Administrative Sources

7/28/2019 Administrative Sources

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BRIDGE THE GAP

Administrative SourcesFederal and Virginia

Gail Zwirner

Head of Access Services


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Recent Headlines

American, US Airways win merger approval (DOJ)(3/28/2013)

Honeywell to pay $3M penalty for emissions (EPA &DOJ) (3/29/2013)

SCC Approves Solar Program: Dominion Virginia Powergets OK on pilot energy generation effort (StateCorporation Commission) (11/28/2012)

Comments on clinic rules pour in: abortion rights

advocates deliver 3500 to Va. Board [of Health] (3/29/2013)

Virginias jobless rate in Dec. is lowest in four years(Va. Employment Commission) (1/19/2013)

Oyster Restoration Plan Outlined for Bay (Va. Marine

Resources Commission) (2/12/2013)


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Executive Branch Research

An administrative agency may be called a Department(DOT), a Board (NLRB), a Commission (FCC), anAuthority (TVA), a an Administration (SSA), anAgency (EPA), a Corporation (FDIC), or a Service

(IRS) Examples of executive branch entities are:

Department of Justice, Defense, Agriculture, Energy,Transportation, Homeland Security (Cabinet level departments)

Environmental Protection Agency

Federal Deposit Insurance Corporation Securities and Exchange Commission

United States Postal Service

Federal Aviation Administration

http://www.loc.gov/rr/news/fedgov.html
http://www.loc.gov/rr/news/fedgov.htmlhttp://www.loc.gov/rr/news/fedgov.html


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Role of Administrative Agencies

Authorized by Congress in enabling legislation

(sometimes by Presidential Executive Order) to

promulgate regulations

May hear and settle disputes arising from the regulation

or enabling statute

May investigate and prosecute violators of regulations


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What kinds of materials do these entities

generate?

Rules orregulations (which have the same effect asstatutes) (third level of primary authority); may providemore specificity than the enabling legislation

Presidential/Gubernatorial documents (ExecutiveOrders)

Licenses, which include permits, certificates

Attorney General opinions

Advisory opinions, which are authoritative interpretationsof statutes and regulations (not binding) (sometimescalled interpretive regulations)


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Materials, cont.

Orders, the final disposition of any agency action,

other than rulemaking

Decisions, which adjudicate controversies arising

out of the interpretation of statutes or regulations;they are issued in the same manner as court

decisions

United States Government Manualon the internet

at:http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN

&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-

05%3Bthumbnails%5C%2Fgovman10-

11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716
http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=GOVMAN&browsePath=2011+Edition+%28October%29%3BGOVMAN-2011-10-05%3Bthumbnails%5C%2Fgovman10-11.jpg&isCollapsed=false&leafLevelBrowse=false&ycord=1716


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Whats the difference between a statute and a

regulation?A statute enables an

agency to perform its

functions, including . . .

promulgating regulations Created by Legislative

branch

Representative

government in that weelect Congressional

members to vote for us

A regulation creates the

detailsthe rules ofprocedure to implement

the statutes Created by Executive

branch

Participatory government

in that the public maysubmit comments on a

proposed regulation


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How are they similar?

A statute is subject to

revision introduced inCongress as a bill

Slip law is published in the

Statutes atLarge, then

codified in the U.S. Code ,

organized by title, e.g. 29U.S.C. 623 (2000)

A regulation is subject torevision introduced as aproposed regulation inthe Federal Register

Final regulation ispublished in the FederalRegister, then codified inthe C.F.R., organized bytitle, e.g. 29 C.F.R. 1625.7 (2003)


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Creating Regulations

Administrative Procedure Act (APA) process:

Notify the public when they plan to promulgate new regulations or

change existing ones (NOPR)

Publish proposed regulations and solicit comments on them before

the regulations become final Publish final regulations before they go into effect to notify the

public of the new requirements

http://www.citizen.org/documents/Regulations-Flowchart.pdf
http://www.citizen.org/documents/Regulations-Flowchart.pdfhttp://www.citizen.org/documents/Regulations-Flowchart.pdfhttp://www.citizen.org/documents/Regulations-Flowchart.pdfhttp://www.citizen.org/documents/Regulations-Flowchart.pdf


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The Tools - Regulations Federal - Print

Code of Federal Regulations - annual

List of Sections Affected - monthly

Federal Registerdaily

Depending on the nature of your research, you may start or endwith any of these tools


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Codification: Code of Federal Regulations

(C.F.R.) Subject arrangement of regulations by title and section or part number

Many titles correspond to statutes, but not all

Transportation: 49 in U.S.C. and C.F.R.

Environment: 42 in U.S.C., but 40 in C.F.R.

Index one volume at the end of the C.F.R.

Regulatory history in parenthetical references at end of section

C.F.R. volumes are issued each year on a staggered, quarterly basis(see current through date on cover) Titles 1-16 updated January 1 of each year

Titles 17-27 updated April 1 of each year

Titles 28-41 updated July 1 of each year Titles 42-50 updated October 1 of each year

Titles 51


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C.F.R. is

rich with

graphics


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Other C.F.R. Issues

Titles may include table of Material Approved forIncorporation by Reference material notpublished in the Federal RegisterorC.F.R.

Has force of law as if it were published in the FederalRegisterorC.F.R.

Frequently consists of technical standards

Title 3 of the C.F.R. is the compilation of

Executive Orders


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Other Sources for the C.F.R.

Westlaw

Lexis

FDSys (formerly GPO Access) 1996-current; based on print availability

http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR

E-CFR (updated by NARA) Current edition; incorporates Federal Register final rules prior to the

print publication

http://www.ecfr.gov/cgi-bin/ECFR?page=browse

Hein Online 1938-current

http://heinonline.org/HOL/Index?collection=cfr&set_as_cursor=clear

Agency websites: http://www.fda.gov/
http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFRhttp://www.ecfr.gov/cgi-bin/ECFR?page=browsehttp://heinonline.org/HOL/Index?collection=cfr&set_as_cursor=clearhttp://www.fda.gov/http://www.fda.gov/http://heinonline.org/HOL/Index?collection=cfr&set_as_cursor=clearhttp://www.ecfr.gov/cgi-bin/ECFR?page=browsehttp://www.ecfr.gov/cgi-bin/ECFR?page=browsehttp://www.ecfr.gov/cgi-bin/ECFR?page=browsehttp://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR


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Updating the C.F.R.: the List of Sections

Affected (L.S.A.) Published monthly

Number of issues used depends on current through dateof the C.F.R.

References are to the Federal Register

Includes a table to indicate the date of the issue that

includes the specific Federal Registerpage


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Updating the C.F.R.: the Federal Register

Created in 1935 to provide a centralized filing system forthe public and a place to provide notices of proposedrulemaking

Published Monday-Friday, except federal holidays

Issues are consecutively paginated; an annual volumecan exceed 60,000 pages

Publishes final rules prior to codification

Includes analysis not codified how and why the code will

be amended (intent) Includes Reader Aids pages to supplement the List of

Sections Affected


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Online sources for the Federal Register

Westlaw

Lexis

FDSys (formerly GPO Access) 1996-current; based on print availability

http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR

Hein Online 1938-current

http://heinonline.org/HOL/Index?collection=cfr&set_as_cursor=clear

Regulations.gov (http://www.regulations.gov/#!home) allows thepublic to participate in the regulatory process
http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFRhttp://heinonline.org/HOL/Index?collection=cfr&set_as_cursor=clearhttp://www.regulations.gov/http://www.regulations.gov/http://heinonline.org/HOL/Index?collection=cfr&set_as_cursor=clearhttp://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR


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Agency Decisions

Print official: see Bluebook, pp. 218-228 and librarycatalog

http://Librarycat.richmond.edu

Opinions of the Office of Legal Counsel

Also looseleaf services CCH Intelliconnect and

BloombergBNA databases at:

http://law.richmond.edu/library/index.html

Agency websites: http://www.justice.gov/

Agencies

Office of Legal Counsel

Website

Opinions (1992-present)

Lexis/Westlaw
http://librarycat.richmond.edu/http://law.richmond.edu/library/index.htmlhttp://www.justice.gov/http://www.justice.gov/http://law.richmond.edu/library/index.htmlhttp://librarycat.richmond.edu/


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Presidential Documents

Executive Orders

Proclamations, such as bill signing statements

Sources:

Title 3 of the C.F.R.

Federal Register

Weekly (Daily) Compilation of Presidential Documents

U.S. Code Congressional and Administrative News

Public Papers of the President

Lexis/Westlaw

Whitehouse.gov

Hein Online athttp://heinonline.org/HOL/Index?collection=presidents&set_as_cursor=clea

r
http://heinonline.org/HOL/Index?collection=presidents&set_as_cursor=clearhttp://heinonline.org/HOL/Index?collection=presidents&set_as_cursor=clearhttp://heinonline.org/HOL/Index?collection=presidents&set_as_cursor=clearhttp://heinonline.org/HOL/Index?collection=presidents&set_as_cursor=clear


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Virginia Administrative Process Act

Va. Code Ann. 2.2-4000 to 2.2-4031

VAPA originally enacted in 1975 and was recodified

most recently in 2001

Virginias process is similar to the Federal process ofnotice, public comment period, agency response

(intent) published in the Virginia Register


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General State Sources

Report of the Secretary of the Commonwealthincludes the statutory authority, purpose, powers andduties, composition, term, and membership of alldepartments of the executive branch of government.

Source for Governors Executive Orders Online only now athttp://www.soc.state.va.us/StateGovernment/BlueBook/report.cfm
http://www.soc.state.va.us/StateGovernment/BlueBook/report.cfmhttp://www.soc.state.va.us/StateGovernment/BlueBook/report.cfmhttp://www.soc.state.va.us/StateGovernment/BlueBook/report.cfmhttp://www.soc.state.va.us/StateGovernment/BlueBook/report.cfm


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Regulations Virginia - Print

Virginia Administrative Code (West)

Virginia Register

Some agency decisions:

Virginia Attorney General

State Corporation Commission

Workers Compensation Commission

Tax (CCH)

Bureau of Insurance (SCC)


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Virginia Administrative Code (VAC)

Print (published by West) (1995-) Organized by subject, not alphabetically by agency. For example,

Health includes:

Department of Health

Health Planning Board Health Services Cost Review Council

Dept. of Medical Assistance Services

State Mental Health, Mental Retardation, and SubstanceAbuse Services Board

Caution: General index not updated regularly; may need to rely onsubject index

Lexis/Westlaw/Web at http://leg1.state.va.us(unannotated)
http://leg1.state.va.us/http://leg1.state.va.us/


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Virginia Register of Regulations (VRR)

First created in 1985, VRR is intended to supplement theVirginia Administrative Code

Includes the text of proposed and final regulations;proposed regulations include an economic impact

analysisAlso includes emergency regulations, Governors

executive orders (prior to inclusion in the Report of theSecretary of the Commonwealth), SCC Orders, TaxBulletins, and notices of public hearings


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Sources for the VRR

Print (published biweekly by the Commonwealth);indexed quarterly, cumulative index at the completionof a volume

Lexis and Westlaw

Web at: http://legis.state.va.us/search/reg_query.htm PDF copies available for Vol. 14-29 (6/22/1998-2013); also includes a searchable database

Through 2009 (v. 26) it included a Cumulative Tableof VAC Sections Adopted, Amended, or Repealed(same purpose as the federal L.S.A.) The table isavailable only on the web athttp://register.dls.virginia.gov/CUMULTAB.HTM
http://legis.state.va.us/search/reg_query.htmhttp://register.dls.virginia.gov/CUMULTAB.HTMhttp://register.dls.virginia.gov/CUMULTAB.HTMhttp://legis.state.va.us/search/reg_query.htm


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Guidance Documents

Any document developed by a state agency or staff thatprovides information or guidance of general applicability

to the staff or public to interpret or implement statutes or

the agencys rules or regulations.

http://legis.state.va.us/codecomm/guidance/guidedoc.htm
http://uscode.house.gov/search/criteria.phphttp://uscode.house.gov/search/criteria.php


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Governors Executive Orders

Print: 1903-2005 in Report of the Secretary of the Commonwealth

Virginia Register

Web:

Report of the Secretary of the Commonwealth http://www.commonwealth.virginia.gov/StateGovernment/BlueBook/report.cfm

Gubernatorial Documents

Current Governors website at www.governor.virginia.gov)(posted as released)

Link: Issues & Initiatives/Executive Orders List updated at the end of an administration

Virginia Register
http://www.commonwealth.virginia.gov/StateGovernment/BlueBook/report.cfmhttp://www.governor.virginia.gov/http://www.governor.virginia.gov/http://www.commonwealth.virginia.gov/StateGovernment/BlueBook/report.cfm


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Governors Executive Orders

Department of Planning and Budget Orders still in force from all administrations

http://www.dpb.virginia.gov/eo/eo.cfm
http://www.dpb.virginia.gov/eo/eo.cfmhttp://www.dpb.virginia.gov/eo/eo.cfm


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Governors House & Senate DocumentsRepeated Annually House Document 1 Budget Bill

Senate Document 1 State of the CommonwealthSpeech

Senate Document 2 List of Pardons, Commutations,Reprieves and Other Forms of Clemency


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General Executive Branch Portal

http://portal.virginia.gov/

Link: Government/Executive
http://portal.virginia.gov/http://portal.virginia.gov/


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Agency Orders and Decisions

State Corporation Commission (www.scc.virginia.gov)

Print: 1921-2009

Web: April 2002-

Web Quick Links: Obtain Case Information

Docket Search

Bureau of Insurance Division of the SCC Administrative Letters & Orders

Print: 1977-current KFV2585 .V57

Web: 1977-current at http://www.scc.virginia.gov/boi/laws.aspx
http://www.scc.virginia.gov/http://www.scc.virginia.gov/boi/laws.aspxhttp://www.scc.virginia.gov/boi/laws.aspxhttp://www.scc.virginia.gov/


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Agency Orders and Decisions

Workers Compensation Commission (formerly IndustrialCommission) (www.vwc.state.va.us)

Print: 1919-2000

Web: 1995-

Search VWC Judicial Opinions

Also available in Virginia Lawyers Weekly

Department of Taxation (www.tax.virginia.gov)

Print: 1972

Web: 1981-) (Laws, Rules & Decisions) Legislative Summaries (intent)

Rulings of the Tax Commissioner

Tax Bulletins

Attorney General Opinions

Guidance Documents

CCH Virginia Tax Reporter
http://www.vwc.state.va.us/http://www.tax.virginia.gov/http://www.tax.virginia.gov/http://www.vwc.state.va.us/


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Agency decisions, cont.

Virginia State Bar (www.vsb.org)

Rules of Professional Conduct proposed and final changes

published in the Virginia Lawyer Register

Law Libraries column in Virginia Lawyerregularly includes

informative articles on research topics, including administrative law
http://www.vsb.org/http://www.vsb.org/


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Agency decisions, cont.

Opinions of the Attorney General (www.oag.state.va.us)

Print: 1935- (KFV2840 .A553)

Web: 1996-

Opinions and Legal Resources

Lexis: 1958- Westlaw: 1976-
http://www.oag.state.va.us/http://www.oag.state.va.us/


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Secondary Sources Virginia CLEs

Virginia Lawyer(4th ed.)(Virginia CLE) (KFV2477 .V472011) (Ch. 15 on Administrative Law)

Corporations and Partnerships in Virginia (Virginia

CLE) (KFV 2613 .C67 2009 (Reserve)) Includes chapters by practitioners on:

Tax Aspects

Securities Regulation

D&O Liability

Mergers Dissolution and liquidation


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Other Secondary Sources

Wests Virginia Practice Series, e.g., VirginiaBusiness Entities (KFV 2610 .W33 (Reserve))

Lexis Laws of Virginia Related to the State

Corporation Commission, Corporations, LimitedLiability Companies, Partnerships & Limited

Partnerships (KFV 2613 .A3)

Goolsby on Virginia Corporations (4th ed. 2011)

(KFV 2613 .G67 2011 (Reserve))

Administrative Sources

Documents

Transcript of Administrative Sources