[Federal Register Volume 82, Number 108 (Wednesday, June 7, 2017)]
[Proposed Rules]
[Pages 26411-26419]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-11559]
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DEPARTMENT OF HOMELAND SECURITY
Federal Emergency Management Agency
44 CFR Part 1
[Docket ID FEMA-2017-0016]
RIN 1660-AA91
Update to FEMA's Regulations on Rulemaking Procedures
AGENCY: Federal Emergency Management Agency, DHS.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Federal Emergency Management Agency (FEMA) proposes to
revise its regulations pertaining to rulemaking. It proposes to remove
sections that are outdated or do not affect the public, and it proposes
to update provisions that affect the public's participation in the
rulemaking process, such as the submission of public comments,
hearings, ex parte communications, the public rulemaking docket, and
petitions for rulemaking. FEMA also proposes to modify its waiver of
the Administrative Procedure Act exemption for matters relating to
public property, loans, grants, benefits, and contracts.
DATES: Comments must be received on or before August 7, 2017.
ADDRESSES: You may submit comments, identified by Docket ID FEMA-2017-
0016, by one of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov. Follow the
instructions for submitting comments.
Mail/Hand Delivery/Courier: Regulatory Affairs Division, Office of
Chief Counsel, Federal Emergency Management Agency, 8NE, 500 C Street
SW., Washington, DC 20472.
FOR FURTHER INFORMATION CONTACT: Liza Davis, Associate Chief Counsel,
Regulatory Affairs, Office of Chief Counsel, Federal Emergency
Management Agency, 500 C Street SW., Washington, DC 20472, 202-646-
4046, or (email) [email protected].
SUPPLEMENTARY INFORMATION:
I. Public Participation
We encourage you to participate in this rulemaking by submitting
comments and related materials. We will consider all comments and
material received during the comment period.
If you submit a comment, identify the agency name and the docket ID
for this rulemaking, indicate the specific section of this document to
which each comment applies, and give the reason for each comment. You
may submit your comments and material by electronic means, mail, or
delivery to the address under the ADDRESSES section. Please submit your
comments and material by only one means.
Regardless of the method used for submitting comments or material,
all submissions will be posted, without change, to the Federal e-
Rulemaking Portal at http://www.regulations.gov, and will include any
personal information you provide. Therefore, submitting this
information makes it public. You may wish to read the Privacy and
Security Notice that is available via a link on the homepage of
www.regulations.gov.
Viewing comments and documents: For access to the docket to read
background documents or comments received, go to the Federal e-
Rulemaking Portal at http://www.regulations.gov. Background documents
and submitted comments may also be inspected at FEMA, Office of Chief
Counsel, 500 C Street SW., Washington, DC 20472-3100.
II. Background
FEMA established its regulations regarding its rulemaking
procedures in 1981, in 44 Code of Federal Regulations (CFR) part 1.\1\
FEMA has not substantively updated part 1 since that time. Part 1 is
based on a rescinded Executive Order, Executive Order 12291, entitled
``Federal Regulation,'' and obsolete agency procedure, which was
relevant when FEMA was an independent agency,\2\ but is no longer
accurate, as FEMA is no longer an independent agency. FEMA now includes
its internal rulemaking procedures addressing the development,
drafting, and clearance of FEMA rules in internal guidance.
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\1\ See 46 FR 32583 (June 24, 1981) (final rule establishing 44
CFR part 1); see also 44 FR 50299 (Aug. 27, 1979) (proposed rule
proposing to establish 44 CFR part 1).
\2\ FEMA became a component agency of the Department of Homeland
Security on March 1, 2003 pursuant to the Homeland Security Act of
2002, Public Law 107-296, 116 Stat. 2135 (codified as amended at 6
U.S.C. 101 et seq.).
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In this proposed rule, FEMA proposes a wholesale revision of part
1, removing sections that solely address internal agency procedure, and
retaining and updating sections that directly affect the public's
participation in FEMA's rulemaking process, namely, provisions
addressing ex parte communications in rulemaking, petitions for
rulemaking, the public rulemaking docket, hearings, and the process for
submitting public comments on rules.
FEMA is also proposing to modify its waiver of the Administrative
Procedure Act exemption for matters relating to public property, loans,
grants, benefits, and contracts.
Section III of this preamble includes a section-by-section analysis
of the current regulations and an explanation of the changes to each
section.
III. Section-by-Section Analysis of the Current Regulations and
Proposed Changes
Section 1.1 Purpose
Paragraph (a) of current section 1.1 states that 44 CFR part 1
covers FEMA's basic policies and procedures for adoption of rules, and
that it incorporates provisions of section 4 of the Administrative
Procedure Act. Section 4 of the Administrative Procedure Act (5 U.S.C.
553) addresses Federal agency requirements for notice and comment
rulemaking. Notice and comment rulemaking is also known as ``informal
rulemaking.'' Paragraph (a) of current section 1.1 also includes a
statement that 44 CFR part 1 and internal FEMA manuals implement
Executive Order 12291.
FEMA proposes to limit the purpose of part 1 to describing FEMA's
informal rulemaking procedures that affect the public. This proposed
rule therefore does not describe FEMA's internal rulemaking procedures,
which are more appropriately placed in internal guidance. FEMA proposes
these changes for a number of reasons. First, the Administrative
Procedure Act does not require internal agency procedure to be in
regulation. See 5 U.S.C. 553(a)(2), 553(b)(A). Second, and more
importantly, the references to Executive Order 12291 and implementing
FEMA procedures are outdated. As noted above, Executive Order 12291 has
been revoked, and was replaced with Executive Order 12866, ``Regulatory
[[Page 26412]]
Planning and Review.'' \3\ Executive Order 12866 imposed major changes
to the regulatory review process of the Federal government, such as
establishing a definition of ``significant'' rulemakings and requiring
a 90-day review by the Office of Management and Budget (OMB) of those
rulemakings.
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\3\ 58 FR 51735 (Oct. 3, 1993).
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Thus, FEMA proposes to state in paragraph (a) of proposed section
1.1 simply that part 1 contains FEMA's informal rulemaking procedures
that affect the public. Note that FEMA does not currently address
formal rulemaking in its regulations,\4\ and does not propose to do so,
as FEMA has never engaged in formal rulemaking and has no plans to do
so. If the need or opportunity for a formal rulemaking should arise,
FEMA will consider issuing regulations or guidance regarding formal
rulemaking procedures at that time.
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\4\ Formal rulemaking is rulemaking made on the record after a
formal hearing. See 5 U.S.C. 556, 557.
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The Freedom of Information Act (FOIA), located in section 3(a) of
the Administrative Procedure Act, requires certain agency documents to
be published in the Federal Register for the guidance of the public.
See 5 U.S.C. 552(a). Paragraph (b) of current section 1.1 states that
FEMA's implementation of this requirement is contained in 44 CFR part
5, subpart B, but subpart B was removed when the Department of Homeland
Security (DHS) updated its FOIA regulations, which also apply to FEMA.
See 81 FR 83625 (Nov. 22, 2016). FEMA finds that this cross-reference
to subpart B is outdated, not necessary, and potentially confusing.
Accordingly, FEMA proposes to remove it from part 1.
Paragraph (c) of current section 1.1 states that 44 CFR part 1
``contains policies and procedures for implementation of the Regulatory
Flexibility Act which took effect January 1, 1981.'' In this
rulemaking, FEMA is proposing to remove all provisions from part 1 that
address the requirements of the Regulatory Flexibility Act, as these
provisions are not required to be in regulation. The requirements of
the Regulatory Flexibility Act pertain to an agency's responsibilities
in performing a particular kind of analysis of its rulemakings, and do
not include any requirements on the public. Therefore, FEMA proposes to
remove paragraph (c) from current section 1.1.
Paragraphs (d) and (e) of current section 1.1 refer to a rescinded
FEMA manual that described the agency's internal rulemaking
procedures.\5\ As the manual has since been rescinded, and there is no
requirement to include references to such internal guidance in
regulations, FEMA proposes to remove reference to such guidance in 44
CFR part 1.
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\5\ FEMA Manual 1140.1, The Formulation, Drafting, Clearance,
and Publication of Federal Register Documents,'' was rescinded by
FEMA Manual 078-1-2, ``Rulemaking and Federal Register Notice
Development, Drafting, and Approval Procedures,'' on 8/28/12.
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Section 1.2 Definitions
Section 1.2 includes the definition of ``rule or regulation,''
which is the same definition that appears in the Administrative
Procedure Act at 5 U.S.C. 551(4). Rather than restating the definition,
FEMA proposes to simply provide the reference to the APA definition,
for the sake of simplicity and to avoid the possible impression that
FEMA's definition differs from the Administrative Procedure Act
definition.
FEMA proposes to remove the definition of ``major rule.'' This is a
term found in rescinded Executive Order 12291, and the Congressional
Review of Agency Rulemaking Act (CRA), and the definition need not be
parroted in regulation.\6\ FEMA is therefore proposing to remove this
definition from 44 CFR part 1.
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\6\ 5 U.S.C. 801-808. See the description of the CRA in the
Regulatory Analyses section of this preamble.
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FEMA does not propose any changes to the definitions of
``rulemaking,'' ``Administrator,'' or ``FEMA.''
Section 1.3 Scope
FEMA proposes to remove paragraph (a) of this section, because it
is redundant of proposed section 1.1, addressing the scope of part 1.
FEMA proposes to remove paragraph (b) of this section, because it
is not required to be in regulation. Paragraph (b) states that any
delegation by the Administrator of authority to issue rules may not be
further redelegated, unless expressly provided for in the delegation.
Delegations are an internal agency matter, and are within the
discretion of the FEMA Administrator whether to allow one of his
functions to be delegable. FEMA currently has an internal delegation
addressing rulemaking, FDA 0106-5 (included in the docket for this
rulemaking at www.regulations.gov) which provides for FEMA rulemakings
to be issued by either the Administrator or the Deputy Administrator of
FEMA. It also provides for certain ``routine and frequent'' rulemakings
regarding the National Flood Insurance Program to be issued by the
Associate Administrator for Federal Insurance and Mitigation, or, if
vacant, the Deputy Associate Administrator for Federal Insurance and
Mitigation.
FEMA proposes to move paragraph (c) of current section 1.3 to
proposed section 1.1. This paragraph explains that 44 CFR part 1 does
not address formal rulemaking procedures under the Administrative
Procedure Act. If the need or opportunity arises to engage in a formal
rulemaking, FEMA may issue relevant regulations or guidance at that
time as necessary and appropriate.
Section 1.4 Policy and Procedures
FEMA proposes to remove paragraph 1.4(a), as it is based on a
rescinded Executive Order, Executive Order 12291. It is not necessary
to implement the provisions of such executive orders in regulation.
Current paragraph 1.4(b) states that it is FEMA's policy to provide
for public participation in rulemaking regarding its programs and
functions, including for matters that relate to public property, loans,
grants, benefits, or contracts. FEMA declared this policy
notwithstanding that the Administrative Procedure Act's notice-and-
comment rulemaking requirements do not apply to such programs and
functions. See 5 U.S.C. 553(a)(2). In 1971, the Administrative
Conference of the United States (ACUS) issued a recommendation which
recommended that all Federal agencies waive the Administrative
Procedure Act exemption, finding that the public interest in
participating in these matters outweighed the added process required by
notice and comment rulemaking.\7\ When FEMA issued part 1 in 1981, it
adopted this recommendation.
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\7\ ACUS Recommendation 69-8, adopted Oct. 21-22, 1969,
available at: https://www.acus.gov/sites/default/files/documents/69-8.pdf.
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One of FEMA's main functions is to administer grant programs for
emergency preparedness, response, recovery, and mitigation. The
majority of these grant programs are annual grant programs, meaning
Congress on an annual basis (1) appropriates a certain amount of money
for the program, and (2) potentially revises requirements associated
with the program. FEMA annually evaluates available resources and
policy priorities, and issues notices of funding opportunity, i.e.,
calls for grant applications which specify the eligibility requirements
and conditions for the grant. If in a given year Congress has not
appropriated funds for a given annual grant program, FEMA will not
issue a notice of funding opportunity or make any awards for that
program.
Because of the uncertainties associated with these programs and the
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time and resource constraints associated with the rulemaking process,
it would be extremely challenging to promulgate or revise regulations
each year for these annual grant programs, and therefore FEMA's
practice for years has been to post a notice of funding opportunity on
its Web site at https://www.fema.gov/grants when grant funds become
available. These notices provide detailed information on grant
eligibility and conditions, consistent with OMB requirements.\8\ FEMA
finds that regulations are not necessary for these annual grant
programs, because the requirements for the grant are included in
legislation and the notices of funding opportunity which are available
to the public on FEMA's Web site and www.grants.gov.\9\
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\8\ See Uniform Administrative Requirements, Cost Principles,
and Audit Requirements for Federal Awards, at 2 CFR 200.203.
\9\ FEMA's disaster grant programs are awarded based on event-
specific Presidential declarations rather than an annual
appropriation from Congress; FEMA maintains fulsome regulations for
these programs.
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FEMA notes that in the 1971 ACUS recommendation, ACUS cited the
inadequate practice of some agencies at that time of notifying
applicants of available grant funds and actions taken on applications.
However, it is now standard practice for Federal agencies to use the
internet to disseminate information to the public. FEMA's use of its
Web site and www.grants.gov for its annual grant programs allows any
member of the public easy access to grant application information, and
inadequate notice is no longer an issue.
Because it would be unduly burdensome and, in some cases,
impossible to promulgate annual grant program requirements in
regulation, because the APA does not require such (or any) grant
program requirements to be in regulation, and because FEMA requires
flexibility to adapt quickly to legal and policy mandates, FEMA
considered eliminating current paragraph 1.4(b) entirely. At this time,
however, FEMA prefers to retain a statement in support of public
participation in rulemaking, because although FEMA sees little reason
to retain current paragraph 1.4(b) as drafted, FEMA continues to
believe that public participation is frequently beneficial to the
rulemaking process, particularly for its non-annual disaster grant
programs. Accordingly, FEMA proposes to modify its part 1 with respect
to the grants exception. Specifically, under this proposed rule
(proposed section 1.3), FEMA would retain its general policy in favor
of public participation, but would retain discretion to depart from
this policy in its discretion and as circumstances warrant, such as
with respect to annual grant programs. FEMA also proposes to include a
provision stating that its general policy of providing for public
participation in rulemaking is not intended to create a right or
benefit, substantive or procedural, enforceable against the United
States.
FEMA proposes to remove paragraph (c) from current section 1.4, as
it merely echoes the requirement of the Administrative Procedure Act at
5 U.S.C. 553 to publish notices of proposed rulemaking in the Federal
Register and to give the public an opportunity to participate in the
rulemaking through submission of written data, views, and arguments,
with or without opportunity for oral presentation.
FEMA proposes to remove paragraph (d) from current section 1.4,
which describes FEMA's policy of giving the public, including small
entities and consumer groups, an early and meaningful opportunity to
participate in the development of rules such as through advance notices
of proposed rulemakings, holding open conferences, and convening public
forums or panels. Such a policy need not be in regulation.
FEMA proposes to remove paragraph (e) from current section 1.4,
which contains FEMA's policy to hold a 60-day public comment period for
notices of proposed rulemaking. This policy is consistent with the time
period recommended by Executive Order 12866. Paragraph (e) also states
that the comment period will include any period of review required by
OMB in accordance with the Paperwork Reduction Act of 1980. Such a
policy need not be in regulation.
Paragraph (f) of current section 1.4 addresses Administrative
Procedure Act provisions that allow an agency to bypass notice and
comment. FEMA proposes to remove paragraph (f) from current section
1.4.
Paragraph (g) of current section 1.4 addresses the delayed
effective date provision of the Administrative Procedure Act. Under
this provision, a substantive rule generally becomes effective no
earlier than 30 calendar days after the date of publication in the
Federal Register, unless the agency provides an explanation in the
preamble to the rule that it has good cause to make the rule effective
immediately upon the date of publication. FEMA proposes to remove this
provision from current section 1.4.
Paragraph (h) of current section 1.4 addresses publication of rules
in emergency situations. It states that part 1 does not apply to such
situations, and any such regulation will be reported to OMB. It states
that as soon as is practicable, FEMA will publish in the Federal
Register a statement of the reasons why it is impracticable for the
agency to follow the procedures of Executive Order 12866, and the
agency shall prepare and transmit, as needed, and as soon as
practicable, a regulatory impact analysis for the rule. FEMA proposes
to remove this paragraph from section 1.4, because it predates the
termination of FEMA's status as an independent agency, and addresses a
matter of internal U.S. government coordination.
Section 1.5 Rules Docket
Section 1.5 addresses the public rules docket. FEMA proposes to
renumber this section as section 1.4. FEMA proposes to slightly revise
this section, to clarify that the public rulemaking docket is available
for public inspection after a rule document has been published in the
Federal Register. This is the point when a public rulemaking docket is
established. Prior to that point, any documents associated with the
rulemaking are part of the internal development process, and are not
included in the public docket. FEMA also proposes to clarify that the
public docket is available in hard copy until the rule project is
closed. Once a rule project is closed (either because the rule has been
finalized or withdrawn), FEMA archives the docket at the National
Archives and Records Administration, due to limited physical space at
FEMA offices. An electronic copy of the docket would still be available
on www.regulations.gov, however, with the exception of any copyrighted
material that might be associated with the rule project.
FEMA also proposes to add a requirement that any member of the
public wishing to physically inspect the public docket do so by
prearrangement with FEMA. FEMA has consolidated its office space and no
longer maintains a separate reading room for rule dockets. Therefore,
it is necessary for FEMA to reserve a space ahead of time for a member
of the public to inspect the public docket. FEMA proposes to remove the
requirement that a member of the public must pay a fee to obtain a copy
of the public docket.
FEMA proposes to move the provision addressing the submission of
public comments to a separate section, as it is not directly related to
inspection of the public docket (although public comments are included
in the docket itself). The new section addressing submission of public
comments would
[[Page 26414]]
be numbered section 1.5, and addresses submission of comments
electronically to www.regulations.gov as well as submission via mail or
courier to FEMA.
Finally, FEMA proposes to add a section to address the public
dockets for flood hazard elevation rules. The physical repository
addresses for supporting material for those rules vary depend on the
locality that is the subject of the rule. FEMA includes the address in
the preamble to each flood hazard elevation rule.
Section 1.6 Ex Parte Communications
Section 1.6 addresses ex parte communications during the rulemaking
process. FEMA proposes to revise this section to cover written as well
as oral communications, and to cover any such communications from
outside the Federal Executive branch, rather than outside FEMA. There
are various communications necessary outside FEMA but within the
Federal Executive branch during the rulemaking process, such as with
DHS, OMB, or other Federal agencies, as part of internal government
review, to ensure consistency in Federal government policy, and to
consult with other agencies with expertise in the subject of the rule
or that may be affected by the rule. These communications are
considered ``internal'' as they are contained within the Federal
Executive branch. The disclosure requirements of this section are not
intended to apply to such internal communications.
FEMA proposes to revise this section to cover communications from
the time a notice of proposed rulemaking is published until FEMA issues
a final regulatory action (such as a withdrawal of the notice of
proposed rulemaking or a final rule). Under the current regulation,
communication is only restricted during the open public comment period,
which tends to defeat the purpose of transparency in development of the
regulatory action, since once the comment period closes, ex parte
communications can occur while the next regulatory action is being
developed. To ensure transparency for the entire development of the
rule from publication of the notice of proposed rulemaking until
issuance of a final action, FEMA proposes to revise the applicability
of its ex parte regulation to also cover the time between the close of
a proposed rule comment period and the issuance of a final action.
FEMA proposes to remove the introductory language of this section,
which states that the section applies to rulemaking proceedings
governed by the procedural requirements of 5 U.S.C. 553 (i.e., informal
rulemaking). The purpose section of part 1 already limits the scope of
part 1 to informal rulemaking so this introductory language to section
1.6 is unnecessary.
FEMA proposes to add a provision noting that the ex parte
restrictions do not apply to Tribal consultations. Executive Order
13175, Consultation and Coordination with Indian Tribal
Governments,\10\ and Presidential Memorandum of November 9, 2009,
Tribal Consultation,\11\ require Federal agencies to consult with
Tribes on actions that have Tribal implications. In order to facilitate
and support these communications, FEMA encourages Tribal consultation
early in the rule development process and does not impose ex parte
restrictions on such consultations.
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\10\ 65 FR 67249 (Nov. 9, 2000).
\11\ https://obamawhitehouse.archives.gov/the-press-office/memorandum-tribal-consultation-signed-president; see also FEMA's
Tribal Consultation Policy, FP101-002.01, included in the docket for
this rulemaking on www.regulations.gov and on FEMA's Web site at
https://www.fema.gov/media-library/assets/documents/98120.
_____________________________________-
Section 1.7 Regulations Agenda
Section 1.7 contains outdated requirements that were part of the
now-rescinded Executive Order 12291 regarding the government-wide
regulations agenda. Current Executive Order 12866 also contains
requirements that agencies must follow for the regulations agenda, as
does the Regulatory Flexibility Act. FEMA proposes to remove these
requirements, as OMB publishes the agenda on its Web site, which any
member of the public may view at www.reginfo.gov, and because of
Executive Order 12291's rescission.
Section 1.8 Regulations Review
Section 1.8 describes FEMA's intent to publish in the Federal
Register, and keep updated, a plan for periodic review of existing
rules at least within 10 years from the date of publication of a final
rule. FEMA proposes to remove this section from part 1, as the process
for review of existing rules has changed. President Trump recently
issued Executive Order 13777, ``Enforcing the Regulatory Reform
Agenda,'' which outlines specific requirements related to retrospective
review.\12\ And past executive orders, such as Executive Order 13563,
``Improving Regulation and Regulatory Review,'' include certain
retrospective review requirements as well.\13\ FEMA has actively
participated in such reviews, and will continue to do so.
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\12\ 82 FR 12285 (Mar. 1, 2017).
\13\ 76 FR 3821 (Jan. 21, 2011).
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Section 1.9 Regulatory Impact Analysis
Section 1.9 lists the regulatory impact analysis requirements that
were part of the now-rescinded Executive Order 12291. These
requirements have been replaced by a series of executive orders and OMB
Circular A-4, ``Regulatory Analysis.'' A copy of the circular is
included in the docket for this rulemaking. FEMA must follow these
guidelines when preparing a regulatory impact analysis for its rules.
As these guidelines apply to the agency rather than the public, it is
not necessary to include them in the CFR. Therefore, FEMA proposes to
remove section 1.9 from its regulations rather than updating it with
the new guidelines.
Section 1.10 Initiation of Rulemaking
This section addresses the process for initiating a rulemaking at
FEMA, both internally by the Administrator of FEMA and externally via a
petition for rulemaking. FEMA's process for initiating a rule is an
internal agency matter, and the ultimate authority for initiating a
rule resides with the Administrator. Thus, FEMA proposes to remove
reference to the internal process for initiating a rule from its
regulations. Initiation of a rule via a petition for rulemaking is
addressed in a separate section (current section 1.18, which is
renumbered as section 1.8 in this proposed rule). Therefore, as
petitions for rulemaking are fully addressed in a separate section,
FEMA proposes to remove section 1.10 in its entirety from the
regulations.
Section 1.11 Advance Notice of Proposed Rulemaking
Section 1.11 lists the requirements for the contents of an advance
notice of proposed rulemaking (ANPRM), a regulatory action that
typically takes place to gather information for a possible future
notice of proposed rulemaking. These ANPRM requirements are part of
FEMA's internal procedures and controls for its regulatory actions;
FEMA proposes to remove them from the CFR.
Section 1.12 Notice of Proposed Rulemaking
Section 1.12 lists the requirements for the contents of a notice of
proposed rulemaking, a regulatory action that notifies the public of
various information, including but not limited to, the substance or
terms of the proposed rule or a description of the subject matter and
issues involved and a reference to the legal authority under which the
proposed rule is issued. These elements are already required by
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statute; FEMA, therefore, proposes to remove them from the CFR.
Section 1.12 also states that it is desirable that the proposed
rule contain a target deadline for issuance of the regulation, and that
to the extent feasible, this deadline be met. FEMA proposes to remove
this provision because such a target, announced in a proposed rule,
would too frequently be unduly speculative. For instance, FEMA does not
presume that each proposed rule will result in a final rule.
The final provision of section 1.12 states that if the proposed
rule is one which contains a requirement for a collection of
information, a copy of the rule will be furnished to OMB in accordance
with the Paperwork Reduction Act. Under internal Federal government
procedure, FEMA is required to submit all information collections,
whether included with a rule or not, to OMB, via DHS. A regulation is
not necessary for this function, and therefore FEMA proposes to remove
it from the CFR.
Section 1.13 Participation by Interested Persons
Section 1.13 states that any interested person may participate in
rulemaking proceedings by submitting written data, views, or arguments
within the comment time stated in the notice. This is a requirement of
the Administrative Procedure Act and FEMA includes it in all of its
rulemaking notices for proposed rules and advance notices of proposed
rulemakings. As it is not necessary to include in regulation, FEMA
proposes to remove it from the CFR.
Section 1.13 includes a provision stating that the Administrator
may permit the filing of comments in response to original comments.
FEMA proposes to remove this provision because it is unnecessary to
include in the CFR.
Section 1.13 also states that the Administrator may provide for
oral presentation of views in additional proceedings; this is also
addressed in section 1.14. FEMA proposes to remove these provisions
from the CFR. FEMA's policy for providing for public hearings is
addressed in FEMA's notices of proposed rulemaking.
The last provision of section 1.13 states that FEMA will send
copies of regulatory flexibility analyses to the Chief Counsel for
Advocacy of the Small Business Administration. As this provision is
regarding internal agency procedure and does not affect the public,
FEMA proposes to remove it from the regulation.
Section 1.14 Additional Rulemaking Proceedings
Section 1.14 states that the Administrator may invite interested
persons to present oral arguments, appear at informal hearings, or
participate in any other procedure affording opportunity for oral
presentation of views. FEMA's current policy is to include in each
notice of proposed rulemaking, as appropriate, a statement noting that
any member of the public may submit a request for a public meeting. If
a hearing is held, FEMA will publish notice of such in the Federal
Register. This provision is not necessary to include in the CFR.
Therefore, FEMA proposes to remove it.
FEMA proposes to retain the provision indicating that FEMA will
keep a transcript or minutes of any hearing, but proposes to move it to
the section on hearings (currently section 1.15; renumbered as section
1.7 in the proposed rule). Note that FEMA considers any oral
presentation a hearing; any oral presentation would fall under the
provision addressing hearings (discussed below).
Section 1.15 Hearings
Section 1.15 addresses the nature of public hearings should FEMA
hold one for a particular rulemaking. Any such public hearing is
nonadversarial and for fact-finding only. FEMA proposes to remove the
provision stating that formal rulemaking hearing procedures do not
apply, since section 1.1 already limits the scope of part 1 to informal
rulemaking.
Section 1.16 Adoption of a Final Rule
Section 1.16 addresses FEMA's procedure for issuing a final rule.
Paragraph (a) states that FEMA must address any relevant significant
issues set forth in comments received on the proposed rule. Paragraph
(a) also requires the final rule to include a clear concise statement
of the basis and purpose of the rule. These are Administrative
Procedure Act requirements placed on agencies rather than the public
and therefore FEMA proposes to remove these from the regulation.
Paragraph (b) lists other information that FEMA may include in a
final rule preamble. The information is similar to information covered
by Administrative Committee of the Federal Register regulations at 1
CFR 18.12. There is no need to reiterate this list in FEMA's
regulations. Therefore FEMA proposes to remove paragraph (b) from part
1.
Paragraph (c) states that a statement shall be published at the
time of publication of a final rule describing how the public may
obtain copies of the final regulatory flexibility analysis. FEMA
proposes to remove this provision because it is not necessary; FEMA
automatically posts such analyses on www.regulations.gov for public
viewing.
Paragraph (d)(1) states that before approving any final major rule,
FEMA will make a determination that the regulation is clearly within
the authority delegated by law and consistent with congressional intent
and include in the Federal Register at the time of promulgation a
memorandum of law supporting that determination. FEMA proposes to
remove this provision because it no longer reflects FEMA practice. FEMA
includes the legal authority for the rule in the rulemaking document,
and this is also a requirement of the Federal Register (each rulemaking
must include an ``authority citation''). Although FEMA internally makes
a legal determination that the regulation is within FEMA's legal
authorities, FEMA does not include in the Federal Register a memorandum
of law supporting that determination.
Paragraph (d)(2) states that FEMA must make a determination that
the factual conclusions upon which the rule is based have substantial
support in the agency record, viewed as a whole, with full attention to
public comments in general and the comments of persons directly
affected by the rule in particular. FEMA proposes to remove this
provision.
Section 1.17 Petitions for Reconsideration
Section 1.17 states that FEMA will not consider petitions for
reconsideration of a final rule, and that such petitions will be
treated as petitions for rulemaking. This remains FEMA's policy, and
FEMA proposes no revisions to this section, other than to revise the
reference to section 1.18, which would become section 1.9 if this
proposed rule is finalized.
Section 1.18 Petitions for Rulemaking
Section 1.18 addresses petitions for rulemaking. It states that any
interested person may petition the Administrator for the issuance,
amendment, or repeal of a rule, and for purposes of this section, the
term ``person'' includes a ``Federal, State, or local government or
government agency.'' FEMA proposes to revise the definition of
``person'' to include ``any member of the public and any entity outside
the Federal Executive branch.'' FEMA considers any ``petitions'' from
entities of the Federal
[[Page 26416]]
Executive branch as internal to the government and not subject to the
same requirements as petitions from the public. There is communication
amongst Federal Executive branch agencies on a regular basis and any
need for a rule would be raised through those channels. This is not a
change from the current intent of this section, but FEMA is proposing
this new language for the sake of clarity.
This section states that petitions should be submitted to the
``Rules Docket Clerk.'' As FEMA no longer has a ``Rules Docket Clerk,''
FEMA proposes to change this to the ``Regulatory Affairs Division,''
which is the division responsible for processing any petitions to FEMA
for rulemaking. FEMA also proposes to require that petitions for
rulemaking be labeled as such, to avoid situations where simple
correspondence is confused with a petition.
Authority Citation
FEMA proposes to revise the authority citation for part 1 by
removing the reference to rescinded Executive Order 12291, as well as
the references to the Reorganization Plan No. 3 of 1978, Executive
Order 12127, and Executive Order 12148. The Reorganization Plan and
Executive Orders 12127 and 12148 established FEMA as an agency in 1979
and established its functions. FEMA proposes to replace these cites
with a citation to the Homeland Security Act of 2002, 6 U.S.C. 101 et
seq., which provided organic authority for FEMA and made it a component
of the Department of Homeland Security, and Department of Homeland
Security Delegation 9001.1, which delegated specific functions back to
FEMA.
FEMA also proposes to remove the citation to the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) because references to that Act
would no longer be included in part 1 if the proposed rule is
finalized.
FEMA proposes to retain the citations to the informal rulemaking
provisions of the Administrative Procedure Act (5 U.S.C. 551 and 553)
as these are the main authorities for this part.
Change Chart
The following chart lists the current section and how it is
affected by the proposed rule:
------------------------------------------------------------------------
Current section Proposed rule
------------------------------------------------------------------------
1.1 Purpose
1.1(a)................................ 1.1(a).
1.1(b)................................ Removed.
1.1(c)................................ Removed.
1.1(d)................................ Removed.
1.1(e)................................ Removed.
1.2 Definitions
1.2(a)................................ 1.2(a).
1.2(b)................................ 1.2(b).
1.2(c)................................ 1.2(c).
1.2(d)................................ 1.2(d).
1.2(e)................................ Removed.
1.3 Scope ............................
1.3(a)................................ 1.1(a).
1.3(b)................................ Removed.
1.3(c)................................ 1.1(b).
1.4 Policy and Procedures................. Removed, except 1.4(b) moved
to 1.3.
1.5 Rules docket.
1.5(a)................................ 1.4(a) & 1.5.
1.5(b)................................ 1.4(b).
1.6 Ex parte communications ............................
1.6 Introductory language............. Removed.
1.6(a)................................ 1.6(a).
1.5(b)................................ 1.6(b).
1.7 Regulations agendas................... Removed.
1.8 Regulations review.................... Removed.
1.9 Regulatory impact analyses............ Removed.
1.10 Initiation of rulemaking ............................
1.10.................................. 1.8/partially removed.
1.11 Advance notice of proposed rulemaking Removed.
1.12 Notice of proposed rulemaking........ Removed.
1.13 Participation by interested persons.. Removed.
1.14 Additional rulemaking proceedings.... 1.7(c)/partially removed.
1.15 Hearings.
1.15 (a).............................. 1.7(a)/partially removed.
1.15(b)............................... 1.7(b).
1.16 Adoption of a final rule............. Removed.
1.17 Petitions for reconsideration........ 1.9.
1.18 Petitions for rulemaking............. 1.8.
------------------------------------------------------------------------
IV. Regulatory Analyses
Executive Orders 12866, 13563, and 13771
Executive Orders 12866 (``Regulatory Planning and Review'') and
13563 (``Improving Regulation and Regulatory Review'') direct agencies
to assess the costs and benefits of available regulatory alternatives
and, if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public health and safety effects, distributive impacts, and equity).
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits, of reducing costs, of harmonizing rules, and of
promoting flexibility. Executive Order 13771 (``Reducing Regulation and
Controlling Regulatory Costs'') directs agencies to reduce regulation
and control regulatory costs and provides that ``for every one new
regulation issued, at least two prior regulations be identified for
elimination, and that the cost of planned regulations be prudently
managed and controlled through a budgeting process.''
The Office of Management and Budget (OMB) has not designated this
rule a significant regulatory action under section 3(f) of Executive
Order 12866. Accordingly, OMB has not reviewed it. As this rule is not
a significant regulatory action, this rule is exempt from the
requirements of Executive Order 13771. See OMB's Memorandum ``Guidance
Implementing Executive Order 13771, Titled `Reducing Regulation and
Controlling Regulatory Costs' '' (April 5, 2017).
This proposed rule would revise FEMA regulations pertaining to
rulemaking by removing sections that are outdated or do not affect the
public and update provisions that affect the public's participation in
the rulemaking process. FEMA does not believe this rule imposes
additional direct costs on the public or government.
Regulatory Flexibility Act
Under the Regulatory Flexibility Act (RFA), as amended, 5 U.S.C.
601-612, agencies must consider the impact of their rulemakings on
``small entities'' (small businesses, small organizations and local
governments). When the Administrative Procedure Act requires an agency
to publish a notice of proposed rulemaking under 5 U.S.C. 553, the RFA
requires a regulatory flexibility analysis for both the proposed rule
and the final rule if the rulemaking could ``have a significant
economic impact on a substantial number of small entities.'' The RFA
also provides that in lieu of a regulatory flexibility analysis, the
agency may certify in the rulemaking document that the rulemaking will
not ``have a significant economic impact on a substantial number of
small entities'' along with a statement providing the factual basis for
such certification. FEMA has voluntarily published a notice of proposed
rulemaking in this case, notwithstanding that this rule is a rule of
agency organization, procedure, or practice exempt from notice-and-
comment rulemaking requirements. See 5 U.S.C. 553(b)(A).
This proposed rule would revise FEMA regulations pertaining to
rulemaking by removing sections that are outdated or do not affect the
public and update provisions that affect the public's participation in
the rulemaking process. This rule does not impose direct costs on small
entities. Accordingly, and although FEMA is not required to make such
certification, pursuant to section 605(b) of the RFA, 5 U.S.C. 605(b),
the Administrator of FEMA certifies that this rule will not, if
promulgated, have a significant
[[Page 26417]]
economic impact on a substantial number of small entities.
Unfunded Mandates Reform Act of 1995
The Unfunded Mandates Reform Act of 1995, 2 U.S.C. 658, 1501-1504,
1531-1536, 1571, pertains to any notice of proposed rulemaking which
implements any rule that includes a Federal mandate that may result in
the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector, of $100 million or more in any one
year. If the rulemaking includes a Federal mandate, the Act requires an
agency to prepare an assessment of the anticipated costs and benefits
of the Federal mandate. The Act also pertains to any regulatory
requirements that might significantly or uniquely affect small
governments. Before establishing any such requirements, an agency must
develop a plan allowing for input from the affected governments
regarding the requirements.
FEMA has determined that this rule will not result in the
expenditure by State, local, and tribal governments, in the aggregate,
nor by the private sector, of $100,000,000 or more in any one year as a
result of a Federal mandate, and it will not significantly or uniquely
affect small governments. Therefore, no actions are deemed necessary
under the provisions of the Unfunded Mandates Reform Act of 1995.
Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995 (PRA), as amended, 44
U.S.C. 3501-3520, an agency may not conduct or sponsor, and a person is
not required to respond to, a collection of information unless the
agency obtains approval from OMB for the collection and the collection
displays a valid OMB control number. See 44 U.S.C. 3506, 3507. FEMA has
determined that this rulemaking does not contain any collections of
information as defined by that Act. PRA regulations exempt general
solicitations of comments from the public such as rulemakings. See 5
CFR 1320.3(h)(4).
Privacy Act/E-Government Act
Under the Privacy Act of 1974, 5 U.S.C. 552a, an agency must
determine whether implementation of a proposed regulation will result
in a system of records. A ``record'' is any item, collection, or
grouping of information about an individual that is maintained by an
agency, including, but not limited to, his/her education, financial
transactions, medical history, and criminal or employment history and
that contains his/her name, or the identifying number, symbol, or other
identifying particular assigned to the individual, such as a finger or
voice print or a photograph. See 5 U.S.C. 552a(a)(4). A ``system of
records'' is a group of records under the control of an agency from
which information is retrieved by the name of the individual or by some
identifying number, symbol, or other identifying particular assigned to
the individual. An agency cannot disclose any record which is contained
in a system of records except by following specific procedures.
The E-Government Act of 2002, 44 U.S.C. 3501 note, also requires
specific procedures when an agency takes action to develop or procure
information technology that collects, maintains, or disseminates
information that is in an identifiable form. This Act also applies when
an agency initiates a new collection of information that will be
collected, maintained, or disseminated using information technology if
it includes any information in an identifiable form permitting the
physical or online contacting of a specific individual.
This proposed rule does not create a new, nor impact a current,
system of record. Therefore, this proposed rule does not require
coverage under an existing or new Privacy Impact Assessment or System
of Records Notice. Any member of the public or any non-Federal entity
may submit comments on a rulemaking; all comments are posted on
www.regulations.gov, and that Web site, as well as each FEMA rulemaking
document requesting comments, includes a Privacy Notice informing the
commenter that any comments will be posted for public viewing.
Executive Order 13175, Consultation and Coordination With Indian Tribal
Governments
Executive Order 13175, ``Consultation and Coordination with Indian
Tribal Governments,'' 65 FR 67249, November 9, 2000, applies to agency
regulations that have Tribal implications, that is, regulations that
have substantial direct effects on one or more Indian tribes, on the
relationship between the Federal Government and Indian Tribes, or on
the distribution of power and responsibilities between the Federal
Government and Indian Tribes. Under this Executive Order, to the extent
practicable and permitted by law, no agency shall promulgate any
regulation that has Tribal implications, that imposes substantial
direct compliance costs on Indian Tribal governments, and that is not
required by statute, unless funds necessary to pay the direct costs
incurred by the Indian Tribal government or the Tribe in complying with
the regulation are provided by the Federal Government, or the agency
consults with Tribal officials.
This rule does not have Tribal implications. Any member of the
public and any non-Federal entity, including Tribes and Tribal members,
may participate in Federal rulemaking as outlined in this proposed
rule, and it is FEMA's policy that ex parte restrictions in rulemaking
do not apply to Tribal consultations.
Executive Order 13132, Federalism
Executive Order 13132, ``Federalism,'' 64 FR 43255, August 10,
1999, sets forth principles and criteria that agencies must adhere to
in formulating and implementing policies that have federalism
implications, that is, regulations that have ``substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.'' Federal
agencies must closely examine the statutory authority supporting any
action that would limit the policymaking discretion of the States, and
to the extent practicable, must consult with State and local officials
before implementing any such action.
FEMA has reviewed this proposed rule under Executive Order 13132
and has determined that this rule does not have substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government, and therefore
does not have federalism implications as defined by the Executive
Order. It addresses agency procedures for rulemaking that affect the
public; such rulemaking is a Federal process and does not affect State
rulemaking processes.
Congressional Review of Agency Rulemaking
Under the Congressional Review of Agency Rulemaking Act (CRA), 5
U.S.C. 801-808, before a rule can take effect, the Federal agency
promulgating the rule must submit to Congress and to the Government
Accountability Office (GAO) a copy of the rule; a concise general
statement relating to the rule, including whether it is a major rule;
the proposed effective date of the rule; a copy of any cost-benefit
analysis; descriptions of the agency's actions under the Regulatory
Flexibility Act and the Unfunded Mandates Reform Act;
[[Page 26418]]
and any other information or statements required by relevant executive
orders.
FEMA will send this rule to the Congress and to GAO pursuant to the
CRA if the rule is finalized. The rule is not a ``major rule'' within
the meaning of the CRA. It will not have an annual effect on the
economy of $100,000,000 or more; it will not result in a major increase
in costs or prices for consumers, individual industries, Federal,
State, or local government agencies, or geographic regions; and it will
not have significant adverse effects on competition, employment,
investment, productivity, innovation, or on the ability of United
States-based enterprises to compete with foreign-based enterprises in
domestic and export markets.
List of Subjects in 44 CFR Part 1
Administrative practice and procedure.
0
For the reasons discussed in the preamble, the Federal Emergency
Management Agency proposes to revise 44 CFR part 1 as follows:
PART 1--RULEMAKING, POLICY AND PROCEDURES
Sec.
1.1 Purpose and scope.
1.2 Definitions.
1.3 Regulatory policy.
1.4 Public rulemaking docket.
1.5 Public comments.
1.6 Ex parte communications.
1.7 Hearings.
1.8 Petitions for rulemaking.
1.9 Petitions for reconsideration.
Authority: 5 U.S.C. 551, 553; 6 U.S.C. 101 et seq.; Department
of Homeland Security Delegation 9001.1.
Sec. 1.1 Purpose and scope.
(a) This part contains FEMA's procedures for informal rulemaking
under the Administrative Procedure Act (5 U.S.C. 553) that affect the
public.
(b) This part does not apply to rules issued in accordance with the
formal rulemaking provisions of the Administrative Procedure Act (5
U.S.C. 556, 557).
Sec. 1.2 Definitions.
(a) Rule or regulation have the same meaning as those terms are
defined in the Administrative Procedure Act (5 U.S.C. 551(4)).
(b) Rulemaking means the FEMA process for considering and
formulating the issuance, amendment, or repeal of a rule.
(c) Administrator means the Administrator, FEMA, or an official to
whom the Administrator has expressly delegated authority to issue
rules.
(d) FEMA means Federal Emergency Management Agency.
Sec. 1.3 Regulatory policy.
(a) It is the general policy of FEMA to provide for public
participation in rulemaking regarding its programs and functions,
including matters that relate to public property, loans, grants, or
benefits, or contracts, even though these matters are not subject to a
requirement for notice and public comment rulemaking by law. This
general policy is not intended to and does not create a right or
benefit, substantive or procedural, enforceable against the United
States or its agencies or officers.
(b) FEMA may depart from this general policy in its absolute
discretion, including for its annual grant programs and in other cases
as circumstances warrant.
Sec. 1.4 Public rulemaking docket.
(a) FEMA maintains a public docket for each rulemaking after it is
published in the Federal Register and until the rulemaking is closed
and archived at the National Archives and Records Administration. The
public docket includes every document published in the Federal Register
in conjunction with a rulemaking. It also includes regulatory
assessments and analyses, written comments from the public addressed to
the merits of a proposed rule, comments from the public received in
response to notices, or to withdrawals or terminations of a proposed
rulemaking, requests for a public meeting, requests for extension of
time, petitions for rulemaking, grants or denials of petitions or
requests, and transcripts or minutes of informal hearings. The public
rulemaking docket is maintained by the Regulatory Affairs Division,
Office of Chief Counsel.
(b) After FEMA establishes a public rulemaking docket, any person
may examine docketed material during established business hours by
prearrangement with the Regulatory Affairs Division, Office of Chief
Counsel, FEMA, 500 C St. SW., Washington, DC 20472, and may obtain a
copy of any docketed material (except for copyrighted material). FEMA
also maintains a copy of each public docket electronically, with the
exception of copyrighted material, on www.regulations.gov. To access
the docket on www.regulations.gov, search for the docket ID associated
with the rulemaking.
(c) The docket for flood hazard elevation rules issued by the
National Flood Insurance Program are partially maintained at the
locality that is the subject of the rule. FEMA includes in the preamble
of each flood hazard elevation rule the repository address for
supporting material.
Sec. 1.5 Public comments.
A member of the public may submit comments via mail or courier to
the Regulatory Affairs Division, Office of Chief Counsel, Federal
Emergency Management Agency, 500 C St. SW., Washington, DC 20472, or
may submit comments electronically to the rulemaking docket at
www.regulations.gov under the applicable docket ID.
Sec. 1.6 Ex parte communications.
(a) All oral or written communications from outside the Federal
Executive branch of significant information and argument respecting the
merits of a rulemaking document, received after publication of a notice
of proposed rulemaking, by FEMA or its offices and divisions or their
personnel participating in the decision, must be summarized in writing
and placed promptly in the public docket. This applies until the agency
publishes a final regulatory action such as a withdrawal of the notice
of proposed rulemaking or a final rule.
(b) FEMA may conclude that restrictions on ex parte communications
are necessitated at other times by considerations of fairness or for
other reasons.
(c) This section does not apply to Tribal consultations.
Sec. 1.7 Hearings.
(a) When FEMA affords an opportunity for oral presentation, the
hearing is an informal, nonadversarial, fact-finding proceeding. Any
rulemaking issued in a proceeding under this part in which a hearing is
held need not be based exclusively on the record of such hearing.
(b) When such a hearing is provided, the Administrator will
designate a representative to conduct the hearing.
(c) The transcript or minutes of the hearing will be kept and filed
in the public rulemaking docket.
Sec. 1.8 Petitions for rulemaking.
(a) Any interested person may petition the Administrator for the
issuance, amendment, or repeal of a rule. For purposes of this section,
the term person includes any member of the public and any entity
outside the Federal Executive branch of government. Each petitioner
must:
(1) Submit the petition to the Regulatory Affairs Division, Office
of Chief Counsel, FEMA, 8NE, 500 C Street SW., Washington, DC 20472;
[[Page 26419]]
(2) Label the petition with the following: ``Petition for
Rulemaking'' or ``Rulemaking Petition'';
(3) Set forth the substance of the rule or amendment proposed or
specify the rule sought to be repealed or amended;
(4) Explain the interest of the petitioner in support of the action
sought; and
(5) Set forth all data and arguments available to the petitioner in
support of the action sought.
(b) No public procedures will be held directly on the petition
before its disposition. If the Administrator finds that the petition
contains adequate justification, a rulemaking proceeding will be
initiated or a final rule will be issued as appropriate. If the
Administrator finds that the petition does not contain adequate
justification, the petition will be denied by letter or other notice,
with a brief statement of the ground for denial.
The Administrator may consider new evidence at any time; however,
FEMA will not consider repetitious petitions for rulemaking.
Sec. 1.9 Petitions for reconsideration.
Petitions for reconsideration of a final rule will not be
considered. Such petitions, if filed, will be treated as petitions for
rulemaking in accordance with Sec. 1.8 of this part.
Dated: May 30, 2017.
Robert Fenton,
Senior Official Performing the Duties of the Administrator, Federal
Emergency Management Agency.
[FR Doc. 2017-11559 Filed 6-6-17; 8:45 am]
BILLING CODE 9111-19-P