Federal Register Document Drafting Handbook October 1998 Revision Chapter 7: Illustrations, Forms, Footnotes, Appendices, and Tables 7.1 Format, placement, and quality 7.2 Illustrations 7.3 Forms 7.4 Redesignation tables 7.5 Distribution and derivation tables 7.6 If/Then tables 7.7 Footnotes 7.8 Appendices 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. 7.1 Format, placement, and quality. If you submit tables, illustrations, or forms in your document you must: Submit legible material. Submit original artwork (camera copy) for photographing. Place the table, illustration, or form exactly where it is to appear in the printed document. Do not split sentences or paragraphs. Prepare tables and forms according to the "United States Government Printing Office Style Manual." 7.2 Illustrations. Illustrations include maps, diagrams, graphs, or other pictorial material. All details of an illustration, such as captions, numbers, place names, and keys, must be completely legible. If you amend an illustration, submit a completely new illustration with the amendatory document. If you want the original artwork for a proposed rule or notice returned, attach a letter and a self-addressed envelope to the original document asking the OFR to return the artwork. We do not return original artwork for a rule; we use it in the CFR. If you have several illustrations in a CFR part, the OFR recommends placing them at the end of the part. Place a heading before the illustrations. (See example 1.) Label each illustration. (See example 2.) Example 1. Illustrations to Part 312 Example 2. Figure 1 -- Ramp Specification for Wheelchairs 7.3 Forms. Because forms are usually photographed for publication in the Federal Register and then reduced for inclusion in the CFR, in a rule document, the OFR accepts only forms that are completely legible and suitable for use as camera copy for publication. To ensure that forms are acceptable for publication, follow these steps: If the form is pre-printed, obtain an original form, not a photocopy. If you type the form yourself, use the original typed pages or a legible copy (first generation photocopy). If the form has printing on both sides of the page, prepare a collated, one-sided set of pages. Use an original form for each page. Lightly cross through the page not being printed with an editor's blue pencil. This pencil will not photocopy. If an overlay is used, attach one overlay to each page of the form. Place all original artwork in the copy of the document labeled "Printer's Copy." Using an editor's blue pencil, on the "Printer's Copy" only , number your pages in order on the back of each page to be photographed. Make clear and legible photocopies of the form as prepared for the "Printer's Copy" and insert them in the original document and in the second duplicate copy. Remember, when your artwork is reduced for the Federal Register and, if a rule document, for the CFR, every word in the artwork must be legible. 7.4 Redesignation tables. When you rearrange and renumber your agency's rules, you may use a redesignation table. A redesignation table is a listing of the old CFR unit numbers with the corresponding new CFR unit numbers. You may use a redesignation table in the amendatory instruction of a rule or proposed rule document. (See example 3.) When you publish the rule document, your agency may request that the table be placed in the finding aids section of the appropriate CFR volume by contacting the CFR staff of the Office of the Federal Register. Example 3: Redesignation table 1475.12 through 1475.20 [Redesignated] Redesignate 1475.12 through 1475.20 as follows: Old section New section 1475.12 1475.13 1475.13 1475.14 1475.14 1475.15 1475.15 1475.17 1475.16 1475.18 1475.17 1475.19 1475.18 1475.20 1475.19 1475.21 1475.20 1475.22 7.5 Distribution and derivation tables. When you reorganize, rewrite, and set out rules on a large scale, you may want to use distribution and derivation tables in your preamble. (See examples 4 and 5.) Distribution and derivation tables are complementary. A distribution table shows where each piece of the original material went and/or indicates why it is no longer needed. A derivation table shows where each piece of the revised material comes from. You may decide to use either or both. Place distribution and derivation tables in the preamble under the SUPPLEMENTARY INFORMATION caption. Do not include them in the regulatory text as part of an amendatory instruction. Instead, use specific amendatory terms to state which CFR units are being removed, revised, or added. (See example 6.) For a complete discussion of amendatory terms, see sections 1.13 and 2.13. Your Liaison Officer may request that derivation or distribution tables be placed in the Finding Aids section at the back of the appropriate CFR volume by contacting our CFR staff. Example 4: Distribution table. Old section New section -- -- -- Parts 11 and 12 (subchapter D) 3.4(a) 11.1 3.4(b) introductory text Removed 3.4(b)(1) Removed 3.4(b)(2) Removed 3.4(b)(3) 11.2 3.4(b)(4) through (b)(8) 11.3 through 11.7 7.1 12.1(a) 7.4 12.1(b) 7.5 12.1(c) 7.6 12.1(d) 8.8 12.2 9.3(a) 12.3(a) 9.3(b) 12.3 (b) and (c) 9.3(c) Removed Example 5: Derivation table New section Old section 250.1 250.210(a). 250.3 250.210(b) (1st sentence). 250.5 250.210(b) (1st para.)(2d sentence preceding the words "...or the reasonable..."). 250.210(c)(except last sentence). 250.7 250.210(c) last sentence. 250.9 250.210(b)(2d para.)(1st sentence). 250.11 250.210(b)(2d para.)(except 1st sentence). 250.13 250.210(b)(1st para.)(2d sentence after "...such capital expenditures..." and next to last sentence). 250.15 250.210(b)(1st para.)(last sentence). 250.17 250.210(d). Example 6: Amendatory instructions for changes described in example 4. PART 3--SERVICES TO THE PUBLIC 1. The authority citation for part 3 continues to read as follows: Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR, 1954-1958 Comp., p. 189. 3.4 [Removed] 2. Remove 3.4. PART 7--[REMOVED] 3. Remove part 7. PART 8--CODE OF FEDERAL REGULATIONS 4. The authority citation for part 8 continues to read as follows: Authority: 44 U.S.C. 1506, 1510; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR, 1954-1958 Comp., p. 189. 8.8 [Removed] 5. Remove 8.8. PART 9--THE UNITED STATES GOVERNMENT MANUAL 6. The authority citation for part 9 continues to read as follows: Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR, 1954-1958 Comp., p. 189. 7. Revise the part heading to read as shown above. 9.3 [Removed] 8. Remove 9.3. 9. Add new subchapter D, consisting of parts 11 and 12, to read as follows: SUBCHAPTER D--AVAILABILITY OF OFFICE OF THE FEDERAL REGISTER PUBLICATIONS PART 11--SUBSCRIPTIONS Sec. 11.1 Subscription by the public. 11.2 Federal Register. 11.3 Code of Federal Regulations. 11.4 The United States Government Manual. 11.5 Public Papers of the Presidents of the United States. 11.6 Weekly Compilation of Presidential Documents. 11.7 Federal Register Index. 11.8 LSA (List of CFR Sections Affected). Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR, 1954-1958 Comp., p. 189. * * * * * [Asterisks Indicate text not included in this example.] 7.6 If / Then tables. If/Then tables present regulatory text in a columnar format. Each column must have a heading. The column heading may: Identify the type of information presented in each column (See example 7 ); or When read with the entry in the column present a complete sentence (See example 8). Designate each entry in the If/Then table for ease of amendment (change). If you do not designate each entry in the If/Then table, you can change the table only by revising it (reprinting the table in its entirety with the changes integrated). This is costly if your table is large. Whichever type of If/Then table you use, be sure that each entry presents a complete and logical thought. Example 7: Column headings that identify the information in the entries. 114.103 Who may file a claim? (a) If a claim is based on factors listed in the first column, then it may be presented by persons listed in the second column. Claim factors Claim presenters (1) Injury to or loss of property................. The owner of the property, his or her duly authorized agent, or legal representative. (2) Personal injury........... The injured person, his or her duly authorized agent, or legal representative. (3) Death..................... The executor, administrator, or legal representative of the decedent's estate, or any other person entitled to assert the claim under applicable state law. (4) Loss wholly compensated by an insurer with rights as a subrogee. The parties individually, as their interests appear, or jointly. * * * * * Example 8: Column headings that form a complete sentence when read with the entry. 107.1150 Maximum amount of Leverage for a Section 301(c) Licensee. (a) Maximum amount of Leverage. If you are a Section 301(c) Licensee, use the following table to determine the maximum amount of Leverage you may have outstanding at any time: If your Leverageable Then your maximum Capital is: Leverage is: (1) Not over $15,000,000...... 300% of Leverageable Capital. (2) Over $15,000,000 but not over $30,000,000......... $45,000,000 + [200% of (Leverageable Capital - $15,000,000)]. (3) Over $30,000,000 but not over $45,000,000......... $75,000,000 + [100% of (Leverageable Capital - $30,000,000)]. (4) Over $45,000,000.......... $90,000,000. * * * * * 7.7 Footnotes. Number footnotes separately for each unit listed below: Preamble Each CFR part Table Illustration Form Appendix The first footnote in a CFR part starts with "1." The first footnote in each appendix starts with "1." Number the footnotes in the preamble to a rule or proposed rule document independently from the footnotes in the regulatory text. Type footnotes to tables, illustrations, and forms at the end of the table, illustration, or form and not at the bottom of the page on which they appear. Whenever a footnote number appears in regulatory text or tables, print the text of the footnote even if there is no change to the footnote. Do not include formulas or tables in footnotes. Make footnotes in a rule explanatory, not regulatory. If you remove a footnote in the regulatory text, you must redesignate the remaining footnotes to close the gap. You cannot remove and reserve a footnote, nor can you add a footnote with an alpha character, for example, "9c." Remember to separately number the footnotes for illustrations, forms, tables, and appendices. If you remove an illustration, form, table, or appendix, it will not disrupt the footnote numbering of the regulatory text. 7.8 Appendices. Rules and proposed rules. Use an appendix to improve the quality or use of a rule but not to impose requirements or restrictions. Use an appendix to present: Supplemental, background, or explanatory information which illustrates or amplifies a rule that is complete in itself. Forms or charts which illustrate the regulatory text. You may not use the appendix as a substitute for regulatory text. Present regulatory material as an amendment to the CFR, not disguised as an appendix. Material in an appendix may not: Amend or affect existing portions of CFR text; or Introduce new requirements or restrictions into your regulations. An appendix may appear at the part, subpart, or section level. Designate each appendix, identify whether it belongs to a part, subpart, or section, and give it a descriptive heading. (See example 9.) If you have an appendix to a part or subpart, list the appendix heading in the table of contents. Do not carry the heading for an appendix to a section in the table of contents. A complete appendix heading should: Conform to a uniform system of designation for appendixes throughout your agency's rules; Indicate the CFR unit to which the appendix is attached; and Provide a brief, descriptive subject heading. Example 9. Appendix A to Part 430 -- Insulation Adequacy Evaluation Criteria Appendix B to Subpart C of Part 430 -- Test Procedures for Tire Traction Appendix C to 430.4 -- Tire Tread Chart Designate each paragraph in the text of an appendix. You may use the CFR numbering system or develop an alternate logical numbering system. Place the appendix immediately following the CFR unit to which it is appended. You may include an appendix at the end of a rule document and direct that the appendix not be reprinted in the CFR. However, do not reference in the regulatory text an appendix which will not appear in the CFR. If you do not want the appendix to appear in the CFR, place a note before the appendix heading stating you are not printing it in the CFR. (See example 10.) Example 10. Note: The following appendix will not appear in the Code of Federal Regulations. APPENDIX HEADING