Arkansas Administrative Code › Agency 016 - DEPARTMENT OF HUMAN SERVICES › Division 14 - Department of Finance (Administrative Services) › Rule 016.14.02-007 - Policy 1052 - Administrative Procedure - Rules and Regulations Promulgation

Current through Register Vol. 49, No. 6, June, 2024
1052
Administrative Procedure - Rules and Regulations Promulgation
1052.1 This policy establishes a uniform
			 method and system for promulgation of rules and regulations within the
			 Department of Human Services (DHS) in accordance with the Arkansas
			 Administrative Procedure Act (Act), Ark. Code Ann. §§
									25-15-201 et seq. The Act requires
			 that an agency promulgate "rules of practice describing the nature and
			 requirements of all formal and informal procedures including forms and
			 instructions used by the agency. All rules promulgated must be in compliance
			 with federal and state laws.
1052.2
			 This policy is applicable to all Divisions and Offices within DHS and to all
			 managers and staff responsible for the promulgation of rules within their
			 particular division or office.
1052.3
Definitions
1052.3.1
Emergency
			 Rule
- A policy or procedure that requires immediate
			 implementation due to a finding of imminent peril to the public health, safety,
			 or welfare, or loss of federal funds.
1052.3.2
Marked-up
			 Copy
-
If an already existing rule is being amended,
			 a copy of the proposed amendment indicating significant changes. A rule is to
			 be marked up by striking the old language and inserting and underlining the new
			 language. This is to be submitted in typewritten format.
1052.3.3
Notice Of Rule
			 Making
- A general clear statement of the subjects and issues
			 involved, and the time, place, and manner in which interested persons may
			 present their views thereon.
1052.3.4
Rule
- Any
			 Department, Division or Office statement of general applicability and future
			 effect that implements, interprets, or prescribes law or policy; or describes
			 the organization procedure or practice of any agency. "Rule" does not mean any
			 statement concerning the internal management of DHS or any intra-office
			 memoranda. Policies or procedures that do not have a direct impact on the
			 public are not considered rules that require promulgation.
1052.3.5
Summary of
			 Changes
- A summary of the changes made in any revision of a
			 Rule.
1052.3.6
Summary
			 of Rule
- A summary of the provisions of any new rule in one or
			 more paragraphs.
1052.4
Promulgation
1052.4.1
A.  If the rule will be applicable to or have
			 an effect on DHS as a whole, the promulgation steps described below will be
			 carried out by the Office of Administrative Services, Human Resources/Support
			 Services Section, Policy and Administrative Program Management Unit (OAS/PAPM).
B. If the rule is applicable only
			 to a particular division or divisions, the division itself is responsible for
			 carrying out all the steps of promulgation.
1052.4.2
Executive Staff Review
The Division or Office shall prepare the rule in draft form to
				be reviewed by the DHS Executive Staff.
A. In the case of departmental rules, the
			 draft will then be submitted, preferably as an attachment to an e-mail message
			 (specific e-mail addressee to be ascertained), to OAS/PAPM, which will, in
			 turn, e-mail the draft to all members of the Executive Staff.
B. In the case of divisional rules, the
			 originating section will e-mail the draft to the Executive Staff.
C. The draft is to be accompanied by an
			 Executive Summary consisting of the Summary of Rule or Summary of
			 changes.
D. The Executive Staff
			 will be allowed approximately two weeks to reply with a concurrence or with
			 non-concurring comment.
1052.4.3 After approval by the Executive
			 Staff, a Notice of Rule Making (Notice) shall be prepared. The Notice shall be
			 published in a newspaper of general daily circulation for seven (7) consecutive
			 days to afford all interested members of the public up to thirty (30) days
			 opportunity to submit comments, orally or in writing. The Notice shall also be
			 mailed to any person who requested advance notice of rule making
			 proceedings.
1052.4.4 Prior to
			 newspaper publication, the Notice of Rule Making, the Arkansas Register
			 Transmittal Sheet, the Arkansas State Library Agency Certification Form, the
			 Legislative Questionnaire, the Bureau of Legislative Research page, and the
			 Financial Impact Statement shall be submitted to the DHS Office of Chief
			 Counsel (OCC). OCC shall review the submission within three (3) days for
			 compliance with the Act and will issue a statement to the appropriate Division
			 or Office finding the rule in compliance or not in compliance. Upon approval by
			 OCC, the Notice of Rule Making may be published.
1052.4.5
Initial Bureau of
			 Legislative Research Filing
Every Division or Office must submit
			 for review any proposed, revised, amended, changed, or repealed rules with the
			 Bureau of Legislative Research thirty (30) days before the expiration of the
			 period for public comment.
A. Three (3) copies
			 of the rule, and two (2) copies each of the Legislative Questionnaire, the
			 Financial Impact Statement, and the marked-up copy (see §1052.3.2 for
			 format) must be submitted to the Legislative Council.
B. When filing a new rule, two (2) copies of
			 a Summary of Rule must be submitted. Two (2) copies of a Summary of Changes are
			 to be submitted with any revised rule.
C. One copy each of the rule is to be file
			 stamped and returned to the Division or Office. A cover letter should accompany
			 the submission requesting that the rule be placed on the Legislative
			 Administrative Rules and Regulations
Subcommittee agenda for review. Providing a copy of the cover
				memorandum accompanying the submitted materials for date stamping and return to
				the agency is optional.
1052.4.6
Filing
The
			 day after the thirty (30) day public review period expires the Division or
			 Office shall file its rule with the Secretary of State, the Arkansas State
			 Library, and the Bureau of Legislative Research. Every promulgated rule must be
			 filed at least ten (10) days prior to its effective date. Each rule adopted by
			 an agency shall be effective ten (10) days after filing unless a later date is
			 specified in the rule itself.
A. Secretary of
			 State: Two (2) paper copies each of the proposed rule and the Arkansas Register
			 Transmittal Sheet, and one (1) copy each of the Notice of Rule Making, and the
			 Financial Impact Statement must be filed with the Secretary of State. One (1)
			 electronic copy of the rule in Word© format shall be e-mailed to the
			 Secretary of State's office (addressee to be determined beforehand). The
			 electronic copy may also be on a diskette and hand delivered at the time of
			 filing. One (1) copy each of the rule and the transmittal stamped with the
			 filing date will be returned to the Division or Office.
B. State Library: One (1) copy of the
			 proposed rule must be filed with the Arkansas State Library. Two (2) copies of
			 the Arkansas State Library Agency Certification Form and one (1) copy of the
			 Financial Impact Statement must accompany the proposed rule. One (1) copy of
			 the Certification Form stamped with the filing date will be returned to the
			 Division or Office. Fifteen (15) copies of the final rule shall be sent to the
			 Coordinator of Document Services (682-2326) at the Arkansas State Library upon
			 finalization of promulgation.
C.
			 Bureau of Legislative Research: Three (3) copies of the proposed rule, three
			 (3) copies of the Bureau coversheet, three (3) copies of the marked-up copy,
			 and three (3) copies of the Financial Impact Statement must also be filed with
			 the Bureau of Legislative Research. An electronic copy of the rule on diskette
			 in Word© format shall also be filed with the Bureau, and if any
			 modifications had been made to the draft rule during the public review period
			 (see §1052.4.3), a summary of those changes must be submitted. One (1)
			 copy each of the rule and coversheet stamped with the filing date will be
			 returned to the Division or Office.
D. The Notice of Rule Making shall be mailed
			 to all persons who have requested advance notice of rule making proceedings.
			 The Division or Office must obtain confirmation of the actual publication of
			 the Notice of Rule Making in the newspaper to be retained in its
			 files.
1052.4.7
Arkansas Legislative Council - Administrative Rules and Regulations
			 Subcommittee (Subcommittee)
The Subcommittee will review promulgated rules at their monthly
				session at the State Capitol. The Bureau of Legislative Research will place the
				rule on the Subcommittee's monthly agenda based on the information provided in
				the
Legislative Questionnaire submitted to the Bureau by the
				promulgating agency during the initial filing (see §1052.4.4). The
				promulgating agency must schedule promulgation such that the public review
				period has been completed before the Subcommittee review date.
1052.4.8 If during the
			 promulgation process the Division or Office elects to change, revise, or amend
			 the proposed rule, there shall be a second review of the altered proposed rule
			 by OCC for compliance with the Administrative Procedure Act. The change may
			 require re-promulgation. The OCC will promptly advise the Division or Office if
			 this becomes necessary.
1052.5
Emergency Filing
Under an "Emergency" rule, the Division or Office may proceed
				without prior notice or hearing, or upon any abbreviated notice and hearing
				that it may choose, to issue an emergency rule. The Division or Office shall
				file with the proposed rule a statement that includes a finding of imminent
				peril to the public health, safety, or welfare, or loss of federal funds which
				requires issuance of rule with fewer than ten (10) days notice. The Division or
				Office shall specifically state the factual reason for the finding to the
				public health, safety, or welfare, or loss of federal funds. The emergency rule
				will be effective immediately upon filing with the Secretary of State, the
				Arkansas State Library, and the Bureau of Legislative Research, but for no
				longer than 120 days. Within the 120 days, the proposed rule must be
				promulgated according to §1052.4 above.
1052.6
Petition For Issuance,
			 Amendment, Or Repeal Of Rule
Any person has the right to petition the initiating Division or
				Office within DHS for the issuance, amendment, or repeal of any rule. The
				Division or Office must either initiate rule making proceedings or deny the
				petition in writing within thirty (30) days of the submission of such a
				petition.
1052.7
Failure To Promulgate
Failure to promulgate a rule can result in a rule being
				declared null and void, and monetary liability to the Division or Office
				resulting from a rule being declared ineffective. Failure for any reason to
				comply with these promulgation requirements may result in discipline to the DHS
				employee who is responsible for the rule's promulgation.
1052.8
Declaratory Orders
The Department shall provide for the filing and prompt
				disposition of declaratory orders as to the applicability of any rule, statute,
				or order in force by it. These declaratory orders shall have the same status as
				agency orders in cases of adjudication. Petitions for declaratory orders shall
				be filed with the Division or Office issuing the rule that is the subject of
				the petition of the declaratory order. If this situation occurs, contact OCC
				for technical assistance.
1052.9
Conflicting Policies
Other policies or parts thereof in conflict with the contents
				of this policy are hereby repealed or amended as necessary.
1052.10
Originating Section/Department
			 Contact
Office of Chief Counsel P. O. Box 1437, Slot S260 Little Rock,
				AR 72203-1437
Telephone Number: (501) 682-8934
1052.11
Notice
Replacement Notation: This policy replaces DHS Policy 1052
				previously issued with an effective date of August 10, 1995.