guidance documents

Administrative Policy WritingSpring 2011

Guidance Documents


IntroductionThis week we are discussing a type of public-policy document

used to explain regulations or other law to the public.These documents may have different names. We are going to

refer to them as guidance documents.Remember from the discussion on administrative agencies that

one of the ways in which agencies implement the law is through providing information to the public.

Today we will talk in more detail about how guidance documents explain regulations and we will break down their parts. We will also look at some examples.

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 else they find them difficult to read.

For the average member of the public, navigating and understanding regulations in the TAC 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 the 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.


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.Usually organized by a series of subject headings or in FAQ

style.There is no set formula for a guidance document, but many

have the following parts:TitleIntroductionDefinitions of terms or acronymsA series of headings on what the rules require

We will talk about each of these.


Parts of a Guidance Document: Title The title of a guidance document should explain what the document is

about in concise terms. Example title for an environmental rule:

“Managing Paint and Paint Related Waste Under the Universal Waste Rule.”

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.

The 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 five 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: Introduction The introduction orients the reader to your subject:

“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. Why is it important that a guidance document is not a rule?

Because guidance documents are not formally adopted through the process of rule-making: publication in the Texas Register.

Because it is not a rule, it is not legally binding. Also, a guidance document is not designed to constitute legal advice to a

regulated entity. It is an “official” interpretation of a rule or policy. But it may not tell the regulated entity everything it needs to know or do in order to comply with the rules in their particular situation.

That is what legal counsel is for.


Parts of a Guidance Document

Introduction

DateNumber


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

and terms, it is often convenient to use abbreviations and acronyms.

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


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 a “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

Subject heading

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


Audience for Guidance DocumentsAs 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 the 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.


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 professional

combative sports: boxing in particular.The TDLR has a question-and-answer guidance document on its

website that explains some of the boxing rules.Your job is essentially to add to this document by explaining two

additional rules.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 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 boxing

professionals.


We’re DoneQuestions?Comments?