A “docket” refers to an agency’s collection of documents made available for public examination. Often linked to chances for public feedback, EPA dockets comprise materials utilized in rulemaking or other agency actions. These may encompass documents explicitly cited in the Federal Register, public comments received, and other data the Agency uses to clarify or justify its choices. Dockets are classified as either rulemaking or non-rulemaking dockets.
Rulemaking Dockets
Rulemaking dockets (sometimes referred to as “regulatory” dockets) record an agency’s initiatives to propose, modify, revoke, or issue a rule or regulation. When Congress enacts a law or statute, federal agencies translate these laws and statutes into concrete rules and regulations. Once implemented, these regulations hold the force of law, as specified by the statute.
Rulemaking dockets may include:
- Federal Register Notices
- Notice of Proposed Rulemaking
- Final Rule Notice
- Direct Final Rule Notice
- Supporting documents
- Submitted comments
Non-Rulemaking Dockets
Non-rulemaking dockets (also known as “general” dockets) contain data on any agency procedure or action unrelated to creating a rule. Non-rulemaking dockets contain a range of materials accessible to the public concerning agency actions.
What a Docket Does Not Include
While you can locate the documents described above within a docket, some materials that document the agency’s internal decision-making process prior to the final decision are not publicly available. These materials typically consist of:
- Internal documents capturing pre-decisional internal discussions that were deliberative in nature and comprised of materials generated before a decision, such as day-to-day staff notes.
- Briefing papers, action memos, and other staff advice and recommendations.
- Confidential attorney-client communications.
- Confidential attorney work-products.
- Draft decision documents.
- Internal EPA memos.
Understanding Docket IDs: A Detailed Breakdown
Dockets, along with the documents contained within, are identified by their distinct ID code. Docket IDs consist of five parts: AGENCY-LOCATION-OFFICE-YEAR-DOCKET NUMBER. Document IDs contain six parts: AGENCY-LOCATION-OFFICE-YEAR-DOCKET NUMBER-DOCUMENT NUMBER. Let’s examine these components more closely.
Descriptions of Docket ID Components
- AGENCY: The federal agency responsible for the docket. All EPA dockets begin with “EPA.”
- LOCATION: The EPA maintains a headquarters and ten regional offices. This section will display either “HQ” or a three-digit code for the specific region, such as “R09.”
- OFFICE: The EPA is structured into various programs and offices, each with a specific focus. This section will contain a two-to-five-letter code representing the program/office responsible for developing the docket. For instance: Use “OAR” for the Office of Air and Radiation and “OW” for the Office of Water.
- YEAR: Denotes the year the docket was created. Important to note: The actions detailed within a docket may involve multiple steps spanning over several years.
- Docket ID: A four-digit identifier unique to each docket.
- Document ID: A four-digit identifier assigned to each primary document within a docket. Key point: Primary documents may also contain attachments. These attachments do not possess their own unique identifier; they share the document ID of their primary document.
Docket ID Example 1
This docket ID (EPA-R05-OAR-2012-0991-0017) indicates that the docket was created by the EPA’s Region 5 (R05) Office of Air and Radiation (OAR) in 2012. The specific docket identifier is 0991, and the document number is 0017. It allows the public to track the EPA environmental regulations.
Docket ID Example 2
This docket ID (EPA-HQ-OPP-2014-0483-0001) demonstrates that the docket was created by the EPA at its Headquarters (HQ) by the Office of Pesticide Programs (OPP) in the year 2014. The docket is identified by the number 0483 and the document is number 0001. Understanding this ID helps stakeholders monitor EPA pesticide programs.
What’s Excluded from a Docket?
Dockets do not include internal EPA communications, pre-decisional materials, or documents of a deliberative nature. This specifically pertains to materials related to regulation development. To access this type of information, individuals must submit a Freedom of Information Act (FOIA) request.
In summary, a docket provides a valuable window into the operations of agencies like the EPA. While certain internal documents remain protected, the vast majority of information is available for public consumption, promoting transparency and accountability. Understanding the structure and content of a docket is essential for anyone seeking to engage with the regulatory process.
