§ 601. Definitions

§ 601. Definitions

(1) the term “agency” means an agency as defined in section 551(1) of this title;

(2) the term “rule” means any rule for which the agency publishes a general notice of proposed rulemaking pursuant to section 553(b) of this title, or any other law, including any rule of general applicability governing Federal grants to State and local governments for which the agency provides an opportunity for notice and public comment, except that the term “rule” does not include a rule of particular applicability relating to rates, wages, corporate or financial structures or reorganizations thereof, prices, facilities, appliances, services, or allowances therefor or to valuations, costs or accounting, or practices relating to such rates, wages, structures, prices, appliances, services, or allowances;

(3) the term “small business” has the same meaning as the term “small business concern” under section 3 of the Small Business Act, unless an agency, after consultation with the Office of Advocacy of the Small Business Administration and after opportunity for public comment, establishes one or more definitions of such term which are appropriate to the activities of the agency and publishes such definition(s) in the Federal Register;

(4) the term “small organization” means any not-for-profit enterprise which is independently owned and operated and is not dominant in its field, unless an agency establishes, after opportunity for public comment, one or more definitions of such term which are appropriate to the activities of the agency and publishes such definition(s) in the Federal Register;

(5) the term “small governmental jurisdiction” means governments of cities, counties, towns, townships, villages, school districts, or special districts, with a population of less than fifty thousand, unless an agency establishes, after opportunity for public comment, one or more definitions of such term which are appropriate to the activities of the agency and which are based on such factors as location in rural or sparsely populated areas or limited revenues due to the population of such jurisdiction, and publishes such definition(s) in the Federal Register;

(6) the term “small entity” shall have the same meaning as the terms “small business”, “small organization” and “small governmental jurisdiction” defined in paragraphs (3), (4) and (5) of this section; and

(7) the term “collection of information”—

(A) means the obtaining, causing to be obtained, soliciting, or requiring the disclosure to third parties or the public, of facts or opinions by or for an agency, regardless of form or format, calling for either—

(i) answers to identical questions posed to, or identical reporting or recordkeeping requirements imposed on, 10 or more persons, other than agencies, instrumentalities, or employees of the United States; or

(ii) answers to questions posed to agencies, instrumentalities, or employees of the United States which are to be used for general statistical purposes; and

(B) shall not include a collection of information described under section 3518(c)(1) of title 44, United States Code.

(8) Recordkeeping requirement.— The term “recordkeeping requirement” means a requirement imposed by an agency on persons to maintain specified records.

(Added Pub. L. 96–354, § 3(a), Sept. 19, 1980, 94 Stat. 1165; amended Pub. L. 104–121, title II, § 241(a)(2), Mar. 29, 1996, 110 Stat. 864.)

Editorial Notes

References in Text

Section 3 of the Small Business Act, referred to in par. (3), is classified to section 632 of Title 15, Commerce and Trade.

Amendments

1996—Pars. (7), (8). Pub. L. 104–121 added pars. (7) and (8).

Statutory Notes and Related Subsidiaries

Effective Date of 1996 Amendment

Pub. L. 104–121, title II, § 245, Mar. 29, 1996, 110 Stat. 868, provided that: “This subtitle [subtitle D (§§ 241–245) of title II of Pub. L. 104–121, amending this section and sections 603 to 605, 609, 611, and 612 of this title and enacting provisions set out as a note under section 609 of this title] shall become effective on the expiration of 90 days after the date of enactment of this subtitle [Mar. 29, 1996], except that such amendments shall not apply to interpretative rules for which a notice of proposed rulemaking was published prior to the date of enactment.”

Effective Date

Pub. L. 96–354, § 4, Sept. 19, 1980, 94 Stat. 1170, provided that: “The provisions of this Act [enacting this chapter] shall take effect January 1, 1981, except that the requirements of sections 603 and 604 of title 5, United States Code (as added by section 3 of this Act) shall apply only to rules for which a notice of proposed rulemaking is issued on or after January 1, 1981.”

Short Title of 1996 Amendment

Pub. L. 104–121, § 1, Mar. 29, 1996, 110 Stat. 847, provided that: “This Act [enacting sections 801 to 808 of this title, section 657 of Title 15, Commerce and Trade, and sections 1320b–15 and 1383e of Title 42, The Public Health and Welfare, amending this section and sections 504, 603 to 605, 609, 611, and 612 of this title, sections 665e and 901 of Title 2, The Congress, section 648 of Title 15, section 2412 of Title 28, Judiciary and Judicial Procedure, section 3101 of Title 31, Money and Finance, and sections 401, 402, 403, 405, 422, 423, 425, 902, 903, 1382, 1382c, 1383, and 1383c of Title 42, enacting provisions set out as notes under this section and sections 504, 609, and 801 of this title and sections 401, 402, 403, 405, 902, 1305, 1320b–15, and 1382 of Title 42, amending provisions set out as a note under section 631 of Title 15, and repealing provisions set out as a note under section 425 of Title 42] may be cited as the ‘Contract with America Advancement Act of 1996’.”

Short Title

Pub. L. 96–354, § 1, Sept. 19, 1980, 94 Stat. 1164, provided: “That this Act [enacting this chapter] may be cited as the ‘Regulatory Flexibility Act’.”

Regulatory Enforcement Reports

Pub. L. 107–198, § 4, June 28, 2002, 116 Stat. 732, provided that: “(a) Definition.—In this section, the term ‘agency’ has the meaning given that term under section 551 of title 5, United States Code. “(b) In General.—“(1) Initial report.—Not later than December 31, 2003, each agency shall submit an initial report to—“(A) the chairpersons and ranking minority members of—“(i) the Committee on Governmental Affairs [now Committee on Homeland Security and Governmental Affairs] and the Committee on Small Business and Entrepreneurship of the Senate; and “(ii) the Committee on Government Reform [now Committee on Oversight and Accountability] and the Committee on Small Business of the House of Representatives; and “(B) the Small Business and Agriculture Regulatory Enforcement Ombudsman designated under section 30(b) of the Small Business Act (15 U.S.C. 657(b)). “(2) Final report.—Not later than December 31, 2004, each agency shall submit a final report to the members and officer described under paragraph (1) (A) and (B). “(3) Content.—The initial report under paragraph (1) shall include information with respect to the 1-year period beginning on October 1, 2002, and the final report under paragraph (2) shall include information with respect to the 1-year period beginning on October 1, 2003, on each of the following:“(A) The number of enforcement actions in which a civil penalty is assessed. “(B) The number of enforcement actions in which a civil penalty is assessed against a small entity. “(C) The number of enforcement actions described under subparagraphs (A) and (B) in which the civil penalty is reduced or waived. “(D) The total monetary amount of the reductions or waivers referred to under subparagraph (C). “(4) Definitions in reports.—Each report under this subsection shall include definitions selected at the discretion of the reporting agency of the terms ‘enforcement actions’, ‘reduction or waiver’, and ‘small entity’ as used in the report.”

Assessment of Federal Regulations and Policies on Families

Pub. L. 105–277, div. A, § 101(h) [title VI, § 654], Oct. 21, 1998, 112 Stat. 2681–480, 2681–528, as amended by Pub. L. 108–271, § 8(b), July 7, 2004, 118 Stat. 814, provided that: “(a) Purposes.—The purposes of this section are to—“(1) require agencies to assess the impact of proposed agency actions on family well-being; and “(2) improve the management of executive branch agencies. “(b) Definitions.—In this section—“(1) the term ‘agency’ has the meaning given the term ‘Executive agency’ by section 105 of title 5, United States Code, except such term does not include the Government Accountability Office; and “(2) the term ‘family’ means—“(A) a group of individuals related by blood, marriage, adoption, or other legal custody who live together as a single household; and “(B) any individual who is not a member of such group, but who is related by blood, marriage, or adoption to a member of such group, and over half of whose support in a calendar year is received from such group. “(c) Family Policymaking Assessment.—Before implementing policies and regulations that may affect family well-being, each agency shall assess such actions with respect to whether—“(1) the action strengthens or erodes the stability or safety of the family and, particularly, the marital commitment; “(2) the action strengthens or erodes the authority and rights of parents in the education, nurture, and supervision of their children; “(3) the action helps the family perform its functions, or substitutes governmental activity for the function; “(4) the action increases or decreases disposable income or poverty of families and children; “(5) the proposed benefits of the action justify the financial impact on the family; “(6) the action may be carried out by State or local government or by the family; and “(7) the action establishes an implicit or explicit policy concerning the relationship between the behavior and personal responsibility of youth, and the norms of society. “(d) Governmentwide Family Policy Coordination and Review.—“(1) Certification and rationale.—With respect to each proposed policy or regulation that may affect family well-being, the head of each agency shall—“(A) submit a written certification to the Director of the Office of Management and Budget and to Congress that such policy or regulation has been assessed in accordance with this section; and “(B) provide an adequate rationale for implementation of each policy or regulation that may negatively affect family well-being. “(2) Office of management and budget.—The Director of the Office of Management and Budget shall—“(A) ensure that policies and regulations proposed by agencies are implemented consistent with this section; and “(B) compile, index, and submit annually to the Congress the written certifications received pursuant to paragraph (1)(A). “(3) Office of policy development.—The Office of Policy Development shall—“(A) assess proposed policies and regulations in accordance with this section; “(B) provide evaluations of policies and regulations that may affect family well-being to the Director of the Office of Management and Budget; and “(C) advise the President on policy and regulatory actions that may be taken to strengthen the institutions of marriage and family in the United States. “(e) Assessments Upon Request by Members of Congress.—Upon request by a Member of Congress relating to a proposed policy or regulation, an agency shall conduct an assessment in accordance with subsection (c), and shall provide a certification and rationale in accordance with subsection (d). “(f) Judicial Review.—This section is not intended to create any right or benefit, substantive or procedural, enforceable at law by a party against the United States, its agencies, its officers, or any person.”

Small Business Regulatory Fairness