U.S. DEPARTMENT OF AGRICULTURE
WASHINGTON, D.C. 20250
1 PURPOSE
This manual provides detailed instructions concerning the preparation, review and
clearance of the various types of legislative reports. All individuals who prepare, review or clear
legislative reports must follow these instructions.
2 SPECIAL INSTRUCTIONS/CANCELLATIONS
This manual replaces the previous manual dated June 15, 1984.
3 ABBREVIATIONS
4 INQUIRIES
Direct all inquiries to the Legislative, Regulatory and Automated Systems
Division in the Office of Budget and Program Analysis at (202) 720-1272.
5 WHAT IS A LEGISLATIVE REPORT?
A legislative report is any written expression of official USDA position on a
proposed bill or draft legislation, an enrolled bill, another agency’s proposed
legislation or report to Congress, or proposed executive orders and
proclamations. Legislative reports
serve to initiate discussions about legislation and certain proposed
administrative actions and also aid the administration in developing a unified
position.
6 WHO REQUESTS LEGISLATIVE REPORTS?
b Congress. Members of Congress and committees solicit
USDA’s views
on draft legislation or on an introduced
bill.
Note: Testimony requested by a
congressional committee is not a legislative report as defined by this
directive.
c USDA. USDA agencies may request a voluntary
report. Determining
the necessity for a voluntary report is
the responsibility of each agency
and office. An agency or office may
initiate a voluntary report by
contacting OBPA.
OBPA serves as the clearinghouse agency for all legislative reports at USDA
within established deadlines.
Specifically, OBPA:
a Initiates Tracking in its LRTS
upon receipt of a legislative request;
this system
allows OBPA to monitor the progression and clearance of
legislative
reports, from start to completion, within USDA clearance
channels,
including OMB if the report is addressed to Congress,
while ensuring that
deadlines are met;
b Assigns a Preparing Agency to write a
legislative report based on
program and historical data;
c Prepares a Red Jacket folder and
contacts the preparing agency’s
legislative contact to secure delivery
of the jacket;
d Sends Advance Copies of the
legislative request to other affected
agencies and reviewers, as necessary.
Note: OBPA routinely
routes new legislative report requests to USDA
agencies. It is each agency’s responsibility to
identify reports of interest to them and to request that OBPA include the
agency in clearance channels.
A red jacket folder denotes a legislative report as it is routed
through USDA clearance channels; appendix A, figure A-1.
a Information included on the cover of a red jacket:
(1) The bill number or agency report code;
(2) The OBPA tracking
number;
(3) The short title of the report;
(4) The name of the legislative contact of
the preparing agency;
(5) The due date assigned for the
preparing agency to complete its
report;
(6) The name of the OGC
contact;
(7) The name of the OBPA contact;
(8) Any other reviewer contacts or useful
information.
b Information included within a red jacket:
(1) The requesting legislative referral
document from OMB or
congressional letter that initiates the
request;
(3) The draft legislative report (see section
9);
(4)
A salmon-colored clearance signature page (appendix B,
figure B-6)
that includes
the title of the bill or report, the tracking number, and all of the agencies,
reviewers, and policy officials at USDA that will eventually review and clear
the report;
Note: Preparing agencies may add additional
reviewers.
(5) Historical or background
information. OBPA maintains a file on
past
legislative reports that may be helpful
to preparing agencies and reviewers of current requests.
9 THE ROLE OF THE PREPARING AGENCY
The preparing agency writes a legislative report.
a Writes a report in compliance
with USDA deadlines.
(1) Reports should generally be limited
to two pages. If more
space is needed to treat the subject
adequately, then additional material should be included as an enclosure.
(a) The initial draft should be double
spaced on salmon-
colored paper.
(b) The drafter’s name and telephone
number should appear
in a ledger bar at the end of the
report so that reviewers can contact the drafter directly during clearance, if
necessary. This will also expedite clearance; appendix B, figure B-5.
(2) Reports should be consistent with
other USDA documents
unless it is
intended that the policy should change.
(3) Content of Reports. Legislative reports shall be prepared using
the format shown in appendix B; figure B-1 is for a
report to Congress and figure B-2 is for a report to OMB. When it will assist clearing officials, the
agency should add copies of relevant supporting documents to the decision file,
e.g., previous related reports, testimony, etc.
b Consultation and Clearance With
Other Agencies. Identifies other
offices,
agencies, or departments with a substantial interest in a report and secures
their clearance on the salmon copy.
c Red Jacket Handling Requirements:
(1) Signs the clearance signature page
indicating that the agency
head or administrator has cleared the
report.
(2) Attaches the salmon draft report to
the top of the clearance signature
page to include within the red
jacket. The draft report should include
a contact name and telephone number.
(3) Contacts the OBPA analyst listed on
the cover of the red jacket
as soon as the report has been
completed, signed and ready
for OGC review.
d Requesting extension of due date. If the
report cannot be completed
within the due date
noted on the cover of the red jacket, an extension may be requested by
contacting the OBPA analyst listed on the cover of the red jacket.
e Use of “no comment”, “concur”, and
“no objection” responses. When
agencies have nothing to add by way of
substantive views on a request, they may prepare these types of responses as
long as they are written in the form of a letter.
g Avoid contacting OMB and Congress
directly without approval.
Writers of legislative reports are not
authorized to contact OMB directly to release USDA’s position until the report
has been signed by the Secretary’s office or has been expressly approved by a
policy official to release to OMB, in which case OBPA would contact OMB.
h Advise OCR and OBPA of all direct
requests. The preparing agency
shall advise OCR and OBPA immediately
by telephone of all requests for reports received directly from Congress.
i Use electronic files during final
clearance to avoid delays.
Preparing
agencies should provide OBPA with the electronic file copy of the report during
final clearance (after the report has cleared OGC, OBPA, and the appropriate
Under or Assistant Secretary). Use of
electronic files expedites the clearance of legislative reports with short
deadlines.
j Special consultation with OGC
required for legislation involving
litigation. When
provisions in a report involve pending litigation that USDA is involved or
interested in, OGC shall be consulted during preparation.
10 REVIEWING AND CLEARING LEGISLATIVE
REPORTS AT USDA
Legislative reports must be reviewed and cleared by several Departmental levels
to ensure that USDA speaks with “one voice.”
Generally, all legislative reports must have OGC, OBPA, and Under or
Assistant Secretary review and
clearance before they can be forwarded to the Secretary’s office. Clearance is indicated by a signature on the
salmon-colored clearance page by the appropriate official. Reports requested by OMB are eligible for
signature upon submission to the Secretary’s office. Legislative reports addressed to Congress must additionally clear
OMB after they have cleared the Secretary’s office before they can be signed
and sent to Congress
a Some General Guidelines for
Reviewers of Legislative Reports.
(1) Clearance Signatures. The heads of agencies and staff offices
will clear the report by signing and
dating the salmon-colored clearance signature sheet; appendix B, figure B-6.
(2) Working Changes. Pen-and-ink
changes to the draft report should
be made on the double-spaced,
salmon-colored copy. Each change must
be identified by the agency’s acronym in the margin.
(3) Using Note to Reviewers
Memorandums:
(a) Required when non-clearance is indicated. Heads of agencies,
staff offices and policy officials must
sign a note to reviewers memorandum supporting their position for not clearing
a legislative report. The presence of
the note to reviewers should be noted on the clearance signature page and the
memorandum prominently displayed inside the red jacket; appendix A, figure
A-2.
(b) Useful when contributing
analytical value. Reviewers of
legislative reports may determine that
a note to reviewers memorandum would facilitate the report’s clearance through
USDA by summarizing its contents or noting something that may not otherwise be
clear to the reviewer; appendix A, figure A-3.
(4) Avoid Retyping to Expedite USDA
Clearance. Reports should be
marked-up and cleared to the extent
possible before being returned to the preparing agency for retyping prior to
its review and clearance by the Secretary.
Retyping should not occur unless the copy becomes unreadable.
(5) Requesting Extension of Deadlines. If review by any agency
cannot by completed within the due date
noted on the red jacket, an extension may be requested by contacting OBPA in
advance of the due date.
(6) Confidential Nature of Reports. Proposed legislative reports do not
represent the
official position of USDA until signed by the Office of the Secretary. Release of USDA reports outside of official
review channels is not permitted. Any
questions on the status of legislative reports should be referred to OBPA.
(7) Avoid contacting OMB or Congress
directly without approval.
Reviewers of legislative reports are
not authorized to contact OMB or Congress directly to release USDA’s position
until the report has been signed by the Office of the Secretary.
b Order of USDA
Clearance.
The following USDA agencies/officials typically clear legislative reports.
The order
for clearance is sequential; appendix
A, figure A-4:
(1) Preparing agency.
(2) Other impacted program agencies.
(3) OGC.
(4) OBPA.
(5) Under or Assistant Secretary.
(6) OCR.
(7) OES.
(8) Office of the Secretary.
Note: Legislative Reports addressed to OMB are
eligible for signature upon submission to the Secretary’s office; reports
addressed to Congress that are received in the Secretary’s office for the first
time cannot be signed, only approved for OMB review.
c Reviewing Agencies other than OGC and OBPA. Agencies
shall review
the report to assure that the stated
position will not adversely affect existing programs or proposals of the
reviewing agency. Divergent views between
the preparing agency and subsequent reviewers must be considered before the
report clears USDA. Agencies may
approve the report as drafted; have no objection; propose substantive or
technical amendments; or a complete substitute report.
d OGC Review.
OGC reviews the legislative report for
legal sufficiency including:
(1) The interpretation of relevant
statutes and congressional intent;
(2) The effect of provisions of
existing law, pending litigation or
pending rulemakings, if relevant;
(3) The legal implications of enactment
or of recommended changes;
(4) Whether the legislation as drafted
reflects the policy intention of
USDA expressed in the report;
(5) Whether the report is responsive,
in proper format and cleared by
appropriate agencies, and consistent
with USDA policy.
e OBPA Review.
OBPA reviews the report to ensure that it is:
(1) Consistent with the program, policy
and budgetary objectives;
(2) Based on adequate analysis;
(3) Programmatically sound;
(4) Technically adequate in matters
such as format, address,
responsiveness, timeliness,
clearance signatures, and number of copies.
f USDA Policy Official Review.
All Legislative Reports must have policy-level review.
(1) Under and Assistant Secretary Review. These officials, including
the Assistant Secretary for
Congressional Relations, review each report to assure consistency with guidance
given to the agency and that the document presents the strongest possible case
for USDA’s position.
(2) OES reviews the report for proper
grammar and formatting, as well
as the style and writing preferences of
the Secretary.
(3) Secretary, Deputy Secretary, Chief of
Staff, and Executive
Assistant. In addition to reviewing the report and
supporting documents, the Secretary, Deputy Secretary, Chief of Staff, and
Executive Assistant also review and consider additional information presented
to them by an Under or Assistant Secretary, the General Counsel, and the
Director of OBPA.
11 OMB REVIEW
OMB serves as the clearinghouse of executive branch correspondence
with
Congress. Their role is to ensure that
all agency views are taken into consideration in developing the
Administration’s position. When an
agency intends to submit a legislative proposal to Congress or a legislative
report in answering a Member’s inquiry on a particular bill or draft
legislation, the agency must first clear the proposal or report through
OMB.
a OMB Review and Advice. OMB examiners review the report and
solicit comments from other departments
and agencies. Once OMB has completed
its review, OMB advises USDA whether the report conforms with Administration
policy and may suggest changes. USDA
must respond to OMB’s advice and may not send legislative reports and proposals
to Congress without OMB’s approval.
Note: OMB’s advice is received by USDA through
OBPA. If substantive changes are
suggested, then OBPA coordinates with the preparing agency, OGC, and any other
appropriate official to determine whether the changes should be accepted or
further negotiated.
b Actions Upon Receiving OMB
Clearance. OBPA prepares an “After
OMB Clearance” salmon sheet to include
in the red jacket; appendix B, figure B-7.
OMB’s specific advice and whether it has been incorporated into the
report should be prominently displayed.
Non-substantive changes require only the appropriate Under or Assistant
Secretary, OCR, and OES clearance before going to the Secretary’s office for
final signature. More substantive
changes may also require the preparing agency and OGC clearance.
12 ENROLLED BILL REPORTS
Enrolled Bill – a bill or resolution that has passed both houses of Congress
and is awaiting presidential action.
a Highest Priority. Enrolled bill reports receive the highest
priority
as USDA has only 48 hours from the
receipt of the request from OMB to the delivery of the signed report to
OMB. This 48 hour period includes
Saturdays and holidays, but excludes Sundays.
Agencies should anticipate the need for enrolled bill reports by
monitoring legislative action closely.
After Congress has reached an agreement with respect to a bill that USDA
has an interest in, agencies should use the final version of the bill (printed
in the Congressional Record) as a basis to begin preparation of the enrolled
bill report. Bill text can also be
accessed via on-line sources (www.thomas.loc.gov).
b Contents of
an Enrolled Bill Report. An enrolled bill report must
contain USDA’s recommendation regarding the President’s signing or
vetoing of the bill. (“No Comment”
responses are not acceptable for enrolled bill requests.) They should be no longer than two pages in
length and shall generally contain all of the elements in appendix B, figure
B-3.
Note: If USDA has a significant role in the
enrolled bill, then OMB
may request a signing statement (appendix B, figure
B-8) or veto message (appendix B, figure B-9) to accompany the enrolled bill report.
13 SIGNING LEGISLATIVE REPORTS
a Legislative reports addressed to
OMB. These reports are eligible for
signature upon initial review and
approval by the Secretary’s office.
OBPA sends the original signed report to OMB and makes copies available
to the preparing agency and the reviewing agencies.
b Legislative reports addressed to
Congress. These reports must
additionally have OMB clearance before
they can be signed. Upon signature,
OBPA will return the original signed report to the preparing agency for
transmittal to Congress. OBPA will
indicate the number of copies to be sent to Congress and to whom.
14 PREPARATION OF THE LEGISLATIVE
PROGRAM
The USDA Legislative Program is prepared in conjunction with the preparation of
the annual program and budget estimates.
Each year, as part of the budget and annual “Agency Estimates Call
Memorandum,” detailed instructions are provided to guide agencies in the
preparation of their recommendations, i.e., agency Legislative Program
Proposals, for the USDA Legislative Program.
The USDA Legislative Program is developed from Legislative Program Proposals
transmitted by the agencies, with policy approval, to OBPA and
OGC.
The program provides USDA agencies with an advance indication of the
legislation being considered for submission to the next session of
Congress. The program includes a brief
summary of each piece of legislation USDA intends to propose, a list of
provisions of law, which will expire by December 31 of the year following the
budget year, and recommendations regarding extension of such provisions.
The program is sent to OMB as part of the budget each fall and is
“Administratively Confidential” until release of the President’s budget the
following February.
Specific proposals can be added or deleted from the USDA Legislative Program at
any time if circumstances warrant such action.
Agencies may review the Legislative Program to identify another agency’s
legislative proposal that they would like to clear.
15 PREPARING LEGISLATIVE PROPOSALS
A legislative proposal requests Congress to enact a change in law and explains
the rationale for such change. It
consists of two identical letters, one addressed to the President of the Senate
and the other to the Speaker of the House.
The letters shall enclose draft legislation. The objective is to have members of Congress sponsor and
introduce the legislation in their respective chambers.
President’s Budget Proposal - Each year the President submits a budget which
includes description of legislation in support of the budget. Each agency is responsible for
submitting legislative proposals described in the budget within the agency’s
area. OBPA will alert agencies of the
need to prepare such proposals.
a Schedule for Proposal Development. Legislative proposals will be
prepared and cleared in accordance with
the schedule and requirements in the annual “Agency Estimates Call Memorandum”
and according to the directions for legislative reports in this directive.
b OGC will assist agencies in
drafting legislation for USDA.
Agencies
should consult with OGC in
drafting legislative proposals.
c Contents of a Legislative Proposal
(see example
package in
appendix D):
(1) a transmittal letter to the Speaker
of the House;
(2) a transmittal letter to the
President of the Senate;
(3) the proposed legislation;
(4) section-by-section analysis;
A document that describes, section-by-section, the intended effect of each
substantive provision of a bill or legislative proposal.
(5) Ramseyer (or Cordon), if
appropriate;
A Ramseyer or Cordon is a document that graphically portrays
the changes
which a bill or legislative proposal would make in the text of existing
law. Material that would be deleted
from existing law is enclosed in boldfaced brackets “[]” while language that
would be added is inserted at the appropriate place(s) in italic (if italic typeface
is unavailable, language to be added to the text of existing law may be
underscored). Preparing agencies may
include Ramseyers or Cordons as part of a legislative proposal to illustrate
the changes in law.
(6) Other information required by statute,
Administration policies, or
that would be useful such as a note to
reviewers memorandum on the projected budgetary or other effects of the
proposal.
16 REVIEWING AND CLEARING LEGISLATIVE
PROPOSALS
All legislative proposals are subject to review and approval by OMB prior to
transmittal to Congress to ensure that they are in accord with the
Administration’s goals and programs.
Legislative proposals are routed through USDA clearance channels in red
jackets; legislative proposals are distinguished from legislative reports by
the “AG” code on the cover of the red jacket.
The review and clearance of legislative proposals is identical to those
of legislative reports in sections 10
and 11 of this manual.
Legislative Proposals must have OMB clearance before they are eligible for
signature. Upon signature by the
Secretary, OBPA will return the original signed Speaker and Presidential letter
along with the bill language and section-by-section analysis to the preparing agency
for transmittal to Congress. OBPA will
indicate to the agency how many copies are to be sent to the respective
congressional committees.
18 REFERENCES
Agency legislative personnel must be familiar with the following:
a OMB Circular No. A-19 – Legislative
Coordination and Clearance.
This circular outlines procedures for
the coordination and clearance by OMB of agency recommendations on proposed,
pending and enrolled legislation. It
also includes instructions on the timing and preparation of agency legislative
programs and legislative proposals.
b OMB Circular A-11 – Preparation
and Submission of Budget Estimates.
This circular provides instructions for
the preparation of annual estimates, including requirements for those estimates
for which additional authorizing legislation is required for the budget year.
c 40 CFR 1500-1508 and 7 CFR 3100. These CFR parts discuss the
requirements for environmental
assessments and impact statements prepared by an agency regarding legislative
proposals.
d Civil Rights Impact Analysis DR
4300-4. This Departmental
Regulation
may be required for legislative proposals under this directive.
e Departmental Regulation 1512-1. This Departmental Regulation has
requirements pertaining to the
preparation of Regulatory Impact Analyses for legislative proposals expected to
have a major impact in terms of Federal or non-Federal costs or burdens.
f Annual “Agency Estimates Call
Memorandum”. This OBPA
memorandum for budget and legislation
has requirements pertaining to the USDA Legislative Program and preparation of
Statements of Effects required on Legislative Program Proposals with budget
impact. This can be acquired from the
OBPA, Budget Control and Analysis Division.
g Executive Order 13132 on
Federalism. This executive order
requires
that agencies draft its regulations,
legislative comments or proposed legislation consistent with the principles of
Federalism.
h Executive Order 12988 on Civil
Justice Reform. This executive
order
specifies requirements for agencies in
developing legislative proposals in order to minimize litigation.
19 ON-LINE LEGISLATIVE SOURCES
a Thomas – www.thomas.loc.gov
b Senate Agriculture Committee –
www.senate.gov/~agriculture
c House Agriculture Committee –
www.agriculture.house.gov
d U.S. CODE – http://uscode.house.gov
Appendix A
FIGURE A-2
NOTE TO REVIEWERS
FROM: Stephen Dewhurst
Director
SUBJECT: Legislative Report on S. 1540 - Technical Correction to laws
governing Empowerment Zones and Enterprise Communities (EZ/EC)
OBPA
has not cleared the attached legislative report for the following reasons:
·
We think the report could be improved by providing a brief
explanation of the substance of the legislation. We checked the Congressional Record and have attached substantive
comments made when the legislation was introduced. Perhaps they could be used
as a basis for a short paragraph that could be included in the report.
·
Our understanding of this
legislation is that it is intended to extend to Areas adjoining Round 1
Empowerment Zones and Enterprise Communities (EZ/EC) certain benefits of these
zones and communities without their having to meet the poverty level criteria
on eligibility. In short, it would
allow some affluent areas to receive the benefits of the EZ/EC initiative. Apparently, this provision was included in
the authorizing legislation for Round II, but was not part of Round I. It might be useful to know in the
legislative report whether any of the Round I rural EZ/EC designees are likely
to be affected by the legislation.
Attachment
Appendix A
FIGURE A-3
NOTE TO REVIEWERS
FROM: Stephen Dewhurst
Director
SUBJECT: Legislative Report on H.R. 1504 – Legislation to Amend the Plant
Quarantine
Laws, known as the Plant Protection Act
A variety of laws dating back to 1912, known as the plant quarantine laws no
longer keep pace with today’s advances in science, plant production, and
biotechnology. H.R. 1504 addresses
these concerns by clarifying the Animal and Plant Health Inspection Service
(APHIS) role that ensures the protection of U.S. plant resources. This proposed legislation essentially
accomplishes the plant pest provisions of the Department’s broader legislative
proposal.
H.R. 1504 specifically provides for a number of plant protection improvements
over existing law, as follows:
!
it
clarifies authority to address noxious weeds,
!
it defines
biological control organisms as beneficial agents,
!
it
requires actions to be science and/or risk based,
!
it
refines analytical requirements necessary to support greater trade under the
multilateral regimes of NAFTA and the WTO,
!
it
increases the cap on civil penalties from $1,000 to $50,000 per violation,
!
it
provides investigatory and enforcement tools to APHIS similar to those used by
other regulatory agencies, and
!
it
strengthens partnerships with States, reaffirms Federal preemption, and allows
for special State and/or regional situations for quarantines.
APHIS’ draft response suggests four minor changes to the proposed
legislation. First, it suggests
language so that the legislation would apply to goods in international as well
as interstate commerce. Second, it
suggests a special definition of noxious weeds be applied to Federal land
management agencies at the request of the Forest Service. Third, it suggests clarifying the intention
of the legislation regarding extraordinary emergencies to include noxious
weeds. Fourth, it suggests that the warrant provisions could be executed by any
authorized USDA employee.
The draft response concludes that no additional cost would be incurred for the
next seven fiscal years.
Attachment
FIGURE A-4
FLOW CHART IN THE USDA LEGISLATIVE
REPORTS CLEARANCE PROCESS
Under/Assistant Secretary
Policy Review
OCR review
OES Review
Secretary/Deputy If OMB request, report is signed
OBPA
coordinates with OMB
Secretary final clearance/signature
Appendix B
FIGURE B-1
SAMPLE REPORT TO CONGRESS
1
The
Honorable Larry Combest, Chairman
Committee on Agriculture
House of Representatives
Washington, D.C. 20515
Dear Mr. Chairman:
2
This is in reply to your request of March 1, 2001,
for a report on H.R. 609, a bill “To amend the Export Apple and Pear Act (Act)
to limit the applicability of the Act to apples.”
3
The Department of Agriculture (USDA) recommends that the bill be enacted.
4
H.R. 609 would exclude pears from Federal quality standards as currently
established under the Act and thereby provide greater flexibility to the United
States (U.S.) pear industry in responding to international markets.
5
Because private contractual arrangements between
buyers and sellers increasingly are controlling the quality of U.S. pear exports,
USDA believes mandatory Federal quality standards are no longer needed to
assure the high seasonal changes in the quality of the U.S. pear crop.
Minimum requirements would continue under existing State regulations if H.R.
609 is enacted.
For
example, Washington regulates minimum grade requirements and both Oregon and
California have minimum requirements for maturity and grade defects. In addition, two Federal marketing orders
for pears produced in Oregon and Washington offer the opportunity for pear
producers and handlers to establish minimum requirements for pear exports.
6
Enactment of H.R. 609 would not result in increased USDA outlays.
7
The Office of Management and Budget advises that there is no objection to the presentation
of this report from the standpoint of the Administration's program.
Thank you for the opportunity to comment on this bill.
8 Original & 1 copy for addressee; 1 copy and original salmon for OES, (See figure B-4 for instructions on clearance signature page); 1 copy for preparing agency; 1 copy for OGC; Other copies as requested.
Sincerely,
Number of Copies
Ann M. Veneman
9,10
Secretary
Appendix B
FIGURE B-1 (continued)
INSTRUCTIONS FOR PREPARATION OF REPORTS TO CONGRESS
NOTE: If it is necessary
for the report to be longer than two pages to fully explain USDA’s position
including pertinent facts, analysis, suggested amendments, etc., briefly
summarize the reasons for the position taken and include a more detailed
explanation as an enclosure.
Key: to the numbers in the example on the
opposite page.
1. ADDRESSEE. Replies to requests received from committee
chairmen and letters
relating to legislation pending before a committee should be
addressed to the appropriate committee chairman.
2. IDENTIFY
THE BILL. The first paragraph must
reference the request by date, the bill
number and the exact title (not the popular title) of the
bill. Enclose the title of the bill in
quotation marks.
3. SPECIFIC
RECOMMENDATION. The specific
recommendation of USDA should be
indicated in the second paragraph of the report. (Appendix B, figure B-10).
4. PURPOSE
OF LEGISLATION. The letter shall
contain a concise analysis of the
principal provisions of the draft bill being proposed.
5. BACKGROUND
AND JUSTIFICATION OF POSITION. The
report should contain the
strongest possible case for USDA’s position.
6. COST
ANALYSIS AND STAFF YEAR ESTIMATES.
Discuss the cost and savings
factors. An estimate
of the first year and recurring and nonrecurring governmental and
nongovernmental costs of the action should be included as well as estimates for
the succeeding five years and, as appropriate, the relationship of these costs
to those in the President’s budget.
Estimates of staff years of employment and personnel required to carry
out the provisions of the legislation in the budget year and for succeeding
fiscal years is also required. For more
detailed information, see OMB Circulars Nos. A-11 and A-19 and refer to the
statutory provisions of P.L. 89-554 and P.L. 91-510 provided for reference in
appendix C.
7. OMB
ADVICE PARAGRAPH. The concluding
paragraph on legislative reports to the
Congress will state OMB’ advice regarding the relationship
of the USDA’s report to the program of the President. See appendix B, figure B-11 for specific wording used and the
distinction between the different types of advice.
8. SINCERELY
should be added with the Secretary’s name.
9. ENCLOSURES
may include materials required by specific legislation, draft bills,
environment impact statements if required, impact analyses,
detailed cost data, suggested amendments and other information as appropriate.
10. CLEARANCE
SIGNATURE PAGE. See instructions in
appendix B, figure B-4.
Appendix B
FIGURE
B-2
SAMPLE
REPORT TO OMB
1
The
Honorable Mitchell E. Daniels, Jr.
Director
Office of Management and
Budget
Washington, D.C. 20503
Dear Director Daniels:
2
This is in reply to your request of October 19, 2001, for the views of the
Department of Agriculture (USDA) on the Department of Commerce’s draft bill
entitled “National Marine Aquaculture Act of 2001.”
3
USDA opposes submission of the draft bill to the Congress in its present form.
4
The draft bill would refocus many existing programs within the Department of
Commerce (DOC) in order to assist coastal States in promoting, where appropriate,
the sustainable development of a competitive United States marine aquaculture
industry. The bill provides economic
and environmental safeguards to expand the marine aquaculture industry into the
U.S. Exclusive Economic Zone by authorizing the Secretary of Commerce to issue
long-term leases for the operation of aquaculture facilities located therein.
5
Specifically, USDA objects to: a) developing a separate national aquaculture
bill for marine
aquaculture that partitions
or splits Federal authorities and responsibilities for aquaculture based on
definitions contained in the draft bill; b) establishing separate national
policies for marine aquaculture, and establishing a separate and independent
research initiative for marine aquaculture; and c) indirectly establishing the
DOC as the lead agency for marine aquaculture and the increased broad
regulatory authority for DOC in marine aquaculture contained in the draft bill.
As an alternative to the
proposed legislation, USDA supports the implementation of the policies and
purposes of the National Aquaculture Act of 1980. USDA supports strong cooperation and collaboration with DOC in
support of marine aquaculture through the National Science and Technology
Council’s Joint Subcommittee on Aquaculture.
USDA urges that if the Administration decides to develop an aquaculture
research initiative, it should be a Federal-wide initiative coordinated through
the Joint Subcommittee on Aquaculture and include both fresh water and marine
aquaculture.
Thank you for the
opportunity to comment on this draft bill.
7
Sincerely,
Original & 2 copies for addressee; 1 copy and original salmon for OES, (See figure B-4 for instructions on clearance signature page); 1 copy
for preparing agency; 1 copy for OGC; Other copies as requested. 8,9
Number of Copies
Ann M. Veneman
INSTRUCTIONS FOR PREPARATION OF
REPORTS TO OMB
NOTE: If it
is necessary for the report to be longer than two pages to fully explain USDA’s
position including pertinent facts, analysis, suggested amendments, etc.,
briefly summarize the reasons for the position taken and include a more
detailed explanation as an enclosure.
Key: to the numbers in
the example on the opposite page.
1. ADDRESSEE. Replies to
requests received from committee chairman and letters
relating
to legislation pending before a committee should be addressed to the
appropriate committee chairman.
2. IDENTIFY THE BILL. The first paragraph must reference the
request by date, the
bill number and the title of the bill. Enclose the title of the bill in quotation
marks.
3. SPECIFIC
RECOMMENDATION. The specific
recommendation of USDA should be
indicated in the second paragraph of the report. (See sample position paragraphs in figure
B-10).
4. PURPOSE
OF LEGISLATION. The letter shall
contain a concise analysis of the
principal provisions of the draft bill being proposed.
5. BACKGROUND
AND JUSTIFICATION OF POSITION. The
report should contain
the strongest possible case for USDA’s position.
6. COST
ANALYSIS AND STAFF YEAR ESTIMATES.
Discuss the cost and savings
factors. An estimate
of the first year and recurring and nonrecurring governmental and
nongovernmental costs of the action should be included as well as estimates for
the succeeding five years and, as appropriate, the relationship of these costs
to those in the President’s budget.
Estimates of work years of employment and personnel required to carry
out the provisions of the legislation in the budget year and for succeeding
fiscal years is also required. For more
detailed information, see OMB Circulars Nos. A-11 and A-19 and refer to the statutory
provisions of P.L. 89-554 and P.L. 91-510 provided for reference in appendix
C. (Not shown on example)
7. SINCERELY
should be added with the Secretary’s name.
8. ENCLOSURES
may include materials required by specific legislation, draft bills,
environmental impact statements if required, impact
analyses, detailed cost data, suggested amendments and other information as
appropriate.
9. CLEARANCE SIGNATURE PAGE. See instructions in
appendix B, figure B-4.
Appendix B
FIGURE B-3
SAMPLE REPORT ON AN ENROLLED BILL
1
The Honorable
Mitchell E. Daniels, Jr.
Director
Office of Management and
Budget
Washington, D.C. 20503
Dear Director Daniels:
2
This is in reply to your request of October 19, 2001, concerning the views of
the Department of Agriculture (USDA) on the enrolled bill H.R. 1197, “To amend
title 35, United States Code, to protect patent owners against the unauthorized
sale of plant parts taken from plants illegally reproduced, and for further
purposes.”
3
USDA recommends that the President sign the enrolled bill.
4
The bill clarifies that a plant patent issued under title 35 of the United
States Code includes the right for the patent owner to exclude others from
using, offering for sale, selling, or importing both the entire plant and any
of its parts. The bill also provides
access to electronic patent information.
5
Because current U.S. patent law only provides patent
protection for entire plants, plant parts are often traded in U.S. markets to the
detriment of U.S. plant patent holders who lose royalty income and maybe less
likely to invest in domestic research and breeding. By clarifying that U.S. patent law protects the owner of a plant
patent against the unauthorized sale of plant parts taken from plants illegally
reproduced, H.R. 1197 will strengthen the ability of U.S. plant patent holders
to enforce their patent rights, an objective USDA supports and thus
consequently recommends that the bill be signed.
7
Sincerely,
Original & 2 copies for addressee; 1 copy and original salmon for OES, (See figure B-4 for instructions on clearance signature page); 1 copy for preparing agency; 1 copy for OGC; Other copies as requested. 8,9
Number of Copies
Ann M. Veneman
Appendix B
FIGURE B-3 (continued)
INSTRUCTIONS FOR PREPARATION OF ENROLLED BILL REPORTS
NOTE: Agencies
must complete their preparation of enrolled bill reports
within 24
hours of request. The report should be
two pages or less in
length.
Key: to the numbers in the example on the
opposite page.
1. ADDRESSEE. Replies to OMB requests should be addressed
to the Director, Office
of Management and Budget.
2. IDENTIFY
THE BILL. The first paragraph must
reference the enrolled bill number,
and
the exact title (not the popular title) of the bill. Enclose the title of the bill in quotation marks.
3. SPECIFIC
RECOMMENDATION. The specific
recommendation for approval or
disapproval shall be in the second paragraph. When approval is recommended and the measure
is of high public interest, the preparing agency may provide a draft signing
statement, see figure B-8 for an example.
When disapproval is recommended, the preparing agency must prepare a
draft veto message to accompany the report, see figure B-9 for an example.
4. PURPOSE
OF LEGISLATION. The letter shall
contain a concise analysis of
the
principal provisions of the draft bill being proposed.
5. BACKGROUND
AND JUSTIFICATION OF POSITION. The
report should contain
the strongest possible case for USDA’s position. Any comments, criticisms or other special
considerations which sustain USDA’s position and which might assist the
President in reaching a decision should also be included. Identify any factors that might warrant
Presidential action by a particular date.
6. AMENDMENTS. The report should indicate whether Congress
has amended the bill
in a manner that might affect the position previously taken
by the Administration with respect to the bill. (Not shown on example)
7. SINCERELY
should be added with the Secretary’s name.
8. ENCLOSURES
include a draft signing statement or a draft veto message as
discussed in item 3 above.
9. CLEARANCE
SIGNATURE PAGE. See instructions in
appendix B, figure B-4.
Appendix B
FIGURE B-4
INSTRUCTIONS FOR PREPARING CLEARANCE SIGNATURE PAGE
1 CLEARANCE SIGNATURE
PAGE
Preparing agencies should prepare a clearance signature page
for their agency head on a separate salmon page and blocks for all other
officials at the agency head level or above who are expected to clear the
report. Such officials include other
agency or staff office heads and policy officials. They should be listed in the order of expected clearance. Extra salmon pages shall be added when
necessary. However, to avoid extra
salmon pages as much as possible, clearance signature blocks shall appear in
two columns as indicated below.
When a substantive change is made that requires the letter to be re-cleared, a
new final page with clearance signature blocks must be prepared and used just
as it always has. Only the head, acting
head, or other designated official of the agency or office shall sign and date
the signature block on the salmon copy.
The signature should appear over the typewritten name of the agency
head. When an official other than the
agency head signs, the signature and the typed name of such official should
appear over the agency head’s name indicating that the approval is for the
agency head. All other officials within
an agency who review or approve legislative reports should do so in accordance
with the agency’s system, but such review and approval should not
be indicated on the salmon copy.
2 DETAILED REQUIREMENTS FOR SETTING UP
THE CLEARANCE SIGNATURE
PAGE
The requirements below are shown in figure B-6
a Title of bill or report, track number
b The signature line should be 25
spaces long, followed by two blank spaces, and
then a nine space line for the date. If a second column is required, it should
begin five spaces after the prior date line. Type the preparing agency/staff office acronym and the name of the
“Date” below the date line.
c There should be three blank lines
between the agency/staff office acronym
and succeeded blocks provided for each agency/staff office head
or policy official expected to clear the reports. These will include other involved agencies, the General Counsel,
the Director of OBPA, the appropriate Under or Assistant Secretary, the Chief
of Staff, the Deputy Secretary, and the Secretary. The blocks should be listed in the expected clearance order.
d If additional clearances are later
determined to be necessary, they should be
added to the right of
the list on the salmon copy by the office(s) that makes
the
determination. Extra salmons shall be
added when necessary.
Appendix B
FIGURE
B-5
SAMPLE LAST PAGE OF SALMON FILE COPY
The Honorable Larry Combest
The Office of Management and Budget advises that there is no objection to the
presentation
of this report from the standpoint of the Administration’s program.
Thank you for the opportunity to comment on this bill.
Sincerely,
Secretary
FSA/JMANNION/FARMBILL/2/19/02/X720-4467
Appendix B
FIGURE B-6
SAMPLE CLEARANCE SIGNATURE SALMON PAGE
CLEARANCE SIGNATURES
(Title of bill or report, track number)
(or Asst. Secretary)
_____________________________ _________
Appendix B
FIGURE
B-7
AFTER OMB CLEARANCE
(Title of the bill or report, track number)
__________________________ ________
Under Secretary – MRP Date
_________________________ _________
OES Date
_________________________ _________
OCR
Date
_________________________ _________
Executive Assistant Date
_________________________ _________
Deputy Secretary Date
_________________________ _________
Secretary Date
**Secretary for Signature**
Appendix B
SAMPLE SIGNING STATEMENT
I have signed into law today S. 1150, the “Agricultural Research, Extension, and
Education Reform Act of 1998.” The Act
restores food stamp benefits to certain legal immigrants and others who should
not have been excluded from the program under provisions of the 1996 welfare
reform bill. In addition, it provides
direct funding for crop insurance delivery expenses, thereby ensuring that
farmers will have needed crop insurance coverage. It also provides an infusion of funding for agriculture research,
extension, and education to strengthen the technology-based competitive
advantages that U.S. farmers now enjoy.
I believe the Act’s overwhelming bipartisan support is evidence of a strong
consensus for reforms in agriculture and welfare policies and indicates that
the Federal government has not, and will not, abandon its basic responsibilities
to individuals who are in need of assistance and to farmers who now compete in
a global market place.
The Food Stamp provisions continue to promote work and responsibility while
restoring eligibility to elderly and infirm individuals who, as legal residents
of the United States when welfare reform was enacted, were fully entitled to
participate in the Food Stamp program.
Many of these individuals have limited means of support. The unnecessarily harsh measures of welfare
reform have no doubt had an adverse effect on their well-being. In restoring program benefits to these
individuals, the Act preserves a fundamental principle of welfare reform by
requiring sponsors to assume full responsibility for food and financial
security of immigrants who have come to this country since 1996.
*Note: Type double-spaced; use legal
size bond paper; prepare original and one copy.
Appendix B
FIGURE
B-9
SAMPLE VETO MESSAGE
To the Senate:
I return herewith, without my approval, S. , entitled, “An
act for the relief of John Doe.”
This bill authorizes and directs the Commissioner of Internal Revenue to act
upon the claim filed by John Doe of Central City, Illinois, for a refund of
processing taxes under the provisions of section 15(e) of the Agricultural
Adjustment Act. This bill directs the
Commissioner of Internal Revenue to treat the claim in question as though there
were not a statute of limitations provided in such matter. In section 601 of the Revenue Act of 1936,
certain refunds of taxes collected by virtue of the Agricultural Adjustment Act
were authorized and a provision was inserted to the effect that no refund was
to be allowed unless the claimant filed his claim prior to January 1,
1937. The record shows that the claim
of John Doe was filed subsequent to that date.
From time to time there have been submitted to me other bills which
propose to exempt certain taxpayers from the operation of the statute of
limitations by extending the time for the refunding of certain taxes to such
taxpayers. On these occasions, I
expressed my accord with the settled policy of Congress that it is sound to
include in all revenue acts time limitations after which it becomes impossible
for the Government to collect additional taxes, or for the taxpayer to obtain a
refund of an over-payment of tax. I
pointed out in many such instances that legislation, such as the proposed bill,
selects one taxpayer for special treatment by exempting him from that policy. In this regard the present measure. S. , does not differ in principle
from other such bills which I have considered on prior occasions. I am not aware of any circumstances that
would justify an exception in this case to the long-established policy of
Congress. I must reiterate my belief
that legislation of this character should not be used to relieve individuals or
special classes of taxpayers from the consequence of their failure to file
refund claims within the period fixed by law.
*Note: Type
double-spaced; use legal size bond paper; prepare original and one copy.
Appendix B
FIGURE B-10
SAMPLE POSITION PARAGRAPHS ON REPORTS TO THE CONGRESS
FAVOR
The Department of Agriculture (USDA) recommends that the bill be enacted.
OPPOSE
The Department of Agriculture (USDA) does not recommend enactment of this bill.
FAVOR WITH AMENDMENTS
The Department of Agriculture (USDA) recommends that the bill be enacted if
amended to........... (Describe the
nature and purpose of the proposed amendment (s) and then attach the specific
language to the report).
NO OBJECTIONS
The Department of Agriculture (USDA) has no objection to the enactment of this
bill.
DEFER TO OTHER DEPARTMENT
The Department of Agriculture (USDA) defers to Since (this bill does not directly affect the
operations USDA).*
*USDA must give a reason for why it defers.
The reason shown is just an example.
Appendix B
FIGURE B-11
OMB ADVICE PARAGRAPHS AND THEIR IMPLICATIONS
The concluding paragraph on legislative reports to the program of the
President. The specific paragraphs are
listed below along with a discussion of their implications.
“NO OBJECTION” PARAGRAPH.
“The Office of Management and Budget advises that there is no objection to the
presentation of this report (in the case of proposals initiated by USDA, say
‘proposed legislation’ instead of report) from the standpoint of the
Administration’s program.”
IMPLICATIONS OF “NO OBJECTION” PARAGRAPH. Advice that there is no objection to a bill
from the standpoint of the Administration’s program is given on the large
number of USDA draft bills that deal with matters primarily of USDA concern and
do not bear a direct or immediate relationship to the President’s program or
the Administration’s objectives. In
effect, such advice indicates to Congress that OMB knows of no reason why the
President would not approve the bill if Congress should enact it.
Advice to a department that there is no objection from the standpoint of the
Administration’s program to its submission of a report (or testimony) on a bill
to a committee of Congress does indicate any commitment as to ultimate
Presidential approval or disapproval of the bill if it is enacted. Nevertheless, such “no objection” clearance does
set up certain presumptions. If all
agencies’ views are favorable, the presumption is that no major objection to
the bill is known and that the agencies affected will recommend Presidential
approval if it becomes enrolled. If all
departments’ views are adverse, the presumption is that the departments may
wish to recommend a veto if the bill becomes enrolled.
Infrequently, “no objection” clearance is given to Department reports
expressing divergent views on the same bill.
When this is done, it normally means that there is no objection to the
bill if Congress acts favorably after considering the adverse views. Occasionally, it means that the
Administration’s position is being reserved pending resolution of the
Departments’ differences, and this reservation may be explicitly stated. The interested departments are advised of
each other’s differing views in these cases.
Appendix B
FIGURE B-11 (continued)
“CONSISTENT WITH” PARAGRAPH
“The Office of Management and Budget advises that there is no objection to the
presentation of this report and that enactment of the legislation (or proposed
legislation if initiated USDA) would be consistent with the Administration’s
program.”
IMPLICATIONS OF “CONSISTENT WITH” PARAGRAPH. “Consistent with” advice is used where the
relationship of a legislative proposal or a bill to the Administration’s
objectives is direct and the Administration’s expressed support is desirable,
but the item does not warrant personal identification with, or support by, the
President. “Not consistent with” advice
signals to Congress that there are major objections to a bill, but does not
indicate as clearly as “not in accord” advice that a veto would be considered
if it were enacted.
“IN ACCORD” PARAGRAPH
“The Office of Management and Budget advises that there is no objection
to
the presentation of this report and that enactment of ‘bill number’ or ‘this
proposed
legislation’ would be in accord with the President’s program.”
IMPLICATIONS OF “IN ACCORD” PARAGRAPH. When a department or a committee of Congress
is advised that enactment of a bill would be in accord with the program of the
President, the advice means that the bill is of sufficient importance for the
President to give it his personal and public support. That identification of the legislative proposal with the
President is made in a variety of ways; e.g., by inclusion in one of his
regular messages (State of the Union, Economic, Budget), a special message, speech,
press conference, letter or leadership meeting.
IMPLICATIONS OF “NOT IN ACCORD” PARAGRAPH. “Not in accord” advice indicates that a bill
is so contrary to the President’s legislative proposals or other policies or is
otherwise so objectionable that should it be enacted in its current form, a
veto would be considered. It is not,
however, necessarily a commitment to veto.
QUALIFIED ADVICE
In some cases the advice given is qualified.
For example, the advice may be that there would be no objection to enactment
of the bill from the standpoint of the Administration’s program, or that the
bill would be consistent with the Administration’s objectives, if it were
revised in specified respects. OMB will
specify the exact wording to be used in these cases.
APPENDIX C
COST ANALYSIS STATUTORY PROVISIONS
PUBLIC LAW 89-554 (5 U.S.C. 2953)
(1) relates to pending or proposed legislation
which, if enacted, will
compliance
with law or on the initiative of the appropriate authority of the executive
branch; and
(3) officially proposes or recommends
the creation or expansion, either by
action
of Congress or by administrative action, of a function, activity or authority
of the Executive agency to be in addition to those functions, activities and
authorities there of existing when the report, recommendation or other
communication is so submitted or transmitted;
five
fiscal years during which each additional or expanded function, activity or
authority so proposed or recommended is to be in effect, setting forth the
following information-
(A) the estimated maximum additional—
(i) man-years of civilian employment,
by general categories of
positions;
(ii) expenditures for personal
services; and
(iii) expenditures for all purposes
other than personal
services;
which are attributable to the function, activity or authority and which will
be
required to be effected by the Executive agency in connection with the
performance thereof; and
(B) such other statement, discussion,
explanation or other information
as
is considered advisable by the appropriate authority of the executive branch or
that is required by Congress or a committee thereof.
(b) Subsection (a) of this section does
not apply to--
(1) the Central Intelligence Agency;
(2) a Government controlled
corporation; or
(3) the General Accounting Office.
PUBLIC LAW
91-510, THE LEGISLATIVE REORGANIZATION ACT OF 1970
SECTIONS 252(a) (2 U.S.C. 190j) and 252(b)
Section 252(a) provides:
(1) The report accompanying each bill
or joint resolution of a public character reported by any committee of the
Senate (except the Committee on Appropriations) shall contain:
(A) An estimate, made by such
committee, of the costs which would be incurred in carrying out such bill or
joint resolution in the fiscal years following such fiscal year (or for the
authorized duration of any program authorized by such bill or joint resolution,
if less than five years), except that, in the case of measures affecting the
revenues, such reports shall require only an estimate of the gain or loss in
revenues for a one-year period; and
(B) A comparison of the estimate of
costs described in subparagraph (A) made by such committee with any estimate of
costs made by Federal agency; or
(C) In lieu of such estimate or
comparison, or both, a statement of the reasons why compliance by the committee
with the requirements of subparagraph (A) or (B), or both, is impracticable.
(2) It shall not be in order in the
Senate to consider any such bill or joint resolution if such bill or joint
resolution was reported in the Senate after the effective date of this
subsection and the report of that committee of the Senate which reported such
bill or joint resolution does not comply with the provisions of paragraph (1)
of this subsection.
Section 252(b) amends the Rules of the House of
Representatives by adding similar language applicable to House committees.
The Honorable J. Dennis Hastert, Speaker
1
U.S. House of Representatives
The
Capitol
Washington,
D.C. 20515
Dear Mr. Speaker:
2
I am transmitting, for the consideration of the Congress, this enclosed draft
bill, “To authorize the imposition of civil penalties for persons who harm
animals used for official inspection by the Department of Agriculture, and for
other purposes.”
3
The U.S. Department of Agriculture (USDA) recommends that the draft bill be
introduced and enacted.
4,6
One of the ways USDA’s Animal and Plant Health Inspection Service helps protect
American agriculture is through its agriculture quarantine and inspection (AQI)
program, by which inspectors examine cargo and passenger baggage for high-risk
material that could carry pests or diseases.
In many ports, inspectors use trained dogs to sniff for fruits and meat
in passenger baggage. The dogs, known
as the Beagle Brigade, are an important part of the AQI workforce, achieving a
high level of accuracy in their work.
While most passengers find the dogs a friendly and fascinating presence in the
ports, some do not respond so kindly.
There have been a number of incidents in which the animals have been hit
or kicked. In the most notable case,
Barney, working at Miami International Airport, was kicked by an angry
passenger. Barney was so affected by
this experience he had to be retired from the Beagle Brigade. Although the passenger was charged under
local laws with injury to a police dog, no further action was taken on the
charge. Local law is the only recourse
available when a dog is harmed, and the laws vary widely.
8
The Omnibus Budget Reconciliation Act that all revenue and direct spending
legislation meet a pay-as-you-go (PAYGO) requirement. That is, no such bill should result in a net budget cost; if it
does, it could contribute to a sequester if it is not fully offset. The estimated net budgetary effect of this
proposal is zero.
10
The Office of Management and Budget advises that there is no objection to the
presentation of this proposed legislation to Congress from the standpoint of
the Administration’s program.
Appendix D
FIGURE
D-1 (continued)
Page
2
I am sending an identical letter to the President of the Senate.
11
Sincerely,
Ann M. Veneman
12
Secretary
Enclosure
13 Original & 2 copies for addressee; 10 white copies of the entire package for OMB; 1 copy and original salmon for OES, (See figure B-4 for instructions on clearance signature page); 1 copy for preparing agency; 1 copy for OGC; 50 copies for congressional committees (after signature
by the Secretary by the preparing agency); Other copies as requested.
Number of Copies
Appendix D
FIGURE
D-2
NOTE: Generally if it is necessary for the report to be longer
than two pages to fully explain USDA’s position including pertinent facts,
analysis, suggested amendments, etc., briefly summarize the reasons for the
position taken and include a more detailed explanation as an enclosure.
Key: to the numbers in
the example on the opposite page.
1. ADDRESSEE. Two transmittal letters are required; (1) a
transmittal letter to the Speaker of
the
House, (2) a transmittal letter to the President of the Senate.
2. IDENTIFY THE BILL. The first paragraph should reference the
proposal as a draft
bill for the consideration
of the Congress and the exact title of the proposal. Enclose the title in quotation marks.
3. SPECIFIC RECOMMENDATION. The second paragraph of the report should
state that
USDA
recommends enactment of the proposal.
4. PURPOSE OF LEGISLATION. The letter shall contain a concise analysis
of the principal
provisions
of the draft bill being proposed.
5. PREVIOUS REPORTS AND BILLS
sent to the Congress may be referenced briefly, when
appropriate
(Not shown on example.)
6. BACKGROUND AND JUSTIFICATION OF
POSITION. The report should contain
the
strongest
possible case for the Department’s position.
7. AMENDMENTS SUGGESTED BY USDA. Not applicable.
8. COST ANALYSIS AND WORK YEAR
ESTIMATES. Discuss the cost and
savings factors.
An
estimates of the first year and recurring and nonrecurring governmental and
nongovernmental costs of the action should be included and, as appropriate, the
relationship of these costs to those in the President’s budget. Estimates of work years of employment and
personnel required to carry out the provisions of the legislation in the budget
year and for succeeding fiscal years is also required. For more detailed information, see OMB
Circulars Nos. A-11 and A-19 and refer to the statutory provisions of P.L.
89-554 and P.L. 91-510 provided for reference in appendix C.
9. NEPA PARAGRAPH. i.e. “Enactment of this proposed legislation
would have no significant
effect
on the quality of the human environment” if environmental impact statement is
enclosed with the legislative proposal.
If environmental impact statement is enclosed or is available for
insertion elsewhere, so state. The
National Environmental Policy Act of 1969 (P.L. 91-190), 40 CFR 1500-1508 and 7
CFR 3100 require the preparation of an environmental impact statement in
connection with legislative proposals which would significantly affect the
quality of human environment. Agencies
may have additional specific instructions or rules on these statements, which
must be followed. Not applicable to
sample.
Appendix D
FIGURE D-2 (continued)
10. OMB ADVICE PARAGRAPH. The concluding paragraph on legislative
proposals to the
Congress
will state OMB’s advice regarding the relationship of the Department’s report
to the program of the President. See
appendix B, figure B-11 for specific wording used and the distinction between
the different types of advice.
11. SINCERELY should be added
with the Secretary’s name.
12. ENCLOSURES include the bill
language, (appendix D, figure D-3), a section-by-section
analysis
of the proposed legislation, (figure D-4), a statement of changes in existing
law (Ramseyer/Cordon) where the legislative proposal would amend existing law
and environmental impact statements if and other information required by
statute.
13. CLEARANCE SIGNATURE PAGE. See instructions in
appendix B, figure B-4.
SAMPLE PROPOSAL
A BILL
To authorize the imposition of civil penalties for persons who harm animals
used
for official inspection by the Department of
Agriculture, and for other purposes.
Be it enacted by the Senate and House
of Representatives of the United
States of America in Congress assembled,
SECTION 1. CIVIL PENALTY.
(a) IN GENERAL.-Any
person who causes harm to, or interferes with, an
animal used for the purposes of official inspections by the Department of
Agriculture, may, after notice and opportunity for a hearing on the record, be
assessed a civil penalty by the Secretary of Agriculture not to exceed $10,000.
(b) FACTORS IN DETERMINING CIVIL
PENALTY.-In determining the
amount of a civil penalty, the Secretary of Agriculture shall take into account
the nature, circumstance, extent, and gravity of the offense.
(c) SETTLEMENT OF CIVIL PENALTIES.-The
Secretary of Agriculture
may compromise, modify, or remit, with or without conditions, any civil penalty
that may be assessed under this section.
(d) FINALITY OF ORDERS.-The order of
the Secretary of Agriculture
assessing a civil penalty shall be treated as a final order reviewable under
chapter 158 of title 28, United States Code.
The validity of the order of the
Secretary of Agriculture may not be reviewed in an action to collect the civil
FIGURE D-3
(continued)
penalty. Any civil penalty not paid in
full when due under an order assessing the
civil penalty shall thereafter accrue interest until paid at the rate of
interest
applicable to civil judgments of the courts of the United States.
SECTION 2. SUBPOENA AUTHORITY.
(a) IN GENERAL.-The Secretary of
Agriculture shall have power to
subpoena the attendance and testimony of any witness, and the production of all
documentary evidence relating to the enforcement of this Act or any matter
under
investigation in connection with this Act.
(b) LOCATION OF PRODUCTION.-The
attendance of any witness and
the production of documentary evidence may be required from any place
in the United States at any designated place of hearing.
(c) ENFORCEMENT OF SUBPOENA.-In case
of disobedience to a
subpoena by any person, the Secretary of Agriculture may request the Attorney
General to invoke the aid of any court of the United States within the
jurisdiction
in which the investigation is conducted, or where the person resides, is found,
transacts business, is licensed to do business, or is incorporated, in
requiring the
attendance and testimony on any witness and the production of documentary
evidence. In case of a refusal to obey
a subpoena issued to any person, a court
may order the person to appear before the Secretary of Agriculture and give
evidence concerning the matter in question or to produce documentary evidence.
Any failure to obey the court’s order may be punished by the court as a
contempt
Appendix D
FIGURE D-3 (continued)
of the court.
(d) COMPENSATION.-Witnesses summoned by
the Secretary of
Agriculture shall be paid the same fees and mileage that are paid to witnesses
in
courts of the United States, and witnesses whose depositions are taken, and the
persons taking the depositions shall be entitled to the same fees that are paid
for
similar services in the courts of the United States.
(e) PROCEDURES.-The Secretary of
Agriculture shall publish
procedures for the issuance of subpoenas under this Act. Such
procedures shall include a requirement that subpoenas be reviewed for legal
sufficiency and signed by the Secretary of Agriculture. If the authority to sign a
subpoena is delegated, the agency receiving the delegation shall seek a review
for legal sufficiency outside that agency.
(f) SCOPE OF SUBPOENA.-Subpoenas for
witnesses to attend court in
any judicial district or testify or produce evidence at an administrative
hearing in
any judicial district in any action or proceeding arising under this Act may
run to
any other judicial district.
Appendix D
FIGURE D-4
SECTION 1
Section 1 authorizes the Secretary to assess a maximum civil penalty of $10,000
for any person who causes harm to, or interferes with, an animal used for the
purposes of official inspections by the Department of Agriculture. Factors for determining the level of the
penalty would include the nature, circumstance, extent, and gravity of the
offense. The Secretary would also be
authorized to compromise, modify, or remit any penalty assessed. The Secretary’s order assessing a civil
penalty is final. Unpaid penalties
shall accrue interest.
SECTION 2
Section 2 authorizes the Secretary to issue subpoenas for the attendance and
testimony of
any witness and the production of documentary evidence relating to
the
enforcement of the Act or any matter under investigation under the Act.
Section 2 also
establishes parameters regarding the issuance and enforcement
of the
subpoena, authorizes compensation for witnesses and those taking
depositions,
and requires the Secretary to publish procedures for the issuance of
subpoenas,
which must include a requirement that subpoenas be reviewed for
legal
sufficiency.