[Federal Register Volume 63, Number 96 (Tuesday, May 19, 1998)]
[Presidential Documents]
[Pages 27651-27654]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-13552]
[[Page 27649]]
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Part IV
The President
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Executive Order 13083--Federalism
Executive Order 13084--Consultation and Coordination With Indian Tribal
Governments
Presidential Documents
Federal Register / Vol. 63, No. 96 / Tuesday, May 19, 1998 /
Presidential Documents
___________________________________________________________________
Title 3--
The President
[[Page 27651]]
Executive Order 13083 of May 14, 1998
Federalism
By the authority vested in me as President by the
Constitution and the laws of the United States of
America, and in order to guarantee the division of
governmental responsibilities, embodied in the
Constitution, between the Federal Government and the
States that was intended by the Framers and application
of those principles by the Executive departments and
agencies in the formulation and implementation of
policies, it is hereby ordered as follows:
Section 1. Definitions. For purposes of this order:
(a) ``State'' or ``States'' refer to the States of
the United States of America, individually or
collectively, and, where relevant, to State
governments, including units of local government and
other political subdivisions established by the States.
(b) ``Policies that have federalism implications''
refers to Federal regulations, proposed legislation,
and other policy statements or actions that have
substantial direct effects on the States or on the
relationship, or the distribution of power and
responsibilities, between the Federal Government and
the States.
(c) ``Agency'' means any authority of the United
States that is an ``agency'' under 44 U.S.C. 3502(1),
other than those considered to be independent
regulatory agencies, as defined in 44 U.S.C. 3502(5).
Sec. 2. Fundamental Federalism Principles. In
formulating and implementing policies that have
federalism implications, agencies shall be guided by
the following fundamental federalism principles:
(a) The structure of government established by the
Constitution is premised upon a system of checks and
balances.
(b) The Constitution created a Federal Government
of supreme, but limited, powers. The sovereign powers
not granted to the Federal Government are reserved to
the people or to the States, unless prohibited to the
States by the Constitution.
(c) Federalism reflects the principle that dividing
power between the Federal Government and the States
serves to protect individual liberty. Preserving State
authority provides an essential balance to the power of
the Federal Government, while preserving the supremacy
of Federal law provides an essential balance to the
power of the States.
(d) The people of the States are at liberty,
subject only to the limitations in the Constitution
itself or in Federal law, to define the moral,
political, and legal character of their lives.
(e) Our constitutional system encourages a healthy
diversity in the public policies adopted by the people
of the several States according to their own
conditions, needs, and desires. States and local
governments are often uniquely situated to discern the
sentiments of the people and to govern accordingly.
(f) Effective public policy is often achieved when
there is competition among the several States in the
fashioning of different approaches to public policy
issues. The search for enlightened public policy is
often furthered when individual States and local
governments are free to experiment with a variety of
approaches to public issues. Uniform, national
approaches to
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public policy problems can inhibit the creation of
effective solutions to those problems.
(g) Policies of the Federal Government should
recognize the responsibility of--and should encourage
opportunities for--States, local governments, private
associations, neighborhoods, families, and individuals
to achieve personal, social, environmental, and
economic objectives through cooperative effort.
Sec. 3. Federalism Policymaking Criteria. In addition
to adhering to the fundamental federalism principles
set forth in section 2 of this order, agencies shall
adhere, to the extent permitted by law, to the
following criteria when formulating and implementing
policies that have federalism implications:
(a) There should be strict adherence to
constitutional principles. Agencies should closely
examine the constitutional and statutory authority
supporting any Federal action that would limit the
policymaking discretion of States and local
governments, and should carefully assess the necessity
for such action.
(b) Agencies may limit the policymaking discretion
of States and local governments only after determining
that there is constitutional and legal authority for
the action.
(c) With respect to Federal statutes and
regulations administered by States and local
governments, the Federal Government should grant States
and local governments the maximum administrative
discretion possible. Any Federal oversight of such
State and local administration should not unnecessarily
intrude on State and local discretion.
(d) It is important to recognize the distinction
between matters of national or multi-state scope (which
may justify Federal action) and matters that are merely
common to the States (which may not justify Federal
action because individual States, acting individually
or together, may effectively deal with them). Matters
of national or multi-state scope that justify Federal
action may arise in a variety of circumstances,
including:
(1) When the matter to be addressed by Federal
action occurs interstate as opposed to being contained
within one State's boundaries.
(2) When the source of the matter to be addressed
occurs in a State different from the State (or States)
where a significant amount of the harm occurs.
(3) When there is a need for uniform national
standards.
(4) When decentralization increases the costs of
government thus imposing additional burdens on the
taxpayer.
(5) When States have not adequately protected
individual rights and liberties.
(6) When States would be reluctant to impose
necessary regulations because of fears that regulated
business activity will relocate to other States.
(7) When placing regulatory authority at the State
or local level would undermine regulatory goals because
high costs or demands for specialized expertise will
effectively place the regulatory matter beyond the
resources of State authorities.
(8) When the matter relates to Federally owned or
managed property or natural resources, trust
obligations, or international obligations.
(9) When the matter to be regulated significantly
or uniquely affects Indian tribal governments.
Sec. 4. Consultation. (a) Each agency shall have an
effective process to permit elected officials and other
representatives of State and local governments to
provide meaningful and timely input in the development
of regulatory policies that have federalism
implications.
(b) To the extent practicable and permitted by law,
no agency shall promulgate any regulation that is not
required by statute, that has federalism implica-
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tions, and that imposes substantial direct compliance
costs on States and local governments, unless:
L (1) funds necessary to pay the direct costs
incurred by the State or local government in complying
with the regulation are provided by the Federal
Government; or
L (2) the agency, prior to the formal promulgation
of the regulation,
L (A) in a separately identified portion of the
preamble to the regulation as it is to be issued in the
Federal Register, provides to the Director of the
Office of Management and Budget a description of the
extent of the agency's prior consultation with
representatives of affected States and local
governments, a summary of the nature of their concerns,
and the agency's position supporting the need to issue
the regulation; and
L (B) makes available to the Director of the Office of
Management and Budget any written communications
submitted to the agency by States or local governments.
Sec. 5. Increasing Flexibility for State and Local
Waivers. (a) Agencies shall review the processes under
which States and local governments apply for waivers of
statutory and regulatory requirements and take
appropriate steps to streamline those processes.
(b) Each agency shall, to the extent practicable
and permitted by law, consider any application by a
State or local government for a waiver of statutory or
regulatory requirements in connection with any program
administered by that agency with a general view toward
increasing opportunities for utilizing flexible policy
approaches at the State or local level in cases in
which the proposed waiver is consistent with applicable
Federal policy objectives and is otherwise appropriate.
(c) Each agency shall, to the extent practicable
and permitted by law, render a decision upon a complete
application for a waiver within 120 days of receipt of
such application by the agency. If the application for
a waiver is not granted, the agency shall provide the
applicant with timely written notice of the decision
and the reasons therefor.
(d) This section applies only to statutory or
regulatory requirements that are discretionary and
subject to waiver by the agency.
Sec. 6. Independent Agencies. Independent regulatory
agencies are encouraged to comply with the provisions
of this order.
Sec. 7. General Provisions. (a) This order is intended
only to improve the internal management of the
executive branch and is not intended to, and does not,
create any right or benefit, substantive or procedural,
enforceable at law or equity by a party against the
United States, its agencies or instrumentalities, its
officers or employees, or any other person.
(b) This order shall supplement but not supersede
the requirements contained in Executive Order 12866
(``Regulatory Planning and Review''), Executive Order
12988 (``Civil Justice Reform''), and OMB Circular A-
19.
(c) Executive Order 12612 of October 26, 1987, and
Executive Order 12875 of October 26, 1993, are revoked.
(d) The consultation and waiver provisions in
sections 4 and 5 of this order shall complement the
Executive order entitled, ``Consultation and
Coordination with Indian Tribal Governments,'' being
issued on this day.
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(e) This order shall be effective 90 days after the
date of this order.
(Presidential Sig.)
THE WHITE HOUSE,
May 14, 1998.
[FR Doc. 98-13552
Filed 5-19-98; 11:24 am]
Billing code 3195-01-P