ADMINISTRATIVE LAW HANDBOOK 2022 - Office of the Attorney General

ADMINISTRATIVE LAW Handbook 2022

ADMINISTRATIVE LAW HANDBOOK

From the Administrative Law Division

2022

To State Agency and Local Government Officials, Administrators, Counsel, and Staff: Each of you has been charged by the public with the duty to ensure the Texas government operates openly, efficiently, and in the best interest of Texans. The people of Texas rely on your hard work and commitment to the rule of law for the protection of their liberty; the laws that guide actions by public officials and government employees are designed to protect the trust placed in you by the public. The Administrative Procedure Act, the Texas Public Information Act, and the Texas Open Meetings Act govern operations across state government. During each legislative session, changes are made to these acts to improve efficiency, address changes in technology, provide greater transparency, and encourage public trust by improving accountability. These changes are reflected in the 2022 Administrative Law Handbook. The Handbook is one of the tools my office provides to government officials and the public to help them understand the basic protections and requirements of these laws, and, while it is no substitute for legal advice, it does explain the fundamental principles behind each statute. The Handbook is available online at adminlaw_hb.pdf. More detailed information relating to the aforementioned acts is available at . Liberty and prosperity can be protected only when a government is operating efficiently and openly. Your dedicated service lies at the heart of those protections--our success as a state depends on it-- and I appreciate the hard work you all do on behalf of our fellow Texans. Best regards,

Ken Paxton Attorney General of Texas

Post Office Box 12548, Austin, Texas 78711-2548 ? (512) 463-2100 ?

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Table of Contents

Overview .................................................................................................................................................. 1 The Administrative Law Handbook................................................................................................... 1 Laws Governing Actions of State Boards, Commissions and Agencies............................................ 1 Enabling Statutes ............................................................................................................................... 2 The Administrative Procedure Act .................................................................................................... 2 The Texas Open Meetings Act........................................................................................................... 2 The Texas Public Information Act..................................................................................................... 3

Adjudication ............................................................................................................................................ 4 Procedural Requirements Governing Contested Cases...................................................................... 4 Initiating a Contested Case ................................................................................................................ 4 Stale Charges ..................................................................................................................................... 5 The Licensee's Opportunity to Respond............................................................................................ 5 Agreed Orders .................................................................................................................................... 6 The State Office of Administrative Hearings..................................................................................... 7 Notice of Hearing............................................................................................................................... 9 Discovery in Contested Cases.......................................................................................................... 10 The Contested Case Hearing............................................................................................................ 12 Default Judgments ........................................................................................................................... 14 Evidence........................................................................................................................................... 15 Ex Parte Communication ................................................................................................................. 15 Findings of Fact and Conclusions of Law........................................................................................ 16 Proposal for Decision....................................................................................................................... 16 Changing an ALJ's Proposed Findings of Fact and Conclusions of Law........................................ 17 Final Order or Decision.................................................................................................................... 18 Motion for Rehearing and Judicial Review of Contested Cases ...................................................... 19 Substantial Evidence Review Versus De Novo Review .................................................................. 23

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Figure 1: Complaint Form ..................................................................................................... 26 Figure 2: Acknowledgement of Complaint Letter............................................................... 27 Figure 3: Notification of Complaint..................................................................................... 28 Figure 4: Request to Third Party for Information................................................................ 29 Figure 5: Informal Conference Procedures .......................................................................... 30 Figure 6: Offer of Informal Conference............................................................................... 31 Figure 7: Allegations ............................................................................................................. 32 Figure 8: Notification of No Action Decision ..................................................................... 33 Figure 9: Proposed Agreed Order Cover Letter................................................................... 34 Figure 10: Agreed Final Order................................................................................................ 35 Figure 11: Proposed Voluntary Surrender of License Cover Letter........................................ 37 Figure 12: Affidavit - Voluntary Surrender of License ........................................................... 38 Figure 13: Final Order ? Revocation on Voluntary Surrender of License........................... 39 Figure 14: Notice of Hearing .................................................................................................. 40 Figure 15: Complaint............................................................................................................... 41 Figure 16: Commission for Deposition.................................................................................. 42 Figure 17: Affidavit of Records Custodian ............................................................................. 43 Figure 18: Final Order ............................................................................................................. 44 Figure 19: Receipt of Motion for Rehearing.......................................................................... 45 Figure 20: Board Action on Motion for Rehearing ............................................................... 46 Figure 21: Affidavit Certifying Administrative Record......................................................... 47 Judicial Enforcement Remedies .......................................................................................................... 48 Responding to Violations of Agency Statutes, Rules, and Orders................................................... 48 Legal Bases for Enforcement Actions by the Attorney General ...................................................... 48 Figure 22: Cease and Desist Order .......................................................................................... 50

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Rulemaking ........................................................................................................................................... 51 Overview.......................................................................................................................................... 51 Sources of Rules .............................................................................................................................. 52 Negotiated Rulemaking.................................................................................................................... 53 Texas Register and Texas Administrative Code .............................................................................. 55 Public Notice of Proposed Rules ..................................................................................................... 55 Contents of the Notice of Proposed Rule......................................................................................... 57 Filing the Notice .............................................................................................................................. 60 Comments on Proposed Rules ......................................................................................................... 60 Responding to Comments ................................................................................................................ 61 Agency Order Adopting a Rule ....................................................................................................... 61 Governor's Office Review of Rules that May Affect Market Competition..................................... 63 Internet Access to Rules................................................................................................................... 65 Emergency Rules ............................................................................................................................. 65 Judicial Review of Agency Rules .................................................................................................... 65 Figure 23: Agenda for the Public Hearing on a Proposed Rule .............................................. 68 Figure 24: Sample Preamble for Adopted Rule ...................................................................... 69 Figure 25: Order Adopting a Rule .......................................................................................... 70

The Attorney General's Role ............................................................................................................... 71 Services Provided by the State's Legal Representative ................................................................... 71 Personal Liability and Representation in Lawsuits .......................................................................... 71 Attorney General Opinions .............................................................................................................. 74 Open Records Decisions .................................................................................................................. 74 The Scope of Legal Services Provided ............................................................................................ 75 Outside Counsel ............................................................................................................................... 75

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