Federal Register Document Drafting Handbook October 1998 Revision Chapter 3: How do I write a document for the notices category? 3.1 What types of documents go in the notices category? 3.2 What are the requirements for a document in the notices category? Billing Code 3.3 What is a billing code and how do I get one? Headings 3.4 What information should I include in the headings section of my notice? Authority Citation 3.5 Must I cite the authority that authorizes my agency to issue a notice? Text 3.6 Must I use the preamble format in my notice document? AGENCY caption ACTION caption SUMMARY caption DATES caption ADDRESSES caption FOR FURTHER INFORMATION CONTACT caption SUPPLEMENTARY INFORMATION caption Signature Block 3.7 Who can sign my document? 3.8 Do I need a signature date? Style and Format Requirements 3.9 What should my notice document look like? 3.10 Example of a notice document Sunshine Act Meetings and Privacy Act Documents 3.11 Sunshine Act meetings 3.12 Privacy Act documents Checklist for Notice Documents 3.13 Checklist for notice documents Chapter 3: How do I write a document for the notices category? Notes: In this chapter, "we," "our," or "OFR" refer to the Office of the Federal Register, National Archives and Records Administration, and "you" or "your" refer to Federal agencies that prepare documents for publication in the Federal Register. Use the examples in this chapter as models for style, not content. Although many of these are single-spaced for visual impact, you must double-space your document. 3.1 What types of documents go in the notices category? Use the notices category to provide information of public interest. This category contains documents that do not have regulatory text, do not impose requirements with general applicability and legal effect, and do not affect a rulemaking proceeding. Some notices are required to be published by law. Typical notice documents announce: Meetings. Availability of applications. Issuance or revocation of a license. Grant application deadlines. Availability of certain environmental impact statements. Certain petitions. Orders or decisions affecting named parties. 3.2 What are the requirements for a document in the notices category? A document published in the notices category should include the following items: Billing Code. Headings. Authority Citation. Text. Signature Block. Billing Code 3.3 What is a billing code and how do I get one? The Government Printing Office (GPO) assigns each agency that publishes in the Federal Register a billing code which GPO uses to bill your agency for printing costs. Your agency must identify an individual as your Printing Officer, the liaison between your agency and GPO for all billing matters. GPO gives your Printing Officer the billing code for your agency. Your billing code must appear on each document submitted for publication in the Federal Register. Obtain your billing code from your agency Printing Officer. Type the billing code at the top of the first page of the original(s) and the certified copies of each document. Type a "P" (WordPerfect), "F" (Coded), or "U" (Uncoded or ASCII) after your billing code when submitting a disk with your document. (See chapter 5.) Remember that your billing code may change each year. Headings 3.4 What information should I include in the headings section of my notice? Begin each notice document with headings that identify your agency and the subject matter of the document. Present headings for a notice document in this format. Department Name. Subagency Name. Agency Docket Number (optional). Subject Heading. or Agency Name. Agency Docket Number (optional). Subject Heading. The "Department" and "Subagency" headings for a document reflect the names of the issuing agency. If your agency is a cabinet-level department, the subordinate agency is the Subagency heading. If your agency is not a cabinet-level department, you do not need a Subagency heading. The "Agency Docket Number" heading is the internal file number your agency may assign. This heading is optional. The "Subject Heading" is a brief statement describing the contents of the document. Example 1: Headings for a notice document from a cabinet-level department. DEPARTMENT OF AGRICULTURE Department Name Food Safety and Inspection Service Subagency Name [Docket No. 85-008N] Agency Docket Number (optional) Transportation Accidents Subject Heading Example 2: Headings for a notice document from a non cabinet-level agency FEDERAL RESERVE SYSTEM Agency Name [No. 85-959] Agency Docket Number (optional) ABC Corporation Subject Heading If you issue a follow-up document, duplicate the headings of the earlier document, and add a distinguishing phrase to the subject heading. Example 3: Headings for a follow-up notice. FEDERAL RESERVE SYSTEM Agency Name [No. 85-959] Agency Docket Number (optional) ABC Corporation; Additional Filings Subject Heading Authority Citation 3.5 Must I cite the authority that authorizes my agency to issue a notice? You must cite the authority that authorizes your agency to issue your notice. There are two types of authority: Statutory: Public Law. United States Code. Nonstatutory: Presidential Executive order. Presidential Administrative order. Presidential Memorandum. Agency delegation, policy, or directive. Office of Management and Budget circular. CFR regulations. Give the authority citation in the shortest form. The authority citation may appear within the notice or in a parentheses on a separate line at the end of the notice before the signature block. Statutory authority. For notices only, you may cite a public law, popular law name, or the U.S. Statutes at Large. Each citation of statutory authority must use the United States Code citation, if one exists. To determine the United States Code citation, use one of the following: The current edition of the United States Code or its supplement. The slip law, for recently signed public laws. Example 4. Authority: 44 U.S.C. 2101-2118; 50 U.S.C. 6909. We generally recommend that you use only the United States Code citation. (See example 4.). When a United States Code citation does not exist (for example, for appropriations laws), you must cite the section of the public law, if appropriate, the public law, and the U.S. Statutes at Large. (See example 5.) Example 5. Authority: Sec. 8067, Pub. L. 98-473, 98 Stat. 1937. If you choose to cite the public law and the U.S. Statutes at Large in addition to the United States Code, present them in the order shown in example 6. Example 6. Authority: Sec. 8, Pub. L. 98-328, 82 Stat. 470 (34 U.S.C. 21). If you cite two different laws where one has a United States Code citation and the other does not, place the United States Code citation first. (See example 7.) Example 7. Authority: 42 U.S.C. 2996; Pub. L. 104-208, 110 Stat. 3009; Pub. L. 104-134, 110 Stat. 1321. Nonstatutory authority. Cite nonstatutory authority by document designation, Federal Register citation, and CFR citation. (See example 8.) Example 8. (Authority: E.O. 12731, 55 FR 42547, 3 CFR, 1990 Comp., p. 306; 5 CFR 2635.105) If you include statutory and nonstatutory citations in the same authority citation, place the statutory citation first. (See example 9.) Example 9. (Authority: 8 U.S.C. 1161(f); 29 U.S.C. 1801-1872; Secretary's Order 6-84, 49 FR 32473) Text 3.6 Must I use the preamble format in my notice document? You may present the text of your notice document in any organized and logical format. Your use of our preamble format to present the text of a notice is optional. However, we recommend that you use the following preamble format. AGENCY: ACTION: SUMMARY: DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: If you use the preamble captions, follow the order shown. You may omit preamble captions which are not applicable. Present the remaining captions in the proper sequence. Do not create new captions. Place material not identified by the existing captions in the SUPPLEMENTARY INFORMATION section. An explanation and examples of what must appear within each caption follow: AGENCY caption. The AGENCY caption states the "who" of a document by identifying the agency issuing it. This caption usually repeats the name of the agency as carried in the document's headings. When the name of a subagency and Cabinet-level department appear together, carry the subagency name first and then the department's commonly used acronym or shortened name. For organizational clarity, you may choose to include in this caption the name of an office which is not listed in the document's headings. Example 10. AGENCY: Office of the Secretary, USDA. AGENCY: National Archives and Records Administration. AGENCY: Consumer Product Safety Commission. AGENCY: Environmental Protection Agency. AGENCY: National Park Service, Interior. AGENCY: Bureau of Public Debt, Fiscal Service, Treasury. ACTION caption. The ACTION caption identifies the type of document. It does not summarize the substance of a document. The following examples represent typical captions for a notice document. Others are possible. Example 11. ACTION: Notice. ACTION: Announcement of meeting. ACTION: Availability of survey. ACTION: Solicitation of applications. SUMMARY caption. Under the SUMMARY caption you explain the "what," "why," and "effect" of the document. In the SUMMARY, you should answer these three questions. What action is being taken? Why is this action necessary? What is the intended effect of this action? Use the following guidelines in preparing a SUMMARY. Use language a non-expert will understand. Refer to an act of Congress by the popular name of the act. Do not use legal citations. State what your document does; do not include extensive background. Do not include qualifications, exceptions, or specific details. Be brief. You may not use the SUMMARY to prove a point or argue a case. Supporting information, details, discussions, and precise legal citations do not belong in the SUMMARY. Extended discussion of the notice document belongs in the SUPPLEMENTARY INFORMATION section. DATES caption. The DATES caption presents the "when" of a document. Include the dates that are essential to the document. Include the following dates, when appropriate: Comment deadlines. Extension of comment deadlines. Request for a hearing (or meeting) deadline. Public hearing (or meeting) dates. Other dates the public may need to know. OFR computes and inserts dates tied to Federal Register publication or OFR filing using the "Table of Effective Dates and Time Periods." This table appears in the Reader Aids section of the first Federal Register issue each month. In computing the date, we count the day after publication as the first day. When a date falls on a weekend or a Federal holiday, we use the next Federal business day. If we are to compute and insert a date, present the date as shown in example 12. We compute dates based only on OFR filing or publication in the Federal Register. Example 12. DATES: Submit comments on or before [INSERT DATE 60 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER]. Example 13. DATES: The agency must receive comments on or before [INSERT DATE 30 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER]. Place no more than four dates under the caption "DATES." Example 14: Format in notice with four dates. DATES: The meeting dates are: 1. March 26, 199x, 9:30 a.m. to 5 p.m., Philadelphia, PA. 2. April 3, 199x, 9:30 a.m. to 5 p.m., Chicago, IL. 3. April 8, 199x, 9:30 a.m. to 5 p.m., Atlanta, GA. 4. April 15, 199x, 9:30 a.m. to 5 p.m., Denver, CO. If you have more than four dates, place them in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Meetings". Example 15. DATES: See Supplementary Information section for meeting dates. Do not include information other than dates in the DATES caption. Place any discussion of meeting agenda, content of material available for inspection, etc. in the SUPPLEMENTARY INFORMATION section. Remember that DATES and ADDRESSES are separate captions. All date information should appear in the DATES caption. ADDRESSES caption. The ADDRESSES caption contains the "where" of the document. Include any address that the public needs to know. You may include addresses for: Mailing public comments. Hand-delivering public comments. Attending a public hearing (or meeting). Examining any material available for public inspection. Do not include information other than addresses in the ADDRESSES caption. Place any discussion of how to submit comments, how to register for a meeting, meeting agenda, content of material available for inspection, etc. in the SUPPLEMENTARY INFORMATION section. If you are accepting electronic comments, place electronic addresses in the ADDRESSES section, and detailed requirements in the SUPPLEMENTARY INFORMATION section. (See examples 20 and 21.) Place no more than four addresses under the caption "ADDRESSES." Example 16: Format in notice with four addresses. ADDRESSES: The meeting locations are: 1. Philadelphia -- Ramada Inn (Meadows Ballroom, Section A & B), 76 Industrial Highway, Essington, PA 19029. 2. Chicago -- O'Hare Ramada Inn (Penthouse Ballroom, 9th Floor), 6600 Mannheim Road, Des Plaines, IL 60018. 3. Atlanta -- Ramada Inn Central (Georgian Ballroom), I-85 at Monroe Drive, Atlanta, GA 30324. 4. Denver -- Main Post Office Bldg. (2nd Floor Auditorium, Room 269), 1823 Stout Street, Denver, CO 80202. If you have more than four addresses, place them in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Meetings." Example 17. ADDRESSES: See Supplementary Information section for meeting addresses. Remember that ADDRESSES and DATES are separate captions. All address information must appear in the ADDRESSES caption. Example 18. ADDRESSES: Address all comments concerning this notice to Nell C. Carney, Commissioner, Rehabilitation Services Administration, Mary E. Switzer Building, Room 3325, 330 C Street SW., Washington, DC 20202- 2735. Example 19. ADDRESSES: Mail comments and requests to participate to Meeting Clerk, Room 000, Department of XXXXX, Washington, DC 20000; the meeting will be held in Room 000, 000 Independence Avenue, SW., Washington, DC. Place detailed information about electronic access and filing in the SUPPLEMENTARY INFORMATION section of the preamble under a heading such as "Electronic Access and Filing Addresses." Example 20. ADDRESSES: Submit electronic comments and other data to oppdocket@epamail.epa.gov. See SUPPLEMENTARY INFORMATION for file formats and other information about electronic filing. Example 21. SUPPLEMENTARY INFORMATION: * * * * * [Asterisks Indicate Text Not Reprinted.] Electronic Access and Filing You may submit comments and data by sending electronic mail (E-mail) to: oppdocket@epamail.epa.gov. Submit comments as an ASCII file avoiding the use of special characters and any form of encryption. The OPP also accepts comments and data on disks in WordPerfect 5.1 file format or ASCII file format. Identify all comments and data in electronic form by the docket number [PP 4F4327/R2253]. You may file electronic comments on this proposed rule online at many Federal Depository Libraries. File an electronic copy of objections and hearing requests with the Hearing Clerk at: oppdocket@epamail.epa.gov. FOR FURTHER INFORMATION CONTACT caption. Under the FOR FURTHER INFORMATION CONTACT caption, you should include the name and telephone number of a person within your agency who can answer questions about the document. You may list two or more persons to contact concerning different aspects of a document. Example 22. FOR FURTHER INFORMATION CONTACT: John Noticewriter, 202-000-0000. or FOR FURTHER INFORMATION CONTACT: Technical Information: John Noticewriter, 202-000-0000. Logistical Information: Mary B. Helpful, 202-000-0001. SUPPLEMENTARY INFORMATION caption. In this section, include background information and necessary details in language easily understood by the reader. Use descriptive headings to highlight topics or organize text. If a reference to the Federal Register or Code of Federal Regulations is necessary, use the format shown in examples 28 and 29. You may use the SUPPLEMENTARY INFORMATION section to provide additional information to satisfy law, agency policy, or Executive order. Signature Block 3.7 Who can sign my document? Your agency determines who may sign a document submitted for publication in the Federal Register. The signer must sign in ink. (See section 8.5.) We recommend that the signer use blue ink. A signature in black ink is often difficult to distinguish from a photocopy. Type the name and title of the person signing the document directly beneath the handwritten signature. (See example 23.) When a person signs a document for another person, type the name and title of the person who actually signs the document beneath the signature. (See example 24.) We will reject a document signed by one person for another. We will not accept your document if you sign someone else's name and you place your initials by the signature. Example 23. [Cynthia James] Cynthia James, Director. Example 24. [Thomas Shadwell] Thomas Shadwell, Deputy Director. or [Thomas Shadwell] Thomas Shadwell, Acting Director. Do not place a signature block on a page by itself. Placing text on the signature page helps to ensure the integrity of the document. Place the signature block either at the end of the document (See example 25.) or between the preamble and the rest of the document. (See example 26.) Example 25. Preamble Text Signature Example 26. Preamble Signature Text 3.8 Do I need a signature date? We recommend but do not require a signature date. When you furnish one, use the date of actual signature. We will not accept a postdated signature or change a signature date. If there is a problem with a signature date, we will return your document to your Liaison Officer. Style and Format Requirements 3.9 What should my notice document look like? [ GRAPHIC OMITTED ] Capitals. Type in all capital letters: The name of the agency or cabinet-level department (but not the name of the subagency) in the heading of a document. "FEDERAL REGISTER" in the parenthetical for dates that we are to compute. Preamble captions. Example 27. AGENCY: ACTION: SUMMARY: DATES: ADDRESSES: FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: Copies. Provide legible copies. Correction or adhesive tape. Do not use correction or adhesive tape. Double-spacing. Type the text of your document double-spaced. Headings. Type document headings centered or flush with the left margin. Margins One inch at the top, bottom, and right side. One and one-half inches on the left side. Page numbers. Number the pages consecutively in one of the following places: Centered top. Centered bottom. Upper right-hand corner. Paper. You must prepare your documents on 8«" 11" white paper. Quotation marks. Use quotation marks for names of books, journals, articles, and similar items. Quoted material. Type quoted material: Single-spaced. Centered-block style. Without quotation marks. Single-sided copy. You must type your document on one side only. Single-spacing. Type the following single-spaced: Quoted material. Footnotes. Tables of contents. Examples. Tables. Notes to tables. Notes. Formulas. Authority citations. Underlining. Underlining instructs the printer to present material in italics. Use underlining for: Definitions (underline only the terms). Scientific terms. Ordering statements. Court cases. Federal Register, when referring to the name of the publication (except type in all capital letters in the parenthetical for dates that we are to compute). Do not use underlining for: Emphasis. Names of books. Foreign phrases. Abbreviations. Use the following abbreviations in the Federal Register. FR is Federal Register. Do not use Fed. Reg. or F.R. (See example 28.) CFR is Code of Federal Regulations. Do not use C.F.R. (See example 29.) U.S.C. is United States Code. Pub. L. is public law. (Do not use P.L.) Stat. is U.S. Statutes at Large. a.m. or p.m. is time designation. E.O. is Executive order. Proc. is Proclamation. sec. is section of a public law or the United States Code. Use the abbreviations for "Pub. L.", "E.O.", and "Proc." only in the authority citation. All other times you must spell them out. (See examples 6 and 8.) [section] Symbol. Use the [section] symbol only for a CFR section and [double section] symbol only for multiple sections. However, do not use a [section] symbol to begin a sentence; instead, spell out the word. Do not use the [section] symbol or the word "section" when the reference follows a title number and CFR as in 36 CFR 1200.1. Style. Use the "U.S. Government Printing Office Style Manual" as a guide for punctuation, capitalization, spelling, compounding, and other style matters. You may obtain the GPO Style Manual from the Superintendent of Documents, Government Printing Office. References. If your document relates to a previously published Federal Register document, you must cite the earlier document. A reference in a notice document to a previously published Federal Register document must identify the volume number, page number, and date of the issue in which the document appeared. (See example 28.) Example 28. Reference to a previously published Federal Register document. 6x FR 12345, Jul. 23, 199x A reference in a notice document to material contained in the CFR should identify the CFR title and part or section number. (See example 29.) Example 29. Reference to material contained in the CFR. 36 CFR part 1200 36 CFR 1200.1 3.10 Example of a notice document. 7515-01 NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Public Meeting With Interested Vendors for Ordering Reproductions of Still Photographs, Aerial Film, Maps, and Drawings AGENCY: National Archives and Records Administration. ACTION: Notice of meeting. SUMMARY: The National Archives and Records Administration (NARA) will hold a meeting to discuss the continued privatization of reproduction services for still pictures, aerial film, maps, and drawings. On March 6, 199x, NARA began a test phase of new procedures for the delivery of reproduction services for records which NARA customers request from the Still Picture Branch, the Cartographic and Architectural Branch, and the Nixon Presidential Materials Staff. The National Archives and Records Administration permitted vendors to set up work stations in College Park, MD, where the still photographs, cartographic, and architectural records are housed and made available. The three units referred customer requests for reproduction of these media to the vendors, who determined fees, collected payments, performed the copying work, and mailed the reproductions to the customers. The purpose of this one-year trial program was to: verify the degree to which the privatization of the reproduction order fulfillments could improve customer service; and ascertain the extent to which digital scanning can satisfy requirements from NARA's customers. The program is extended for one more year, with some changes. All vendors interested in the program, including vendors already participating, are invited to attend the next scheduled meeting. A follow-up meeting has also been scheduled to answer any remaining questions from possible vendors, and to distribute copies of the memorandum of agreement. DATES: The meeting will be held on Wednesday, January 24, 199x, at 2 p.m. The follow-up meeting will be hel1d on Thursday, February 15, 199x, at 2 p.m. ADDRESSES: The meetings will be held in Archives II, Lecture Rooms D and E, located at 8601 Adelphi Road, College Park, MD. FOR FURTHER INFORMATION CONTACT: Michael Meetings, 301-000-0000. Dated: January 2, 199x. Signature Type name, Title. Sunshine Act Meetings and Privacy Act Documents 3.11 Sunshine Act meetings. The Government in the Sunshine Act requires certain agencies to publish notices of meetings (See Appendix C). The law requires that these notices be publicly announced one week prior to the meeting and submitted immediately for publication in the Federal Register. To speed publication, we have developed standard formats for Sunshine Act documents. Sunshine Act documents received before 4 p.m. are published on a 2-day publication schedule and Sunshine Act documents received after 4 p.m. are placed on a 3-day publication schedule. Format 1 -- Announces a meeting either completely open or completely closed to the public. Billing Code [NAME OF YOUR AGENCY] Sunshine Act Meetings TIME AND DATE: PLACE: STATUS: MATTERS TO BE CONSIDERED: CONTACT PERSON FOR MORE INFORMATION: [SIGN] Type name, Title. Format 2 -- Announces a meeting that is partially open and partially closed to the public. Billing Code [NAME OF YOUR AGENCY] Sunshine Act Meetings TIME AND DATE: PLACE: STATUS: Parts of this meeting will be open to the public. The rest of the meeting will be closed to the public. MATTERS TO BE CONSIDERED: PORTIONS OPEN TO THE PUBLIC: PORTIONS CLOSED TO THE PUBLIC: CONTACT PERSON FOR MORE INFORMATION: [SIGN] Type name, Title. Format 3 -- Announces a change to a previously announced meeting. Billing Code [NAME OF YOUR AGENCY] Sunshine Act Meetings FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: PREVIOUSLY ANNOUNCED TIME AND DATE OF THE MEETING: CHANGES IN THE MEETING: CONTACT PERSON FOR MORE INFORMATION: [SIGN] Type name, Title. 3.12 Privacy Act documents. The Privacy Act requires each agency to publish its systems of records in the Federal Register. (See Appendix C.) Each system of records has specific information which we identify as data elements. We provide a standard caption heading for each data element. Include all information required in a system of records notice under one of these data elements. You must present the data element as shown including capitalization and punctuation. Do not use any other data elements. The system of records data elements follows: [YOUR AGENCY'S UNIQUE SYSTEM NUMBER] System name: Security classification: System location: Categories of individuals covered by the system: Categories of records in the system: Authority for maintenance of the system: Purpose(s): Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Disclosure to consumer reporting agencies: Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: Retrievability: Safeguards: Retention and disposal: System manager(s) and address: Notification procedure: Record access procedures: Contesting record procedures: Record source categories: Exemptions claimed for the system: Checklist for Notice Documents 3.13 Checklist for notice documents. Use the following checklist to review your notice document before you submit it to us: Billing code. Is the billing code at the top of the first page in the right-hand corner? (See sections 3.3, 3.10, and 3.11.) Headings. Are the correct headings used? (See section 3.4.) Preamble. Are all elements of the preamble included? Does the SUMMARY answer all three questions? (See section 3.7.) Authority citation. Do you have your authority citation? (See section 3.5.) References. Is the correct style used? (See section 3.10.) Tables and illustrations. (See chapter 7.) Are they placed exactly where they are to be printed? Are they completely legible? Are charts and maps of photographic quality? Signature and title. (See section 3.8.) Is the original signature (handwritten in ink) included on the document? (One person may not sign for another or initial a signature.) Is the signer's name and title typed beneath the signature? If signature date is given, is it correct? Quality. (See section 3.10.) Are the original(s) and certified copies legible? Is the document free of correction or adhesive tape? Are ink changes printed, dated, and initialed on all three copies? Is the document double-spaced? Page numbers. Are all pages numbered consecutively? (See section 3.10.) Matching copies and certification. (See section 3.10.) Are the original(s) and two certified copies identical? Are all pages included? Are the copies properly signed or certified? Disks. (See chapter 5.) If you have included a disk with your document: Is every document on a separate disk? Is the file on the disk identical to the signed original document? Did you include the verification/certification letter, stating that the file and document are identical? Is your document the only file on the disk? Did you save the file to the disk in ASCII or WordPerfect 6.1 format? Does the disk have a label that identifies your agency, the document's subject, the file name, and file format? Is the disk virus-free? Are the file and disk free of password protection or other security measures?