Regulatory Flexibility Act Section 610 and Plain Language Reviews

DEPARTMENT OF TRANSPORTATION

Research and Special Programs Administration

[Docket No. RSPA-99-5143, N-99-4]

49 CFR Parts 106, 107, and 171

Regulatory Flexibility Act Section 610 and Plain Language Reviews

AGENCY: Research and Special Programs Administration (RSPA), DOT.

ACTION: Notice of regulatory review; request for comments.

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SUMMARY: RSPA requests comments on the economic impact of its

regulations on small entities. As required by the Regulatory

Flexibility Act and as published in DOT's Semi-Annual Regulatory

Agenda, we are analyzing the rules on Rulemaking and Program Procedures

and General Information, Regulations, and Definitions to identify rules

that may have a significant economic impact on a substantial number of

small entities. We also request comments on ways to make these

regulations easier to read and understand.

DATES: Comments must be received by March 22, 2000.

ADDRESSES: Address written comments to the Dockets Management System,

U.S. Department of Transportation, Room PL-401, 400 Seventh Street, SW,

Washington, DC 20590-0001. Identify the docket number RSPA-99-5143 at

the beginning of your comments and submit two copies. If you want to

receive confirmation of receipt of your comments, include a self-

addressed, stamped postcard. You can also submit comments by e-mail by

accessing the Dockets Management System on the Internet at ``http://

dms.dot.gov'' or by fax to (202) 366-3753.

The Dockets Management System is located on the Plaza Level of the

Nassif Building at the Department of Transportation at the above

address. You can review public dockets there between the hours of 9

a.m. and 5 p.m., Monday through Friday, except federal holidays. In

addition, you can review comments by accessing the Dockets Management

System at ``http://dms.dot.gov.''

FOR FURTHER INFORMATION CONTACT: Susan Gorsky, Office of Hazardous

Materials Standards, Research and Special Programs Administration, U.S.

Department of Transportation, telephone (202) 366-8553; or Donna

O'Berry, Office of Chief Counsel, Research and Special Programs

Administration, U.S. Department of

[[Page 71099]]

Transportation, telephone (202) 366-4400.

SUPPLEMENTARY INFORMATION:

I. Section 610 of the Regulatory Flexibility Act

A. Background and Purpose

Section 610 of the Regulatory Flexibility Act of 1980 (Pub. L. 96-

354), as amended by the Small Business Regulatory Enforcement Fairness

Act of 1996 (Pub. L. 104-121), requires agencies to conduct periodic

reviews of rules that have a significant economic impact on a

substantial number of small business entities. The purpose of the

reviews is to determine whether such rules should be continued without

change, amended, or rescinded, consistent with the objectives of

applicable statutes, to minimize any significant economic impact of the

rules on a substantial number of such small entities.

B. Review Schedule

The Department of Transportation (DOT) published its Semiannual

Regulatory Agenda on November 22, 1999, listing in Appendix D (64 FR

64684) those regulations that each operating administration will review

under section 610 during the next 12 months. Appendix D also contains

DOT's 10-year review plan for all of its existing regulations.

The Research and Special Programs Administration (RSPA, ``we'') has

divided its Hazardous Materials Regulations (HMR; 49 CFR Parts 171 to

180) into 10 groups by subject area. Each group will be reviewed once

every 10 years, undergoing a two-stage process--an Analysis Year and a

Section 610 Review Year. For purposes of these reviews, a year will

coincide with the fall-to-fall publication schedule of the Semiannual

Regulatory Agenda. Thus, Year 1 (1998) began in the fall of 1998 and

ends in the fall of 1999; Year 2 (1999) begins in the fall of 1999 and

ends in the fall of 2000; and so on.

During the Analysis Year, we will analyze each of the rules in a

given year's group to determine whether any rule has a significant

impact on a substantial number of small entities and, thus, requires

review in accordance with section 610 of the Regulatory Flexibility

Act. In each fall's Regulatory Agenda, we will publish the results of

the analyses we completed during the previous year. For rules that have

a negative finding, we will provide a short explanation. For parts,

subparts, or other discrete sections of rules that do have a

significant impact on a substantial number of small entities, we will

announce that we will be conducting a formal section 610 review during

the following 12 months.

The section 610 review will determine whether a specific rule

should be revised or revoked to lessen its impact on small entities. We

will consider: (1) The continued need for the rule; (2) the nature of

complaints or comments received from the public; (3) the complexity of

the rule; (4) the extent to which the rule overlaps, duplicates, or

conflicts with other federal rules or with state or local government

rules; and (5) the length of time since the rule has been evaluated or

the degree to which technology, economic conditions, or other factors

have changed in the area affected by the rule. At the end of the review

year, we will publish the results of our review.

The following table shows the 10-year analysis and review schedule:

RSPA Section 610 Review Plan

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Year Title Regulation Analysis Review

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1............. Incident reports Secs. 171.15 1998 N/A

and 171.16.

2............. Hazmat Program Parts 106 and 1999 2000

Procedures 107, Part 171.

General

Information,

Regulations,

and Definitions.

3............. Carriage by Rail Parts 174 and 2000 2001

and Highway. 177.

4............. Carriage by Part 176........ 2001 2002

Vessel.

5............. Radioactive Parts 172, 173, 2002 2003

Materials. 174, 175, 176,

177, 178.

6............. Explosives Parts 172, 173, 2003 2004

Cylinders. 174, 176, 177,

178.

Parts 172, 173,

178, 180.

7............. Shippers--Genera Part 173........ 2004 2005

l Requirements

for Shipments

and Packagings.

8............. Specifications Part 178........ 2005 2006

for Non-bulk

Packagings.

9............. Specifications Parts 178, 179, 2006 2007

for Bulk 180.

Packagings.

10............ Hazardous Part 172........ ......... .........

Materials

Table, Special

Provisions,

Hazardous

Materials

Communications,

Emergency

Response

Information,

and Training

Requirements.

Carriage by Part 175........ 2007 2008

Aircraft.

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C. Regulations Under Analysis

During Year 2 (1999), the Analysis Year, we will conduct a

preliminary assessment of the rules in 49 CFR Parts 106 and 107,

Rulemaking and Program Procedures, and Part 171, General Information,

Regulations, and Definitions.

Part 106, Rulemaking Procedures, includes the following sections:

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Section Title

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106.1..................................... Scope.

106.3..................................... Delegations.

106.5..................................... Regulatory dockets.

106.7..................................... Records.

106.9..................................... Where to file petitions.

106.11.................................... General.

106.13.................................... Initiation of rulemaking.

106.15.................................... Contents of notices of

proposed rulemaking.

106.17.................................... Participation by interested

persons.

106.19.................................... Petitions for extension of

time to comment.

106.21.................................... Contents of written

comments.

106.23.................................... Consideration of comments

received.

106.25.................................... Additional rulemaking

proceedings

106.27.................................... Hearings.

106.29.................................... Adoption of final rules.

106.31.................................... Petitions for rulemaking.

106.33.................................... Processing of petition.

106.35.................................... Petitions for

reconsideration.

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106.37.................................... Proceedings on petitions for

reconsideration.

106.38.................................... Appeals.

106.39.................................... Direct final rulemakings.

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Part 107, Hazardous Materials Program Procedures, includes the

following subparts:

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Subpart Title

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Subpart A................................. General Provisions.

Subpart B................................. Exemptions.

Subpart C................................. Preemption--Preemption

Determinations and Waiver

of Preemption

Determinations.

Subpart D................................. Enforcement--Compliance

Orders and Civil Penalties,

Criminal Penalties,

Injunctive Action.

Subpart E................................. Designation of Approval and

Certification Agencies.

Subpart F................................. Registration of Cargo Tank

and Cargo Tank Motor

Vehicle Manufacturers and

Repairers and Cargo Tank

Motor Vehicle Assemblers.

Subpart G................................. Registration of Persons Who

Offer or Transport

Hazardous Materials.

Subpart H................................. Approvals, Registrations,

and Submissions.

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Part 171, General Information, Regulations, and Definitions,

includes the following sections:

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Section Title

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171.1..................................... Purpose and scope.

171.2..................................... General requirements.

171.3..................................... Hazardous waste.

171.4..................................... Marine pollutants.

171.6..................................... Control numbers under

Paperwork Reduction Act.

171.7..................................... Reference material.

171.8..................................... Definitions and

abbreviations.

171.9..................................... Rules of construction.

171.10.................................... Units of measure.

171.11.................................... Use of ICAO Technical

Instructions.

171.12.................................... Import and export shipments.

171.12a................................... Canadian shipments and

packagings.

171.14.................................... Transitional provisions for

implementing requirements

based on the UN

recommendations.

171.19.................................... Approvals or authorizations

issued by the Bureau of

Explosives.

171.20.................................... Submission of Examination

Reports.

171.21.................................... Assistance in investigations

and special studies.

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We are seeking comments on whether any requirements in Part 106,

107, or 171 have a significant impact on a substantial number of small

entities. ``Small entities'' include small businesses, not-for-profit

organizations that are independently owned and operated and are not

dominant in their fields, and governmental jurisdictions with

populations under 50,000. If your business or organization is a small

entity and if any of the requirements in Parts 106, 107, or 171 have a

significant economic impact on your business or organization, please

submit a comment to explain how and to what degree these rules affect

you, the extent of the economic impact on your business or

organization, and why you believe the economic impact is significant.

II. Plain Language

A. Background and Purpose

The National Partnership for Reinventing Government (NPR) has

recommended that the federal government develop a more customer-

oriented approach, particularly concerning government regulations and

publications. The NPR recommendations suggest that agencies simplify

and, as appropriate, rewrite rules and regulations in performance-

based, plain-language formats.

Plain language helps readers find requirements quickly and

understand them easily. Examples of plain language techniques include:

(1) Undesignated center headings to cluster related sections within

subparts.

(2) Short words, sentences, paragraphs, and sections to speed up

reading and enhance understanding.

(3) Sections as questions and answers to provide focus.

(4) Personal pronouns to reduce passive voice and draw readers into

the writing.

(5) Tables to display complex information in a simple, easy-to-read

format.

President Clinton issued an Executive Memorandum on June 1, 1998,

calling for agencies to write documents using ``easy-to-read design

features.'' To ensure the use of plain language, the President directed

agencies to use plain language in all new documents, other than

regulations, by October 1, 1998, and to use plain language in all

proposed and final rulemakings published in the Federal Register after

January 1, 1999. The President also directed agencies to consider

rewriting existing regulations in plain language when they have the

opportunity and resources to do so. For an example of a rule drafted in

plain language, you can refer to RSPA's notice of proposed rulemaking

entitled ``Revised and Clarified Hazardous Materials Safety Rulemaking

and Program Procedures,'' which was published December 11, 1998 (63 FR

68624). This NPRM proposed to rewrite part 106 and Subpart A of part

107 in plain language and to create a new part 105 that would contain

definitions and general procedures. We are currently in the process of

evaluating comments received in response to the NPRM.

B. Review Schedule

In conjunction with our section 610 reviews, we will be performing

plain language reviews of the HMR over a ten-year period on a schedule

consistent with the section 610 review schedule. Thus, our review of

parts 107 and 171 under section 610 will also include a plain language

review to determine if the regulations can be reorganized and/or

rewritten to make them easier to read, understand, and use. We

encourage interested persons to submit draft regulatory language that

clearly and simply communicates regulatory requirements, and other

recommendations, such as for putting information in tables, that may

make the regulations easier to use.

Issued in Washington, DC on December 13, 1999, under authority

delegated in 49 CFR part 106.

Alan I. Roberts,

Associate Administrator for Hazardous Materials Safety, Research and

Special Programs Administration.

[FR Doc. 99-32888 Filed 12-17-99; 8:45 am]

BILLING CODE 4910-60-P