guidance documents

Administrative Policy WritingSpring 2012

Guidance Documents


IntroductionRemember earlier this semester we said that

administrative agencies have three major functions:Adopting and enforcing rules,Administering public services and benefits, andProviding the public with information.

Our investigation report project was about enforcing rules.The AirCheck project was about administering services.This week we are going to discuss the third function:

providing the public with information.We will do this by discussing a type of document used to

explain regulations or other law to the public.


IntroductionThese documents may have different names. We are

going to refer to them as guidance documents.Today we will discuss how guidance documents

explain regulations and we will break down their parts.

We will end today by looking at some examples of real-world guidance documents.

The writing project for this week is to write a short guidance document on a set of regulations. We will also talk about how to tackle this project.


Purpose of Guidance DocumentsThe purpose of a guidance document is explain a rule or program to the

public or regulated community. These documents should be accurate and easy to understand.

Guidance documents begin with the premise that most people don’t want to read regulations or find them difficult to read.

From your own experience in this class, you can understand! For the average member of the public, navigating and understanding

regulations in the TAC or CFR is intimidating and confusing.Thus, the purpose of these documents is to restate or provide a

summary of the regulations in plain English. As mentioned above, there are really two parts to this: It is important that guidance documents are both easy to understand and

are accurate. “Easy to understand” involves the principles of plain language we have

already discussed.


Purpose of Guidance DocumentsWhat does “accurate” mean?

The document should exhaust all of the conditions or situations covered by the rules.

The document should not add anything to the rules.

Unless the agency has determined that further information is necessary to resolve an ambiguity in the rules.

Follow these twin goals in your own writing project.


Guidance Documents as InterpretationIn addition to simply explaining the rules, guidance

documents also interpret the rules. Guidance documents can address ambiguities in a

regulation and explain what the agency thinks their regulation means.

In this way, guidance documents serve as an official interpretation of the regulation and provide an important legal function.

Guidance documents may have an important role in legal proceedings in which the meaning of regulations are at issue.

An agency’s interpretation of its own regulations is often important.


Guidance Documents as Interpretation To give you an idea of why we need guidance documents, let’s

look at a hypothetical situation. The U.S. Fish and Wildlife Service is responsible for the

operation of national wildlife preserves. The Aransas National Wildlife Refuge is located near Corpus

Christi.


Guidance Documents as Interpretation Suppose the agency adopts the following rule:

Question: What counts as a vehicle? SUV? Bike? Electric wheelchair? Skateboard? Golf cart?

The agency may publish a guidance document to clarify its intent in adopting this rule.

Thus, the guidance document may serve an important role in rule interpretation. For the purpose of this rule, the agency may interpret a “vehicle” to include only motorized vehicles. Or maybe anything with wheels.


Parts of a Guidance DocumentGuidance documents are generally short guides to a set of

regulations on a given topic or activity.Length: 2-3 pages. But some are much longer, like a manual.Usually organized by

a series of subject headings or FAQ style.

There is no set formula for a guidance document, but many have the following parts: Title Introduction Definitions of terms or acronyms A series of headings on what the rules require

We will talk about each of these.


Parts of a Guidance Document: TitleThe title of a guidance document should explain what

the document is about in concise terms.

The title page should also include a letter-head or logo of the agency issuing the regulation.

This shows that it is an official publication of the agency.


Parts of a Guidance Document: TitleThe title usually includes a date and number.

The date is important because regulations are always changing.

Guidance documents tend to have a short shelf-life.The date makes it clear that it is an explanation of

regulations in effect on a certain date. The agency does not want someone to find this

document ten years later and think it is still current.The number “RG-012” provides an easy way to

reference the document.


Parts of a Guidance Document: IntroductionThe introduction orients the reader to your subject in

the first sentence:“This is a guidance document about scrap tire recycling.”

They also usually contain a disclaimer. This disclaimer is not just bureaucratic jargon. It serves as an important reminder.

The purpose of this disclaimer is to make the role of a guidance document clear. It is not a rule, but the agency’s attempt to explain a rule.

A guidance document is also not designed to constitute legal advice to a regulated entity.


Parts of a Guidance Document

Introduction

DateNumber


Parts of a Guidance Document: DefinitionsBecause guidence documents deal with technical information

and terms, it is often conveninent to use abbreviations, specialized terms, and acroynms.

But recall from the discussion on plain language and audience that you should always define these terms when the audience is the general public. You cannot assume that the reader knows what “MSW” or

“APAR” means, even if everyone in the industry does.Guidance documents should be addressed to the general public

rather than industry insiders. What if the reader is new to the industry?

Therefore, these documents may need a section that defines the technical terms or abbreviations used.


Parts of a Guidance Document: Definitions

“TCEQ”

“PPRW”

“UW”


Parts of a Guidance Document: HeadingsAs previously mentioned, guidance documents are

typically organized by a series of subject headings that cover a particular rule or answer a particular question.

The latter is used if the guidance document is written as an “FAQ.”

The first heading usually describes what rules apply to the activity in general and provide an overview of those rules.

Subsequent headings then describe the particular requirements in more detail.

See this organization in the following document about environmental rules for car wash facilities.

An overview of the environmental requirements to operate a car wash

The specific rules explained in this document

Second major subject heading

Specific requirements from the regulations written in a plain-language style


Audience for Guidance Documents As mentioned previously, guidance documents typically have two audiences:

the general public and the regulated community.

In the previous example, the regulated community would be car wash operators.

Therefore, writers of guidance documents must use the technical language necessary to describe the activities of industry.

But at the same time, avoid confusing jargon. Thus, it is important to assume little knowledge and define terms.

Like the car wash example illustrates, it is also important to give the reader a sense of the big picture: what are the major steps a car wash operator will have to take in order to comply

with environmental rules? Such information will provide a newcomer to the field with information to get

started.


Example DocumentLet’s look at some real-world examples.See the links to the guidance documents in

Week 13 of the schedule page.Read over the OSHA Guide on Operator

Qualifications for Cranes and Derricks.


Writing a Guidance DocumentOur project for this unit is to write a guidance document.Your job will be to review a set of regulations and translate

that information into a readable document that provides the reader with an explanation of the requirements.

We will be using a question-and-answer format that appears on the Texas Department of Licensing and Regulation (TDLR) website.

The TDLR regulates many assorted professions in Texas:BarbersPolygraph ExaminersAuctioneersEtc.


Writing a Guidance DocumentOur project concerns regulations related to operating a barber

shop.The TDLR has a question and answer guidance document on

their website that explains some of the rules applicable to barbers.

Your job is essentially to add to this document by explaining rules on shop operations.

However, you don’t need to make a website. Turn in your project as a Word document.

Since you are adding to an existing document, you do not need to include the introduction.

Since this is an FAQ, you have to create the questions which the rules answer. (Assume those questions are frequently asked.)


Writing a Guidance Document


Writing a Guidance Document Your job is to explain the rules. Explain means translate them into a

plain language style. You can’t simply cut and paste them into your document! Your explanation must be complete: provide for all conditions and

exceptions in the rules. The assignment will provide you the citations to the rule. You must go

to the Texas Administrative Code online to retrieve them. (Remember, these are rules of the TDLR. That should help you locate

them.) Find a way to organize the information to make it accessible and

readable. You should use formatting devices as you see fit, including bullet points, subject headings, or tables.

Copy the general style of the existing FAQ. Your audience for this document is the general public and professionals.


We’re DoneQuestions?Comments?

guidance documents

Documents

introductionthese documents

short guidance document

meaning of regulations

set of regulations

administrative agencies

public services

writing project

aircheck project