1. The Texas Administrative Code and Code of Federal Regulations Administrative Policy Writing Spring 2012

2. Administrative Policy Writing Spring 2012 Introduction Why are we talking about citing to agency regulations? Why do we need to know this? Answer: Government documents frequently discuss and cite regulations. If you want to be able to read, write, and understand government documents, you must be able to decipher rule citations. This also applies to professional and technical writers who must cite to regulations in various technical documents. As you will see, it is actually pretty easy. Believe it or not, you don’t have to be a lawyer to read regulations. Before we get into citing rules, let’s look at a couple of government communications. You will see what I mean.

3. We will learn how to write a citation like this.

4. Or this.

5. Administrative Policy Writing Spring 2012 First a REVIEW Remember, we are talking about agency regulations. Citing statutes is another important topic for government writing. But we just don’t have time for it! The Texas secretary of state is responsible for publishing the adopted regulations of state agencies in the Texas Administrative Code. The Administrative Code is the collection of rules that are currently in effect.

6. Administrative Policy Writing Spring 2012 First a REVIEW Valid agency rules have the force of law. The Texas Administrative Code is a “code” – meaning a systematically arranged collection or compendium of statutes, rules, or regulations. When an agency or regulated industry cites agency rules, the citation is to the Administrative Code.

7. Administrative Policy Writing Spring 2012 First a REVIEW Federal regulation are organized in a similar fashion. The regulations adopted by federal agencies are published in the Code of Federal Regulations (“CFR”) Like the TAC, the CFR is available online.

8. Administrative Policy Writing Spring 2012 Citation Just like other professions, government writers have certain conventions for citing texts. (Just like APA style or MLA style.) There is no one “correct” way to cite the rules. In fact, there is a clear lack of uniformity in the way government agencies and businesses cite rules in the Code.

9. Administrative Policy Writing Spring 2012 What follows is an overview of the parts of the TAC and how rules are most typically cited by businesses and governmental bodies. My goals for this unit: I want you to be able to navigate the TAC on your own and find rules by looking at a citation. And write a basic citation to the TAC: the kind you might find in a letter or other government document.

10. Administrative Policy Writing Spring 2012 The parts of a rule citation 30 Tex. Admin. Code § 330.9(a). Title number 30 Abbreviations This symbol means “section” Chapter 330 Section 9 Subsection (a)

11. This is a rule on the management of municipal solid waste.

12. Administrative Policy Writing Spring 2012 Code Abbreviation The abbreviation “Tex. Admin. Code” is the most commonly used in citation. However, you will also see agencies simply write “TAC.” Thus, the previous citation could also be written as 30 TAC § 330.9(a). A citation to the CFR is similar.

13. Administrative Policy Writing Spring 2012 Code Abbreviation 8 C.F.R. § 207.1(a) Title number 8 Notice the periods Instead of chapter, this is part 207 This is section 1 and subsection (a)

15. This is a federal rule on the requirements for seeking entry into the country as a refugee.

16. Administrative Policy Writing Spring 2012 Title For the remainder of this class, we are going to focus on navigating the TAC. Let’s go to the TAC online: http://www.sos.state.tx.us/tac/ The first division of the Administrative Code is into titles. Each title covers a particular subject-matter. So, for example, title 22 contains rules adopted by various examining boards (Nursing Board, Vet Board, etc.) The title number appears first in a citation: 22 Tex. Admin. Code.

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18. Parts The Code is further divided into a number of parts appearing under each title. For example, see how title 22 has parts numbered 1, 3, 5, 7, and so on. What happened to 2, 4, and 6? These might be placeholders for future rules or rules that were withdrawn from the Code. The part numbers under each title do not appear in a citation to the Code. But they are useful when looking for a rule.

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20. Chapters The next level of division is the chapter. So every part of the Code contains one or more chapter. See, for example, 30 Tex. Admin. Code Chapter 330. Each chapter deals with a more specific subject- matter: Title 30 includes environmental rules. Part 1 includes rules of the Texas Commission on Environmental Quality Chapter 330 includes environmental rules dealing with municipal solid waste (i.e. garbage)

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22. Chapters continued Sometimes a writer wants to cite to an entire chapter rather than a particular rule when they want to discuss a whole set of regulations contained in that chapter. This is done as follows: 30 Tex. Admin. Code Chapter 330 or 30 TAC Chapter 330. Otherwise, the chapter number is the next part of the cite to a particular rule. The chapter appears after a section number symbol (§). You can find it in Microsoft Word under the Insert/Symbol. However, the section symbol is often omitted. So far we have 30 Tex. Admin. Code § 330

23. Administrative Policy Writing Spring 2012 Subchapters The next level of division is the subchapter. So chapters usually have one or more subchapters. These are identified using capital letters. So title 30, chapter 330 has subchapters A, B, C, and so on. Each subchapter deals with yet another more specific subject matter. For example: title 30: environmental rules chapter 330: solid waste subchapter Y: medical waste management Do you see how the code is organized to narrow down from general to specific?

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25. Subchapters continued Like titles, subchapters do not appear in standard rule citations, but are sometimes cited as a whole: “TCEQ rules relating to the management of medical waste are contained in 30 Tex. Admin. Code Chapter 330, Subchapter Y.”

26. Administrative Policy Writing Spring 2012 Sections Finally, we reach sections. Every chapter is divided into one or more sections. These sections are individual rules. The sections are numbers, usually in numerical order (but as rules are adopted and removed, the numbering may develop holes). For example, 30 Tex. Admin. Code Chapter 330, Subchapter A begins with Section 1. The next section is 3. The section number is attached to the chapter after a period. The citation only includes the title, chapter, and section: 30 Tex. Admin. Code § 330.1.

28. Administrative Policy Writing Spring 2012 Subsections Most sections are divided into subsections. (However, some sections are short enough to have no subsections.) But most rules contain many subsections. Subsections are lower-case letters: (a), (b), (c), etc. If you are citing to a particular subsection, you simply add the subsection on the string of chapter and section: 330.9(a) means subsection (a) of section 9 of chapter 330. Subsections usually specify different requirements or scenarios regulated by a particular rule.

29. Administrative Policy Writing Spring 2012 Subsections We’re looking at section 143 of chapter 1 subsections (a) and (b)

30. Administrative Policy Writing Spring 2012 Multiple subsections Often, writers want to cite to multiple subsections of a particular section. So how do you do that? The most common way to do this is to use a dash: 30 Tex. Admin. Code § 330.9(a)-(d). Citations to multiple, non-sequential subsections can be written as follows: 30 Tex. Admin. Code § 330.9(a), (d), and (f).

31. Administrative Policy Writing Spring 2012 Paragraphs and beyond Beyond subsections? The organization of rules goes beyond subsections, sometimes way beyond when there is a particularly complicated rule. The next level is called the paragraph. So each subsection may be divided into paragraphs. Used if a particular subsection itself has multiple requirements or scenarios. The TAC switches between letters and numbers (like an outline). So if subsections are letters (a, b, c), then the paragraphs would be numbers (1, 2, 3). The next level would be capital letters (A, B, C) then roman numerals (i, ii, iii) (Subparagraph and clause).

32. Administrative Policy Writing Spring 2012 Note how “recklessness” contains several paragraphs: (1), (2), and (3) under subsection (b).

33. Administrative Policy Writing Spring 2012 Putting it all together! The organization of the TAC: Titles Parts Chapters Subchapters Sections Subsections Paragraphs 30 Tex. Admin. Code § 330.9(a)(1)

34. Administrative Policy Writing Spring 2012 Practice Finding a Citation Locate this citation: 22 Tex. Admin. Code § 203.39(a). Notice how you have to perform a little process of elimination when you don’t know the context. Which part is this rule in? You can’t tell from the citation. So just click around until you find it. What does it say?

35. Administrative Policy Writing Spring 2012 Practice Finding a Citation One more. This time with some context. This is a rule of the Texas Lottery Commission. Specifically regarding the instant game rules. 16 TAC § 401.302(b)(1) What does it say?

36. Administrative Policy Writing Spring 2012 Practice Writing a Citation Suppose you are a employee of the Nursing Board. A licensed nurse has written the Board requesting information on Nurse First Assistant Program that allows nurses to assist in surgery. The following rule contains the Board’s requirements on qualifying for this program. How would you cite to the requirement concerning the first assistant educational program in a letter responding to the nurse?

38. Administrative Policy Writing Spring 2012 One more for the road The Department of Public Safety (DPS) has adopted regulations on concealed handgun licenses issued by the Department. Those regulations include certain Proficiency Requirements in 37 Tex. Admin. Code § 6.11. How would you cite to the requirement that a student must score at least 70% on the written examination and shooting proficiency examination in order to establish proficiency?

39. Administrative Policy Writing Spring 2012 Homework Complete the Rule Citation Exercise. (Due Mar. 10) Complete the Texas Register Project Part II. (Due Mar. 10)

40. Administrative Policy Writing Spring 2012 Overview of the Texas Administrative Code Part II: Citing Agency Rules in Context

41. Administrative Policy Writing Spring 2012 Citation in academic work versus government writing In other classes you may have learned that you must provide a citation as a matter of academic honesty when you are quoting or otherwise using someone else’s ideas in your own work. This is citation in the context of academic work. Its purpose is to give credit to the author of the ideas being used. An acknowledgement that you are using someone else’s ideas and incorporating them into your own.

42. Administrative Policy Writing Spring 2012 Citation in academic work versus government writing Professional and governmental writing have different purposes. Last week we said that when a state agency writes a letter to a regulated entity, it will often cite to its rules. But the purpose is not to give credit to the author of the rules for those ideas. Rather, it is to establish the authority for the proposition cited. In other words, a citation in this context is a way of saying “this is the law” not “this is someone else’s idea.”

43. Administrative Policy Writing Spring 2012 What part of a rule do you cite? When citing to an agency rule or statute, you have to decide what specific text you are referring to. Sometimes a writer wants to refer to an entire regulatory program, like the rules on medical waste, as a whole. However, when government writers cite to the TAC, they are usually citing to a specific requirement within a rule that is relevant to the matter at issue. Generally speaking, you should write a citation that takes the reader to the specific subsection or paragraph of the rule that contains the text you are citing.

44. Administrative Policy Writing Spring 2012 Based on the rule below, what would you cite for the proposition that a dentist must obtain an anesthesia permit to perform general anesthesia?

45. Administrative Policy Writing Spring 2012 What part of a rule do you cite? A dentist must obtain an anesthesia permit to perform general anesthesia. 22 Tex. Admin. Code § 110.2(a)(5). Note: See how the citation shows the authority for the statement. It is a way of saying “I’m not just making this up!”

46. Administrative Policy Writing Spring 2012 How do you cite a rule in a sentence? Typically, a citation acts as its own sentence following the sentence it cites. Each sentence has its own period. When you write a citation within the text under APA or MLA style, you make it part of the same sentence. Notice the difference: Bluebook: TCEQ rules require that owners and operators of underground storage tanks register their tanks with the commission. 30 Tex. Admin. Code § 334.7(a)(2). APA: The American Physiological Association style is a difficult citation format for first-time learners (Jones, 1998, p. 199). MLA: Romantic poetry is characterized by the "spontaneous overflow of powerful feelings" (Wordsworth 263).

47. Administrative Policy Writing Spring 2012 How do you cite a rule in a sentence? However, you can also cite a rule in the text of a sentence: But this can make the sentence more cluttered. Speaking of cluttered, government writers sometimes move the cites into footnotes.

48. Administrative Policy Writing Spring 2012 What does a citation to the rules mean? When you cite to a rule, you are telling the reader that what appears before the citation is either exactly what a rule says or is an accurate paraphrase. A citation is improper if it contains extra information or inferences that are not part of the cited text. This is especially important when a document is applying a rule to a specific situation (rather than just referencing it). Should always be clear what the specific facts and what the rule is. Government writers pay serious attention to citations. They are not an after-thought.

49. Administrative Policy Writing Spring 2012 An Example

50. Administrative Policy Writing Spring 2012 An Example First notice this is a letter applying a rule to a specific situation. But it mixes up the rule and the facts. If we look up Section 144 in the TAC, does it say this particular architect’s license is up for renewal? Of course not. This sentence is an improper citation. The writer was being lazy – skipping over an inference: The rule says that licenses are up for renewal ever five years. Your license is five years old. Therefore, your license will be up for renewal.

51. Administrative Policy Writing Spring 2012 An Example Come on! Is it really necessary to say that in three sentences? Answer: YES! An important convention of government writing is to be very explicit and clear about applying rules to facts. Rules are stated separately. The facts are stated separately. Then a conclusion is drawn. Even if it seems tedious, it is the preferred style. Go back to the above example: Rule: The rule says that licenses are up for renewal every five years. Facts: Your license will be five years old. Conclusion: Therefore, your license will be up for renewal.

52. Administrative Policy Writing Spring 2012 An Example In this way, the conclusion rests upon a logical argument. The rules and the facts of your situation are the premises of the argument. In everyday communication, we don’t state the premises so explicitly. How would you argue to your spouse that they are speeding? Probably something like “The speed limit is 55 here. You’re speeding!”

53. Administrative Policy Writing Spring 2012 An Example Do you see how such an argument skips over (or assumes) a necessary piece of information? The speed limit is 55 miles per hour You were traveling in excess of 55 miles per hour. Therefore, you violated the speed limit. Now you see very clearly why the conclusion is true. In ordinary life, we are not so explicit about making arguments. The spouse can assume the second premise because it is obvious in the circumstances. Just look at the dashboard!

54. Administrative Policy Writing Spring 2012 An Example But government writers should strive to discuss rules in this more explicit manner. Why? Professionalism: Assumptions can be dangerous. Be clear about what facts you are relying on in order to make conclusions in professional writing. It is also a way of checking yourself – make sure you really have the right facts to support your argument. Plain Language: Stating all information necessary to support your conclusion enhances clarity.

55. Administrative Policy Writing Spring 2012 An Example How could the licensing letter above be rewritten to Include a proper citation to the rules and Use the logical style of rule, facts, conclusion For this example, I will show you what I consider to be a better form.

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57. Rule. Fact. Conclusion.

58. Administrative Policy Writing Spring 2012 Let’s look at some more real-world examples of government communications that cite agency rules. two FAQ documents that reference regulations one Notice of Violation document that applies regulations.

59. Administrative Policy Writing Spring 2012 The first FAQ document was published by the Texas Department of Health and Human Services on obtaining a food manager certification. The second FAQ document was published by the Texas Real Estate Commission on licensed real estate inspectors. The Notice of Violation document was published by the U.S. Department of Health and Human Services and alleges that a certain drug advertisement violates federal regulations on misleading advertisements.

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63. The short writing exercise for this week requires you to apply regulations to a set of facts found during an investigation. This exercise will prepare you for the next writing project that will require you to apply rules in a more complex situation. So let’s practice one together first. (BTW: We will return to applying rules when we talk about government investigation reports later in the semester.)

64. Administrative Policy Writing Spring 2012 The setup: The practice of plumbing in Texas is regulated by the Texas Board of Plumbing Examiners. (You wrote a license application letter for them.) The Board’s rules govern the licensing and conduct of plumbers. Why? To protect the public from sub-standard plumbing that may lead to poor sanitation and water quality problems. On the next screen, you will be presented with some facts and a Plumbing Board rule. Apply the rule to the facts using the three part analysis we discussed above: What is the relevant fact? (The one that shows a violation) What does the rule say? What is your conclusion?

65. Administrative Policy Writing Spring 2012 On September 2, 2010, Joe the Plumber was hired to install a new shower for Ms. Rose (which is consider plumbing). Joe is a newly licensed plumber. The job he agreed to perform for Ms. Rose was his first job as a plumber. When Ms. Rose initially contacted Joe, she asked about his prior experience as a licensed plumber and whether he had any references. Joe told her that he had been licensed for five years. After hearing this, Ms. Rose decided to hire Joe. The Plumbing Board’s rules that apply to licensed plumbers provide the following in 22 TAC § 367.2(c): How would you analyze Joe’s violation of the rule? Write it out on your own!

66. Administrative Policy Writing Spring 2012 Model Answer

67. Administrative Policy Writing Spring 2012 Homework Complete the Rule Application Exercise. (Due Mar. 24)