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THUS: 1 CFR 1.0




1 Codification regulations


2 Federal Register regulations

EDITORIAL NOTE: For list of abbreviations used in this chapter, see note to § 1.0. PART 1-CODIFICATION REGULATIONS

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Section 1.0 Codification amendment to Federal Register Act. Section 11 of the Federal Register Act, as amended, (50 Stat. 304; 44 U.S.C., Sup., 311) provides:

(a) On July 1, 1938, and on the same date of every fifth year thereafter, each agency of the Government shall have prepared and shall file with the Administrative Committee a complete codification of all documents which, in the opinion of the agency, have general applicability and legal effect and which have been issued or promulgated by such agency and are in force and effect and relied upon by the agency as authority for, or invoked or used by it in the discharge of, any of its functions or activities on June 1, 1938. The Committee shall, within 90 days thereafter, report thereon to the President who may authorize and direct the publication of such codification in special or supplemental editions of the Federal Register.

(b) There is hereby established a Codification Board, which shall consist of six members: The Director of the Division of the Federal Register, chairman ex officio; three attorneys of the Department of Justice, designated by the Attorney General; and two attorneys of the Division of the Federal

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Register, designated by the Archivist. The Board shall supervise and coordinate the form, style, arrangement, and indexing of the codifications of the various agencies.

(c) The codified documents of the several agencies published in the supplemental edition of the Federal Register pursuant to the provisions of subsection (a) hereof, as amended by documents subsequently filed with the Division, and published in the daily issues of the Federal Register, shall be prima facie evidence of the text of such documents and of the fact that they are in full force and effect on and after the date of publication thereof.

(d) The Administrative Committee shall prescribe, with the approval of the President, regulations for carrying out the provisions of this section. **

*§§ 1.0 to 1.25, inclusive, issued under the authority contained in sec. 11 (d), 50 Stat. 305; 44 U.S.C., Sup., 311.

†The source of 88 1.0 to 1.25, inclusive, is Codification regulations, Administrative Committee of the Federal Register, approved by the President, Oct. 11, 1938, 3 F.R. 2457 (DI).

ABBREVIATION: The following abbreviation is used in this chapter: E.O. Executive order.

1.01 Resolution. Whereas, the Administrative Committee agrees that the prompt, accurate, efficient, and adequate carrying out of the Act of Congress requires (a) an immediate and close liaison between the Codification Board and the several agencies, together with the prompt and energetic prosecution of the work by each agency; (b) the submission of completed units of the proposed codification of each agency from time to time, for criticism, suggestions, and fitting into the general code, subject, however to the final approval, amendment, and certification of each code by the agency concerned as provided in the Act and the regulations which follow herein; (c) the exertion of every effort to assure that each of the several Federal agencies will submit a creditable codification so that no agency will suffer by comparison of its codification with the codifications of other agencies or be subject to legal difficulties or practical embarrassments in its operations after the codification for the whole executive and administrative branch is published; and (d) the submission of a report on the whole completed code of executive and administrative rules and orders to the President in accurate, complete, and usable form, ready for printing, within the time limit prescribed in the Act of Congress;

Therefore, pursuant to the authority contained in section 11 (d) of the Federal Register Act, as amended by the Act of June 19, 1937 (50 Stat. 305; 44 U.S.C., Sup., 311 (d)), the Administrative Committee of the Federal Register hereby prescribes, with the approval of the President, the regulations in this part to govern the preparation (including form, style, arrangement, and indexing) and submission of the codes required to be submitted thereunder.**

1.1 Definitions. As used in this part, unless the context otherwise requires:

(a) Act. The term "Act" means the Federal Register Act, approved July 26, 1935 (49 Stat. 500; 44 U.S.C., Sup. II, 301-314) as amended by the Act of June 19, 1937 (50 Stat. 304; 44 U.S.C., Sup., 311).

(b) Document. The term "document" means any Presidential proclamation or Executive order, and any order, regulation, rule,

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**For statutory and source citations, see note to § 1.0.

certificate, code of fair competition, license, notice, or similar instrument issued, prescribed, or promulgated by a Federal agency (sec. 4 of the Act) and of general applicability and legal effect which is in force and effect and relied upon by such agency as authority for, or invoked or used by it in the discharge of, any of its functions or activities. (Sec. 11 (a) of the Act)1

(c) Agency or Federal agency. The terms "Federal agency" and "agency" mean the President of the United States, or any executive department, independent board, establishment, bureau, agency, institution, commission, or separate office of the administrative branch of the Government of the United States, but not the legislative or judicial branches of the Government. (Sec. 4 of the Act)

(d) Committee or Administrative Committee. The terms "Committee" and "Administrative Committee” mean the Administrative Committee of the Federal Register established under section 6 of the Act.

(e) Board and Chairman. The term "Board" means the "Codification Board" established under section 11 of the Act, and the term "Chairman" means the Chairman of the Codification Board.

1.2 Nature of codification.2 "Codification" as ordinarily used in the United States and as intended in the Act and the regulations in this part means the collection of all documents and their systematic organization and arrangement, with all obsolete and repealed matter eliminated and all new matter and amendments incorporated in their appropriate sections or paragraphs, so that the whole may be republished as one complete document.**

1.3 Revisions. The complete revision or restatement of documents, either in their language or substance, is not necessarily contemplated, although agencies are free to do so provided such work may be completed and the revision made effective in a reasonable time. On the other hand, portions of documents consisting of extensive quotation of statutory provisions, with or without quotation marks, are to be deleted whenever such deletion does not affect the meaning of the remaining portions of the document.**

1.4 Completeness. Main emphasis should be laid upon completeness and accuracy of the codification rather than the form of the source documents, since the Act requires "complete" codifications of

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"The word 'codification' is not intended to lay down rigid requirements. It means an orderly presentation of 'documents' brought up to date in the form best adapted to usefulness as tested by the experience of the agency. Thus, if there have been a series of amendments to a regulation, the minimum requirement would be a rewriting of such regulation, eliminating from its text obsolete provisions, and inserting therein new matter. If a regulation is already in such form, the agency may in its discretion deem further codification unnecessary, even though the inclusion of various regulations in that form may involve some repetition of provisions common to two or more of them.

"If a regulation has never been set forth by the agency in an orderly and easily available form, the amendment would require that this be done. In many cases an adequate codification would also require the systemizing of regulatory material according to subject matter." House Report 478, 75 Cong. 1 Sess.

**For statutory and source citations, see note to § 1.0.

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"all" documents (sec. 11 (a) of the Act). The omission of material which should be included will embarrass the agency in its future work, impair the effectiveness of the codification, and lessen its practical value both to the agency and to the public.*†

1.5 Documents to be included; present general applicability and legal effect. Each agency should keep constantly in mind the fact that the codifications are to include only documents which are currently "in force and effect and relied upon by the agency as authority for, or invoked or used by it in the discharge of, any of its functions or activities," and also, "of general applicability and legal effect." The phrase "present general applicability and legal effect," relates to all documents prescribing a penalty (sec. 5 (a) (3) of the Act), conferring rights, privileges, authority, or immunities, or imposing obligations, and, currently relevant or applicable to the general public, the members of a class, or the persons of a locality, as distinguished from named individuals or organizations. In short, such documents must be of "public" as distinguished from "private" import, as illustrated generally by the classification of laws in the Statutes-at-Large into "Public Laws" and "Private Laws," and by the regulations approved by the President respecting the type of matter to be published in the Federal Register. (See Part 2.)

More particularly, the following types of documents require special treatment:

(a) Internal administration. Those documents or parts of documents "effective only against Federal agencies or persons in their capacity as officers, agents, or employees thereof" should not be included (Cf. section 5 (a) (1) of the Act); but documents or portions thereof prescribing intra-departmental procedure which the public should know or follow in dealing with an agency should be included. (b) Administrative decisions. Codifications should not include the decisions of executive or administrative agencies, made upon hearing or otherwise and applicable only to named parties, unless such decisions are also promulgated as formal and general rules, or unless they establish rules or principles which affect the public or a class thereof.

(c) Repealed or superseded matter. No obsolete, repealed, or superseded matter should be included even though it might become relevant in cases arising under past states of fact. The term "in force or effect and relied upon by the agency as authority for, or invoked by it in the discharge of, any of its functions or activities" refers to present activities under the latest statutes or regulations on the same subject matter. Thus, regulations under old tax statutes should be excluded, except as they are applicable to current taxation.


"As the President has for purposes of the daily issues determined the classes of documents having general applicability and legal effect, the several agencies would in general be guided by that determination in selecting the kinds of material for inclusion in the codification." House Report 478, 75 Cong. 1 Sess. See also § 2.2 (d) of the Federal Register regulations.

* "Regulations, under Acts of Congress which have been repealed or superseded, for instance, would presumably be found no longer to have 'general applicability,' even though a few cases arising under them still remain open." House Report 478, 75 Cong. 1 Sess.

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**For statutory and source citations, see note to § 1.0.

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