Clark Testimony
- Issuer
- Congressional materials
- Document type
- Clark Testimony
- Date
- 2023-08-23
- Case
- Clark Testimony
Summary
Written testimony of Major L. Clark, III, Deputy Chief Counsel of the Office of Advocacy of the U.S. Small Business Administration, before the United States Senate Committee on Small Business & Entrepreneurship on August 23, 2023, at the Iowa Economic Development Authority in Des Moines. The hearing topic is the rightsizing of regulations for small businesses. The testimony reports Advocacy statistics for Iowa, including 273,623 small businesses making up 99.3 percent of all businesses, and for the Des Moines metropolitan area. It describes the Regulatory Flexibility Act, 5 U.S.C. §§ 601-612, including regulatory flexibility analyses, certification and SBREFA panels. It summarizes Advocacy's FY 2022 report, including 37 comment letters and $73.5 million in estimated forgone regulatory cost savings, and closes with appendix tables on cost savings and regulatory success stories.
Summary drafted by a model from the document's text below and checked by script against that text before publication. It is a navigation aid, not a reading of what the document proves. Where AI is used
Full text
Testimony of
Major L. Clark, III
Deputy Chief Counsel
Office of Advocacy
U.S. Small Business Administration
United States Senate
Committee on Small Business & Entrepreneurship
Date: August 23, 2023
Time: 1:00 pm CST
Location: Iowa Economic Development Authority
1963 Bell Ave, Des Moines, Iowa
Topic: One Size Does Not Fit All: Understanding the
Importance of Rightsizing Regulations for Small
Businesses
Created by Congress in 1976, the Office of Advocacy of the U.S.
Small Business Administration is an independent voice for small
business within the federal government. Appointed by the
President and confirmed by the U.S. Senate, the Chief Counsel
for Advocacy directs the office. The Chief Counsel advances the
views, concerns, and interests of small businesses before
Congress, the White House, federal agencies, federal courts, and
state policy makers. Economic research, policy analyses, and
small business outreach help identify issues of concern. Regional
advocates and an office in Washington, DC, support the Chief
Counsel’s efforts.
For more information on the Office of Advocacy, visit
https://advocacy.sba.gov/, or call (202) 205-6533.
Major L. Clark, III
Deputy Chief Counsel
Office of Advocacy
U.S. Small Business Administration
Chairman Cardin, Ranking Member Ernst, and Members of the Committee on Small Business &
Entrepreneurship: I am honored to be here today on behalf of the Office of Advocacy (Advocacy) to
present testimony about the impact of federal regulations on small businesses and Advocacy’s
oversight of agency compliance with the Regulatory Flexibility Act (RFA). Advocacy is an independent
office that speaks on behalf of the small business community before federal agencies, Congress, and
the White House. The views in my testimony do not necessarily reflect the views of the Administration
or the Small Business Administration (SBA), and this statement has not been circulated to the Office of
Management and Budget (OMB) for clearance.
Congress recognized early the importance of small businesses to our nation’s economy. The Office of
Advocacy was created by Congress in 1976 to be an independent voice for small business within the
federal government. Title II of Public Law 94-305 and the RFA confer responsibilities and authorities
on Advocacy. Both laws are standing, non-expiring legislation and have been amended since passage.
The RFA is the statutory basis of small entity consideration in federal rulemaking. It requires federal
agencies to take small entity impacts and alternatives into consideration during the rulemaking
process. Advocacy oversees whether agencies comply with the RFA and its analytical requirements.
Advocacy also informs agencies of small businesses’ concerns to improve the impact of those
regulations on small entities.
The RFA directs the Chief Counsel for Advocacy to monitor and report on federal agencies’ compliance
with the law. In addition, Executive Order 13272, “Proper Consideration of Small Entities in Agency
Rulemaking,” also imposes certain requirements on federal agency rulemaking and requires Advocacy
to report on agency compliance with this executive order.1 To fulfil that mandate, in May 2023,
Advocacy sent the FY 2022 report to this Committee, which covered October 1, 2021, to September 30,
2022. 2
Despite the challenges of the COVID-19 pandemic, Advocacy has ensured small businesses have
remained an integral part of the rulemaking process by developing novel ways for their voices to be
heard. While unable to meet small business stakeholders face-to-face, Advocacy held online
roundtables and outreach events for small business stakeholders. Advocacy also complied with
Executive Order 13272 by holding virtual RFA trainings for federal regulators. These actions kept small
entity priorities at the forefront of federal rulemaking activities and allowed for more voices to
become involved in the regulatory process.
1
Exec. Order No. 13,272, 67 Fed. Reg. 53,461 (Aug. 13, 2002).
2
U.S. SMALL BUS. ADMIN. OFFICE OF ADVOCACY, REPORT ON THE REGULATORY FLEXIBILITY ACT, FY 2022 (May 2023),
https://advocacy.sba.gov/2023/05/16/report-on-the-regulatory-flexibility-act-fy-2022-annual-report-of-the-
chief-counsel-for-advocacy-on-implementation-of-the-regulatory-flexibility-act-and-executive-order-13272/.
While Advocacy has enforced the RFA for over 40 years, safeguards on the regulatory process continue
to be important as the number of small businesses in the United States grows. Because of these
safeguards and our mandate under the RFA, Advocacy continues to monitor new rules and regulations
for impacts on small business.
I. Small Business Statistics in Iowa
When Advocacy was established in 1976, Congress recognized that there was a need for reliable and
periodically updated statistics and research on small businesses. As a result, economic research is a
core mission of the Office of Advocacy under Public Law 94-305. This mandate includes documenting
the role of small businesses and entrepreneurship in the economy and examining various issues of
relevance to small business owners. These elements of Advocacy’s mission are the primary
responsibility of the Office of Economic Research (OER). OER specializes in the following areas: the
small business economy, small firm dynamics, small business finance, regulatory policy, international
small business issues, barriers to entrepreneurship, and ownership of businesses by demographic
groups such as veterans, women, and minorities.
Advocacy’s research demonstrates that small businesses continue to be a critical part of not only the
nation’s economy, but also of local economies. One of Advocacy’s most popular research products is
the state profile series. 3 These profiles provide user-friendly snapshots of national, state, and local
small business statistics. This includes statistics on Iowa and its local economies.
Iowa small businesses make an outsized contribution to the state. According to Advocacy’s most
recent profile for Iowa, there are 273,623 small businesses in the state, which accounts for 99.3
percent of all businesses. Additionally, small businesses accounted for 46.6 percent of Iowa
employment in 2019, which exceeded the national share of this metric. 4 The business sector with the
most small businesses in 2019 was construction, with 35,223 small businesses, including 26,569
businesses with no employees (i.e., nonemployers). 5 Small businesses in the construction industry
employed the most workers with 56,693 employees and a payroll of over $3.5 billion. 6
In addition to small business statistics at the state level, Advocacy launched a new profile series last
month: the Small Business Profiles for Major Metropolitan Areas. 7 Des Moines was included as part of
this profile series as a major metropolitan area. These profiles allow Advocacy to examine the role of
small businesses in more local areas. According to the profile for Des Moines, there are 60,467 small
3
See U.S. Small Bus. Admin., Off. of Advocacy, State Profiles, https://advocacy.sba.gov/category/research/state-
profiles/ (last visited Aug. 15, 2023).
4
U.S. SMALL BUS. ADMIN., OFF. OF ADVOCACY, 2022 SMALL BUSINESS PROFILE FOR IOWA 4 (Aug. 31, 2022), https://advocacy.
sba.gov/wp-content/uploads/2022/08/Small-Business-Economic-Profile-IA.pdf.
5
Id. at 2.
6
Id. at 4.
7
U.S. Small Bus. Admin., Off. of Advocacy, Small Business Profiles for Major Metropolitan Areas (July 11, 2023),
https://advocacy.sba.gov/2023/07/11/small-business-profiles-for-major-metropolitan-areas/.
businesses in the Des Moines metropolitan area, which makes up 98.2 percent of all businesses.8
Additionally, small businesses accounted for 40.6 percent of employment in Des Moines in 2019. 9 The
industry with the most small businesses in 2019 was Professional, Scientific, and Technical Services,
with 8,234 small businesses, including 8,055 businesses with fewer than 20 employees.10 The Health
Care and Social Assistance industry had the most workers, at 19,466 workers with a payroll of $860.7
million. 11
II. The Regulatory Flexibility Act
Federal regulations can have a disproportionate impact on small businesses. To mitigate these
effects, the RFA, enacted in September 1980, requires federal agencies to consider the ramifications of
their regulatory proposals for small entities, analyze effective alternatives that minimize small entity
impacts, and make their analyses available for public comment. 12 The RFA applies to a wide range of
small entities, including small businesses, not-for-profit organizations, and small governmental
jurisdictions.
Advocacy continues to emphasize that the RFA “does not seek preferential treatment for small
entities, nor does it require agencies to adopt regulations that impose the least burden on them, or
mandate exemptions for them. Rather, it requires agencies to examine public policy issues using an
analytical process that identifies barriers to small business competitiveness and seeks a level playing
field for small entities, not an unfair advantage.” 13
Under the RFA, when an agency proposes a regulation that would have a “significant economic impact
on a substantial number of small entities,” the regulation must be accompanied by an impact analysis
known as an initial regulatory flexibility analysis (IRFA) when the rule is published for public
comment. 14 When the final rule is published, it must be accompanied by a final regulatory flexibility
analysis (FRFA). 15 These analyses must describe, among other things:
1) The reasons why the regulatory action is being considered.
2) The small entities to which the proposed rule will apply and, where feasible, an estimate of
their number.
8
U.S. SMALL BUS. ADMIN., OFF. OF ADVOCACY, 2023 Small Business Profile for Des Moines-West Des Moines, in SMALL
BUSINESS PROFILES FOR MAJOR METROPOLITAN AREAS OF THE MIDWEST 2023 25 (July 2023), https://advocacy.sba.gov/wp-
content/uploads/2023/07/Midwest_2023_07_03.pdf.
9
Id.
10
Id. at 25, 26.
11
Id. at 25, 28.
12
5 U.S.C. §§ 601-612. The Regulatory Flexibility Act was originally passed in 1980 (Pub. L. No. 96-354). The Act
was amended by the Small Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. No. 104-121), the
Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub. L. No. 111-203), and the Small Business Jobs
Act of 2010 (Pub. L. No. 111-240).
13
U.S. SMALL BUS. ADMIN., OFFICE OF ADVOCACY, A GUIDE FOR GOVERNMENT AGENCIES: HOW TO COMPLY WITH THE REGULATORY
FLEXIBILITY ACT, 1 (Aug. 2017), https://cdn.advocacy.sba.gov/wp-content/uploads/2019/06/21110349/How-to-
Comply-with-the-RFA.pdf.
14
5 U.S.C. § 603.
15
Id. § 604.
3) The projected reporting, recordkeeping, and other compliance requirements.
4) Any significant alternatives to the rule that would accomplish the statutory objectives while
minimizing the impact on small entities.
Agency consideration of significant alternatives is the key to the RFA because the development and
adoption of alternatives provide regulatory relief to small entities while allowing agencies to achieve
their regulatory goals. Analyzing alternatives allows agencies to evaluate proposals that achieve their
regulatory goals efficiently and effectively without unduly burdening small entities, erecting barriers
to competition, or stifling innovation.
Alternatively, if a federal agency determines that a proposed rule would not have a significant
economic impact on a substantial number of small entities, the head of that agency may “certify” the
rule and bypass the IRFA and FRFA requirements. 16 This is commonly referred to as a “certification”
and requires the agency to provide a factual basis for its determination that the rule will not have a
significant economic impact on a substantial number of small entities.
In addition, the Environmental Protection Agency (EPA), the Occupational Safety and Health
Administration (OSHA), and the Consumer Financial Protection Bureau (CFPB) are required to
convene a small business advocacy review panel (also referred to as a SBREFA panel) whenever they
are developing a rule that is expected to have a significant economic impact on a substantial number
of small entities. 17 These agencies must notify Advocacy prior to the publication of an IRFA and
provide information on the potential impacts of the proposed rule. The SBREFA panels consist of staff
from the agency carrying out the proposed rule, the Office of Information and Regulatory Affairs
within OMB, and the Chief Counsel for Advocacy. 18 The panel reviews materials related to the proposal
and, importantly, the advice and recommendation of small entity representatives (SERs) on the rule’s
potential effects and possible mitigation strategies. The panel then issues a report on the comments
of the SERs and on its own recommendations. 19
Section 610 of the RFA also requires agencies to review their existing rules that have or will have a
significant economic impact on a substantial number of small entities within ten years of their
promulgation. 20 The purpose of the review is to determine whether such rules should be continued
without change or should be amended or rescinded, consistent with the stated objectives of
applicable statutes, to minimize any significant economic impact of the rules upon a substantial
number of small entities.
16
Id. § 605(b).
17
A list of all SBREFA panels that have been convened can be found in our annual report to Congress and in
Appendix C of this testimony. It can also be viewed on Advocacy’s website at https://advocacy.sba.gov/
resources/reference-library/sbrefa/.
18
5 U.S.C. § 609(b)(3).
19
Id. § 609.
20
Id. § 610.
III. Advocacy’s Report on the RFA for FY 2022
As previously stated, the RFA requires Advocacy to monitor and report on how well federal agencies
are complying with the law. In addition, Executive Order 13272 requires Advocacy to educate federal
agency officials on compliance with the RFA, to provide resources to facilitate continued compliance,
and to report to OMB on agency compliance with the Executive Order. 21
In FY 2022:
• Advocacy submitted 37 comment letters to federal agencies to publicly register official
comments on behalf of small businesses.
• Advocacy hosted 30 issue roundtables to discuss the regulatory concerns facing small
businesses.
• Advocacy provided training to 257 officials at 10 agencies to familiarize themselves with the
requirements of the RFA.
• Advocacy convened four SBREFA panels, three with the EPA and one with the CFPB.
• Advocacy saved small businesses $73.5 million in estimated forgone regulatory cost savings
because of the RFA and Advocacy’s efforts to promote federal agency compliance.
• Advocacy achieved eight regulatory successes throughout FY 2022 that were not quantifiable.
A. Compliance with Executive Order 13272 and the Small Business JOBS Act of 2010
Executive Order 13272 requires Advocacy to educate federal agencies on compliance with the RFA, to
provide resources to facilitate continued compliance, and to report to the Office of Management and
Budget on agency compliance with the executive order. Portions of the executive order were codified
in the Small Business Jobs Act of 2010.22
Since Advocacy launched its RFA training program in 2003, the office has continuously offered RFA
training sessions to every rule-writing agency in the federal government. Agency attorneys,
economists, and policymakers attend these training sessions. The COVID-19 pandemic caused
Advocacy to move its sessions completely online beginning in 2020. In FY 2022, Advocacy held 10
training sessions for 257 federal officials. The list of agencies trained during FY 2022 is shown in
Appendix A of this testimony and in Chapter 2 of the annual report.
To provide clear directions on RFA compliance, Advocacy publishes a manual called “A Guide for
Government Agencies: How to Comply with the Regulatory Flexibility Act.” This manual can be found
on Advocacy’s website and is provided to agencies during training. 23
21
Exec. Order No. 13,272, 67 Fed. Reg. 53,461 (Aug. 13, 2002).
22
Small Business Jobs Act, Pub. L. No. 111-240, 124 Stat. 2504 (2010).
23
The most recent edition of the compliance guide can be found on Advocacy’s website at https://cdn.
advocacy.sba.gov/wp-content/uploads/2019/06/21110349/How-to-Comply-with-the-RFA.pdf.
Executive Order 13272 requires federal agencies to take certain steps to boost transparency and
ensure small business concerns are represented in the rulemaking process, including the following:
• Written RFA Procedures: Agencies are required to show publicly how they take small business
concerns and the RFA into account when creating regulations.
• Notify Advocacy: Agencies are required to engage Advocacy during the rulemaking process to
ensure small business voices are being heard.
• Respond to Comments: When Advocacy submits written comments on a proposed rule, the
agency must consider and provide a response to them in the final rule.
A summary of federal agencies’ compliance with these three requirements is shown in Appendix B of
this testimony and in Chapter 2 of the annual report.
B. Communication with Small Businesses and Federal Agencies
Advocacy uses numerous methods of communication to present the concerns of small entities to
federal officials developing and promulgating new regulations. Advocacy holds meetings with
officials, participates in OIRA-led review of upcoming rules, writes comment letters to agency
directors, conducts outreach to small entities through roundtables and other methods, and (as
previously stated) holds training sessions on RFA compliance to help facilitate meaningful
participation by all interested parties.
One important function of this team is confidential interagency communications. Advocacy’s goal is
to participate in the regulatory development process as early as possible, both to counsel agencies on
potential effects of their actions on small business and to provide RFA compliance expertise as
needed. Advocacy believes it is essential that agency policymakers and regulatory development staff
are confident that they can share pre-proposal information with Advocacy staff. Disclosing this
information could have a variety of adverse consequences and, depending on what is disclosed to
whom, could in some cases violate the law. By scrupulously abiding by this restriction, Advocacy has
built trust with regulatory agencies, and they increasingly ask for Advocacy guidance early in the pre-
proposal phase of the regulatory process.
As a result of these conversations, Advocacy is often able to help agencies adjust regulations before
they are initially published in the Federal Register. However, because of the confidential nature of
most interagency communications, it is difficult for Advocacy to document regulatory cost savings to
small businesses that flow from this important work.
In addition to confidential interagency communications, SBREFA panels are another useful tool for
Advocacy to express small business concerns in the regulatory process. As previously stated, three
agencies (CFPB, OSHA, and EPA) are required to convene SBREFA panels whenever they are
developing a rule that is expected to have a significant economic impact on a substantial number of
small entities. Advocacy has found that these panels have helped the agencies improve their draft
proposals before the notice-and-comment process. In some cases, agencies have withdrawn a rule
after the potential impacts, costs, and benefits of a rule were better understood because of the panel
process. In other cases, revisions were made to a draft rule that mitigated potentially adverse impacts
on small entities. Appendix C of this testimony lists every SBREFA panel through FY 2022. In FY 2022,
four panels were convened.
FY 2023 has been met with many SBREFA panels. As of the submission of this written testimony, ten
panels have been convened in FY 2023: one with CFPB, one with OSHA, and eight with EPA.
One of Advocacy’s most effective outreach strategies has been through roundtable events. In these
roundtables, small businesses and their representatives discuss specific regulatory issues, in most
cases with the federal agency present. Historically, Advocacy has mostly hosted these roundtables in
Washington, D.C., with other roundtables held around the country as needed. During the pandemic,
Advocacy staff moved roundtables online for safety and convenience.
As online communication has become more prevalent, Advocacy has included stakeholders that
otherwise may have gone unnoticed or found it difficult to travel to Washington, D.C. Online
roundtables have led to greater participation by stakeholders, including those from distant locations
and underserved backgrounds. Advocacy plans on continuing to offer online roundtables, in large part
thanks to these unforeseen benefits. In FY 2022, Advocacy held 30 regulatory roundtables with over
1,800 participants. A list of the roundtables can be found in Appendix D of this testimony, and
descriptions of each roundtable can be found in Chapter 3 of the annual report.
C. Advocacy’s Public Comments to Federal Agencies
In FY 2022, Advocacy submitted 37 comment letters to regulatory agencies. The most frequent
concerns were inadequate analysis of small entity impacts (15 letters), significant alternatives not
considered (14 letters), and the agencies needed to reach out to small entities (9 letters). Several
letters (23 letters) referenced other issues not categorized. Figure 1 summarizes Advocacy’s issues of
concern. Appendix E of this testimony lists all the comment letters submitted in FY 2022 in
chronological order. Each letter is summarized in Chapter 4 of the annual report.
Despite Advocacy’s operations moving to a full time telework status for most of 2020 and 2021 due to
the COVID-19 pandemic and transitioning to a hybrid workplace since, Advocacy has maintained its
work output and effectiveness. In fact, Advocacy’s output has increased. For example, from FY 2017
through FY 2019, Advocacy submitted 63 comment letters to regulatory agencies and held 43
roundtables. In contrast, from FY 2020 through FY 2022, Advocacy submitted 74 comment letters to
regulatory agencies and held 61 roundtables.
Advocacy continues to be productive in FY 2023. As of the submission of this written testimony,
Advocacy has submitted over 40 comment letters to regulatory agencies since October 1, 2022.
Advocacy has also held 23 roundtables, with more planned in the coming months.
In analyzing Advocacy’s most recent reports, the most frequent concerns that Advocacy has identified
in comment letters from FY 2020 to FY 2022 continue to be that agencies had an inadequate analysis
of small entity impacts (29 letters), significant alternatives were not considered (28 letters), and small
entity outreach was needed (15 letters). Additionally, Advocacy’s comment letters also identify other
issues not categorized (34 letters).
D. Small Business Regulatory Cost Savings and Success Stories
Because of Advocacy’s efforts to promote federal agency compliance, in FY 2022, small businesses
saved $73.5 million in estimated forgone regulatory cost savings. Compliance cost savings for small
businesses that resulted from these actions arose from the modification, withdrawal, or delay of final
and proposed regulations. There were eight regulatory successes whose impacts are not quantifiable,
which Advocacy categorizes as success stories.
Appendix F summarizes the cost savings from three final actions at three federal agencies in FY 2022,
and descriptions of the cost savings can be found in Chapter 6 of the annual report. Appendix G of this
testimony summarizes the success stories from eight agency actions in FY 2022, and descriptions of
each success can be found in Chapter 6 of the annual report.
IV. Conclusion
Thank you for the opportunity to testify today. Advocacy looks forward to continuing to work with you
and other Members of Congress to be the voice for small businesses in the federal government and
work with agencies to reduce small businesses’ regulatory burdens during the rulemaking process. I
would be happy to answer any questions you may have.
Appendix A
RFA Training at Federal Agencies in FY 2022
Date Agency Number Trained
10/26/21 Federal Communications Commission 6
03/02/22 National Labor Relations Board 37
03/03/22 U.S. Army Corps of Engineers 5
04/19/22 Federal Communications Commission 41
04/26/22 Securities and Exchange Commission 50
05/05/22 Mine Safety and Health Administration 18
06/29/22 Employee Benefits Security Administration 13
07/21/22 Department of Education 15
09/13/22 Small Business Administration 25
09/22/22 Federal Aviation Administration 47
Total 257
Appendix B
Federal Agency Compliance with Rule-Writing
Requirements under Executive Order 13272 and the
JOBS Act, FY 2022
Written Responds
URL of Agency’s Notifies
Agency Procedures on to
RFA Procedures Advocacy
Website Comments
Cabinet Agencies
Department of https://www.usda.gov/directives/dr-1512-
√ √ √
Agriculture 001
www.fisheries.noaa.gov/national/laws-and-
Department of
√ policies/guidance-conducting-economic- √ √
Commerce(a)
and-social-analyses-regulatory-actions
Department of https://www.acquisition.gov/node/28713/
√ √ √
Defense printable/print
Department of
X √ n.a.
Education
www.energy.gov/sites/prod/files/gcprod/
Department of Energy √ √ √
documents/eo13272.pdf
FDA: https://www.fda.gov/industry/
small-business-assistance/letter-proper-
consideration-small-entities-agency-
Department of Health
√ rulemaking √ √
and Human Services
CMS: https://www.cms.gov/
Regulations-and-Guidance/Guidance/
CMSSmallBusAdminOmbuds
www.dhs.gov/publication/signed-regulatory-
Department of
√ flexibility-act-executive-order-13272- √ n.a.
Homeland Security
memo-2004
Department of
www.hud.gov/program_offices/sdb/policy/
Housing and Urban √ n.a. n.a.
sbrefa
Development
Department of the https://www.fws.gov/policy/library/
√ √ x
Interior rgeo12372.pdf
Department of Justice X √ n.a.
Department of Labor √ www.dol.gov/general/regs/guidelines √ √
Department of State X √ n.a.
Written Responds
URL of Agency’s Notifies
Agency Procedures on to
RFA Procedures Advocacy
Website Comments
Department of www.transportation.gov/sites/dot.dev/files/
Transportation √ docs/1979%20Regulatory%20Policies%20 √ n.a.
and%20Procedures.doc
Department of Treasury: https://home.treasury.gov/about/
the Treasury general-information/orders-and-directives/
(b) √ td28-03
√ √
Internal Revenue Service:
www.irs.gov/irm/part32/irm_32-001-
005#idm140712272166000
Department of
www.va.gov/ORPM/Regulatory_Flexibility_
Veterans √ √ n.a.
Act_EO_13272_Compliance.asp
Affairs
Environmental www.epa.gov/sites/production/
Protection √ files/2015-06/documents/guidance- √ √
Agency regflexact.pdf
Small Business
X √ n.a.
Administration
Noncabinet Agencies
Commodity Futures
n.a. n.a. X n.a.
Trading Commission
Consumer Financial
n.a. n.a. √ n.a.
Protection Bureau (c)
Consumer Product www.cpsc.gov/Regulations-Laws--
Safety Commission √ Standards/Rulemaking#The Regulatory √ √
Flexibility Act
Equal Employment
www.eeoc.gov/eeoc/plan/regflexibilityact.
Opportunity √ √ n.a.
cfm
Commission
Federal Acquisition https://www.acquisition.gov/node/28713/
X √ n.a.
Regulation Council printable/print
Federal
www.fcc.gov/sites/default/files/fcc-
Communications √ √ √
directive- 1158.2.pdf
Commission
Federal Reserve Board
n.a. n.a. n.a.
(c)
Written Responds
URL of Agency’s Notifies
Agency Procedures on to
RFA Procedures Advocacy
Website Comments
Federal Retirement
Thrift Investment n.a. n.a. √ n.a.
Board
General Services
X √ n.a.
Administration
National Labor
n.a. n.a. √ n.a.
Relations Board (c)
Pension Benefit
n.a. n.a. √ n.a.
Guarantee Corporation
Securities and
Exchange Commission n.a. n.a. √ n.a.
(c)
Notes: √ = Agency complied with the requirement. X = Agency did not comply with the requirement.
n.a. = Not applicable because Advocacy did not submit a comment letter in response to an agency rule in FY
2022 or because the agency is not required to do so.
a. NOAA drafts most regulations the Commerce Department releases.
b. On April 11, 2018, Treasury and the Office of Management and Budget signed a Memorandum of Agreement
stating that tax regulations would be reviewed under Executive Order 12866.
c. Independent agencies are not subject to the E.O. requiring written procedures. However, some independent
agencies do have written procedures available on their websites.
Appendix C
SBREFA Panels Convened Through FY 2022
Consumer Financial Protection Bureau
Notice of
Date Date Final Rule
SBREFA Panel Rule Proposed
Convened Completed Published
Rulemaking
Automated Valuation Model (AVM) 03/14/22 05/13/22
Small Business Lending Data
10/15/20 12/14/20 10/08/21
Collection
05/21/19.
Supplemental
Debt Collection 08/25/16 10/19/16 11/30/20
rule published
03/03/20.
Rule published
07/19/17.
Arbitration Clauses 10/20/15 12/11/15 05/24/16 Repealed via
Congr. Review
Act, 10/24/17.
Limit Certain Practices for Payday,
04/27/15 06/25/15 07/22/16 11/17/17
Vehicle Title, and Similar Loans
Home Mortgage Disclosure Act 02/27/14 04/24/14 08/29/14 10/15/15
Loan Originator Compensation
05/09/12 07/12/12 09/07/12 02/15/13
Requirements under Regulation Z
Mortgage Servicing under the Real
Estate Settlement Procedures Act
04/09/12 06/11/12 09/17/12 02/14/13
(RESPA or Regulation X) and Truth in
Lending Act (TILA or Regulation Z)
Integrated Mortgage Disclosures
under the Real Estate Settlement
Procedures Act (RESPA or Regulation 02/21/12 04/23/12 08/23/12 12/31/13
X) and Truth in Lending Act (TILA or
Regulation Z)
Department of Labor, Occupational Safety and Health Administration
Notice of
Date Proposed Final Rule
SBREFA Panel Rule Date Completed
Convened Rulemaking Published
Emergency Response 10/04/21 12/02/21
Tree Care Operations 03/23/20 05/22/20
Telecommunications Towers 08/15/18 10/11/18
Process Safety Management Standard 06/02/16 08/01/16
Occupational Exposure to Infectious
Diseases in Healthcare and Other 10/14/14 12/22/14
Related Work Settings
Occupational Exposure to Diacetyl and
Food Flavorings Containing Diacetyl 05/05/09 07/02/09
Occupational Exposure to Beryllium 09/17/07 01/15/08 08/07/15
Cranes and Derricks in Construction 08/18/06 10/17/06 10/09/08 08/09/10
Occupational Exposure to Hexavalent 10/04/04 02/28/06
01/30/04 04/20/04
Chromium
Occupational Exposure to Crystalline 09/12/13 03/25/16
10/20/03 12/19/03
Silica
Confined Spaces in Construction 09/26/03 11/24/03 11/28/07
Electric Power Generation, 06/15/05 04/11/14
04/01/03 06/30/03
Transmission, and Distribution
Ergonomics Program Standard 03/02/99 04/30/99 11/23/99 11/14/00
Safety and Health Program Rule 10/20/98 12/19/98
Tuberculosis Withdrawn
09/10/96 11/12/96 10/17/97
12/31/03
Environmental Protection Agency
Notice of
Proposed Final Rule
SBREFA Panel Rule Date Convened Date Completed
Rulemaking Published
TSCA Section 8(a)(7) Rule: Reporting
and Recordkeeping Requirements for
Perfluoroalkyl and Polyfluoroalkyl 04/06/22 08/02/22
Substances
Per- and Polyfluoroalkyl Substances
(PFAS) National Primary Drinking 05/24/22 08/01/22
Water Regulation (NPDWR)
Cyclic Aliphatic Bromide Cluster
(HBCD) Risk Management Rulemaking
Under the Toxic Substances Control 01/06/22 09/09/22
Act
Standards of Performance for New,
Reconstituted, and Modified Sources: 07/15/21 09/20/21 11/15/21
Oil and Natural Gas Sector Review
1-Bromopropane; Rulemaking under
TSCA §6(a) 04/27/21 12/16/21
Methylene Chloride; Rulemaking under
TSCA §6(a) 01/07/21 10/28/21
National Emission Standards for
Hazardous Air Pollutants: Ethylene
Oxide Commercial Sterilization and 11/25/20 04/26/21
Fumigation Operations
Financial Responsibility Requirements Withdrawn
08/24/16 12/01/16 12/01/16
for Hard Rock Mining 02/21/18
Regulation of Trichloroethylene for
Vapor Degreasers under Section 6(a) of 06/01/16 09/26/16 01/19/17
the Toxic Substances Control Act
Regulation of N-Methylpyrrolidone
and Methylene Chloride in Paint and
06/01/16 09/26/16 01/19/17 03/27/19
Coating Removal under Section 6(a) of
the Toxic Substances Control Act
Risk Management Program
11/04/15 02/19/16 03/14/16 01/13/17
Modernization
Emission Standards for New and
Modified Sources in the Oil and 06/16/15 08/13/15 09/18/15 06/3/16
Natural Gas Sector
Federal Plan for Regulating
Withdrawn
Greenhouse Gas Emissions from 04/30/15 07/28/15 10/23/15
04/03/17
Electric Generating Units
Notice of
Proposed Final Rule
SBREFA Panel Rule Date Convened Date Completed
Rulemaking Published
Greenhouse Gas Emissions Standards
10/22/14 01/15/15 07/13/15 10/25/2016
for Medium- and Heavy-Duty Vehicles
PCB (Polychlorinated Biphenyls) Use
02/07/14 04/07/14
Authorizations Update Rule
Review of New Source Performance
Standards and Amendments to 07/17/14
12/05/13 07/21/15 08/29/16
Emission Guidelines for Municipal 08/27/15
Solid Waste Landfills
National Emissions Standards for
Hazardous Air Pollutants (NESHAP):
06/12/13 01/16/14 12/18/14 10/26/15
Brick and Structural Clay Products and
Clay Products
Long Term Revisions to the Lead and
08/14/12 08/16/13 - -
Copper Rule
Petroleum Refinery Sector Risk and Rule proposed rule
Technology Review and New Source w/o completion
08/04/11 06/30/14 12/01/15
Performance Standards of SBREFA panel
report
Control of Air Pollution from Motor
Vehicles: Tier 3 Motor Vehicle Emission 08/04/11 10/14/11 05/21/13 04/28/14
and Fuel Standards
Rule proposed rule
w/o completion 04/13/12
Greenhouse Gas Emissions from 06/09/11 04/14/13
of SBREFA panel 01/08/14
Electric Utility Steam Generating Units
report 06/02/14
National Emission Standards for
Hazardous Air Pollutants (NESHAP)
Risk and Technology Review for the 06/02/11 10/26/11 11/12/11 07/29/15
Mineral Wool and Wool Fiberglass
Industries
Formaldehyde Emissions from
Pressed Wood Products 02/03/11 04/04/11 06/10/13 12/16/16
Stormwater Regulations Revision to
Withdrawn
Address Discharges from Developed 12/06/10 10/04/11 -
06/06/17
Sites
National Emission Standards for
Hazardous Air Pollutants for Coal- and
10/27/10 03/02/11 05/03/11 02/16/12
Oil-fired Electric Utility Steam
Generating Units
Revision of New Source Performance
Standards for New Residential Wood 08/04/10 10/26/11 02/03/14 03/16/15
Heaters
Notice of
Proposed Final Rule
SBREFA Panel Rule Date Convened Date Completed
Rulemaking Published
Pesticides; Reconsideration of
Exemptions for Insect Repellents 11/16/09 01/15/10
National Emission Standards
for Hazardous Air Pollutants
for Industrial, Commercial, and 01/22/09 03/23/09 06/04/10 03/21/11
Institutional Boilers: Major and Area
Sources
Pesticides; Certification of
Pesticide Applicators 09/04/08 11/03/08 08/24/15 01/04/17
(Revisions)
Pesticides; Agricultural Worker
09/04/08 11/03/08 03/19/14 11/02/15
Protection Standard Revisions
Renewable Fuel Standards 2
07/09/08 09/05/08 05/26/09 03/26/10
Total Coliform Monitoring
01/31/08 01/31/08 07/14/10
Non-Road Spark-Ignition
08/17/06 10/17/06 05/18/07 10/08/08
Engines/ Equipment
Mobile Source Air Toxics
09/07/05 11/08/05 03/29/06 02/26/07
Federal Action Plan for
Regional Nitrogen
04/27/05 06/27/05 08/24/05 04/28/06
Oxide/Sulfur Dioxide (2005
Clean Air Interstate Rule)
Section 126 Petition (2005 04/27/05 06/27/05 08/24/05 04/28/06
Clean Air Interstate Rule)
Cooling Water Intake Structures Phase
III Facilities 02/27/04 04/27/04 11/24/04 06/16/06
Nonroad Diesel Engines – Tier IV
10/24/02 12/23/02 05/23/03 06/29/04
Lime Industry – Air Pollution
01/22/02 03/25/02 12/20/02 01/05/04
Aquatic Animal Production Industry
01/22/02 06/19/02 09/12/02 08/23/04
Construction and Development Withdrawn
Effluent Limitations Guidelines 07/16/01 10/12/01 06/24/02
04/26/04
Notice of
Proposed Final Rule
SBREFA Panel Rule Date Convened Date Completed
Rulemaking Published
Nonroad Large Spark Ignition Engines,
Recreation Land Engines, Recreation 10/05/01
05/03/01 07/17/01 11/08/02
Marine Gas Tanks and Highway 08/14/02
Motorcycles
Stage 2 Disinfectant Byproducts; Long
Term 2 Enhanced Surface Water 04/25/00 06/23/00 08/18/03 01/04/06
Treatment
Reinforced Plastics Composites
04/06/00 06/02/00 08/02/01 04/21/03
Concentrated Animal Feedlots
12/16/99 04/07/00 01/12/01 02/12/03
Metals Products and Machinery
12/09/99 03/03/00 01/03/01 05/13/03
Lead Renovation and Remodeling Rule
11/23/99 03/03/00 01/10/06 04/22/08
Diesel Fuel Sulfur Control
Requirements 11/12/99 03/24/00 06/02/00 01/18/01
Recreational Marine Engines 10/05/01
06/07/99 08/25/99 11/08/02
08/14/02
Arsenic in Drinking Water
03/30/99 06/04/99 06/22/00 01/22/01
Light Duty Vehicles/Light Duty Trucks
Emissions and Sulfur in Gas 08/27/98 10/26/98 05/13/99 02/10/00
Filter Backwash Recycling
08/21/98 10/19/98 04/10/00 06/08/01
Long Term 1 Enhanced Surface Water
Treatment 08/21/98 10/19/98 04/10/00 01/14/02
Radon in Drinking Water
07/09/98 09/18/98 11/02/99
Section 126 Petitions
06/23/98 08/21/98 09/30/98 05/25/99
Phase I (FIP) To Reduce the Regional
Transport of Ozone in the Eastern 06/23/98 08/21/98 10/21/98 05/06/05
United States
Ground Water
04/10/98 06/09/98 05/10/00 11/08/06
Underground Injection Control (UIC)
Class V Wells 02/17/98 04/17/98 07/29/98 12/07/99
Notice of
Proposed Final Rule
SBREFA Panel Rule Date Convened Date Completed
Rulemaking Published
Centralized Waste Treatment Effluent 09/10/03
Guideline 11/06/97 01/23/98 12/22/00
01/13/99
Transportation Equipment Cleaning
Effluent Guidelines 07/16/97 09/23/97 06/25/98 08/14/00
Stormwater Phase II
06/19/97 08/07/97 01/09/98 12/08/99
Industrial Laundries Effluent Withdrawn
Guidelines 06/06/97 08/08/97 12/17/97
08/18/99
Nonroad Diesel Engines
03/25/97 05/23/97 09/24/97 10/23/98
Appendix D
Regulatory Roundtables Hosted by the Office of Advocacy, FY
2022
Agency Purpose Date
Consumer Financial Protection Bureau Roundtable on Financial Issues 11/09/21
Consumer Product Safety Commission Safety Standards for Clothing Storage Units Roundtable 02/16/22
Department of Agriculture, Animal and
Birds Not Bred for Research Roundtable 04/19/22
Plant Health Inspection Service
Department of Agriculture, Forest
Alaska Roadless Rule Roundtable 01/18/22
Service
Department of Commerce Technology and Trade Council Digital Tools Roundtables 06/17/22
Department of Commerce, National
North Atlantic Right Whale Roundtable 09/15/22
Marine Fisheries Service
Department of Energy Energy Conservation for Appliances Roundtable 02/11/22
Department of the Interior Working Group on Mining Regulations Roundtable 07/21/22
Offshore Wind Development and Fisheries Roundtable 12/14/21
Department of the Interior, Bureau of BOEM Morro Bay Environmental Assessment Roundtable 04/20/22
Ocean Energy Management Outer Continental Shelf Lands Act Renewable Energy
08/04/22
Roundtable
Department of the Interior, Fish and Incidental Take of Migratory Birds Roundtable 11/16/21
Wildlife Service Endangered Species Experimental Populations Roundtable 07/20/22
FLSA Minimum Wage and Overtime Roundtable 03/25/22
Department of Labor
Davis-Bacon Act Regulations Roundtable 04/05/22
01/06/22
Waters of the United States Roundtables
01/10/22
Draft TSCA Risks to Fenceline Communities Roundtable 02/18/22
Petition to Revise the Non-Hazardous Secondary Material
03/11/22
Standard Roundtable
Environmental Protection Agency Clean Truck Plan and Heavy-Duty Vehicle NOx Emissions
04/08/22
Roundtable
Chrysotile Asbestos Under Section 6(a) of the Toxic
05/26/22
Substances Control Act Roundtable
EPA’s Proposed Reporting and Recordkeeping Requirements
06/17/22
for Asbestos Roundtable
Federal Acquisition Regulatory Council Project Labor Agreements Roundtable 09/29/22
Federal Energy Regulatory Commission Interconnection Procedures Roundtable 09/29/22
Agency Purpose Date
Regulatory Update from OSHA Assistant Secretary, Heat
11/19/21
Stress, COVID-19 Roundtable
COVID-19, Heat Stress, Surface Mobile Mining Equipment
01/28/22
Safety Roundtable
Occupational Safety and Health COVID-19 Inspections, Heat Stress, ABA OSH Law Meeting
Administration 03/18/22
Roundtable
OSHA Electronic Reporting, Heat Injury and Illness Reporting,
05/20/22
COVID-19 in Healthcare Settings Roundtable
Blood Lead Level for Medical Removal, OSHRC Update, Cal/
09/16/22
OSHA Roundtable
White House Office of Science and
Sustainable Chemistry Roundtable 05/06/22
Technology Policy
Appendix E
Regulatory Comment Letters Filed by the Office of Advocacy,
FY 2022
Date Filed Agency* Topic Citation to Rule
Advancing Racial Equity and Support for Underserved
11/18/21 DOI 86 Fed. Reg. 57848
Communities Through Recreation Opportunities
86 Fed. Reg. 59346; 86 Fed. Reg.
11/23/21 FWS, NMFS Regulations for Designating Critical Habitat
59353
Standards of Performance for New, Reconstructed, and
12/15/21 EPA Modified Sources and Emissions Guidelines for Existing 86 Fed. Reg. 63110
Sources- Extension
Addition of Certain Chemicals; Community Right-to-
12/17/21 EPA 86 Fed. Reg. 57614
Know Toxic Chemical Release Reporting
01/06/22 CFPB Small Business Lending Data Collection 86 Fed. Reg. 56356
https://www.boem.gov/sites/
Mitigating the Impacts of Offshore Wind Development default/files/documents/
01/07/22 BOEM
on Fisheries renewable-energy/BOEM-
2021-0083-0001.pdf
Improving Competitive Broadband Access to Multiple
01/20/22 FCC 86 Fed. Reg. 52120
Tenant Environment
Roadless Area Conservation; National Forest System
01/24/22 FS 86 Fed. Reg. 66498
Lands in Alaska
Revising Wage Methodology for Agricultural Guest
01/31/22 DOL 86 Fed. Reg. 68174
Workers
Standards of Performance for New, Reconstructed, and
01/31/22 EPA Modified Sources and Emissions Guidelines for Existing 86 Fed. Reg. 63110
Sources
Beneficial Ownership Information Reporting
02/04/22 FinCEN 86 Fed. Reg. 69920
Requirements
02/07/22 EPA, CORPS Revised Definition of “Waters of the United States” 86 Fed. Reg. 69372
03/03/22 NMFS Atlantic Large Whale Take Reduction Plan 86 Fed. Reg. 51970
Contract Year 2023 Policy and Technical Changes to the
03/07/22 CMS Medicare Advantage and Medicare Prescription Drug 87 Fed Reg. 1842
Benefit Programs
https://www.energy.gov/eere/
Inputs to Inform Social Science Research Related to wind/articles/doe-requests-
03/11/22 DOE inputs-inform-social-science-
Offshore Wind
research-related-offshore-wind
Consumer Safety Standard for Operating Cords on
03/23/22 CPSC 87 Fed. Reg. 1014
Custom Window Coverings
Petition to Revise the Non-Hazardous Secondary
03/29/22 EPA 87 Fed. Reg. 4536
Material Standard
Approved Jurisdictional Determinations Under the
04/14/22 CORPS 88 Fed. Reg. 3004
Navigable Waters Protection Rule
Date Filed Agency* Topic Citation to Rule
04/18/22 CPSC Safety Standard for Clothing Storage Units 87 Fed. Reg. 6246
05/06/22 SEC Cybersecurity Risk Management and Incident 87 Fed. Reg. 16590
Disclosure
05/13/22 DOE Request to Reopen Comments on Energy Conservation 86 Fed. Reg. 18901
Program for Appliance Standards
05/16/22 BOEM Environmental Assessment for the Morro Bay Offshore Docket No. BOEM-2021-0044
Wind Energy Area
05/17/22 DOL Updating Davis-Bacon Act for Federal Construction 87 Fed. Reg. 15698
Contracts
05/23/22 IRS Required Minimum Distributions 87 Fed. Reg. 10504
05/24/22 APHIS Standards for Birds Not Bred for Use in Research Under 87 Fed. Reg. 9880
the Animal Welfare Act
05/25/23 CEQ Climate and Economic Justice Screening Tool 87 Fed. Reg. 10176
07/05/22 EPA TSCA Asbestos Reporting Rule 87 Fed. Reg. 27060
07/25/22 EPA Clean Water Act Hazardous Substance Worst Case 87 Fed. Reg. 17890
Discharge Planning Rule
08/05/22 EPA Water Quality Certification Improvement Rule 87 Fed. Reg. 35318
08/05/22 FTC Extension of Implementation Period for the Standards 86 Fed. Reg. 70272
for Safeguarding Customer Information
08/08/22 FWS Endangered and Threatened Wildlife and Plants; 87 Fed. Reg. 34625
Designation of Experimental Populations
https://www.boem.gov/sites/
default/files/documents/
Mitigating the Impacts of Offshore Wind Development
08/22/22 BOEM renewable-energy/DRAFT%20
on Fisheries
Fisheries%20Mitigation%20Gu
idance%2006232022_0.pdf
08/22/22 FTC Motor Vehicle Trade Regulation Extension 87 Fed. Reg. 42012
Comment Period Extension on Proposed Train Crew 87 Fed. Reg. 45564
08/29/22 FRA
Size Safety Requirements Rule
09/08/22 FTC Motor Vehicle Trade Regulation 87 Fed. Reg. 42012
Nondiscrimination on the Basis of Sex in Education 87 Fed. Reg. 41390
09/12/22 ED Programs or Activities Receiving Federal Financial
Assistance Proposed Rule
*Abbreviations: ED Department of Education
APHIS Animal Plant and Health Inspection Service EPA Environmental Protection Agency
BOEM Bureau of Ocean Energy Management FCC Federal Communications Commission
CEQ Council on Environmental Quality FinCEN Financial Crimes Enforcement Network
CFPB Consumer Financial Protection Bureau FRA Federal Railroad Administration
CMS Center for Medicare and Medicaid Services FS Forest Service
CORPS Army Corps of Engineers FTC Federal Trade Commission
CPSC Consumer Product Safety Commission FWS Fish and Wildlife Service
DOE Department of Energy IRS Internal Revenue Service
DOI Department of the Interior NMFS National Marine Fisheries Service
DOL Department of Labor SEC Securities and Exchange Commission
Appendix F
Summary of Small Business Regulatory Cost Savings,
FY 2022
Initial cost Recurring
Agency Rule savings cost savings
($million) ($million)
Department of Defense Cybersecurity Maturity Model Certification1 62.7 62.7
Phasedown of Hydrofluorocarbons: 7.9 7.9
Establishing the Allowance Allocation
and Trading Program Under the American
Environmental Protection Agency Innovation and Manufacturing Act2
Unregulated Contaminant Monitoring Rule 5 2.9 2.9
(UCMR 5)3
Total Foregone Regulatory Cost 73.5 73.5
Savings, FY 2022
Note: Advocacy generally bases its cost savings estimates on agency estimates. Cost savings estimates are derived
independently for each rule from the agency’s analysis, and accounting methods and analytical assumptions for
calculating costs may vary by agency. Cost savings for a given rule are captured in the fiscal year in which the agency
finalizes changes in the rule because of Advocacy’s intervention. These are best estimates to illustrate reductions
in regulatory costs to small businesses. Initial cost savings consist of capital or recurring costs foregone that may
have been incurred in the rule’s first year of implementation by small businesses. Recurring cost savings are listed
where applicable as annual or annualized values as presented by the agency. The actions listed in this table include
deregulatory actions such as delays and rule withdrawals.
Sources:
1. 87 Fed. Reg. 16590 (March 23, 2022).
2. 86 Fed. Reg. 27150 (May 19, 2021).
3. 86 Fed. Reg. 13846 (March 11, 2021).
Appendix G
Summary of Small Business Regulatory Success Stories,
FY 2022
Agency Rule
Department of Commerce Atlantic Large Whale Take Reduction1
Department of the Interior Equity Action Plan2
Department of the Treasury, Financial Beneficial Ownership3
Crimes Enforcement Network
Environmental Protection Agency EPA’s Proposed TSCA Section 8(a)(7) Reporting and Recordkeeping
Requirements for Perfluoroalkyl and Polyfluoroalkyl Substances4
Federal Communications Commission Supply Chain Security—Equipment Authorization Rule5
Small Provider Exception for STIR/SHAKEN6
Broadband Competition in Multi-tenant Environments7
Internal Revenue Service Required Minimum Distributions8
Sources:
1. 86 Fed. Reg. 51970 (September 17, 2021).
2. 86 Fed. Reg. 57848 (October 19, 2021).
3. 87 Fed. Reg. 59498 (September 30, 2022).
4. 86 Fed. Reg. 33926 (June 28, 2021).
5. 86 Fed. Reg. 46644 (September 19, 2021).
6. 87 Fed Reg. 3684 (January 25, 2022).
7. 87 Fed Reg. 17181 (March 28, 2022).
8. 87 Fed Reg. 10504 (February 24, 2022).
File and source
- File
- Clark_Testimony.pdf
- Size
- 457,321 bytes
- SHA-256
- d5b4829bde69c55ba2e3e38de970f68b14e894fd02553bebaed54a7c66d8ee08
- Our copy
- Clark_Testimony.pdf
- Original
- No public link identified.