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PUBLISHING DOCUMENTS IN THE FEDERAL REGISTER

DAO 205-11: PUBLISHING DOCUMENTS IN THE FEDERAL REGISTER
Number: DAO 205-11
Effective Date: 1980-12-03

SECTION 1. PURPOSE.

.01 This Order identifies requirements, establishes responsibilities, and prescribes procedures for the preparation and submission of documents for publication in the Federal Register.

.02 This revision reflects a general update of procedures and responsibilities, and also incorporates outstanding amendments to the Order.

SECTION 2. DEFINITIONS.

.01 The following definitions from 1 CFR 1.1 shall apply in this order:

a. Document includes any Presidential proclamation or Executive order, and any rule, regulation, order, certificate, code of fair compensation, license, notice, or similar instrument issued, prescribed, or promulgated by any agency.

b. Document having general applicability and legal effect means any document issued under proper authority prescribing a penalty or course of conduct, conferring a right, privilege, authority, or immunity, or imposing an obligation, and relevant or applicable to the general public, members of a class, or persons in a locality, as distinguished from named individuals or organizations.

.02 The term "originating office" as used in this Order includes any organizational entity within the Department which is involved in the preparation of documents (as defined above) that ate, or may be, subject to publication in the Federal Register.

SECTION 3. PUBLICATION REQUIREMENTS.

.01 Mandatory. As prescribed in 1 CFR 5.2, they are:

a. Executive orders, proclamations, and other documents submitted by the President;

b. Each document or class of documents required to be published by an Act of Congress, e.g., 5 U.S.C. 552(a)(1); and

c. Each document having general applicability and legal effect (as defined in subparagraph 2.01b. of this Order).

.02 Authorized. As provided in 1 CFR 5.3, whenever the Director of the Federal Register considers the publication of any document not covered by 1 CFR 5.2 to be in the public interest, the Director may permit it to be filed wit the Office of the Federal Register and published in the Federal Register.

.03 Unauthorized. As prescribed in 1 CFR 5.4, they are:

a. Treaties, conventions, protocols, or other international agreements, or proclamations thereof by the President;

b. Comments or news items; and

c. Any document which is not an official action of the agency concerned.

SECTION 4. RESPONSIBILITIES.

.01 The Assistant Secretary for Administration shall be responsible for the overall management and coordination of Office of the Federal Register matters relating to the Department, which shall include:

a. Representing the Office of the Secretary in carrying out the liaison duties prescribed in 1 CFR 16.2, and ensuring that such liaison exists and is effective for all affected units of the Department (see Section 8. of this Order).

b. Submitting to the Office of the Federal Register for publication all Department Organization Orders, and those Department Administrative Orders that should be published.

.02 Except for those documents specified in .01b., above, the head of each originating office (see paragraph 2.02 of this Order) shall be responsible for submitting to the Office of the Federal Register for publication documents concerning that office.

.03 Each originating office shall establish procedures and controls necessary to ensure that the preparation and transmittal of documents to the Office of the Federal Register is in accord with Part 18 Title 1 CFR, and the provisions of this Order.

SECTION 5. PROCEDURES.

.01 Document Preparation. Documents to be submitted for publication in the Federal Register shall be prepared in the style and format set forth in:

a. Parts 18, 21, and 22, as applicable, of Title 1 CFR. (Note: 1 CFR provides extensive guidance on all aspects of publishing in the Federal Register, and it should be available in all originating offices publishing in the Federal Register.)

b. Instructions contained in the Federal Register Document Drafting Handbook. (Copies of the Handbook have been made available to each administrative office and, where one exists, to the legal office of each operating unit. The Departmental Office of Organization and Management Systems (OOMS) maintains additional copies.)

c. If the document to be published is:

-- lengthy (50 or more typewritten pages), or

-- separate publication by the Government Printing Office (GPO) is envisioned, or

-- it represents the first in a new series to be published periodically in the future, prior consultation with the Office of the Federal Register will facilitate scheduling for its publication, and may also reduce the cost of publication. The Departmental Office of Publications (OPUB) should be consulted for further guidance and assistance.

d. Any document which implements or affects a program described in the Catalog of Federal Domestic Assistance, which is prepared by OMB, shall include the following information (in accord with 45 FR 34092, May 21, 1980):

1. The official program number and title, as defined in OMB Circular A-89; and

2. A statement as to the applicability of OMB Circular A-95 with regard to State and local clearinghouse review of Federal and Federally-assisted programs and projects.

.02 Submitting Documents to the Office of the Federal Register for Publication. Originating offices shall use the following procedures:

a. The official authorized to issue the document shall sign it directly above his/her typewritten name and title.

b. In accordance with GPO requirements (P.L. 95-94), no document shall be submitted for publication unless it has a billing code specifically assigned to the particular originating office (see d., below). Appendix A to this Order is a listing of currently authorized billing codes. (See Amendment 1, dated May 22, 1981 for Appendix A)

c. The OPUB shall be responsible for the assignment of billing codes and for administration of the billing code system within the Department. Each originating office is responsible for contacting OPUB if a billing code has not been assigned, and for providing information required for the renewal of the assigned billing code each fiscal year, as requested by OPUB.

d. The appropriate billing code, as explained in b., above, shall appear in the upper right hand corner of the first page of the original and all copies of documents submitted for publication.

e. If a document is printed or processed on one side only, the originating office may send either:

1. An original and two copies, each signed separately in ink, or

2. An original and two certified copies (see Section 7. of this Order).

f. If a document is printed or processed on both sides, the originating office may sent either:

1. An original and three copies, each signed separately in ink, or

2. An original and three certified copies (see Section 7. of this Order).

g. Prior to submission, legal clearance of documents shall be obtained from the affected legal office or, if no such office exists, from the Office of the General Counsel. A non-certified copy of each document shall be provided for the files of the clearing legal office.

h. The original and appropriate number of copies shall be sent to the Director, Office of the Federal Register by a transmittal memorandum, which is normally signed by the administrative officer of the originating office.

SECTION 6. PLAIN ENGLISH.

.01 It is the policy of the Department that all documents published in the Federal Register be designed to be understandable to those affected by them and be written as simply and clearly as possible.

.02 The head of each operating unit and the Director, OOMS, for other components of the Department, shall designate an employee or employees who shall review each document to be published in the Federal Register to ensure that it is written as clearly and simply as possible and is designed to be understandable to those affected by it. Heads of operating units will provide the Director, OOMS, with a list of employees they have designated and promptly notify the Director of changes.

.03 No document will be published in the Federal Register until it is cleared by an employee, described in paragraph .02 above.

.04 Exceptions to paragraph .03, above, may be granted only by the head of the operating unit or the Assistant Secretary for Administration. Exceptions shall be in writing and explain why the exception is necessary. Copies of all exceptions will be provided to the Director, OOMS.

SECTION 7. CERTIFYING OFFICERS.

.01 The head of each originating office (see paragraph 2.02 of this Order) submitting documents to the Office of the Federal Register for publication shall designate a certifying officer(s) to perform the task, as prescribed in 1 CFR 18.6 and 18.7, of certifying by his/her signature that copies of documents are true and complete reproductions of the originals. The document certification shall appear on the signature page in the format shown below:

Certified to be a true

Copy of the original

(signature line)

Certifying Officer

(Name of organization)

Department of Commerce

.02 Whenever new certifying officers are designated, or whenever there are changes in existing designations, e.g., telephone numbers, locations, etc., the affected originating office shall promptly notify the Director, Office of the Federal Register in writing (with a copy to OOMS), as prescribed in 1 CFR 16.1(c). Such notifications shall include the name, title, location, and telephone number of all personnel designated as certifying officers.

.03 The designation, covered in paragraph .01, above, is solely for the purpose of certifying documents submitted to the Office of the Federal Register for publication. Delegation of authority to act as certifying officer for all other purposes is covered in DAO 201-17.

SECTION 8. LIAISON OFFICERS.

.01 As prescribed in 1 CFR 16.1(a)(1), originating offices (see paragraph 2.02 of this Order) shall designate a liaison officer(s) and an alternate liaison officer(s) to perform the duties required by 1 CFR 16.2, which are to:

a. Represent the originating office in matters relating to the submission of documents to the Office of the Federal Register;

b. Be responsible for the effective distribution and use of Office of the Federal Register information on document drafting and publication assistance; and

c. Promote participation in instructional programs conducted by the Office of the Federal Register.

.02 Whenever new liaison officers are designated, or there are changes in existing designations, the affected originating office shall promptly notify the Director, Office of the Federal Register in writing (with a copy to OOMS). Such notifications shall include the name, title, location, and telephone number of each employee designated as a liaison officer or alternate.

.03 Some originating offices have, due to the diversity of documents and the number of units producing them for publication, designated several liaison officers and alternates. In this case, consideration should be given to designating a single liaison officer and alternate to serve as the initial receipt point for all incoming inquiries from the Office of the Federal Register -- the liaison officer would either respond personally to an inquiry, or direct it to the knowledgeable employee. Operating in this manner may expedite the response to inquiries, and reduce the time required for publishing documents in the Federal Register.

SECTION 9. DISTRIBUTION OF THE FEDERAL REGISTER.

The Federal Register will be furnished without charge to officers or organizations of the Department that have an official need for separate copies. Secretarial Officers, and heads of operating units and Departmental offices, or their respective designees, shall furnish to and maintain with the Internal Distribution Branch, Departmental Office of Administrative Services (OAS), a current list of the officials and organizations (and their mailing addresses) that are to receive the Federal Register, the code of Federal Regulations, and Weekly Compendium of Presidential Documents. OAS shall provide the Office of the Federal Register with a consolidated list of Commerce's requirements and shall otherwise perform the "authorizing duties" prescribed in 1 CFR 16.4.

SECTION 10. USE OF THE FEDERAL REGISTER AND OTHER MEDIA.

Executive agency use of the Federal Register has grown considerably in recent years, and there has also been an appreciable growth in the circulation of the Register. Nevertheless, it is not a well known or popular periodical in the general sense, and Department officials should not assume that a notice published only in the Federal Register will come to the attention of those likely to be interested in it.

Therefore, in keeping with its commitment to the concept of openness in government, and with the principles of the Freedom of Information Act, it is Department policy to seek out the employ other channels of communication, as appropriate, in addition to the Federal Register. This is especially desirable in connection with notices and proposed rules which solicit either public response or participation in program projects or seminars. In such instances, other channels might include press releases, professional journals, industrial publications, and the conferences, meetings, and newsletters and professional, commercial, or public interest associations.

SECTION 11. EFFECT ON OTHER ORDERS AND FURTHER REFERENCE.

.01 This Order supersedes Department Administrative Order 205-11 of May 12, 1971, as amended.

.02 Department Administrative order 218-7 Issuing Departmental Regulations provides further guidance on publishing Departmental regulations in the Federal Register.

Signed by: Assistant Secretary for Administration

Office of Primary Interest: Office of Organization and Management Systems
For copies of Appendices/Exhibits/Attachments, please call (202)482-7873.

Amendment 1

Effective Date: 1981-05-22

PUBLISHING DOCUMENTS IN THE FEDERAL REGISTER

Department Administrative Order 205-11, dated December 3, 1980, is hereby amended as shown below. The purpose of this amendment is to provide guidance on the new 1 CFR 18 requirement for standardized identification of subjects in agency regulations (subparagraphs 5.01a. And 5.01c.); and clarify the use of transmittal letters in the submission of documents for publication in the Federal Register (subparagraph 5.02h.).

SECTION 5. PROCEDURES. a. Subparagraph .01a. Is revised to read as follows:

"a. Parts 18, 21, and 22, as applicable, of Title 1CFR. (Appendix B to this order provided information on an amendment to 1 CFR 18, which requires that agencies identify major topics and categories of persons affected in their regulations by using standard terms in a thesaurus developed by the Office of the Federal Register.)"

b. In pen and ink, reletter the existing subparagraphs .01c. And .01d. As .01d. And .01e.. A new subparagraph .01c. is added to read as follows:

"c. The Federal Register Thesaurus of Indexing Terms, as required by Appendix B to this Order. (In accord with b., above, OOMS will also distribute and maintain copies of this document.)"

c. Subparagraph 5.02h. Is revised to read as follows:

"h. The original and appropriate number of copies shall be sent to the Office of the Federal Register. In accord with 1 CFR 18.3(b), a transmittal letter is not required except in cases involving requests for special handling or treatment of the document -- such as a request for expedited publication. When special handling or treatment is necessary, the transmittal letter must be addressed to the director, Office of the Federal Register, give complete information to justify the request, and accompany the pertinent document."

d. Appendix B (attached) is to be attached as the final page of DAO 205-11.

Signed by: Assistant Secretary for Administration

APPENDIX B DAO 205-11

ADMINISTRATIVE COMMITTEE OF THE FEDERAL REGISTER

1 CFR Part 18

Identification of Subjects In Agency Regulations

AGENCY: Administrative Committee of the Federal Register (ACFR)

ACTION: Final rule

SUMMARY: This regulation requires agencies to identify major topics and categories of persons affected in their regulations by using standard terms established by the Federal Register Thesaurus of Indexing Terms. Increased public need for information on regulations has led to interest in more comprehensive indexes and information services for the Federal Register (FR) and Code of Federal Regulations (CFR). Requiring agencies to identify the subjects in their regulations in standard terms from the Thesaurus will help readers to locate all the regulations that affect or are of interest to them. It will also help the Office of the Federal Register (OFR) expand its information services to the public directly and through published finding aids.

DATES: Effective date: February 23, 1981.

Implementation dates:

By December 31, 1981: Agencies must prepare a list of index terms for existing CFR Parts and send the list to the Director of the Federal Register.

Beginning April 1, 1982: Agencies must include a list of index terms for each CFR Part affected in
documents submitted for publication in the Rules and Regulations and Proposed Rules sections of
the Federal Register.

PART 18--PREPARATION AND TRANSMITTAL OF DOCUMENTS GENERALLY

1 CFR Part 18 is amended as follows:

1. The authority citation for Parr 18 reads as follows:

Federal Register reference: 46FR, 7162-7164, January 22, 1981

Amendment 2

Effective Date: 1982-05-02

PUBLISHING DOCUMENTS IN THE FEDERAL REGISTER

Department Administrative Order 205-11, dated December 3, 1980 is hereby further amended as shown below. The purpose of this amendment is to update and reissue Appendix A to this Order.

Remove the existing Appendix A (last page of the basic Order), and replace it with the attached Appendix A.

Signed by: Assistant Secretary for Administration

APPENDIX A DAO 205-11

BILLING CODE ASSIGNMENTS

Organization Unit Billing Code
National Oceanic & Atmospheric Administration (Admin.) 3510-12
National Oceanic & Atmospheric Administration (NMFS) 3510-22
National Oceanic & Atmospheric Administration (CZM) 3510-08
National Bureau of Standards (Admin.) 3510-13
National Bureau of Standards (Publications Production) 3510-CN
Patent and Trademark Office 3510-16
Bureau of Economic Analysis 3510-06
U. S. Travel and Tourism Administration 3510-11
International Trade Administration 3510-25
Bureau of the Census 3510-07
Economic Development Administration 3510-24
National Technical Information Service 3510-04
National Telecommunication & Information Administration 3510-60
Bureau of Industrial Economics 3510-30
Minority Business Development Agency 3510-21
Office of the Assistant Secretary for Productivity, Technology and Innovation 3510-18
O/S - Office of Procurement Services 3510-03
O/S - Office of Organization and Management Systems 3510-17
O/S - Office of Civil Rights 3510-BP
O/S - Office of Personnel 3510-BS
O/S - Office of Financial Assistance 3510-BV
O/S - Office of the General Counsel 3510-BW
O/S - Office of Security Services 3510-BX
O/S - Office of Information Resources Management 3510-CW

NOTE: Each originating office is responsible for the renewal of its assigned billing code(s) on a fiscal year basis, or requesting a new billing code where none has been previously assigned (see subparagraph 5.02c. of this Order).

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