PLAN THE RULEMAKING

Planned

Completed

Task

SIP Rule Project Planning

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Develop preliminary SIP development plan. Tentatively identify major elements that will need to be in the SIP, such as air quality data, emission inventories, control measures, attainment demonstrations, etc.

Ensure the rulemaking is on the DEQ Rulemaking Agenda

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Ensure the rulemaking is on the DEQ rulemaking agenda. Consult your division rules coordinator if it is not.

Discuss rule factors

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Discuss the rule factors with your manager, how they apply to the specific rule, and whether anything needs to be flagged or discussed with the division administrator.

Identify key target dates

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Use the Rulemaking Scheduling Worksheet, Rulemaking Timeline, and EMT/EQC Prep Schedule to identify key target dates (even if tentative) for your rulemaking. Include at least: SRP presentation to EMT; publication of Notice in the SOS Bulletin, close of comment; and EQC adoption meeting.

Update the rulemaking database

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Submit a draft completed Rulemaking Scheduling Worksheet to your division rules coordinator for the rulemaking database and calendar. Continue to submit updates as you complete or reschedule actions tracked in the database.

Start Rulemaking

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Schedule the SRP and opt in/out process

•  Request your DRC to schedule the SRP for an EMT meeting. (The DRC will inform the ARC who schedules with the OD.)

•  Plan dates for routing the SRP for internal review, submitting it to the OD, and completing the opt in/out process

•  Schedule a dry run date for the SRP

Provide the schedule to the DRC for the rulemaking database and calendar

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Obtain a current copy of your base rules and confirm with DRC; Confer with SIP coordinator to determine if the rulemaking would affect the SIP. For rules that do affect the SIP, determine with the SIP Coordinator if EPA will consider them a SIP relaxation.

Source of base rules: __________________________________________

Date rule division last revised: ____________________________________

Date rules obtained: ____________________________________________

Do the rules affect the SIP? (Y/N)

Are rules a SIP relaxation? (Y/N)

DRC initials review: ____________________________________________

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Complete SRP and Opt In/Out Form and e-mail to the following for approval:

•  Project lead’s manager (at least 5 days prior to the DA due date)

•  Division rules coordinator (at least 2 days prior to DA due date)

•  Lead administrator (at least 1 week prior to OD due date)

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Submit approved SRP and Opt In/Out Forms for distribution at ODAM)

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For major rules (i.e., new program, new workload) schedule briefings with individual DAs before the ODAM meeting

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Conduct dry run of SRP (usually the Thursday before the EMT meeting)

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Present the SRP to ODAM

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Obtain a completed opt in/out form from each EMT member by the due date (usually 2 weeks after ODAMmeeting).

•  Remind EMT members to submit forms if they do not.

•  Advise lead administrator of the results of the opt in/out process

Maintain the completed forms for the rulemaking plan

Form the Rulemaking Team

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Convene the rulemaking team

•  Team members include:

o  Representatives for EMT members opting in to the rulemaking process fully

o  Representatives of EMT members opting in through side agreements specifying limited team participation

o  Others the lead administrator or project lead add

•  Review team responsibilities and processes for completing the rulemaking

Develop the Rulemaking Plan

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Prepare the rulemaking plan

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Determine whether federal or other special notice requirements apply to your rulemaking (e.g., more lengthy notice, advertisement in newspapers). Consult DRC on questions.

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For Non-Attainment/Maintenance/Regional Haze SIP rules, develop a technical analysis protocol including inventory preparation plan

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If the SIP revision contains processes related to transportation (such as transportation control measures, motor vehicle emissions budget), coordinate with the Federal Highway Administration’s office. Contact Fred Patron, (fred.patron@fhwa.dot.gov, 503-587-4704) or Michelle Eraut (michelle.eraut@fhwa.dot.gov, 503-587-4718).

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Approve the Rulemaking Plan (Rulemaking Team and DRC)

For SIP rules the rulemaking plan could also be used as the Preliminary SIP Development Plan or SIP Revision Development Plan. The SIP Development Plan should be signed by the appropriate state/local and EPA representatives for approval.

DEVELOP THE RULEMAKING PROPOSAL

Follow the Rulemaking Plan

Your rulemaking plan should identify the key activities for developing your Notice of Proposed Rulemaking package. Follow the plan.

Conduct public involvement processes (if applicable)

List key public involvement activities.

Gather Data and Resolve Issues (if applicable)

Identify data gathering and key issues to be resolved.

Consult

Identify key consultations to address relevant issues, obtain necessary information, and keep PMT and EMT members and others informed.

Draft rules

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Consult your DRC to determine whether base rules are still current and whether other rulemaking will amend your base rules. Document date and source if you obtain new base rules: _________________________________

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Obtain permission from SOS for new rule numbers.

E-mail request for permission to use new rule numbers to your DRC. Include new rule numbers you plan to use. DRC will submit the request to SOS and inform you when approved.

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For new SIP rules, obtain new SIP section number. Include the “SIP Note” with each rule that is part of the SIP.

For rule SIPs, complete Appendix 4, “SIP Template for a Rule SIP Revision”

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Draft the rules

Review guidance for rule writing from Oregon Administrative Law Manual (DRC can provide)

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Consult the appropriate DOJ attorney

Obtain DAS approval for fees

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Complete Part I of DAS Form 333, supporting documentation and DAS Part I Cover Letter.

•  Coordinate with assigned MSD budget analyst and consult with DAS Analyst.

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Submit DAS fee request package to the lead administrator for approval

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Submit DAS fee request package to the director’s office for the director’s signature on the cover letter.

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Send the signed DAS fee request package to DAS for approval; copy the Legislative Fiscal Office and DEQ legislative coordinator. Addresses are on the cover letter.

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Obtain Form 333 with Part I signed by DAS from DAS. DAS normally responds within 30 days.

•  Retain the original Form 333 with Part I signed by DAS in the project files for submittal of Part II after the rules are adopted.

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Remind the lead administrator to meet with Legislative Fiscal Office) and Representative Susan Morgan prior to EQC adoption of fees (2002)

Schedule hearings (optional) and comment period

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Schedule hearings at least 28 days after DEQ mails notice of the proposed rulemaking and 14 days after publication in the SOS Bulletin.

•  For SIP rules, hearings must be at least 30 days after DEQ mails notice of the proposed rulemaking and 15 days after publication in the SOS Bulletin.

•  Close comment period at least 3 business days after the last hearing and 30 days after notice is mailed, if possible.

Prepare Notice documents

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Complete Notice of Proposed Rulemaking (with or without hearing).

The ARC signs this form after the lead administrator authorizes publication of notice, following concurrence review for the final Notice package. For SIP rules, the notice must say, “These amendments, if adopted, will be submitted to the U.S. Environmental Protection Agency as a revision to the State Implementation Plan, which is a requirement of the Clean Air Act”, and the notice must be approved by the SIP coordinator. Finally, the notice must designate “OAR 340-200-0040” under the section titled “AMEND”.

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Draft Statement of Need and Fiscal and Economic Impact

MSD-budget manager signs this statement before concurrence review for the final Notice package.

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Complete Land Use Evaluation Statement

The land use coordinator signs this statement before concurrence review for final notice package.

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Answer Relationship to Federal Requirements Questions

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Prepare Cover Memo for Notice Package

Develop Rule Implementation Plan

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Complete the Rule Implementation Plan Checklist and prepare a narrative Rule Implementation Plan, including communications and outreach

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Obtain approval from administrators and PMT for resource commitments as indicated on Rule Implementation Plan Checklist. (via e-mail or on the plan checklist)

PROVIDE NOTICE OF PROPOSE RULEMAKING

Review draft Notice of Proposed Rulemaking package

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Compile draft notice package for review, including:

Notice of Proposed Rulemaking Cover Memo, Notice of Proposed Rulemaking, Statement of Need and Fiscal and Economic Impact, Land Use Evaluation Statement, Relationship to Federal Requirements Questions, Rule Implementation Plan Checklist and Rule Implementation Plan, strikeout/underline version of the rule amendments (to selected reviewers), and any other supporting document needed.

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Submit draft Notice package to the following for internal review and approval before routing to reviewers:

•  Project lead’s manager (at least 5 days prior to the DA due date)

•  DRC (at least 2 days prior to DA due date)

•  lead administrator (at least 1 week prior to submitting to reviewers)

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E-mail the draft Notice package to the rulemaking team and the following reviewers using Draft Notice Package Routing Memo (edited for your package):

Project lead's mgr, participating EMT members (full or through side agreements specifying review), lead administrator, DRC, ARC, DOJ program attorney, and others designated in the Rulemaking Plan.

For SIP rules mail a draft to EPA, prior to the public participation process. (at least 45 days prior to the public hearing)

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Obtain comments from reviewers on the draft Notice package

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Revise the draft Notice package as needed.

•  Respond to comments on significant issues and as requested

•  Keep participating EMT members and others informed and elevate issues as needed

•  Route second draft for review as useful prior to concurrence review

Complete concurrence review for final Notice of Proposed Rulemaking package

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Submit final Notice package to the following for internal review and approval before routing to reviewers:

•  Project lead’s manager (at least 5 days prior to the DA due date)

•  DRC (at least 2 days prior to DA due date)

•  lead administrator (at least 1 week prior to submitting to reviewers)

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E-mail final Notice package with Concurrence Review for Notice of Proposed Rulemaking to rulemaking team and the following reviewers:

Project lead's mgr, participating EMT members (full or through side agreements specifying review), lead administrator, DRC, ARC, DOJ program attorney, and others designated in the rulemaking plan.

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Obtain concurrence reviews on final Notice package and provide to lead administrator

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Obtain lead administrator’s authorization to publish Notice in SOS Bulletin

Publish notice of proposed rulemaking

Publish notice in SOS Bulletin

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Fax Notice of Proposed Rulemaking and Statement of Need and Fiscal and Economic Impact to SOS at 503-378-4118:

•  By 4:30 p.m. on the 15^th of the month for publication on the 1^st of the next month (last bsns day before the 15^th when 15^th is a weekend or holiday)

•  At least 14 days before first hearing and 21 days before effective date of rules (use EQC adoption for effective date), not counting date of hearing or EQC meeting

•  For SIP rules, notice must be published at least 15 days prior to hearing.

Mail notice to interested persons and legislators

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Prepare notice package for mailing:

•  Include Notice of Proposed Rulemaking Cover Memo, Notice of Proposed Rulemaking, Statement of Need and Fiscal and Economic Impact, Land Use Evaluation Statement, Relationship to Federal Requirements Questions, strikeout/underline version of the rule amendments or an explanation in the cover memo how a copy of the rules can be obtained, and any other supporting document needed. (Do not include the Rule Implementation Checklist or Plan.)

•  Coordinate with division legislative coordinator to determine whether to personalize a cover letter for the notice packages for legislators.

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Identify, review and supplement the mailing lists to receive notice of proposed rulemaking. Send notice to the following:

•  DEQ’s “All Rules” mailing

o  all persons who have requested in writing to be notified of all DEQ rulemaking;

o  selected legislators (Speaker of the House, President of the Senate, chair or co-chairs of interim or session committees with authority over subject matter of DEQ rulemaking);

o  Legislative Counsel;

o  Department of Land Conservation and Development;

o  Energy Facility Siting Council;

o  EQC members; and

o  others DEQ adds.

•  The following additional legislators – if the proposed rules result from legislation passed within two years before this notice is given

o  the legislator who introduce the bill that subsequently was enacted into law, and

o  the chair or co-chairs of all committees that reported the bill out, except those whose sole action was to refer the bill to another committee.

•  Any other mailing lists for your program or rule division (e.g., “AQ All Rules”) (Divisions and ofices maintain these lists)

o  all persons who have requested in writing to be notified of all program or particular rule division rulemaking; and

o  other persons the program, division, or office has added.

•  Other persons requesting notice or otherwise identified for your rulemaking

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Coordinate with mailroom and support staff to prepare for copying and mailing the notice package. Merge and review lists to avoid mailing multiple copies to anyone unintentionally.

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Mail notice to the mailing lists:

•  At least 28 days before first hearing date and 28 days before effective date (use EQC adoption date). For SIP and delegated programs, submit draft rule to EPA at least 45 days before hearing. At least 49 days before effective date for legislators. Do not count date of hearing or EQC adoption.

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Have the person depositing the mailing in U.S. Postal mail complete a Certificate of Mailing and attach a copy of the materials mailed and the lists of recipients. Put the Certificate with attachments in the rulemaking record.

Place newspaper ads

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Ask AA to place ads (allow 5-7 days for newspapers to process).

For SIP rules, you must draft a legal notice newspaper advertisement. A 30-day notice is required, not counting the day of publication or day of public hearing. This notice must indicate the proposal will revise the SIP. The AA will contact the newspapers directly and give them specific instructions regarding the ad and when it is to run. The AA will then prepare a standard requisition, attach the text of the ad, and send both to the accounting section in the business office at headquarters. Be sure to tell the AA where the costs are to be charged and ask that he or she add a note on the requisition form asking the business office to return a copy of the affidavit of publication to you. Accounting will pay the newspapers when it receives the invoice and tearsheet or affidavit of publication. If any of these originals come to you, promptly return them to accounting for payment. Put a copy of the affidavits of publication and the published ads in your rulemaking record.

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Obtain a copy of the affidavit of publication (with copy of published ad) from the business office for the rulemaking record

Publish Notice on DEQ’s website

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Ask the DRC for current requirements, procedures and assistance in publishing the notice package (generally as mailed) on DEQ’s website.

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Send news release to media

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Prepare news releases, consulting with OCO staff as useful, and mail to media.

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Retain a copy of the news release and list of media to whom mailed for the record.

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Verify publications

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Review publications to verify that notice was accurately published in the Bulletin and newspapers and on DEQ’s website. The Bulletin is on the SOS website at: http://arcweb.sos.state.or.us/banners/rules.htm. Contact your division rules Coordinators if publication is inaccurate.

Conduct learning check

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Evaluate the rulemaking with key participants to identify successes and problems with the process and practices, and opportunities for improvement. (DRC leads)

Conduct hearings and receive comment

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Conduct hearings and receive comment (presiding officer)

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Prepare presiding officer’s report for the final rulemaking package (PO prepares)

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Compile all oral and written comments, data, exhibits and other information received during the comment period; evaluate it; and prepare responses in a Summary of Comments and Agency Responses.

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Put originals of all comments, data, exhibits and other written materials received and the recordings of oral testimony presented at the hearings in the rulemaking record. Include printed e-mail comments.

Revise rules in response to comment

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Consult with the DRC to determine whether the base rules are still current and whether other rulemaking will amend your base rules. Document date and source if you obtain new base rules: _________________________________________

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Revise rules in response to comments.

•  Respond to comments on significant issues and as requested

•  Consult, keep participating EMT members and others informed and elevate issues as needed

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For SIP and delegated programs, provide EPA with a copy of significant changes or responses to EPA comments.

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Consult with your manager and lead DA to determine if a briefing for the director’s office is necessary.

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Refer to the Information Sheet – Rule Factors with your manager to verify that they have been managed. Begin drafting a transmittal memo to the OD (through the lead DA) that explains how any flagged rule factors were addressed.

ADOPT RULES

Review draft Final Rulemaking package

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Draft EQC staff report

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Update the Rule Implementation Plan Checklist and Plan

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Compile the draft Final Rulemaking Package:

•  EQC Staff Report – rule adoption with the following attachments:

Proposed rule revisions (strikeout/underline; “accepted changes” optional); Summary of public comments and Agency Responses; Presiding Officer’s Report; Statement of Need and Fiscal and Economic Impact (from notice package); Land Use Evaluation Statement (from notice package); Relationship to Federal Requirements Questions (from notice package); Advisory Committee Membership and Report

•  Rule Implementation Plan Checklist and Plan

•  Other documents as useful

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Submit the draft final rulemaking package to the following for internal review and approval before routing to reviewers:

•  Project lead’s manager (at least 5 days prior to the DA due date)

•  DRC (at least 2 days prior to DA due date)

•  lead administrator (at least 1 week prior to submitting to reviewers)

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E-mail the draft final rulemaking package to rulemaking team and the following reviewers using Draft Final Rulemaking Package Routing Memo (edited for your package):

Project lead's mgr, participating EMT members (full or through side agreements specifying review), lead administrator, DRC, ARC, DOJ program attorney, DOJ EQC counsel, and others designated in the Rulemaking Plan.

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Obtain reviewer comments on the draft Final Rulemaking package

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Revise the final rulemaking package as needed in response to comments.

•  Respond to comments on significant issues and as requested

•  Consult, keep participating EMT members and others informed and elevate issues as needed

•  Route second draft for review as useful prior to concurrence review

Complete concurrence review for Final Rulemaking package

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Submit draft Final Rulemaking package to the following for internal review and approval before routing to reviewers:

•  Project lead’s manager (at least 5 days prior to the DA due date)

•  DRC (at least 2 days prior to DA due date)

•  lead administrator (at least 1 week prior to submitting to reviewers)

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E-mail final rulemaking package with Concurrence Review for Final Rulemaking Package to rulemaking team and the following reviewers:

Project lead's mgr, participating EMT members (full or through side agreements specifying review), lead administrator, DRC, ARC, DOJ program attorney, DOJ EQC counsel, and others designated in the rulemaking plan.

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Obtain concurrence reviews on the final rulemaking package and provide to lead administrator

Include the transmittal memo to the OD (through the lead DA) that explains how any flagged rule factors were addressed.

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Obtain lead administrator’s authorization to submit Final Rulemaking package to the Director

Submit the Final Rulemaking package to the Director’s Office

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By 5:00 p.m. in the due date, submit the final rulemaking package to the director’s office for the director’s approval and signature on the EQC staff report.

•  E-mail the package and submit 1 hard copy, with the EQC staff report signed by the program

If approved, the OD will send the EQC staff report with attachments to the EQC (without Rule Implementation Plan and other documents available upon request).

Distribute the Final Rulemaking package

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E-mail the approved EQC staff report with attachments to the concurrence reviewers (without Rule Implementation Plan and other documents available upon request).

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Mail the approved EQC staff report with attachments to persons who provided oral or written comment during the comment period.

Have the person depositing the mailing in U.S. Postal mail complete a Certificate of Mailing and attach a copy of the materials mailed and the lists of recipients. Put the Certificate with attachments in the rulemaking record.

Present proposed rules to EQC for adoption

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Present a dry run of the presentation to the lead administrator and others (the Thursday before the EQC meeting).

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Present the proposed rules to the EQC

File rules with the SOS and Legislative Counsel

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Prepare the filing packages for the SOS and Legislative Counsel and submit them to the DRC for approval (DRC may assist in preparing):

The filing package for the SOS must include:

•  Cover letter for filing permanent rules or cover letter for filing temporary rules, to be signed by the ARC – original

•  Certificate of Filing Permanent Rules or Certificate for Filing Temporary Rules, to be signed by the ARC -- original (ARC will add two signed copies)

•  Statement of Need and Justification (for temporary rules only), signed by the director -- original and two copies

•  Hard copy of the adopted rules (no changes shown) properly formatted with margin notations of formatting -- original and one copy (formatting requirements are in Formatting for SOS Filling)

•  Diskette with electronic copies of the rules as adopted, properly formatted and labeled. Each diskette should include two separate files for each division revised, one in Word and one as text only.

•  Return envelope addressed to the ARC

The filing package for Legislative Counsel must include:

•  Copy of the cover letter sent to the Secretary of State (ARC will provide signed copy)

•  Copy of the Certificate and Order (ARC will provide signed copy)

•  Copy of the Statement of Need and Justification (for temporary rules only) signed by the Director – one copy

•  Hard copy of the rules showing changes (strikeout/underline) – one copy

For ARC:

•  Diskette with two electronic copies of the adopted rules: one showing changes and one with changes accepted

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Submit the filing package, approved by DRC, to ARC for signature and filing with SOS and Legislative Counsel

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File rules with SOS and Legislative Counsel (ARC files)

•  Rules are effective upon filing or a later date required by statute or specified in the rules

Complete DAS Form 333 for fee changes

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If the rules included a fee change, complete Part II of Form 333, using the original with Part I signed by DAS. Consult your MSD Budget Analyst if the adopted fees differ from those approved in Part I; you may need to provide additional documentation. Also complete DAS Part II Cover Letter. (Part II informs DAS of the fees adopted.)

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Submit the completed form and cover letter to the lead administrator for approval.

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Submit the approved form and cover letter to the ARC who will sign both Part II and the cover letter. The ARC will submit them to DAS for signature.

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Obtain a copy of Form 333 with Parts I and II signed by DAS for the rulemaking record. The cover letter requests DAS to return a copy of the signed form to the project lead.

Publish adopted rules on DEQ’s website

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Publish the rules on DEQ’s website. Ask the DRC for the current requirements and procedures.

Announce rule adoption

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The DRC will e-mail an announcement of the rule adoption to appropriate persons, as identified in the Rulemaking Plan.

Conduct learning check

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Evaluate the rulemaking with key participants to identify successes and problems with the process and practices, and opportunities for improvement. (DRC leads)

Verify accurate SOS publication

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Verify the SOS accurately publishes the adopted rules in the Bulletin and on its website, both at http://arcweb.sos.state.or.us/banners/rules.htm. Inform the division rules coordinator that publication is accurate; ask for assistance to correct any mistakes.

The SOS normally publishes rules filed by 15^th of the month in the Bulletin on the 1^st of the next month, but may require additional time for voluminous rules. The SOS often publishes rules on its website before they are published in the Bulletin.