[Federal Register Volume 67, Number 220 (Thursday, November 14, 2002)]
[Notices]
[Pages 69072-69073]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-28907]
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DEPARTMENT OF TRANSPORTATION
Surface Transportation Board
[STB Administrative Matter No. 3]
Implementation of the Regulatory Flexibility Act--STB Issuance
No. 52
AGENCY: Surface Transportation Board, Transportation.
ACTION: Amendment of internal procedures.
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SUMMARY: The Surface Transportation Board (STB) is revising its
internal procedures for implementing the Regulatory Flexibility Act,
which requires agencies to consider the effects of their rules on small
entities.
EFFECTIVE DATE: The STB's revised internal procedures are effective on
November 14, 2002.
FOR FURTHER INFORMATION CONTACT: Joseph H. Dettmar, (202) 565-1600.
(Federal Information Relay Service (FIRS) for the hearing impaired: 1-
800-877-8339.)
SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act (RFA), 5
U.S.C. 601, et seq., requires federal government agencies, including
the STB, to consider the effects of their regulations on ``small
entities.'' Under the RFA, small entities are defined as small
businesses, small not-for-profit enterprises, and small governmental
jurisdictions. The RFA requires that agencies: (1) Publish lists of
rules that have, or are likely to have in the future, a significant
economic impact on small entities; (2) adopt procedures for furthering
the participation of small entities in the rulemaking process; (3) on a
rulemaking-by-rulemaking basis, determine the extent to which each
rulemaking will affect small entities; (4) for rules that are expected
to have a significant adverse effect on small entities, describe the
steps taken to minimize the adverse effect in a manner that is
consistent with the stated objectives of applicable statutes; and (5)
provide for review of rules for small-entity impact every 10 years.
On October 9, 1981, our predecessor agency, the Interstate Commerce
Commission (ICC or Commission), adopted internal procedures to
implement the RFA, in Commission Issuance No. 52, Implementation of the
Regulatory Flexibility Act, and published these procedures in the
Federal Register at 46 FR 50158.\1\ This issuance needs to be updated
to reflect the STB's assumption of statutory functions of the ICC,
intervening changes in the STB's internal organization and procedures,
and experience under the RFA. Accordingly, we are revising STB Issuance
No. 52 as set forth in the Appendix to this notice. Because our
revision governs the internal operations and procedures of the STB, it
is being issued in final form, and public comments are not being
sought. This issuance is intended solely to provide for the internal
processing of issues arising under the RFA, not to resolve substantive
issues involving the interpretation and application of that statute.
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\1\ Commission issuances became applicable to the STB upon its
creation.
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Decided: November 7, 2002.
By the Board, Chairman Morgan and Vice Chairman Burkes.
Vernon A. Williams,
Secretary.
Appendix
52. Implementation of the Regulatory Flexibility Act
A. Purpose.--This issuance sets forth how the Surface
Transportation Board (Board) implements the Regulatory Flexibility
Act (RFA) in its formulation of agency policies and regulations.
B. Background.--The RFA was first enacted by Congress on
September 19, 1980, Public Law 96-354 (94 Stat. 1164), and later
amended on March 29, 1996, Public Law 104-121 (110 Stat. 847). The
RFA directs that agencies endeavor to fit their regulatory and
informational requirements to the scale of the businesses,
organizations, and governmental jurisdictions subject to those
requirements. Towards that end, the RFA requires agencies, when
appropriate, to solicit and consider flexible regulatory proposals
and to explain the rationale for their actions to assure that such
proposals are given serious consideration.
C. Policy.--The Board and its predecessor agency, the Interstate
Commerce Commission, have taken many steps to reduce the regulatory
burden on small business entities. Under the RFA, the scope of the
agency's analysis of economic impacts of proposed rulemakings
encompasses not only small carriers, but also small communities and
municipalities, shippers, receivers and others.
D. Regulatory Flexibility Officer.--The Director of the Office
of Proceedings is designated Regulatory Flexibility Officer.
E. Definitions.--``Small entity'' shall have the same meaning as
the terms ``small business'', ``small organization'' and ``small
governmental jurisdiction,'' as defined below:
[[Page 69073]]
1. Small Business--Generally, an independently owned and
operated business that is not dominant in its field. The Board may,
however, redefine ``small'' for various transportation modes by rule
in accordance with the RFA.
2. Small Organization--Generally, a non-profit enterprise that
is independently owned and operated and is not dominant in its
field.
3. Small Governmental Jurisdiction--Generally, a political unit
covering an area with a population under 50,000.
F. Initial Regulatory Flexibility Analysis (IRFA).--
1. An analysis of the impact of the proposed rule on small
entities will be included in each notice of proposed rulemaking
(NPR) that may have a significant economic impact on a substantial
number of small entities. Such analysis will contain:
a. A description of the reasons why action by the agency is
being considered;
b. A succinct statement of the objectives of, and legal basis
for, the proposed rule;
c. A description of and, where feasible, an estimate of the
number of small entities to which the proposed rule will apply;
d. A description of the projected reporting, recordkeeping and
other compliance requirements of the proposed rule, including an
estimate of the classes of small entities that will be subject to
the requirement and the type of professional skills necessary for
preparation of the report or record; and
e. An identification, to the extent practicable, of all relevant
Federal rules that may duplicate, overlap or conflict with the
proposed rule.
2. In addition, each initial regulatory flexibility analysis
will contain a description of any significant alternatives to the
proposed rule that would accomplish the stated objectives of
applicable statutes and would minimize any significant economic
impact of the proposed rule on small entities. Consistent with the
stated objectives of applicable statutes, the analysis will discuss
significant alternatives, such as:
a. The establishment of differing compliance or reporting
requirements or timetables that take into account the resources
available to small entities;
b. The clarification, consolidation, or simplification of
compliance and reporting requirements under the rule for such small
entities;
c. The use of performance, rather than design, standards; and
d. An exemption from coverage of the rule, or any part thereof,
for such small entities.
G. Final Regulatory Flexibility Analysis (FRFA).--A final
analysis of the impact of the proposed rule on small entities will
be prepared on all final rules to be promulgated that may have a
significant economic impact on a substantial number of small
entities. The final analysis will contain:
1. A succinct statement of the need for, and the objectives of,
the rule;
2. A summary of the issues raised by the public comments in
response to the initial regulatory flexibility analysis, a summary
of the assessment of the agency of those issues, and a statement of
any changes made in the proposed rule as a result of the comments;
3. A description of and an estimate of the number of small
entities to which the rule will apply or an explanation of why no
such estimate is available;
4. A description of the projected reporting, recordkeeping and
other compliance requirements of the rule, including an estimate of
the classes of small entities which will be subject to the
requirement and the type of professional skills necessary for the
preparation of the report or record; and
5. A description of the steps the agency has taken to minimize
the significant economic impact on small entities consistent with
the stated objectives of applicable statutes, including a statement
of the factual, policy, and legal reasons for selecting the
alternative adopted in the final rule and why each one of the other
significant alternatives to the rule considered by the agency which
affect the impact on small entities was rejected.
H. Certification.--In any rulemaking involving a proposed or
final rule that will not, if promulgated, have a significant
economic impact on a substantial number of small entities, a
certification of that fact can be made in lieu of an IRFA and a
FRFA. Such ``certification of no significant economic impact'' must
contain a statement explaining the factual basis for the
certification. Any proceeding involving a final rule, in which a
previous certification has been made, should state that, in the NPR,
we certified that the rule would have no significant impact on a
substantial number of small entities.
I. Responsibilities.--
1. Regulatory Flexibility Officer.
a. The Regulatory Flexibility Officer is directed to prepare for
the Board the Regulatory Flexibility Agenda, which will be part of
the semi-annual Unified Agenda of Federal Regulatory and
Deregulatory Actions.
b. The Regulatory Flexibility Officer will also review the
following agency actions:
(1) All NPRs--prior to assignment for preparation of a draft
decision--to determine if the proposed rule may have a significant
economic impact on a substantial number of small entities. The
results of this review shall be clearly indicated and affixed to the
NPR and forwarded to the originating STB Office; and
(2) All NPRs and final rules--after preparation of a draft
decision but prior to circulation for Board vote--to reevaluate the
appropriateness of any certification, IRFA or FRFA to determine the
sufficiency thereof. In all cases, the Regulatory Flexibility
Officer is assigned the task of preparing or causing to be prepared,
as appropriate, certifications of no significant impact; exemptions
from coverage of the rule, or any part thereof, for small entities,
if appropriate, as discussed in 5 U.S.C. 603(c)(4); or waivers or
delays of some or all of the IRFA requirement (see Section F, above)
in response to an emergency that makes compliance impracticable, as
provided in 5 U.S.C. 608.
2. Heads of Offices are to assure that all NPRs and final rules
to be promulgated, including exemptions, waivers or delays, have
been cleared by the Regulatory Flexibility Officer at the earliest
possible stage. NPRs should be referred prior to assignment for
preparation of a draft decision, and NPRs and final rules should be
referred for appropriate review and clearance after preparation of
the draft decision but prior to circulation for Board consideration.
The circulation memorandum on each decision should indicate that the
Regulatory Flexibility Officer has approved of the Regulatory
Flexibility action taken, waived or delayed. In all cases in which a
voluminous IRFA has been necessary, the originating Office may
prepare a separate IRFA summary to be published in the Federal
Register at the time of publication of the general NPR.
3. The Regulatory Flexibility Officer will assure that all
certifications, IRFAs, and FRFAs are published in the Federal
Register and served directly on the Chief Counsel for Advocacy,
Small Business Administration, and that all waivers or delays are
published in the Federal Register.
[FR Doc. 02-28907 Filed 11-13-02; 8:45 am]
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