s p e c t . "

Notwithstanding such

c a u t i o n s , OSHA c o n t i n u e d t o r e c e i v e s i m i l a r c r i t i c i s m s ; and Congress

found i t a p p r o p r i a t e i n 1976 t o exempt a g r i c u l t u r a l o p e r a t i o n s

employing t e n o r fewer employees from OSHA's j u r i s d i c t i o n and t o

p r o h i b i t i t s expenditures f o r t h e assessment o f c e r t a i n c i v i l p e n a l t i e s . -

1/ U.S.

C o n g r e s s . House. Committee on A p p r o p r i a t i o n s .

~ e ~ a r t r n e n tosf L a b o r , and H e a l t h , E d u c a t i o n and W e l f a r e , and R e l a t e d

A g e n c i e s A p p r o p r i a t i o n B i l l , 1974; Report t o Accompany H.R. 8877.

Washington, U.S. Govt. P r i n t . O f f . , 1973. (93d C o n g r e s s , 1 s t s e s s i o n .

House.

Report n o . 93-305).

p. 7.

-2 1

Ibid.

-3/

Ibid.

P.L.

94-439;

90 S t a t . 1421.

(3)

H e a l t h , E d u c a t i o n and W e l f a r e CHEW)A p p r o p r i a t i o n s , FY 1975.

The C o n f e r e n c e R e p o r t on H.R.

15580 i n t h e 93d C o n g r e s s i n c l u d e d

d i r e c t i v e s t o t h e O f f i c e o f Secretary/HEw r e g a r d i n g i n t e r p r e t a t i o n s

o f t i t l e X I o f t h e E d u c a t i o n Amendments of 1 9 7 2 , p r o h i b i t i n g

d i s c r i m i n a t i o n on t h e b a s i s o f s e x i n e d u c a t i o n a l i n s t i t u t i o n s

receiving Federal assistance:

The c o n f e r e e s h a v e r e c e i v e d r e p o r t s t h a t t h e

Department o f H e a l t h , E d u c a t i o n and W e l f a r e i s

i n t e r p r e t i n g the provisions of T i t l e I X of t h e

E d u c a t i o n Amendments of 1972 (P.L. 92-3181, which

p r o h i b i t s sex d i s c r i m i n a t i o n i n e d u c a t i o n , i n such

a manner a s t o a p p l y t h e s e p r o v i s i o n s t o s u c h

o r g a n i z a t i o n s a s Boy S c o u t s , G i r l S c o u t s , Campfire

G i r l s , Boys Club, G i r l s Club, YMCA, YWCA,

s o r o r i t i e s , f r a t e r n i t i e s and s i m i l a r o r g a n i z a t i o n s .

The c o n f e r e e s a r e a g r e e d t h a t t h i s i s an

improper i n t e r p r e t a t i o n o f t h e l a w and d i r e c t

t h a t none o f t h e f u n d s a p p r o p r i a t e d i n t h i s b i l l

a r e t o be used t o e n f o r c e t h e p r o v i s i o n s o f

T i t l e I X with r e s p e c t t o such o r g a n i z a t i o n s .

The c o n f e r e e s a l s o a r e a g r e e d t h a t none o f

t h e funds appropriated i n t h i s b i l l a r e t o be

used t o e n f o r c e t h e i n t e g r a t i o n o f p h y s i c a l

e d u c a t i o n c l a s s e s by s e x . 1/

However, HEW a p p l i e d r e g u l a t i o n s under t i t l e I X t o t h e o r g a n i z a i o n s

i d e n t i f i e d i n t h e committee r e p o r t , c o n t r a r y t o t h e c o n f e r e e s '

d i r e c t i v e and i n e v i d e n t d i s a g r e e m e n t w i t h t h e c o n t e n t i o n t h a t t h a t

would c o n s t i t u t e "an improper i n t e r p r e t a t i o n o f t h e law."

-2/

1 / U.S.

C o n g r e s s . Committee o f C o n f e r e n c e . C o n f e r e n c e R e p o r t

t o ~ c c o m ~ aH.R.

n ~ 15580. Washington, U.S. Govt. P r i n t . O f f . , 1974.

(93d C o n g r e s s , 2d s e s s i o n . House. Report no. 93-1489).

p. 17.

-2 /

Ibid.

N o n e t h e l e s s , w i t h i n s i x weeks o f t h e C o n f e r e n c e r e p o r t , i s s u e d on

Nov. 21, 1974, C o n g r e s s had approved o t h e r l e g i s l a t i o n n e g a t i n g

H E W ' S a c t i o n by a d o p t i n g an amendment t o t h e j o i n t r e s o l u t i o n

a u t h o r i z i n g a White House C o n f e r e n c e on L i b r a r y and I n f o r m a t i o n

S e r v i c e s , P.L.

93-567,

s i g n e d i n t o law on Dec. 31, 1974. 1/

Although

t h e HEW a p p r o p r i a t i o n s c o n f e r e n c e r e p o r t p e r s e d i d n o t e f f e c t a

change i n t h e a p p l i c a t i o n o f t h e s e HEW r e g u l a t i o n s d i r e c t l y , i t

was t h e f i r s t documented c o n g r e s s i o n a l r e c o g n i t i o n o f t h e c o n c e r n

and t h e o n l y c o m m i t t e e r e p o r t on t h e i s s u e t h a t e v e n t u a t e d i n

s t a t u t o r y e x e m p t i o n s t o HEW r e g u l a t o r y j u r i s d i c t i o n .

The c o n f e r e n c e r e p o r t d i r e c t i v e a g a i n s t t h e u s e o f f u n d s t o

e n f o r c e t h e i n t e g r a t i o n o f p h y s i c a l e d u c a t i o n c l a s s e s by s e x had

a p p a r e n t l y minimal i m p a c t , s i n c e t h e p e r t i n e n t r e g u l a t i o n s ,

proposed J u n e 20, 1974, d i d n o t become e f f e c t i v e u n t i l J u l y 21, 1975,

a f t e r t h e end o f t h e f i s c a l y e a r ( i . e . ,

report applied.

FY 1975) t o which t h e

During c a l e n d a r y e a r 1975, two d i f f e r e n t l e g i s l a t i v e

1/ S e c . 3 of P.L. 93-567 ( 8 8 S t a t . 1862) was added a s a f l o o r

amendGent i n t h e S e n a t e on Dec. 1 6 , 1 9 7 4 , t o S.J. Res. 4 0 , a f t e r t h e

b i l l had a l r e a d y been p r e v i o u s l y c l e a r e d f o r c o n f e r e n c e .

s p o n s o r i n g t h e amendment, S e n a t o r Bayh n o t e d t h a t S e n a t e R e s o l u t i o n

40 "was t h e o n l y b i l l a v a i l a b l e a t t h i s p o i n t i n t h e s e s s i o n t o

which my amendment c o u l d be o f f e r e d . " Bayh, B i r c h . White House

C o n f e r e n c e on L i b r a r y and I n f o r m a t i o n S e r v i c e s . Remarks i n S e n a t e .

C o n g r e s s i o n a l R e c o r d , v . 1 2 0 , Dec. 1 6 , 1974: 39994. The HEW

A p p r o p r i a i t o n s b i l l t o which t h e above c o n f e r e n c e r e p o r t a p p l i e d ,

H.R. 15580, approved by t h e C o n g r e s s Nov. 2 6 , 1 9 7 4 , became p u b l i c

l a w , P.L. 93-517, on Dec. 7, 1974, and was u n a v a i l a b l e f o r t h e

amendment. I n a d d i t i o n , a p p r o p r i a t i o n s l i m i t s on HEW r e g u l a t o r y

a c t i v i t y would n o t have had t h e permanent e f f e c t t h a t t h e

l e g i s l a t i o n , P.L. 93-567, h a d .

actions--the

legislative veto 11 and amendment t o t h e 1976 HEW

21--were

appropriations -

t a k e n a g a i n s t such r e g u l a t i o n s b u t n e i t h e r

succeeded.

(4)

Energy C o n s e r v a t i o n and P r o d u c t i o n Act o f 1976.

The House

I n t e r s t a t e and F o r e i g n Commerce Committee i n c l u d e d i n i t s r e p o r t on

t h e proposed Energy C o n s e r v a t i o n Act o f 1976 t h e o v e r s i g h t f i n d i n g s

and recommendations c u l l e d from a r e p o r t o f i t s Subcommittee on

O v e r s i g h t and I n v e s t i g a t i o n s . 31

That r e p o r t l i s t e d a number o f

c r i t i c i s m s o f t h e F e d e r a l Energy O f f i c e (FEO) and t h e Commerce

Department rulemaking a c t i v i t y , i n c l u d i n g :

There was a s e r i o u s l a c k o f c o o r d i n a t i o n

between FEO and Commerce a s t o what p o l i c y s h o u l d

be followed and what r e g u l a t i o n s s h o u l d b e d e v i s e d

t o c a r r y o u t t h e i n t e n t o f Congress i n e n a c t i n g

t h e Emergency P e t r o l e u m A l l o c a t i o n Act [EPAA].

Commerce d i d n o t i n d e p e n d e n t 1 y r e f o r m i t s

d e f i c i e n t export control regulations but only

a c t e d when prodded by FEO, which may have been

r e a c t i n g t o industry complaints.

1 1 Under a u t h o r i t y o f P.L. 93-380, c o n c u r r e n t r e s o l u t i o n s o f

d i s a p ~ r o v a l - - S . ~ o n . Res. 46, H.Con. Res. 310, and H.Con. Res. 330-were i n t r o d u c e d b u t none were v o t e d upon i n t h e 9 4 t h C o n g r e s s .

2 1 An amendment t o H.R. 5901 i n t h e 9 4 t h Congress was approved

by t h e House, b a r r i n g such r e g u l a t i o n s , among o t h e r s . However,

S e n a t e o p p o s i t i o n d e l e t e d t h e p r o v i s i o n s from t h e b i l l a s i t came

from c o n f e r e n c e and t h e House, r e c o n s i d e r i n g e a r l i e r a c t i o n , a l s o

v o t e d t o d e l e t e t h e amendment. C o n g r e s s i o n a l Record, v . 1 2 1 , J u l y 1 7 ,

1975: 23343; and J u l y 18, 1975: 23510.

3 1 U.S.

C o n g r e s s . House. Committee on I n t e r s t a t e and F o r e i g n

commerce. Energy C o n s e r v a t i o n and P r o d u c t i o n Act ; R e p o r t t o Accompany

H.R. 12169. Washington, U.S. Govt. P r i n t . O f f . , 1976. ( 9 4 t h C o n g r e s s ,

2d s e s s i o n . House. Report no. 94-1113).

p . 17-18.

R e g u l a t i o n s r e f l e c t i n g t h e mandate of EPA

were n o t i s s u e d u n t i l A p r i l 1 8 , 1974, 4 months

a f t e r t h e d a t e r e q u i r e d by t h e Act and a f t e r 4

e x p o r t l i c e n s e s had been granted r e s u l t i n g i n a

w i n d f a l l o f a b o u t $8 m i l l i o n t o t h e e x p o r t e r

and h i g h e r p r i c e s t o American consumers.

(5)

C l e a n Water Act o f 1977.

The S e n a t e Environment and P u b l i c

Works Committee i n i t s r e p o r t on t h e then-proposed

1977, which became P u b l i c Law 95-217,

Clean Water Act o f

i s s u e d a rebuke t o t h e Environmental

P r o t e c t i o n Agency (EPA) and i t s r e g u l a t i o n of t h e r m a l e f f l u e n t s ,

u n d e r t h e F e d e r a l Water P o l l u t i o n C o n t r o l Act Amendments of 1972

(P.L.

92-500).

-2 /

The Committee found t h a t under EPA's i n t e r p r e t a t i o n

and r e g u l a t o r y i m p l e m e n t a t i o n o f s e c . 316 o f P.L.

92-500,

"(h)eat

h a s t h u s become a n u n r e g u l a t e d p o l l u t a n t , c l e a r l y n o t t h e i n t e n t o f

t h e Congress.

The C o n g r e s s i n t e n d e d t h a t t h e r e be a v e r y l i m i t e d

waiver f o r [ c e r t a i n ] major s o u r c e s o f thermal e f f l u e n t s

...

l i m i t e d exemption h a s been t u r n e d i n t o a g a p i n g loophole."

That

EPA's i n t e r p r e t a t i o n o f t h e s e c t i o n ; t h e p r o c e s s i t e s t a b l i s h e d

t o g r a n t w a i v e r s ; and i t s c o n t e n t i o n t h a t t h e 1972 Act was p r e e m p t i v e ,

p r e c l u d i n g more s t r i n g e n t S t a t e w a t e r q u a l i t y s t a n d a r d s , r e c e i v e d

h a r s h c r i t i c i s m i n t h e Committee r e p o r t :

-1/

Ibid.

2/ U.S.

Congress.

S e n a t e . Committee on Environment and P u b l i c

C l e a n Water Act of 1 9 7 7 ; R e p o r t t o Accompany S. 1952.

works:

Washington, U.S. Govt. P r i n t . Off., 1977. ( 9 5 t h C o n g r e s s , 1 s t s e s s i o n .

Senate.

R e p o r t no. 95-370).

p. 7-8.

-3/

Ibid.,

p. 8.

The cumbersome p r o c e s s which t h e Agency

i n i t i a t e d r e s u l t e d i n p a r t i n a d e c i s i o n t o avoid

any a p p l i c a t i o n of 1977 r e g u l a t o r y r e q u i r e m e n t s

f o r steam e l e c t r i c p o w e r p l a n t s . There i s n o

Agency

b a s i s f o r t h a t d e c i s i o n i n t h e law....The

a l s o concluded t h a t t h e 1972 a c t was p r e e m p t i v e with r e s p e c t t o t h e a p p l i c a t i o n o f S t a t e water

q u a l i t y s t a n d a r d s and e f f l u e n t l i m i t s f o r h e a t .

T h i s i s a d e t e r m i n a t i o n f o r which t h e r e i s no

s u b s t a n c e i n l a w and which i s w h o l l y c o n t r a r y

t o t h e committee's long held view t h a t t h e

S t a t e s a r e f r e e t o e s t a b l i s h any more s t r i c t

standards o r effluent limitations, a s

s p e c i f i c i a l l y s e t f o r t h i n s e c t i o n 510 o f t h e

act.

Even w i t h o u t t h e S t a t e w a t e r q u a l i t y

standards/ef fluent l i m i t s question the delays

i n s e c t i o n 316(A) would be u n f o r t u n a t e and

i n d e f e n s i b l e . 1/

As a consequence o f t h i s d e t e r m i n a t i o n , t h e Committee propounded

two e x p e c t a t i o n s r e g a r d i n g f u t u r e EPA r u l e m a k i n g and r u l e i m p l e m e n t a t i o n

activity i n t h i s area:

The committee d o e s n o t e x p e c t , however, t h a t t h e

Agency w i l l now impose any a d d i t i o n a l 1977 r e q u i r e m e n t

o t h e r than S t a t e water q u a l i t y standards...The

committee e x p e c t s t h e A d m i n i s t r a t o r t o e s t a b l i s h

an e x p e d i t i o u s p r o c e s s f o r d e t e r m i n i n g t h e v a l i d i t y

o f a p p l i c a t i o n s f o r e x c e p t i o n s , and t o proceed

s w i f t 1y t o e n f o r c e e f f l u e n t l i m i t a t i o n s a p p l i c a b l e

t o p o l l u t a n t s f o r which t h e r e a r e no w a t e r q u a l i t y

s t a n d a r d s o r which would c l e a r l y i n t e r f e r e w i t h

a t t a i n m e n t and m a i n t e n a n c e o f t h a t w a t e r q u a l i t y

which a s s u r e s t h e p r o t e c t i o n o f p u b l i c w a t e r s u p p l i e s

and t h e p r o t e c t i o n and p r o p a g a t i o n o f a b a l a n c e d ,

i n d i g e n o u s p o p u l a t i o n o f f i s h , s h e l l f i s h , and w i l d l i f e ,

and a l l o w s r e c r e a t i o n a l a c t i v i t i e s , i n and on t h e

w a t e r . Only i n t h i s way can t h e s e w a i v e r s be u s e f u l ,

b o t h t o t h e s o u r c e which n e e d s t o know a s e a r l y a s

p o s s i b l e what w i l l be r e q u i r e d and t o t h e e n v i r o n m e n t

which w i l l b e n e f i t from r e d u c t i o n o f d i s c h a r g e s o f

pollutants. 2/

-1/

Ibid.

-2 /

Ibid.

O c c u p a t i o n a l S a f e t y and H e a l t h A d m i n i s t r a t i o n A p p r o p r i a t i o n s

f o r FY 1979.

House and S e n a t e c o n f e r e e s , i n t h e i r r e p o r t on O c c u p a t i o n a l

S a f e t y and H e a l t h A d m i n i s t r a t i o n (OSHA) a p p r o p r i a t i o n s f o r FY 1 9 7 9 ,

urged OSHA " t o p l a c e p r i m a r y e m p h a s i s o f e n f o r c e m e n t e f f o r t s w i t h

r e s p e c t t o m i g r a n t l a b o r camps on o p e r a t i o n s w i t h 10 o r more employees."

The a p p r o p r i a t i o n s a c t i t s e l f , P.L.

95-480,

exempted farms w i t h 10

o r f e w e r employees from OSHA j u r i s d i c t i o n u n l e s s t h e y m a i n t a i n e d a

" t e m p o r a r y l a b o r camp," t h e r e b y p e r m i t t i n g i n s p e c t i o n o f any farm

w i t h a m i g r a n t worker camp, r e g a r d l e s s o f s i z e . F u r t h e r m o r e , t h e

c o n f e r e n c e r e p o r t c o n t a i n e d t h e f o l l o w i n g d i r e c t i v e and r e p o r t i n g

o b l i g a t i o n a s s o c i a t e d with such i n s p e c t i o n :

The S e c r e t a r y i s d i r e c t e d t o r e p o r t t o b o t h House

and S e n a t e A p p r o p r i a t i o n s Commit t e e s on m i g r a n t l a b o r

camp i n s p e c t i o n e x p e r i e n c e and r e s u l t s , i n c l u d i n g :

number o f employees a f f e c t e d b y i n s p e c t i o n s ; s i z e

c a t e g o r i e s o f e s t a b l i s h m e n t s i n s p e c t e d : and t h e

a c t u a l number, t y p e and s e v e r i t y o f v i o l a t i o n s found

i n l a r g e and s m a l l camps. R e p o r t s s h o u l d be

s u b m i t t e d w i t h t h e f i s c a l y e a r 1980 b u d g e t and a t t h e

end of f i s c a l y e a r 1979. -

1/ U . S .

C o n g r e s s . Committee o f C o n f e r e n c e . Making A p p r o p r i a t i o n s

f o r tKe D e p a r t m e n t s o f L a b o r , and H e a l t h , E d u c a t i o n , and W e l f a r e , and

R e l a t e d A g e n c i e s ; Report t o Accompany H.R. 12929. Washington, U.S.

Govt. P r i n t . O f f . , 1978. ( 9 5 t h C o n g r e s s , 2d s e s s i o n . House. Report

n o . 95-1746).

p. 10.

-2 /

Ibid.

IV.

CONCLUSION

Congress h a s a v a i l a b l e and h a s adopted a t l e a s t f i v e

d i s t i n g u i s h a b l e t y p e s o f s t a t u t o r y mechanisms, o t h e r t h a n

t h e l e g i s l a t i v e v e t o , t o o v e r t u r n o r preempt F e d e r a l agency

r u l e s , t o l i m i t t h e i r impact, o r t o prevent o r h i n d e r t h e i r

promulgation.

These s t a t u t o r y i n s t r u m e n t s - - d i r e c t

override o r

preemption of r u l e s , m o d i f i c a t i o n of agency j u r i s d i c t i o n ,

a u t h o r i z a t i o n and a p p r o p r i a t i o n 1i m i t a t i o n s , extra-agenc y

p r i o r c o n s u l t a t i o n r e q u i r e m e n t s , and advance n o t i f i c a t i o n t o

t h e Congress--vary

i n terms of t h e i r u s e and impact.

Provisions

t h a t modify agency j u r i s d i c t i o n appear t o be t h e most f r e q u e n t l y

used d e v i c e i n t h e r e c e n t p a s t , w h i l e d i r e c t o v e r r i d e s of

r u l e s and a u t h o r i z a t i o n o r a p p r o p r i a t i o n l i m i t a t i o n s a r e t h e

l e a s t used, a c c o r d i n g t o t h i s p r e l i m i n a r y survey.

Consultation

o r p r i o r review r e q u i r e m e n t s a f f e c t i n g rulemaking a g e n c i e s ,

e s p e c i a l l y advance n o t i c e t o c o n g r e s s i o n a l committees, have

become r e l a t i v e l y p r e v a l e n t i n comparison t o o t h e r t e c h n i q u e s .

However, such c o n s u l t a t i o n o r review p r o v i s i o n s have o n l y

i n d i r e c t i n f l u e n c e , whereas t h e o t h e r t y p e s of s t a t u t o r y

a c t i o n have a d i r e c t e f f e c t on r u l e s o r t h e i r promulgation.

Moreover, t h e scope, s p e c i f i c i t y , and permanency of t h e

impact of t h e d i f f e r e n t mechanisms a l s o f l u c t u a t e .

For i n s t a n c e ,

t h e t e c h n i q u e of a l t e r i n g agency j u r i s d i c t i o n h a s o f t e n been

used t o a f f e c t a s e r i e s of i n t e r r e l a t e d r u l e s , whereas funding

l i m i t a t i o n s have been r e s e r v e d f o r narrow, single-purpose r e s t r i c t i o n s ,

which, i n c i d e n t a l l y , a r e e f f e c t i v e f o r o n l y t h e t e r m o f t h e a u t h o r i z a t i o n

o r a p p r o p r i a t i o n , u s u a l l y one f i s c a l y e a r .

S t a t u t o r y p r e e m p t i o n and

d i r e c t o v e r t u r n o f r u l e s , p e r m a n e n t l y o v e r r i d i n g them, h a v e been a p p l i e d

t o s p e c i f i c r u l e s i n c o n t r a s t t o p r i o r c o n s u l t a t i o n o r review provisions,

which a r e g e n e r i c :

i.e.,

a p p l i c a b l e t o a l l r u l e s promulgated under a

s t a t u t e o r program a u t h o r i t y .

Although t h e r e a r e m u l t i p l e and v a r i e d n o n s t a t u t o r y mechanisms f o r

c o n g r e s s i o n a l i n f l u e n c e o v e r r u l e s and r u l e m a k i n g , t h i s r e p o r t c o n s i d e r e d

i n d e t a i l o n l y t h e o n e which i s u s u a l l y most i m p o r t a n t t o t h e f i n a l l e g i s l a t i v e

product:

i.e.,

committee r e p o r t s t h a t accompany l e g i s l a t i o n .

Such r e p o r t

l a n g u a g e h a s o n l y i n d i r e c t i n f l u e n c e i n t h a t i t c a n m e r e l y u r g e o r recommend

F e d e r a l agency a c t i o n o r r e c o n s i d e r a t i o n ; i t c a n n o t impose l e g a l r e q u i r e m e n t s

on a n agency o r a b r o g a t e p a r t i c u l a r r u l e s .

Nonetheless, those d i r e c t i v e s ,

which come from a u t h o r i z i n g , a p p r o p r i a t i n g , and c o n f e r e n c e c o m m i t t e e s ,

g e n e r a l l y e l i c i t e d agency c o m p l i a n c e , based on t h i s a b b r e v i a t e d e x a m i n a t i o n .

Where c o m p l i a n c e was n o t f o r t h c o m i n g , t h e committee r e p o r t l a n g u a g e s e r v e d

a s a h a r b i n g e r t o f u r t h e r c o n g r e s s i o n a l a c t i o n a g a i n s t an offending r u l e

o r r u l e s through a t t e m p t s t o approve l e g i s l a t i v e v e t o e s , i f a v a i l a b l e ;

direct statutory overrides; o r appropriation limitations.

The purpose of this report has been to survey the statutory

instruments, other than the legislative veto, in which Congress

is the initiator or the principal vehicle of action that results

in the termination or mitigation of an agency rule.

There are other

statutorily established mechanisms that also affect the promulgation

or Longevity of rules but where Congress is not a direct participant,

after passage of the legislation.

Some of these machanisms include

certain changes in the Administrative Procedure Act ( M A ) ( 5 U.S.C.

551 et seq.) or additions of specific administrative requirements

beyond the APA provisions.

Specific recommendations have included:

lengthened public notice and comment periods; adoption of "hybrid1'

rulemaking or formal rulemaking where neither had existed; creation

of a regulatory oversight commission to review proposed rules;

improved public participation mechanisms, such as public intervenor funding

and payment of attorneys' fees; expanded scope of judicial review

of the exercise of delegated rulemaking authority; and increased

access to Federal courts by empowering public counsels to challenge

administrative rules in court and by easing the requirements for

standing by permitting any person who will be adversely affected

by a rule to petition for judicial review; among others.

These

statutory techniques would affect agency rules through the

initiative of private parties or other Federal units or both, rather

than the Congress or its constituent parts.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.