PRIOR PRINTER'S NOS. 538, 793 PRINTER'S NO. 1031
No. 7 Session of 1997
INTRODUCED BY WENGER, THOMPSON, MADIGAN, LOEPER, BRIGHTBILL, JUBELIRER, HELFRICK, O'PAKE AND STAPLETON, FEBRUARY 25, 1997
AS AMENDED ON THIRD CONSIDERATION, APRIL 29, 1997
AN ACT 1 Amending the act of June 25, 1982 (P.L.633, No.181), entitled, 2 as reenacted, "An act providing for independent oversight and 3 review of regulations, creating an Independent Regulatory 4 Review Commission, providing for its powers and duties and 5 making repeals," further providing for legislative intent, 6 for definitions, for the Independent Regulatory Review 7 Commission, for review criteria, for commission and agency 8 review procedure, for statutory compliance, for subsequent 9 review, for classification of documents, for modifying 10 regulations, for existing regulations, for staff, for 11 subpoena power, for administrative functions and for 12 termination. 13 The General Assembly of the Commonwealth of Pennsylvania 14 hereby enacts as follows: 15 Section 1. Sections 2, 3 and 4 of the act of June 25, 1982 16 (P.L.633, No.181), known as the Regulatory Review Act, reenacted 17 and amended June 30, 1989 (P.L.73, No.19), are amended to read: 18 Section 2. Legislative intent. 19 (a) The General Assembly has enacted a large number of 20 statutes [conferring] and has conferred on boards, commissions, 21 departments and [other] agencies [of] within the executive 22 branch of government the authority to adopt rules and 23 regulations to [supplement and] implement those statutes. The
1 General Assembly has found that this delegation of its authority 2 has resulted in regulations being promulgated without undergoing 3 effective review concerning cost benefits, duplication, 4 inflationary impact and conformity to legislative intent. The 5 General Assembly finds that it must [provide] establish a 6 procedure for oversight and review of regulations adopted 7 pursuant to this delegation of legislative power in order to 8 curtail excessive regulation and to [establish a system of 9 accountability so that the bureaucracy must justify its use of 10 the regulatory] require the executive branch to justify its 11 exercise of the authority to regulate before imposing hidden 12 costs upon the economy of Pennsylvania. It is the intent of this 13 act to establish a method for [continuing] ongoing and effective 14 legislative review[, accountability] and oversight[. It is the 15 further intent of this act] in order to foster executive branch 16 accountability; to provide for primary review by a commission 17 with sufficient authority, expertise, independence and time to 18 perform that [responsibility. It is the further intent of this 19 act] function; to provide ultimate review of regulations by the 20 General Assembly [of those regulations. This act is intended to 21 provide a method of oversight and review of regulations issued 22 by executive agencies]; and to assist the Governor, the Attorney 23 General and the General Assembly in their supervisory and 24 oversight functions [and it]. To the greatest extent possible, 25 this act is intended to encourage the resolution of objections 26 to a regulation and the reaching of a consensus among the 27 commission, the standing committees, interested parties and the 28 agency. 29 (b) This act is not intended to create [any] a right or 30 benefit, substantive or procedural, enforceable at law by a 19970S0007B1031 - 2 -
1 [party] person against another person or against the 2 Commonwealth, its agencies[, officers or any person] or its 3 officers. 4 Section 3. Definitions. 5 The following words and phrases when used in this act shall 6 have, unless the context clearly indicates otherwise, the 7 meanings given to them in this section: 8 "Agency." Any department, departmental administrative board 9 or commission, independent board or commission, agency or other 10 authority of this Commonwealth now existing or hereafter 11 created, but shall not include the Senate or the House of 12 Representatives, the Pennsylvania Fish Commission, the 13 Pennsylvania Game Commission or any court, political 14 subdivision, municipal or local authority. 15 "Commission." The Independent Regulatory Review Commission. 16 ["Designated standing committee." A standing committee of 17 the House of Representatives or the Senate designated by the 18 Speaker of the House of Representatives for the House and the 19 President pro tempore of the Senate for the Senate which 20 designation shall prescribe the jurisdiction of each standing 21 committee over the various State agencies for purposes of this 22 act.] 23 "Committee." A standing committee of the Senate or the House 24 of Representatives designated by the President pro tempore of 25 the Senate for the Senate or by the Speaker of the House of 26 Representatives for the House. The designation shall prescribe 27 the jurisdiction of each standing committee over the various 28 State agencies for purposes of this act. The designation shall 29 be transmitted to the Legislative Reference Bureau for 30 publication in the Pennsylvania Bulletin. 19970S0007B1031 - 3 -
1 "Commonwealth Attorneys Act." The act of October 15, 1980 2 (P.L.950, No.164), known as the "Commonwealth Attorneys Act." 3 "Commonwealth Documents Law." The act of July 31, 1968 4 (P.L.769, No.240), referred to as the Commonwealth Documents 5 Law. 6 "FAMILY." A PARENT, SPOUSE, CHILD, BROTHER OR SISTER. <-- 7 "Final-form regulation." A regulation [submitted by] 8 previously published as a proposed regulation pursuant to the 9 act of July 31, 1968 (P.L.769, No.240), referred to as the 10 Commonwealth Documents Law which an agency submits to the 11 commission and the [designated standing] committees following 12 the close of the public comment period[, as provided by section 13 201 of the act of July 31, 1968 (P.L.769, No.240), referred to 14 as the Commonwealth Documents Law]. 15 "Final-omitted regulation." A regulation which an agency 16 submits to the commission and the committees for which the 17 agency has omitted notice of proposed rulemaking pursuant to 18 section 204 of the act of July 31, 1968 (P.L.769, No.240), 19 referred to as the Commonwealth Documents Law. 20 "Promulgate." To publish an order adopting a final-form or 21 final-omitted regulation in accordance with the act of July 31, 22 1968 (P.L.769, No.240), referred to as the Commonwealth 23 Documents Law. 24 "Proposed regulation." A document intended for promulgation 25 as a regulation which an agency submits to the commission and 26 the committees and for which the agency gives notice of proposed 27 rulemaking and holds a public comment period pursuant to the act 28 of July 31, 1968 (P.L.769, No.240), referred to as the 29 Commonwealth Documents Law. 30 "Regulation." Any rule or regulation, or order in the nature 19970S0007B1031 - 4 -
1 of a rule or regulation, promulgated by an agency under 2 statutory authority in the administration of any statute 3 administered by or relating to the agency OR AMENDING, REVISING <-- 4 OR OTHERWISE ALTERING THE TERMS AND PROVISIONS OF AN EXISTING 5 REGULATION, or prescribing the practice or procedure before such 6 agency. The term shall also include actions of the Liquor 7 Control Board which have an effect on the discount rate for 8 retail licensees. The term shall not include a proclamation, 9 executive order, directive or similar document [promulgated] 10 issued by the Governor, but shall include a regulation which may 11 be promulgated by an agency, only with the approval of the 12 Governor. 13 "Withdrawal." Removal of a proposed, final-form or final- 14 omitted regulation by an agency from the review process so that 15 the commission and the committees are prevented from taking 16 further action on the regulation. 17 Section 4. [Creation] Composition of commission; membership, 18 compensation; vacancies; removal. 19 (a) The Independent Regulatory Review Commission shall 20 consist of five members to be known as commissioners. One 21 [member of the commission] commissioner shall be appointed by 22 the Governor to serve at [his] the Governor's pleasure, one by 23 the President pro tempore of the Senate, one by the Speaker of 24 the House of Representatives, one by the Minority Leader of the 25 Senate and one by the Minority Leader of the House of 26 Representatives. [No] A member of the General Assembly or any 27 other officer or employee of State Government [shall] may not 28 serve as a [member of the commission: Provided, however, That] 29 commissioner; but a [commission member] commissioner may serve 30 on advisory boards and commissions, or on other boards and 19970S0007B1031 - 5 -
1 commissions which do not promulgate any rules and regulations 2 which may come before the commission for review pursuant to this 3 act. 4 (b) [Of the original members, the two members appointed by 5 the Speaker of the House and the Minority Leader of the House of 6 Representatives respectively shall serve for an initial term of 7 two years and the two members appointed by the President pro 8 tempore of the Senate and the Minority Leader of the Senate 9 respectively shall serve for an initial term of three years. 10 Thereafter, each] Each appointment provided for by this act 11 shall be for a term of three years and such appointments shall 12 be made in the same manner as [the original appointments] set 13 forth in subsection (a). From the time of [original] initial 14 appointment to the commission, [no] a commissioner may not serve 15 more than two full terms consecutively. A commissioner 16 [initially] appointed to serve the remainder of an unexpired 17 term shall, in addition thereto, be eligible to be appointed to, 18 and to serve, two full terms. 19 (c) [All vacancies shall be filled,] An appointment to fill 20 a vacancy for the remainder of the unexpired term[,] shall be 21 made in the same manner as [original appointments] set forth in 22 subsection (a). [Any commissioner, upon the expiration of his 23 term,] Upon the expiration of a commissioner's term of office, 24 the commissioner shall continue to hold office until [his] a 25 successor [shall be] is appointed. 26 (d) [The commissioners] A commissioner shall receive $125 27 per day as compensation for [their] services rendered to the 28 commission. [The commissioners] A commissioner shall also be 29 entitled to reimbursement for travel and other necessary 30 expenses incurred as a result of [their] official duties [as 19970S0007B1031 - 6 -
1 members of the commission]. The expenses incurred by [the 2 commissioners, or by any employees] a commissioner, or by an 3 employee of the commission, shall be [allowed and] paid on the 4 presentation of itemized vouchers therefor, which vouchers shall 5 be subject to the approval of the commission. 6 (e) Except as authorized pursuant to [this section] 7 subsection (f) or (h) and except for the Governor's appointee 8 who shall serve at [his] the Governor's pleasure, [no] a 9 commissioner may not be removed [from office] during [his term] 10 the commissioner's term of office. The Governor may, with the 11 approval of two-thirds of the members of the Senate, upon [a] 12 clear and convincing evidence of misfeasance or malfeasance in 13 office or neglect of duty, remove a commissioner prior to the 14 expiration of the commissioner's term. The Governor shall 15 provide the commissioner [so removed] to be removed with a 16 detailed written statement of the reasons for [his] removal. 17 (f) [Any member of the commission] A commissioner formally 18 charged before a court of record with the commission of a felony 19 or with a misdemeanor as provided by 18 Pa.C.S. Pt. II Art. E 20 (relating to offenses against public administration) shall 21 immediately be suspended as a [member of the commission] 22 commissioner until the charge is dismissed or a verdict of 23 acquittal is announced. If [any commission member shall be] a 24 commissioner pleads guilty or nolo contendere or is found guilty 25 of such offense, [then] or receives probation without verdict, 26 disposition in lieu of trial, or an accelerated rehabilitative 27 disposition for felony or misdemeanor charges in this 28 Commonwealth or in any other jurisdiction, that [commissioner's 29 membership shall become vacant automatically] commissioner shall 30 immediately be removed from the commission upon announcement of 19970S0007B1031 - 7 -
1 the verdict or disposition by [a trial] the court or upon the 2 court's acceptance of a plea of guilty or nolo contendere. [No 3 commission member shall] 4 (f.1) A commissioner may not participate in deliberations 5 regarding any regulation which significantly affects the 6 operation or activities of any organization (except a nonprofit 7 organization certified under section 501(c)(3) of the Internal 8 Revenue Code of 1986 (Public Law 99-514, 26 U.S.C. § 501(c)(3)) 9 in which the [commission member] commissioner holds a 10 nonsalaried position) in which [he] the commissioner, or any 11 member of [his family, has a substantial economic interest] the 12 commissioner's family, owns shares of stock in excess of 5% of 13 the total issue of the stock, has an ownership interest in 14 excess of 5% of the total ownership, or serves as an officer, 15 director, trustee, partner or employee. Within 90 days of 16 appointment, and annually thereafter, each [commission member] 17 commissioner shall disclose [the existence of] all business 18 affiliations and financial interests. The disclosure statement 19 shall be filed with the executive director of the [Independent 20 Regulatory Review Commission] commission and the Ethics 21 Commission and shall be available for public inspection during 22 business hours of the commission. Each commissioner's disclosure 23 statement shall remain on file as long as the [commission member 24 to which it applies] commissioner remains on the commission. 25 [Prior to any vote upon any regulation upon which any member] If 26 a commissioner has or may have a conflict of interest, or feels 27 [he or any other] another commissioner has or may have a 28 [potential] conflict of interest[, such member] in deliberating 29 on a regulation, the commissioner shall, prior to the vote on 30 the regulation, disclose [such] the conflict or potential 19970S0007B1031 - 8 -
1 conflict [and]. The commissioner may request a ruling from the 2 [chairman] chairperson of the commission upon the question of 3 whether [such] the conflict or potential conflict disqualifies 4 the [member] commissioner from voting on the regulation. [Any 5 member of the commission] A commissioner may challenge the 6 ruling of the [chairman,] chairperson; and, in [such] that case, 7 the question shall be resolved by majority vote of the 8 commission. The [chairman] chairperson or a majority of the 9 commissioners may request the Ethics Commission to provide 10 advice regarding conflicts of interest, and [such] the advice, 11 when given, shall be binding upon the commission. A [member of 12 the commission] commissioner commits a misdemeanor of the second 13 degree [if such member] by knowingly and intentionally 14 [violates] violating the provisions of this subsection. [No 15 person who acts] The commission or its employees, when acting in 16 good faith on an opinion issued to [him] a commissioner by the 17 [chairman] chairperson or the Ethics Commission shall not be 18 subject to criminal or civil penalties levied under the act of 19 October 4, 1978 (P.L.883, No.170), referred to as the Public 20 Official and Employee Ethics Law, for so acting, provided the 21 material facts are as stated in the request for an opinion. In 22 addition to the requirements of this act, a commissioner is 23 subject to the Public Official and Employee Ethics Law. 24 (g) [A chairman shall be elected by the commission] The 25 commission shall elect a chairperson, who shall serve for a term 26 of two years and until [his successors shall be] a successor is 27 elected. The [chairman] chairperson shall preside at meetings of 28 the commission and shall execute documents relating to the 29 formal actions of the commission. 30 (h) The commission shall meet [at least twice a month at 19970S0007B1031 - 9 -
1 such] before the period for its review of regulations under this 2 act expires and at other times as necessary to transact the 3 business of the commission and insure an expeditious and orderly 4 review of regulations under this act. Meetings shall be held at 5 times and places [as shall be] set by the [chairman] 6 chairperson. A MEETING MAY BE RESCHEDULED BY THE COMMISSION UPON <-- 7 THE PROVISION OF AT LEAST TEN DAYS' NOTICE TO ALL AFFECTED 8 AGENCIES. A commissioner who fails to attend three consecutive 9 meetings without cause shall be removed as a commissioner by the 10 authority appointing the commissioner. 11 (i) For purposes of conducting official business, a quorum 12 [shall consist] consists of three [members. Members] 13 commissioners. A commissioner must be physically present to be 14 counted toward the quorum. If the commission is unable to 15 conduct business for lack of a quorum, the deadline for the 16 commission to [notify the agency of an objection] take action on 17 a regulation in accordance with [section 6(a) or to issue an 18 order in accordance with section 7(c)] this act shall be 19 postponed for 30 days or until the next meeting at which a 20 quorum is in attendance, whichever first occurs. 21 Section 2. Section 5 of the act is amended and renumbered to 22 read: 23 Section 5. Proposed [regulation;] regulations; procedures and 24 criteria for review[, existing regulations]. 25 (a) [For proposed regulations, submitted after the effective 26 date of this section, at the same time that proposed regulations 27 and any changes thereto are submitted] On the same date that an 28 agency submits a proposed regulation to the Legislative 29 Reference Bureau for publication of notice of proposed 30 rulemaking in the Pennsylvania Bulletin as required by [the act 19970S0007B1031 - 10 -
1 of July 31, 1968 (P.L.769, No.240), referred to as] the 2 Commonwealth Documents Law, the agency [proposing the 3 regulation] shall submit to the commission and the committees a 4 copy of the proposed regulation [to the commission and the 5 designated standing committee of each House of the General 6 Assembly. The agency proposing the regulation shall hold a 7 public comment period of at least 30 days, beginning with 8 publication of the notice of proposed rulemaking in the 9 Pennsylvania Bulletin. At the same time the agency submits the 10 proposed regulation, it shall deliver additional information to 11 the commission and the designated standing committees, 12 including, but not limited to,] and a regulatory analysis form 13 which includes the following: 14 (1) The [name] title of the agency [proposing the 15 regulation and a statement of the statutory or other 16 authority under which the regulation or change is proposed 17 and if such regulation or change is proposed to implement the 18 requirements of Federal statute or Federal regulation, such 19 Federal statute or regulation shall be cited with 20 specificity.] and the names, office addresses and the 21 telephone numbers of the agency officials responsible for 22 responding to questions regarding the regulation or for 23 receiving comments relating to the regulation. 24 (1.1) A specific citation to the Federal or State 25 statutory or regulatory authority, or the decision of a 26 Federal or State court, under which the agency is proposing 27 the regulation, which the regulation is designed to implement 28 or which may mandate or affect compliance with the 29 regulation. 30 (2) A [brief explanation] concise and, when possible, 19970S0007B1031 - 11 -
1 nontechnical explanation of the proposed regulation [or 2 change]. 3 (3) A statement of the need for the regulation [or 4 change]. 5 (4) Estimates of the direct [cost] and indirect costs to 6 the Commonwealth [and direct and indirect cost], to its 7 political subdivisions and [indirect cost] to the private 8 sector. Insofar as the [proposal] proposed regulation relates 9 to [direct cost] costs to the Commonwealth, the agency may 10 submit in lieu of its own statement the fiscal note prepared 11 by the Office of the Budget pursuant to section 612 of the 12 act of April 9, 1929 (P.L.177, No.175), known as "The 13 Administrative Code of 1929." 14 (5) A statement of legal, accounting or [consultant] 15 consulting procedures [which may be required for 16 implementation of the regulation by those affected by it. 17 (6) A statement of any] and additional reporting, 18 recordkeeping or other paperwork [required by the proposed 19 regulations], including copies of [any] forms or reports, 20 which will be required [in the] for implementation of the 21 [proposed] regulation, and an explanation of measures which 22 have been taken to minimize these requirements. 23 (7) [An outline of conformance with the public comment 24 period and relevant dates including dates by which comments 25 must be received, dates of proposed public hearings, the 26 effective date of final regulations, date by which compliance 27 with the proposed regulations will be required, including the 28 date by which any required permits, licenses or other 29 approvals must be obtained. 30 (8) The name of the author or authors of the regulation 19970S0007B1031 - 12 -
1 with their office address and phone numbers included.] A 2 schedule for review of the proposed regulation, including the 3 date by which the agency must receive comments; the date or 4 dates on which public hearings will be held; the expected 5 date of promulgation of the proposed regulation as a final- 6 form regulation; the expected effective date of the final- 7 form regulation; the date by which compliance with the final- 8 form regulation will be required; and the date by which 9 required permits, licenses or other approvals must be 10 obtained. 11 (9) An identification of the types of persons, 12 businesses and organizations which would be affected by the 13 regulation. 14 (10) [Identification] An identification of [any other 15 regulations which would be affected by the regulation.] the 16 financial, economic and social impact of the regulation on 17 individuals, business and labor communities and other public 18 and private organizations and, when practicable, an 19 evaluation of the benefits expected as a result of the 20 regulation. 21 (11) A description of any special provisions which have 22 been developed to meet the particular needs of affected 23 groups and persons, including minorities, the elderly, small 24 businesses and farmers. 25 (12) A description of any alternative regulatory 26 provisions which have been considered and rejected and a 27 statement that the least burdensome acceptable alternative 28 has been selected. 29 (13) A description of the plan developed for evaluating 30 the continuing effectiveness of the regulation after its 19970S0007B1031 - 13 -
1 implementation. 2 (b) The requirements of [this section] subsection (a) shall 3 not diminish the [Notice of Proposed Rulemaking] requirements of 4 section 201 of the Commonwealth Documents Law, but the 5 information required by this section may be included in the 6 Notice of Proposed Rulemaking [requirement for publication] 7 published in the Pennsylvania Bulletin in lieu of the 8 information required by paragraphs (2) and (3) of section 201 of 9 the Commonwealth Documents Law. [The commission may waive an 10 information requirement of this section for a proposed 11 regulation when any specific requirement is deemed by the 12 commission to be unnecessary or inappropriate. 13 (b) In addition to the requirements of subsection (a), for 14 regulations which impose gross fiscal impacts on either the 15 public sector, the private sector, or both of over $1,000,000, 16 in any year, or which impose other major impacts as determined 17 by the commission, the agency proposing the regulation shall 18 forward at the request of the commission or the designated 19 standing committee of either House of the General Assembly a 20 written regulatory analysis. Such regulatory analysis shall 21 state: 22 (1) the financial, economic and social impacts of the 23 regulation on individuals, business and labor communities or 24 other public and private organizations. When practicable, an 25 evaluation of the benefits expected as a result of the 26 regulation should be included; 27 (2) that alternative approaches have been considered and 28 the least burdensome acceptable alternative has been 29 selected; 30 (3) that, in arriving at the acceptable alternative, 19970S0007B1031 - 14 -
1 consideration was given to minimizing new reporting, 2 accounting and legal requirements; 3 (4) that a plan for the evaluation of the effectiveness 4 of the regulation after its issuance has been developed; and 5 (5) the manner in which, when it is lawful, desirable 6 and feasible, special provisions have been developed to meet 7 the particular needs of affected groups and persons 8 including, but not limited to: minorities, elderly, small 9 businesses and farmers.] The agency shall hold a public 10 comment period, which shall commence with the publication of 11 the notice of proposed rulemaking and shall continue for 30 12 days unless the Governor or, in the case of an independent 13 agency, the agency head approves a comment period of less 14 than 30 days. IN NO CASE SHALL THE COMMENT PERIOD BE LESS <-- 15 THAN 15 DAYS. 16 [(b.1)] (c) From the date of [submittal] submission of the 17 proposed regulation, the agency shall submit to the commission 18 and the [designated standing committee of each House of the 19 General Assembly] committees, within five days of receipt, a 20 copy of [any] comments [received by the agency which refers to 21 or concerns] which the agency receives relating to the proposed 22 regulation. [Prior to or upon submission of a proposed 23 regulation, the] The agency shall also, upon request, submit to 24 the commission and the [designated standing] committees copies 25 of reports from advisory groups and other documents received 26 from or disseminated to the public [pertaining or referring] 27 relating to the proposed regulation[,] and public notices or 28 announcements [regarding] relating to solicitation of public 29 comments or meetings [held by the agency on the subject of the 30 proposed] which the agency held or will hold relating to the 19970S0007B1031 - 15 -
1 proposed regulation. 2 [(b.2)] (d) The [standing committee] committees may, within 3 20 calendar days from the closing date of the public comment 4 period, convey to the agency [a summary of] their comments and 5 objections [stating the reasons why] to the proposed regulation 6 [is unacceptable] and a copy of any staff reports deemed 7 pertinent. [Such] The comments and objections shall include[, 8 but not be limited to, deviations from] the lack of statutory 9 authority of the agency to promulgate the proposed regulation 10 and deviation of the proposed regulation from the intention of 11 the General Assembly in the enactment of the statute upon which 12 the proposed regulation [was] is based. 13 (e) If the committees are prevented from completing their 14 20-day review because of the adjournment sine die or expiration 15 of the legislative session in an even-numbered year, their 16 review of the proposed regulation shall automatically be 17 suspended until the fourth Monday in January of the next year. 18 On that date, the agency shall resubmit the proposed regulation 19 and all material required under this section to the committees 20 and the commission. If either committee has not been designated 21 by the fourth Monday in January of the next year, the agency may 22 not deliver the proposed regulation and required material to the 23 committees and the commission until both committees are 24 designated; but the agency shall deliver the proposed regulation 25 and the required material no later than the second Monday after 26 the date by which both committee designations have been 27 published in the Pennsylvania Bulletin. If the agency fails to 28 deliver the proposed regulation in the time prescribed in this 29 subsection, the agency shall be deemed to have withdrawn the 30 proposed regulation. In computing the remaining time for 19970S0007B1031 - 16 -
1 committee review, the number of days in which the committees 2 have had the proposed regulation under review as of the 3 adjournment sine die or expiration of the prior session shall be 4 subtracted from the 20-day committee review period; but the 5 committee review period in the next succeeding legislative 6 session shall not be less than ten days. 7 (f) An agency may not submit a proposed regulation to the 8 committees for review during the period from the end of the 9 legislative session in an even-numbered year to the date by 10 which both committees have been designated in the next 11 succeeding legislative session, but an agency may submit a 12 proposed regulation and the material required under subsection 13 (a) to the commission and the Legislative Reference Bureau 14 during this period in accordance with subsection (a). The public 15 comment period shall commence with the publication of the notice 16 of proposed rulemaking and end on the date designated by the 17 agency under subsection (b). The agency shall submit the 18 proposed regulation and required material to the committees in 19 the time prescribed by subsection (e). If the agency fails to 20 deliver the proposed regulation and required material to the 21 committees in the time prescribed by subsection (e), the agency 22 shall be deemed to have withdrawn the proposed regulation. The 23 committees' 20-day review period shall begin on the date of 24 receipt of the proposed regulation. 25 [(b.3)] (g) The commission shall, within [30 calendar days 26 from the closing date of the public comment period] ten days 27 after the expiration of the committee review period pursuant to 28 subsection (d), (e) or (f), notify the agency of any objections 29 [stating the reasons why the proposed regulation is unacceptable 30 and a copy of any staff reports deemed pertinent] to the 19970S0007B1031 - 17 -
1 proposed regulation. [Such] The notification shall specify the 2 regulatory review criterion which [have not been met by the 3 proposed regulation. Failure of] the proposed regulation has not 4 met. If the commission fails to object to any portion of the 5 proposed regulation within the [30 calendar days] time provided 6 in this subsection, the commission shall [constitute approval 7 of] be deemed to have approved that portion of the proposed 8 regulation[, and, in such cases, any subsequent disapproval]. 9 Disapproval of the final-form regulation by the commission shall 10 relate only to objections raised by the commission to the 11 proposed regulation; to changes [made by the agency to the 12 proposed regulation or pursuant to recommendations received from 13 the standing committees] which the agency made to the proposed 14 regulation; or to recommendations, comments or objections which 15 a committee conveyed to the agency or the commission. 16 Section 5.1. Final-form regulations and final-omitted 17 regulations; procedures and criteria for review. 18 [(b.4)] (a) The agency shall review and consider public 19 comments and the comments of the [standing] committees and 20 commission[, if any,] pursuant to this section. Within seven 21 days of receipt of a public comment, the agency shall, by first 22 class or electronic mail, whichever is applicable, notify the 23 commentator of the agency's address and telephone number where 24 the commentator may submit a request for the information 25 concerning the final-form regulation under subsection (b). Upon 26 completion of the agency's review of comments, the agency shall 27 submit to the commission and the [designated standing committee 28 of each House of the General Assembly a copy of the agency's] 29 committees a copy of its response to the comments received, the 30 names and addresses of commentators who have requested 19970S0007B1031 - 18 -
1 additional information relating to the final-form regulation and 2 the text of the final-form regulation which the agency intends 3 to adopt. If an agency fails to submit, or withdraws and fails 4 to resubmit, the final-form regulation within two years of the 5 close of the public comment period but still desires to [proceed 6 with the rulemaking] promulgate the final-form regulation, the 7 agency [must] shall republish the regulation as a [new 8 rulemaking] proposed regulation with a new public comment period 9 in accordance with [section 201 of] the Commonwealth Documents 10 Law. If the agency is prevented from delivering its final-form 11 regulation to the commission and the committees within the time 12 period provided for in this subsection because of the 13 adjournment sine die or expiration of the legislative session in 14 an even-numbered year, the agency shall deliver its final-form 15 regulation in accordance with subsection(f). 16 [(b.5) At the same time that the agency submits such] (b) 17 On the same date that the agency submits the material required 18 in subsection (a) to the commission and the [designated 19 standing] committees, [it] the agency shall [transmit], by first 20 class or electronic mail, whichever is applicable, send a notice 21 of [submittal consisting of] submission and a copy of the text 22 of the final-form regulation or a copy of all changes to the 23 proposed regulation which are incorporated into the final-form 24 regulation [from what was initially published] to each [party 25 that submitted comments on the regulation during the public 26 comment period following publication of the proposed regulation 27 in the Pennsylvania Bulletin] commentator who requested this 28 information pursuant to subsection (a). The agency [shall not 29 be] is not responsible for notifying each party whose name 30 appears on petitions or membership lists who did not present 19970S0007B1031 - 19 -
1 individual comments on the regulation. [No changes to a 2 regulation shall be accepted, except as provided in section 7, 3 after the submission of the regulation to the commission and the 4 designated standing committee.] 5 (c) [The standing] The agency shall submit final-omitted 6 regulations to the commission and the committees for review 7 under subsections (d), (e) and (f) on the same date that the 8 agency submits the regulations to the Attorney General for 9 review as provided in section 204(b) of the Commonwealth 10 Attorneys Act. The requirements of section 5, except for the 11 requirements for holding a public comment period and for 12 notifying commentators, are applicable to final-omitted 13 regulations. If the agency makes revisions pursuant to 14 subsection (g), the agency shall deliver copies of the revisions 15 to the Attorney General on the same date that the agency 16 delivers the revisions to the commission and the committees. 17 (d) A committee shall, within 20 calendar days from the date 18 of receipt of the information required under subsection [(b.4)] 19 (a), or receipt of the information required under subsection 20 (c), approve or disapprove the final-form or final-omitted 21 regulation. The [standing] committee shall notify the commission 22 and the agency of its approval or disapproval. [Failure of a 23 standing committee to disapprove a regulation within the 20 24 calendar days shall constitute approval thereof. Along] If a 25 committee fails to disapprove a final-form or final-omitted 26 regulation, the committee shall be deemed to have approved that 27 regulation. If the committee disapproves the final-form or 28 final-omitted regulation, the committee shall include with a 29 notification of [approval or] disapproval [the committee shall 30 convey to the commission and the agency] a report [which 19970S0007B1031 - 20 -
1 includes a summary of the objections of the committee, if any,] 2 stating the [reasons why the committee has found the proposed 3 regulation unacceptable,] committee's objections to the final- 4 form or final-omitted regulation and a copy of [any] staff 5 reports [deemed pertinent by the committee] which the committee 6 deems pertinent. [Such reasons] Objections shall include, but 7 not be limited to, [deviations from] the lack of statutory 8 authority of the agency to promulgate the final-form or final- 9 omitted regulation and deviation of that regulation from the 10 intention of the General Assembly in the enactment of the 11 statute upon which the [proposed] regulation was based. 12 (e) The commission shall, within ten calendar days after the 13 expiration of the committee review period, or at its next 14 regularly scheduled meeting, whichever is later, approve or 15 disapprove the final-form or final-omitted regulation. THE <-- 16 COMMISSION SHALL NOTIFY THE AGENCY AND THE COMMITTEES OF ITS 17 APPROVAL OR DISAPPROVAL. If the commission fails to disapprove 18 the final-form or final-omitted regulation, the commission shall 19 be deemed to have approved the final-form or final-omitted 20 regulation. [In the event] 21 (f) If the [standing] committees are prevented from 22 completing their 20-day review because of adjournment sine die 23 or expiration of the legislative session in an even-numbered 24 [years] year, [consideration of the] their review of the final- 25 form or final-omitted regulation shall [be] automatically be 26 suspended until the fourth Monday in January of the next 27 [succeeding session of the General Assembly] year. On that date, 28 the agency shall resubmit the final-form or final-omitted 29 regulation and required material to the [designated standing 30 committee of each chamber, or its successor committee, and to] 19970S0007B1031 - 21 -
1 committees and the commission. [The standing committees, or 2 their successor committees, shall have 20 calendar days and the 3 commission shall have 30 calendar days from receipt of the 4 final-form regulation and the information required under 5 subsection (b.4) is received to review such regulation.] If 6 either committee has not been designated by the fourth Monday in 7 January, the agency may not deliver the final-form or final- 8 omitted regulation and required material to the committees and 9 the commission until both committees are designated. If the 10 agency fails to deliver the final-form or final-omitted 11 regulation and required material to the commission and the 12 committees by the second Monday after the date by which both 13 committee designations have been published in the Pennsylvania 14 Bulletin, the agency shall be deemed to have withdrawn the 15 final-form or final-omitted regulation. In computing the [20- 16 day] remaining time for committee review [period and the 30-day 17 commission review period], the number of days in which the 18 committees have had the final-form or the final-omitted 19 regulation [had been] under review [by the standing committees 20 and by the commission] as of the adjournment sine die or 21 expiration of the prior session shall be subtracted from the 20- 22 day committee [and the 30-day commission review periods, 23 respectively. Failure of the agency to resubmit the final-form 24 regulation on the fourth Monday in January of the next 25 succeeding session shall constitute withdrawal thereof. No] 26 review period; but the committee review period in the next 27 succeeding legislative session shall not be less than ten days. 28 An agency may not submit a final-form or final-omitted 29 regulation [shall be submitted] to the commission or the 30 [standing] committees for review during the period from the 19970S0007B1031 - 22 -
1 [end] adjournment sine die or expiration of the legislative 2 session of an even-numbered [years] year to the [fourth Monday 3 in January of] date by which both committees have been 4 designated in the next succeeding legislative session[, but]. 5 This section shall not apply to [emergency] emergency-certified 6 regulations [may be] adopted pursuant to the provisions of 7 section [6(b)] 6(d). 8 (g) Except as provided in this subsection, the agency may 9 not make any changes to a final-form or final-omitted regulation 10 after the agency submits the final-form or final-omitted 11 regulation to the commission and the committees. 12 (1) Prior to the expiration of the 20-day review period 13 of the committees or to the date on which either of the 14 committees takes action on the final-form or final-omitted 15 regulation, whichever occurs first, the commission may, with <-- 16 the agency's consent AGENCY MAY, UNLESS THE COMMISSION SHALL <-- 17 OBJECT, toll the time for the commission's and the 18 committees' review of the final-form or final-omitted 19 regulation in order to allow time for the agency to consider 20 revisions to the final-form or final-omitted regulation 21 recommended by the commission or a committee. 22 (2) The commission may toll the time for review THE <-- 23 REVIEW PERIOD SET FORTH UNDER PARAGRAPH (1) MAY BE TOLLED for 24 30 days. If, within 30 days, the agency fails to submit 25 revisions to the committees and the commission or fails to 26 notify the commission and the committees in writing that it 27 will not submit revisions but wishes the commission and the 28 committees to resume their review, the agency shall be deemed 29 to have withdrawn the final-form or final-omitted regulation. 30 (3) The committees shall have the remainder of the 20- 19970S0007B1031 - 23 -
1 day review period or ten days from the date of receipt of the 2 revised final-form or final-omitted regulation or written 3 notification under paragraph (2), whichever is longer; and 4 the commission shall have ten days after expiration of the 5 committee review period or until its next regularly scheduled 6 meeting, whichever is longer, to review the final-form or 7 final-omitted regulation. If the commission or the committees 8 fail to disapprove the final-form or final-omitted regulation 9 within the respective time periods, the regulation shall be 10 deemed approved. 11 (4) The commission may not toll the time for review of 12 any final-form or final-omitted regulation more than one 13 time. 14 (5) If the committees and the commission are prevented 15 from completing their review pursuant to this subsection 16 because of the adjournment sine die or the expiration of the 17 legislative session in an even-numbered year, the agency 18 shall resubmit the final-form or final-omitted regulation and 19 review shall proceed in accordance within subsection (f). 20 [(d)] (h) In determining whether to approve or to disapprove 21 a final-form or a final-omitted regulation [is in the public 22 interest], the commission shall, first and foremost, [make a 23 determination that] determine whether the [final-form regulation 24 is not contrary to] agency has the statutory authority [of the 25 agency and] to promulgate the final-form or final-omitted 26 regulation and whether that regulation conforms to the intention 27 of the General Assembly in the enactment of the statute upon 28 which the [final-form] regulation is based. In [formulating] 29 making its determination, the commission shall consider written 30 comments submitted by the [designated standing] committees [of 19970S0007B1031 - 24 -
1 each House of the General Assembly] and current members of the 2 General Assembly [and any], pertinent opinions of Pennsylvania's 3 courts and formal opinions of the Attorney General. 4 [(e)] (i) Upon a finding that the final-form or final- 5 omitted regulation is [not contrary to] consistent with the 6 statutory authority of the agency and [to] with the intention of 7 the General Assembly in the enactment of the statute upon which 8 the [final-form] regulation is based, the commission shall 9 [further] consider the following in [ascertaining] determining 10 whether the final-form or final-omitted regulation is in the 11 public interest: 12 (1) Economic or fiscal impacts of the final-form or 13 final-omitted regulation [or rule], which include the 14 following: 15 (i) Direct and indirect costs to the Commonwealth, 16 to political subdivisions and to the private sector. 17 (ii) Adverse effects on prices of goods and 18 services, productivity or competition. 19 (iii) The nature of [any] required reports, forms or 20 other paperwork and the estimated cost of their 21 preparation by individuals, businesses and organizations 22 in the private and public sectors [where such reports, 23 forms or other paperwork would be required]. 24 (iv) The nature and estimated cost of [any] legal, 25 consulting or accounting services which the private or 26 public sector [would] may incur. 27 (v) The impact on the public interest of exempting, 28 or setting lesser standards of compliance for, 29 individuals or small businesses when it is lawful, 30 desirable and feasible to do so. 19970S0007B1031 - 25 -
1 (2) The protection of the public health, safety and 2 welfare, and the effect on this Commonwealth's natural 3 resources. 4 (3) The clarity, feasibility and reasonableness of the 5 final-form or final-omitted regulation to be determined by 6 considering the following: 7 (i) Possible conflict with or duplication of 8 statutes or existing regulations. 9 (ii) Clarity and lack of ambiguity. 10 (iii) Need for the regulation [or rule]. 11 (iv) Reasonableness of requirements, implementation 12 procedures and timetables for compliance by the public 13 and private sectors. 14 (4) Whether the final-form or final-omitted regulation 15 represents a policy decision of such a substantial nature 16 that it requires legislative review. 17 (5) Approval or disapproval by the [designated standing 18 committee of the House of Representatives or the Senate] 19 committees. 20 [(f) Regulations for which notice of proposed rulemaking is 21 omitted pursuant to section 204 of the Commonwealth Documents 22 Law shall be submitted to the commission and the designated 23 standing committees for review under subsection (c) at the same 24 time that the regulations are submitted to the Attorney General 25 for review as provided in the act of October 15, 1980 (P.L.950, 26 No.164), known as the "Commonwealth Attorneys Act." The public 27 comment period and the information requirements as provided for 28 in subsection (b.1) are not applicable to these regulations. 29 Except for regulations adopted under section 6(b), no final 30 order adopting such regulation shall be published until 19970S0007B1031 - 26 -
1 completion of review pursuant to this act. 2 (g.1)] (j) The commission shall [only] accept public or 3 agency comments, except [those] comments [under subsection (c)] 4 from a committee or its members, only up to [72] 48 hours prior 5 to the commission's public meeting. [All documents, phone calls 6 and personal visits discussing a regulation shall be noted by 7 the commission and staff and made part of the public commission 8 record. Any] The commission shall transmit documents received 9 during the 48-hour period prior to the commission's public 10 meeting to the agency within 24 hours of receipt. The commission 11 shall receive additional public or agency comments [shall only 12 be received by the commission,] only after the public meeting 13 has been called to order. 14 (k) The commission shall note and shall make a part of the 15 public record all documents which it receives relating to a 16 regulation and shall retain the documents for four years after 17 the promulgation of the regulation. 18 (l) Except for emergency certified regulations adopted under 19 section 6(d), an agency may not promulgate a regulation until 20 completion of the review provided for in this act. 21 Section 3. Sections 6, 6.1, 7, 7.1, 8, 8.1, 9, 10, 11, 12 22 and 15 of the act are amended to read: 23 Section 6. Procedures for [commission consideration and agency 24 review] disapproval of final-form and final- 25 omitted regulations; emergency certified 26 regulations. 27 (a) [Whenever] If the committees and the commission do not 28 disapprove a final-form or a final-omitted regulation by the 29 expiration of their respective review periods under section 30 5.1(d), (e) or (f), the agency may promulgate the final-form or 19970S0007B1031 - 27 -
1 final-omitted regulation. If the commission [shall find that] 2 disapproves a final-form or final-omitted regulation [submitted 3 to the commission pursuant to section 5(b.4) or that a 4 regulation for which notice of proposed rulemaking is omitted 5 pursuant to section 204 of the act of July 31, 1968 (P.L.769, 6 No.240), referred to as the Commonwealth Documents Law, may be 7 contrary to the public interest under the criteria set forth in 8 section 5], the commission shall [notify] deliver its 9 disapproval order to the Legislative Reference Bureau, the 10 [standing committees, members of the public entitled to the 11 notice set forth in section 5(b.5)] committees, commentators who 12 have requested additional information under section 5.1(a) and 13 the agency. [promulgating such regulation of its finding. Such 14 notification] The disapproval order shall specify the regulatory 15 review criteria which [has not been met by the final-form 16 regulation, as well as a description of] the final-form or 17 final-omitted regulation has not met and shall describe the 18 documents and testimony which the commission relied on [by the 19 commission] in reaching its decision. The agency shall review 20 the commission's [finding] order and proceed pursuant to section 21 7(a). [If the commission does not notify the agency of any 22 objection within 30 days of the date the commission received the 23 information required in section 5(b.4), in the case of a final- 24 form regulation, or within 30 days of receipt, in the case of 25 omission of proposed rulemaking, the agency may proceed to 26 promulgate the regulation as provided in the Commonwealth 27 Documents Law.] 28 (b) The [commission may, when notifying an agency of its 29 objections pursuant to subsection (a) or at any time following 30 such notification but prior to publication of a final order 19970S0007B1031 - 28 -
1 adopting a regulation, issue an order barring the publication of 2 a final order adopting a] commission's order disapproving a 3 final-form or final-omitted regulation shall bar the agency from 4 promulgating that regulation pending subsequent review [of the 5 regulation in the manner provided in section 7. The commission 6 may not however issue an order against a proposed regulation to 7 the extent that the Attorney General certifies that proposed 8 regulation is required pursuant to the decree of any court or to 9 implement the provisions of a statute of the United States or 10 regulations issued thereunder by a Federal agency nor shall the 11 commission issue an order against a proposed regulation when 12 such regulation is transmitted with the certification of the 13 Governor that it is required to meet an emergency which shall 14 include but not be limited to conditions which may threaten the 15 public health, safety or welfare or cause a budget deficit or 16 create need for supplemental or deficiency appropriations of 17 greater than $1,000,000. In such case, the regulation can take 18 effect immediately and may remain in effect for up to 120 days 19 but after that time may be suspended by the commission with a 20 statement of disapproval unless it has been approved by the 21 General Assembly under the procedures contained in section 7(d). 22 If the commission issues a statement of disapproval after 120 23 days, the emergency regulation must comply with] under section 24 7. 25 (c) [Whenever a designated standing] If a committee [of the 26 House of Representatives or the Senate] has notified the 27 commission of its disapproval of a final-form or final-omitted 28 regulation and the commission approves the [proposed] final-form 29 or final-omitted regulation, the commission shall, within two 30 business days, [notify the said designated standing] deliver its 19970S0007B1031 - 29 -
1 approval order to the committee [of such approval]. If either 2 committee is prevented from receiving the commission's order 3 because of the adjournment sine die or expiration of the 4 legislative session in an even-numbered year, the commission 5 shall deliver its order to the committee or its successor 6 committee on the fourth Monday in January of the next year. If 7 either committee has not been designated by the fourth Monday in 8 January, the commission may not deliver its order to the 9 committees until both committees have been designated; but the 10 commission shall deliver its order no later than the second 11 Monday after the date by which both committee designations have 12 been published in the Pennsylvania Bulletin. The committee shall 13 have 14 days from receipt of [such notice] the approval order to 14 take action pursuant to section 7(d). During this 14-day period 15 the agency [shall not be permitted to] may not promulgate the 16 final-form or final-omitted regulation approved by the 17 commission. If, at the expiration of the 14-day period, the 18 [designated standing] committee fails to act on the final-form 19 or final-omitted regulation pursuant to section 7(d), the agency 20 may [proceed to] promulgate the final-form or final-omitted 21 regulation. [as provided in the Commonwealth Documents Law.] If <-- 22 the commission is prevented from transmitting the notice 23 required under this subsection because of recess or adjournment 24 of either or both Houses of the General Assembly, the commission 25 shall transmit the notice on the first subsequent session day.] <-- 26 (d) The commission may not issue an order barring an agency 27 from promulgating a final-form or final-omitted regulation if 28 the Attorney General certifies that the final-form or final- 29 omitted regulation is required pursuant to the decree of any 30 court or to implement the provisions of a statute of the United 19970S0007B1031 - 30 -
1 States or regulations issued thereunder by a Federal agency or 2 if the Governor certifies that the final-form or final-omitted 3 regulation is required to meet an emergency which includes 4 conditions which may threaten the public health, safety or 5 welfare; cause a budget deficit; or create the need for 6 supplemental or deficiency appropriations of greater than 7 $1,000,000. In those cases, the final-form or final-omitted 8 regulation may take effect on the date of publication or on a 9 later date specified in the order adopting the final-form or 10 final-omitted regulation. The commission and the committees 11 shall review the final-form or final-omitted regulation pursuant 12 to the procedures provided for in this act. If the final-form or 13 final-omitted regulation is disapproved pursuant to those 14 procedures, that regulation shall be rescinded after 120 days or 15 upon final disapproval, whichever occurs later. 16 [Section 6.1. Agency action pursuant to statute. 17 Final form regulations shall be promulgated by a proposing 18 agency pursuant to statute.] 19 Section 7. Procedures for subsequent review of disapproved 20 final-form or final-omitted regulations. 21 (a) Within seven days [of receipt of a notice of disapproval 22 from the commission] after the agency has received an order from 23 the commission disapproving and barring promulgation of a final- 24 form or final-omitted regulation issued pursuant to section 25 6(a), the agency shall notify the Governor, the [designated 26 standing] committees [of the House of Representatives and the 27 Senate,] and the commission of its [intentions to] selection of 28 one of the following options: 29 (1) To proceed further with the final-form or final-omitted 30 regulation pursuant to subsection (b) [or (c) or to]. 19970S0007B1031 - 31 -
1 (2) To proceed further with the final-form or final-omitted 2 regulation pursuant to subsection (c). 3 (3) To withdraw the final-form or final-omitted regulation. 4 [Failure to submit the notification required by this subsection 5 shall constitute withdrawal of the regulation.] 6 (a.1) If the committees are prevented from receiving the 7 notice required in this section because of the adjournment sine 8 die or expiration of the legislative session in an even-numbered 9 year, the agency shall deliver the notice to the Governor, the 10 commission and the committees on the fourth Monday in January of 11 the next year. If either committee has not been designated by 12 the fourth Monday in January, the agency may not deliver the 13 notice to the commission and the committees until both 14 committees are designated; but the agency shall deliver the 15 notice to the committees and the commission no later than the 16 second Monday after the date by which both committee 17 designations have been published in the Pennsylvania Bulletin. 18 If the agency fails to deliver the final-form or final-omitted <-- 19 regulation NOTICE to the commission and the committees in the <-- 20 time prescribed in this subsection, the agency shall be deemed 21 to have withdrawn that regulation. 22 (b) If the agency [determines that it is desirable to 23 implement the final-form] decides to adopt the final-form or 24 final-omitted regulation without revisions or further 25 modifications, the agency shall submit a report to the 26 [designated standing committee of each House of the General 27 Assembly] committees and the commission within 40 days of the 28 agency's receipt of the commission's disapproval order. The 29 agency's report shall contain the final-form or final-omitted 30 regulation, the [findings of the commission,] commission's 19970S0007B1031 - 32 -
1 disapproval order and the agency's response and recommendations 2 [of the agency regarding the final-form] regarding the final- 3 form or final-omitted regulation. If the [agency is prevented 4 from submitting its] committees are prevented from receiving the 5 report because of [recess or] adjournment [of either or both 6 Houses of the General Assembly] sine die or expiration of the 7 legislative session in an even-numbered year, the agency shall 8 [transmit] submit its report [on the first subsequent session 9 day.] to the commission and the committees on the fourth Monday 10 in January of the next year. If either committee has not been 11 designated by the fourth Monday in January, the agency may not 12 deliver the report to the committees and the commission until 13 both committees are designated; but the agency shall deliver its 14 report to the commission and the committees no later than the 15 second Monday after the date by which both committee 16 designations have been published in the Pennsylvania Bulletin. 17 If the agency fails to deliver the report to the committees and 18 the commission in the time prescribed in this subsection, the 19 agency shall be deemed to have withdrawn the final-form or 20 final-omitted regulation. Upon receipt of the agency's report, 21 [a designated standing committee] the committees may proceed 22 pursuant to subsection (d). [Failure of the agency to submit a 23 report within the time period provided by this subsection or on 24 the first subsequent session day shall constitute withdrawal of 25 the final-form regulation.] 26 (c) If the agency [determines that it is desirable to 27 implement] decides to revise or modify the final-form or final- 28 omitted regulation in order to respond to objections raised by 29 the commission and adopt that regulation with [further] 30 revisions or modifications, the agency shall submit a report to 19970S0007B1031 - 33 -
1 the [designated standing committees of the House of 2 Representatives and the Senate] committees and the commission 3 within 40 days of the agency's receipt of the commission's 4 disapproval order. The agency's report shall contain the revised 5 final-form or final-omitted regulation, the findings of the 6 commission, and the agency's response and recommendations [of 7 the agency] regarding the revised final-form or final-omitted 8 regulation. [Failure of the agency to submit a report within the 9 time period provided by this subsection shall constitute 10 withdrawal of the final-form regulation.] If the committees are 11 prevented from receiving the report because of adjournment sine 12 die or expiration of the legislative session in an even-numbered 13 year, the agency shall submit the report to the commission and 14 the committees on the fourth Monday in January of the next year. 15 If either committee has not been designated by the fourth Monday 16 in January, the agency may not deliver the report to the 17 committees and the commission until both committees are 18 designated; but the agency shall deliver its report to the 19 commission and the committees no later than the second Monday 20 after the date by which both committee designations have been 21 published in the Pennsylvania Bulletin. If the agency fails to 22 deliver its report to the commission and the committees in the 23 time prescribed in this subsection, the agency shall be deemed 24 to have withdrawn the final-form or final-omitted regulation. 25 Upon receipt of the agency's report, [the designated standing 26 committees] a committee shall have ten days to approve or 27 disapprove the report and to notify the commission and the 28 agency of [their] its approval or disapproval [of the agency's 29 report. Failure of a designated standing]. If a committee fails 30 to notify the commission and the agency of its disapproval 19970S0007B1031 - 34 -
1 within ten days [shall constitute its approval of the], the 2 committee shall be deemed to have approved the agency's report. 3 The commission shall have seven days from the expiration of the 4 committee's ten-day review period or until its next regularly 5 scheduled meeting, whichever is [longer, from the completion of 6 the designated standing committees' ten-day review period in 7 which to approve] later, to approve or disapprove the agency's 8 report. [or to continue its bar upon final publication of the 9 regulation and transmit notice of disapproval and the agency's 10 report] If the commission and the committee approve the agency's 11 report, the agency may promulgate the final-form or final- 12 omitted regulation. If the commission disapproves the agency 13 report, the agency shall be barred from promulgating that 14 regulation until the review provided for in this subsection and 15 in subsection (d) is completed. If a committee disapproves an 16 agency's report and the commission approves it or if the 17 commission disapproves an agency report, the commission shall 18 deliver its order to the [designated standing] committees for 19 consideration by the General Assembly pursuant to subsection 20 (d). [However, if] If the commission is prevented from 21 [transmitting notice and the report] delivering its order to the 22 [General Assembly] committees within the time period provided 23 for in this subsection because of [recess or adjournment, it may 24 transmit notice and the report on the first subsequent session 25 day. Failure of the commission to transmit the agency's report 26 within the time period provided by this subsection or on the 27 first subsequent session day shall constitute approval of the 28 revised final-form regulation.] the adjournment sine die or 29 expiration of the legislative session in an even-numbered year, 30 the commission shall deliver its order on the fourth Monday of 19970S0007B1031 - 35 -
1 January of the next year. If either committee has not been 2 designated by the fourth Monday in January, the commission may 3 not deliver its order to the committees until both committees 4 are designated; but the commission shall deliver its order no 5 later than the second Monday after the date by which both 6 committee designations have been published in the Pennsylvania 7 Bulletin. If the commission fails to deliver its order 8 disapproving the agency's report and revised final-form or 9 final-omitted regulation in the time prescribed by this 10 subsection, the commission shall be deemed to have approved the 11 agency's report and the revised final-form or final-omitted 12 regulation. 13 (d) [Whenever the designated standing committees of both 14 Houses of the General Assembly have received] Upon receipt of 15 the report of an agency pursuant to subsection (b), [or] of the 16 [notice and the] agency's report and the commission's order 17 pursuant to subsection (c)[, or the notice] or of the 18 commission's order pursuant to section 6(c), one or both of the 19 [designated standing] committees may, within 14 days, report to 20 the House of Representatives or Senate a concurrent resolution 21 and notify the [affected agency which shall be the official 22 notice to the] agency. During the 14-day period, the agency 23 [shall] may not [be permitted to] promulgate the final-form or 24 final-omitted regulation. If, [at] by the expiration of the 14- 25 day period, [both of the designated standing committees fail to 26 act on the agency's report, then the] neither committee reports 27 a concurrent resolution, the committees shall be deemed to have 28 approved the final-form or final-omitted regulation [is deemed 29 approved]; and the agency may [proceed to] promulgate [the] that 30 regulation. [as provided in the act of July 31, 1968 (P.L.769, 19970S0007B1031 - 36 -
1 No.240), referred to as the Commonwealth Documents Law. A final 2 order adopting the regulation shall not be published for 30 3 calendar days or ten legislative days, whichever is longer, from 4 date of reporting the concurrent resolution. If both the House 5 of Representatives and the Senate agree to the concurrent 6 resolution within the allotted time period, which is 30 calendar 7 days or ten legislative days, whichever is longer, from the date 8 of reporting of the concurrent resolution, then the adoption of 9 the concurrent resolution shall constitute a bar to publication 10 until presentment to the Governor and final disposition of the 11 regulation. The resolution shall be presented to the Governor in 12 accordance with section 9 of Article III of the Constitution of 13 Pennsylvania.] If either committee reports a concurrent 14 resolution before the expiration of the 14-day period, the 15 Senate and the House of Representatives shall each have 30 16 calendar days or ten legislative days, whichever is longer, from 17 the date on which the concurrent resolution has been reported, 18 to adopt the concurrent resolution. If the General Assembly 19 adopts the concurrent resolution by majority vote in both the 20 Senate and the House of Representatives, the concurrent 21 resolution shall be presented to the Governor in accordance with 22 section 9 of Article III of the Constitution of Pennsylvania. If 23 the Governor does not return the concurrent resolution to the 24 General Assembly within ten calendar days after it is presented 25 [to him], [it shall constitute approval of] the Governor shall 26 be deemed to have approved the concurrent resolution. If the 27 Governor vetoes the [action of the General Assembly] concurrent 28 resolution, the General Assembly may[, within 30 calendar days 29 or ten legislative days, whichever is longer,] override that 30 veto by a two-thirds vote in each house.[; and that override 19970S0007B1031 - 37 -
1 shall constitute a permanent bar to publication. Failure of] The 2 Senate and the House of Representatives shall each have 30 3 calendar days or ten legislative days, whichever is longer, to 4 override the veto. If the [House of Representatives and the 5 Senate] General Assembly fails to [act on] adopt the concurrent 6 resolution or override the veto [within the allotted time 7 periods shall constitute approval of] in the time prescribed in 8 this subsection, it shall be deemed to have approved the final- 9 form or final-omitted regulation. [In addition, notice] Notice 10 as to any final disposition of [any] a concurrent resolution 11 considered in accordance with this [act] section shall be 12 published in the Pennsylvania Bulletin. The bar on promulgation 13 of the final-form or final-omitted regulation shall continue 14 until that regulation has been approved or deemed approved in 15 accordance with this subsection. If the General Assembly adopts 16 the concurrent resolution and the Governor approves or is deemed 17 to have approved the concurrent resolution or if the General 18 Assembly overrides the Governor's veto of the concurrent 19 resolution, the agency shall be barred from promulgating the 20 final-form or final-omitted regulation. If the General Assembly 21 fails to adopt the concurrent resolution or if the Governor 22 vetoes the concurrent resolution and the General Assembly fails 23 to override the Governor's veto, the agency may promulgate the 24 final-form or final-omitted regulation. The General Assembly 25 may, at its discretion, adopt a concurrent resolution 26 disapproving the final-form or final-omitted regulation to 27 indicate the intent of the General Assembly[,] but permit 28 [publication of a final order adopting a] the agency to 29 promulgate that regulation. 30 Section 7.1. Classification of documents. 19970S0007B1031 - 38 -
1 If the commission or a [designated standing committee 2 alleges] committee finds that a published or unpublished 3 document should be promulgated as [an agency] a regulation, the 4 commission or [standing] committee [of either house] may present 5 the matter to the Joint Committee on Documents[, which]. The 6 Joint Committee on Documents shall determine whether the 7 document should be promulgated as [an agency] a regulation and 8 may order an agency either to promulgate the document as a 9 regulation within 180 days or to desist from the use of the 10 document in the business of the agency. 11 Section 8. Changes in final-form and final-omitted regulations. 12 [No changes shall be made by an agency] (a) Except as 13 provided in subsection (b), an agency may not make changes to a 14 final-form or final-omitted regulation after that regulation has 15 been approved or has been deemed approved by the committees or 16 the commission [except] pursuant to this act. 17 (b) Subsection (a) does not apply to changes made at the 18 direction of the Office of Attorney General pursuant to its 19 review under section 204(b) of [the act of October 15, 1980 20 (P.L.950, No.164), known as] the ["]Commonwealth Attorneys 21 Act.["] 22 Section 8.1. Existing regulations. 23 The commission, [either] on its motion or [on] at the request 24 of any [individual, agency, corporation,] person or member of 25 the General Assembly [or any other entity which may be affected 26 by a regulation], may [also] review any existing regulation [or 27 administrative procedure. Whenever] which has been in effect for 28 at least five THREE years. If a committee of the Senate or the <-- 29 House of Representatives [shall request] requests a review of 30 [a] an existing regulation [or administrative procedure], the 19970S0007B1031 - 39 -
1 commission shall [make such] perform the review and shall assign 2 it high priority. The commission may submit recommendations to 3 [any] an agency recommending changes in existing regulations 4 [where] if it finds the existing regulations [or administrative 5 procedure] to be contrary to the public interest under the 6 criteria established in this section. The commission may also 7 make recommendations to the General Assembly and the Governor 8 for statutory changes [whenever it] if the commission finds that 9 any existing regulation [or procedure] may be contrary to the 10 public interest. 11 Section 9. Commission staff. 12 (a) The commission shall appoint and fix the compensation of 13 [an] a full-time executive director, who shall [devote his full 14 time to] be responsible for the general supervision of all the 15 affairs of the commission and for performing any administrative 16 function or duty which the commission may delegate to the 17 executive director. [In addition, the commission shall appoint a 18 chief counsel who shall not be subject to the supervision of the 19 Attorney General or the General Counsel and it may appoint and 20 fix the compensation of such other employees as the commission 21 may find necessary for the proper performance of the functions 22 of the commission. In determining the necessity for such 23 additional staff, the commission shall consider the fact that 24 the General Assembly is required under this act to participate 25 in the review process and its staff will be providing assistance 26 to the commission through the legislative review provisions of 27 this act.] The executive director may COMMISSION SHALL appoint <-- 28 and fix the compensation of such other employees as the 29 executive director COMMISSION may find necessary for the proper <-- 30 operation of the commission. 19970S0007B1031 - 40 -
1 (b) The commission shall appoint and fix the compensation of 2 a full-time chief counsel, who shall not be subject to the 3 supervision of the Attorney General or the General Counsel. The 4 chief counsel shall supervise, coordinate and administer the 5 legal services provided to the commission. 6 Section 10. Subpoena power. 7 The commission [may require the attendance and testimony of 8 witnesses] has the authority to issue subpoenas for the purpose 9 of requiring the attendance of persons and the production of 10 [documentary evidence relative to any investigation or hearing 11 which the commission may conduct in accordance with the powers 12 granted it under this act. Such subpoena shall be signed by the 13 chairman or the executive director and it shall be served by any 14 person authorized to serve subpoenas] documents relating to any 15 function which the commission or its staff is authorized to 16 perform pursuant to this act. The chairperson or the executive 17 director may sign a subpoena. The subpoena may be served in any 18 manner authorized under the [law of the] laws of this 19 Commonwealth. The commission is authorized to apply to the 20 Commonwealth Court to enforce its subpoenas. 21 Section 11. [Rules] Regulations; annual reports; hearings and 22 advisory group meetings. 23 (a) The [commission shall compile and publish rules for the 24 conduct of meetings and public hearings and for the conduct of 25 business under this act. Such rules shall] commission, in the 26 performance of its functions under this act, has the power to 27 promulgate and enforce regulations necessary to carry out the 28 purposes of this act. Regulations must be promulgated in 29 accordance with the procedures established in the [act of July 30 31, 1968 (P.L.769, No.240), referred to as the] Commonwealth 19970S0007B1031 - 41 -
1 Documents Law. [Such rules] The regulations shall provide for 2 the commission's notification of filings of final-form and 3 final-omitted regulations to parties likely to be affected by 4 the final-form and final-omitted regulations through publication 5 of a notice in the Pennsylvania Bulletin. Prior to the [rules] 6 regulations taking effect, [however, the appropriate standing 7 committees and the Joint Committee on Documents shall have 20 8 days and 30 days, respectively, from the date of receipt of the 9 information required under section 5(b.4) of this act to notify 10 the commission of their approval or disapproval of a final-form 11 regulation or of a regulation for which notice of proposed 12 rulemaking is omitted under section 204 of the Commonwealth 13 Documents Law. Final disposition of a disapproved final-form 14 regulation shall be in accordance with this act; however, the 15 responsibilities assigned to the commission shall be exercised 16 by the Joint Committee on Documents, and the commission may 17 exercise the rights provided to an agency.] the requirements of 18 this act must be satisfied. For the purposes of reviewing the 19 regulations of the commission and otherwise satisfying the 20 requirements of this act, the Joint Committee on Documents shall 21 exercise the rights and perform the functions of the commission; 22 and the commission shall exercise the rights and perform the 23 functions of an agency under this act. 24 (b) On or before April 1, [1989 and each year thereafter,] 25 the commission shall file [a] an annual report of its activities 26 for the prior calendar year with the Governor and the General 27 Assembly. 28 (c) The commission may hold public hearings on any matter 29 before the commission[. The commission may also hold informal 30 hearings] and may [convene and] meet with advisory groups 19970S0007B1031 - 42 -
1 regarding matters before the commission. 2 Section 12. Clearinghouse. 3 [(a)] The commission shall act as a clearinghouse for 4 complaints, comments and other input from members of the General 5 Assembly and from the public regarding [regulations, proposed 6 regulations and administrative procedures] existing, proposed, 7 final-form and final-omitted regulations. The commission shall 8 maintain accurate records regarding complaints and comments it 9 receives and shall maintain such records by departmental and 10 subject matter categories for four years after the date of 11 receipt by the commission. When the commission files its annual 12 report as provided by section 11, the commission shall include 13 within it a summary of public complaint and comment along with 14 any recommendations the commission may offer for statutory 15 change. [as the result of public complaint and comment. 16 (b) The commission may also compile information on 17 regulations issued by the United States Government which come to 18 the attention of the commission which are found by the 19 commission to be excessive. The commission shall include a 20 summary on such regulations in its annual report and shall take 21 such other action as may be appropriate. The section of the 22 annual report relating to excessiveness of Federal regulations 23 shall be submitted to the President of the United States and to 24 the members of the United States Senate and the United States 25 House of Representatives from Pennsylvania. Nothing herein shall 26 be construed as requiring the commission to undertake a review 27 of Federal regulations. 28 Section 15. Termination date. 29 The commission shall be treated as a statutory agency created 30 after January 1, 1981, for purposes of the act of December 22, 19970S0007B1031 - 43 -
1 1981 (P.L.508, No.142), known as the "Sunset Act." The 2 commission is scheduled for termination on December 31, 1993.] 3 Section 4. This act shall apply to proposed, final-form and 4 final-omitted regulations which an agency submits, on or after 5 the effective date of this act, to the Independent Regulatory 6 Review Commission and to "committees" as defined in section 3 of 7 the act. 8 Section 5. This act shall take effect immediately. A9L02JLW/19970S0007B1031 - 44 -