Arizona
Rulemaking
Manual
September 2011
Created by the Office of the Secretary of State
and the Rulewriters’ Consortium

Introduction
The Arizona Rulemaking Manual was developed in 1995 as a guide for state agencies
when making, amending, or repealing rules. Last updated in 2001, in conjunction with the State
Agency Rulewriters’ Consortium, statutes and rules have changed to warrant a new edition in
2011. As sections are amended in the future, supplements to this manual will be available in paper
copy and on the Secretary of State’s web site.
The Rulewriters’ Consortium meets to discuss legislative and administrative rulemaking
issues. Meetings are open to any interested party. Meeting dates and locations are e-mailed to
members of the Consortium. For more information about Consortium meetings or this manual,
contact the Secretary of State’s Office at (602) 542-4086.
This manual contains the following nine sections:
Section 1:
Section 2:
Section 3:
Section 4:
Section 5:
Section 6:
Section 7:
Section 8:
Section 9:

Rulemaking in General
Definitions and Publishing Style
Frequently Asked Questions; Renumbering; Supplementals
Rulemaking Forms
Checklists
Administrative Procedure Act
Rules of the Office of the Secretary of State
Rules of G.R.R.C.
Bibliography

Public Services Division
Office of the Secretary of State
1700 W. Washington, 7th Floor
Phoenix, AZ 85007
(602) 542-4086
editor@azsos.gov
www.azsos.gov

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Section 1. Rulemaking in General

Section 1
Rulemaking in General
This section briefly describes why rules exist, how they are
created, and how they are organized. It is organized from a general
understanding of rulemaking to a more specific understanding of
rulemaking.

Definition of rule
A.R.S. § 41-1001(17) states: “Rule” means
an agency statement of general applicability that
implements, interprets or prescribes law or policy,
or describes the procedure or practice requirements of an agency. Rule includes prescribing fees
or the amendment or repeal of a prior rule but
does not include intraagency memoranda that are
not delegation agreements.
For the purpose of this manual, the general
term agency is used to refer to a state agency,
board, or commission.

A.R.S. §§ 5-525 and 42-133 give DES the
right to collect debts owed to DES by the setoff of the debtor’s lottery winnings or income
tax refund. DES has a rule that tells debtors
how to protest the setoff: what papers to file,
with whom to file them, the number of days
in which the debtor must file the protest, etc.
The rule also states that the setoff will
become final if the debtor does not protest the
setoff. (See A.A.C. R6-1-201 and R6-1-202)

•

Rules set standards and limits for the exercise of discretion.
Example:

The need for rules
•

The DES child care rules allow DES to
revoke a child care provider’s certificate if the
provider fails to accept DES-referred children
on three consecutive occasions. This rule ensures that the certification specialist does not
revoke one provider’s certificate for three
refusals and another provider’s certificate for
five refusals. (See A.A.C. R6-5-5208(E))

Rules implement legislative policy.
Usually, the legislature establishes broad policy and general standards for the operation of
a program. The legislature may prefer to delegate responsibility to an agency to determine
how a program should run. The legislature
grants authority to an agency to define these
details in accordance with the broad statutory
guidelines.
Example:
A.R.S. § 8-126 requires the Department of
Economic Security (DES) to make rules for
licensing adoption agencies and for the form
and content of investigations, reports, and
studies concerning adoption placement. DES
must define the requirements for licensure as
an adoption agency: how to apply to become
licensed; how often a license must be
renewed; what procedures an agency must
follow to renew a license; what circumstances
will lead to suspension or revocation of a
license; and what hearings or appeals are
available to an agency to challenge disciplinary action. The rules also prescribe the
requirements for certification of prospective
adoptive parents, certification studies, placement investigations, and placement reports.

The limits of an agency’s
rulemaking powers
•

Example:
(General authority) A.R.S. § 41-1952 establishes the Arizona Department of Economic
Security. A.R.S. § 41-1954 contains a long
list of powers and duties that the Legislature
has conferred on DES, including the power to
“[a]dopt rules [DES] deems necessary to further the objectives and programs of the
department.”
Example:
(Specific authority) A.R.S. § 41-1992 specifies certain basic requirements for hearings
and appeals of DES decisions. DES is
required to “prescribe by regulation procedures for implementing the provisions of this
section.”

•

Rules tell the public how to do or obtain
something, or what can happen if something is
not done.
Example:

November 2002

An agency can make rules only if the legislature or a court gives the agency the power to
do so. That power can be general or specific.

•

The statutory authority conferred by the Legislature always sets the boundaries of the

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Section 1. Rulemaking in General

agency’s rulemaking authority. Agency rules
must be consistent with, and cannot exceed or
diminish, the statutory authority granted to
the agency. Rules must also be consistent with
the standards reflected in the legislative or
congressional intent being implemented by
rule.
Example:
A.R.S. § 41-1993(B) allows persons
aggrieved by a decision of the DES Appeals
Board to appeal that decision to the Arizona
Court of Appeals by filing “an application for
appeal . . . within thirty days of the date of
mailing of the decision upon review.” The
appeal time is fixed by statute. DES could not
make a rule giving parties 45 days to file the
appeal because a longer time-frame would be
inconsistent with the statute. Similarly, DES
could not make a rule requiring parties to file
an appeal within 14 days. A more restrictive
rule would also be inconsistent with legislative intent.

What doesn’t belong in rules
•

A statement of purpose, goals, or objectives
that tends to be explanatory rather than regulatory. (Such a statement may, however, be
included in the preamble, which is part of the
notice of rulemaking activity.)

•

A statement of, or citation to, statutory authority––although cross-references are allowed.

Directions to agency employees on how to
grieve employee performance evaluations;
and
Directions to agency employees on the use of
copy machines and telephones.

Rule vs. policy
•

Examples:
The division shall establish rules for licensing
agencies, including professional licensing,
and suspending, revoking, and denying
licenses.
The director shall make rules with respect to
the time in which a recipient must notify the
department of a change in circumstances
affecting the recipient’s eligibility.

•

Without a statutory mandate, it is not
always clear when something belongs in a
rule and when something belongs in a policy manual. Ask whether this requirement
will bind only personnel within the agency, or
will it bind the outside world? Will the agency
use this rule to make distinctions in treatment? (Who is eligible for benefits and who is
not? Who is subject to penalty and who is
not? Who must comply and who is exempt?)
If the answer is yes, the requirement belongs
in a rule.

•

If the requirement merely spells out internal
procedures, such as advising an employee
how to process an internal form or which
supervisor to consult in a particular circumstance, the requirement or process does not
belong in a rule.

•

Any requirement or interpretive opinion
that directly and substantially affects the
public should be in a rule. Agencies have
been successfully sued for relying on policies
to control matters that should be made in
rules.

Examples:
Wrong: Any person may petition an agency
for the adoption of a rule. (A.R.S. § 41-1033)
Any person who wants the agency to adopt a
rule shall file a written petition with the
agency’s director.
(This example simply cites and paraphrases
the statute.)
Right: To petition for rulemaking action, as
provided in A.R.S. § 41-1033, a person shall
file a written petition with the Department’s
director. The petition shall specify the following . . .
(This example provides guidance on which
statute is the subject of the rule but does not
unnecessarily repeat statutory language.)

•

Matters concerning “only the internal management of an agency” which do not “directly
and substantially affect the procedural or substantive rights or duties of any segment of the
public.” (A.R.S. § 41-1005(A)(4))
Examples:
Directions to agency employees on how to
request a reasonable accommodation under
the Americans With Disabilities Act;

Arizona Rulemaking Manual

Section 1 - Page 2

Examine the statutory authority. Sometimes the Legislature will mandate that an
agency make rules concerning a particular
subject.

Notices of Substantive
Policy Statement and
Guidance Documents
•

The Administrative Procedure Act (APA)
requires the Secretary of State’s office to publish summaries of “substantive policy statements” and “guidance document publications”
in the Register. (A.R.S. § 41-1013(B)(14)) A
“substantive policy statement” is a “written
expression” that explains the agency’s “current approach to, or opinion of,” a constitutional, statutory or regulatory requirement or a
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Section 1. Rulemaking in General

judicial or administrative decision, or the
agency’s practices and procedures regarding
such a requirement or decision. (A.R.S. § 411001(20))

lic inspection. (A.R.S. § 41-1029)

•

The agency must allow at least 30 days after
publication of the proposed rule for public
comment before closing the record. (A.R.S.
§§ 41-1022(D) and 41-1023(B))

•

The agency is required to conduct an oral proceeding (public hearing) on a proposed rule if
the agency receives a written request for one.
When the agency schedules an oral proceeding, the agency must give the public 30 days’
notice of the scheduled proceeding. An oral
proceeding must be held at a location and
time that affords reasonable opportunity for
persons to participate. It must be conducted in
the manner described in (A.R.S. § 411023(D))

After your agency determines who will be
reviewing the rule, be certain that the reviewer is
(or the reviewers are) involved in the entire rule
process. Also assess who may be interested in the
rule. Determine whether the agency will involve
those interested and, if so, at which stages of the
process.

•

Public comment is allowed at the Governor’s
Regulatory Review Council (G.R.R.C.) meetings within the parameters of (A.R.S. § 411052)

APA REQUIREMENTS

•

Assess what effect the rule will have on the
regulated public and whether the rule will be
controversial. Determine the extent of public
participation and resolve any controversial
issues at the beginning of the process. At this
point an agency should request a review by its
agency attorney or assistant Attorney General.

•

Establish an agency internal review process to
evaluate the substance and legal accuracy of
the rule.

•

The review process should also evaluate the
clarity of the rule:

•

The APA requires an agency to submit summaries of substantive policy statements to the
Secretary of State for publication. (A.R.S. §
41-1091) An agency must also publish a
directory summarizing its rules and policy
statements. (A.R.S. § 41-1091(C)) Although
the APA does not penalize an agency for failing to do so, the agency should make a good
faith effort to abide by these requirements and
notify the public of such documents.

The review process

INTERNAL AGENCY REVIEW AND
EVALUATION

Rather than mandating public participation in
the rulemaking process, the APA creates opportunities for public involvement in that process. The
burden falls on the public to take advantage of
those opportunities. Opportunities are created
through the notice and comment process.

•

The APA requires the agency to prepare and
make available to the public the regulatory
agenda that the agency expects to follow during the next calendar year. (A.R.S. § 411021.02)

•

The APA requires the agency to inform the
public that the agency intends to work on a
particular rule by publishing a Notice of Rulemaking Docket Opening in the Register.
(A.R.S. § 41-1021(C))

•

•

•
•

After the agency has drafted the rule and is
ready to begin the process of making the rule
into law, the agency must tell the public what
the rule says and what economic impact the
rule is likely to have, by publishing a notice
and the text of the proposed rule in the Register. (A.R.S. § 41-1022(A))
If a person has asked to be notified of a proposed rulemaking, the agency must provide
notice at the time the notice of proposed rulemaking is filed with the Office. (A.R.S. § 411022(C))
The agency must provide copies of rulemaking documents to members of the public who
request them. (A.R.S. § 39-121)
The agency must maintain an official rulemaking record and make it available for pub-

November 2002

•
•

•

•

Evaluate whether the rule is clear, concise, and understandable.
Determine whether the headings are
helpful and the wording is clear and
understandable. Do not rely on the headings to convey meaning. Because the
heading is not legally part of the rule, the
rule must stand alone.
Give reviewers a set of questions to
answer from the rules and ask the
reviewers how easy or difficult the rule is
to use and understand.
Rewrite or reorganize a rule if any part is
ambiguous, too specialized, or requires
more knowledge of the subject matter
than is possessed by the intended audience.

INTERAGENCY REVIEW
When a rule affects more than one agency, the
promulgating agency should ask each affected
agency to review the rule and comment on it.
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Section 1. Rulemaking in General

These reviews can eliminate overlaps or conflicts,
assess cumulative impacts, and shape priorities.

diverse or controversial projects, varying
groups will have different agendas. Repeatedly bringing these groups together for public
meetings may deteriorate into unproductive
“soap-boxing.” Acknowledging these agendas, if they exist, is more effective. Consider
forming focus groups, identifying specific
issues, and bringing these issues together via
representatives of each group. Have a mechanism in place to publicize every group’s concerns and to respond to and publicize
responses to those concerns.

STAKEHOLDER AND PUBLIC REVIEW
Each agency determines the process it will
use to obtain public involvement and comments.
Some considerations relating to public involvement include the following:

•

Assume interest, not disinterest, regardless of
how far from the “heart” of the process some
segments of the public may appear to be.
Many government agencies think only of
forming an advisory committee, or only of
holding a hearing. The tendency to use only
these techniques reflects a failure to clarify
who needs to be involved. There is no single
public, but different levels of public based on
differing levels of interest and ability. Agencies that offer “one-size-fits-all” opportunities
for public participation may find themselves
dissatisfied with the content of that effort and
may leave the public feeling frustrated by or
discounted in the public decision-making process.

•

•

•

•

•

Reviewers may say little or nothing to
the rulemaking staff. They may work
only from the agency’s public information releases or from agency responses to
questions. They may be observing just
for themselves, or they may be reporting
their observations to other units of government, to public interest groups, or to
special interest organizations. When
agencies pare a mailing list to weed out
those who do not seem to be actively
involved, they weaken this area of participation.
Reviewers may work by mail or telephone. If an agency wants a large number
of public reviewers, it must increase its
efforts enough to formulate questions and
develop a response format that allows
reviewers to participate at their own convenience. In responding, participants
may commit to recording their opinions.
There are some people for whom the
decision is so important that their willingness to be involved goes beyond the
effort of just replying to agency proposals or questions. For them, interest and
knowledge make their direct involvement
imperative in the rulemaking process.

Develop a comprehensive mailing list at the
outset of the process. Take into consideration
those people who have chosen not to become
involved but who may be interested in the
process and may want to be informed of what
is going on.
Accept the fact that, often on geographically

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Section 1 - Page 4

•

Establish and maintain as many strategically
located repositories for rulemaking documents as can be managed. In theory, all members of the interested public should have
reasonable access to the information.

ADDITIONAL AGENCY PROCEDURES
Although the burden falls on the public to
take advantage of the opportunities created by the
APA, the agency can take affirmative steps to
involve the interested public in its rulemaking
activities. Public involvement can begin at the preliminary drafting stage and extend through the
entire rulemaking process. Getting consensus
before beginning to draft rules makes the writer’s
task easier and saves an enormous amount of time
and frustration later on.

•

The agency may choose to have broad-based
workgroups of internal and external stakeholders draft a set of rules. The more stakeholders, clients, and customers the agency
involves in drafting the rules, the greater
degree of “buy in” the agency is likely to have
in the final product. At the same time, the difficulty and length of the drafting process
increases in proportion to the number of people involved.
Example: When DES decided to update its
foster homes licensing rules, DES assembled
a large workgroup to draft the rules. The
workgroup included people who must apply
the rules (internal licensing staff), the people
regulated by the rules (foster parents), the
people protected by the rules (foster children), and other people who interact with
these groups (the Attorney General’s office,
the Department of Health Services, and the
Administrative Office of the Courts.)

•

The agency may solicit comments on the
rules, either before or after publication of the
proposed rules in the Register. The agency
may want to identify affected stakeholders,
send those stakeholders a set of draft rules
(regardless of whether the stakeholders have
asked for copies), and ask for comment.
Example: When DES makes rules involving
welfare benefit programs, DES sends copies
of the rules to law school legal clinics and
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Section 1. Rulemaking in General

legal aid organizations throughout the state
and requests comment. These groups rarely
participate in drafting the rules; however, they
welcome the opportunity to comment. These
groups represent the interests of welfare beneficiaries who may lack the legal expertise to
comment for themselves.

•

Some agencies have existing mechanisms for
informing their interested public that rulemaking is occurring.
Example: The DES Division of Developmental Disabilities publishes a monthly newsletter
that is distributed to providers, advocates,
families, and clients. Any news about rulemaking activity, including the dates and locations of public hearings, is included in the
newsletter.

•

The degree of public participation the agency
may wish to invite will vary with the circumstances of the rulemaking. Are time constraints involved? Are the rules likely to be
controversial? The benefits of obtaining public comment include:

•

•

•

Saving time and effort. The agency runs
a risk of the public rebuking a final rule if
it passively waits for the public to “take
the initiative” to comment on the proposed rules. Interested members of the
public may wait until adoption of the rule
appears imminent to make their comments. If comments made at a G.R.R.C.
meeting or public hearing result in “substantial changes” to the rules, the agency
must notice the changes to the rules and
open the public comment period again,
which delays the rulemaking. By involving affected members of the public early
in the drafting process, the agency may
avoid future problems and delay.
Obtaining G.R.R.C. approval. The
agency can potentially use these voluntary efforts to its advantage in proceedings before G.R.R.C. G.R.R.C. is more
likely to approve a rule that is the product
of negotiation and compromise between
the agency and its stakeholders.
Example: DES used a stakeholder committee composed of internal staff, advocates, clients, and providers to draft a set
of certification standards for persons providing in-home services to persons with
developmental disabilities. Members of
that group volunteered to appear at the
G.R.R.C. meeting and to send letters to
the G.R.R.C. supporting the proposed
rules.
Broadening an agency’s perspective.
An agency may lack a full perspective on
the rules and not be aware that certain

November 2002

regulatory requirements are burdensome, costly, or unworkable to the people
who must follow them. Rules that are
clear to agency staff may not be clear to
members of the public who refer to them
infrequently.

Organizing the rules
OUTLINE
Start with an outline of major points to cover
and number the points in a logical sequence. A
single rule should never address more than one
subject. In the terminology of the Code, a Section
is defined as a rule.
RULE AS A REFERENCE DOCUMENT
Information should be organized and easy to
find. Think of questions a reader might ask when
fulfilling the rule requirements.
PROCEDURAL RULES
If the rule is a series of procedures, present
them in sequential order, going step-by-step
through each procedure. Develop a flow chart of
the steps to reveal “holes” in the procedures that
can be corrected before the rule is completed. If
the procedure is different for different groups of
readers, write a rule for each group.
ORGANIZING METHODS
After the information is gathered and the
audience and information importance are determined, analyze the factors that affect how each
individual rule should be organized. What factors
are most important? Should these be placed first?
Or would the rule be more understandable in one
of the following methods of organization?

•

General to specific (usually the preferred
method). An example is 1 A.A.C. 1.

•

Chronological order (helpful in explaining
time relationships).

•

Sequential order.

•

Place the actions in order to explain time
relationships:
Example:
1. The physician shall perform an examination for assessing the medical and
physical fitness of the candidates
before conducting the physical examination.
2. The candidate shall undergo a physical
examination that includes the following:
3. Upon completion of the physical
examination, the candidate shall complete a medical examination that
includes the following:
4. The Department shall place the name
of the candidate who passes the medi-

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Section 1. Rulemaking in General

•

cal and physical examinations on the
register for appointment.
Give step-by-step instructions using the
“cookbook method”:
Example:
To be considered for appointment, an applicant shall:
1.
2.
3.

Arizona Rulemaking Manual

Complete the application form;
Attach relevant backup materials;
Sign and date the form;

Section 1 - Page 6

4.
5.

Complete the affidavit and have it
notarized; and
File the above materials with the
agency.

TABLE OF CONTENTS
Show organization of the rules by using a
table of contents. However, do not include the
words “Table of Contents” in the rules when you
submit them to the Secretary of State for publication. Section headings must reflect the subject.

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Section 1. Rulemaking in General

Regular Rulemaking Process
Statute or ballot proposition is
passed giving agency authority
to make rules.

Agency opens a docket. Agency
files a Notice of Rulemaking
Docket Opening; published in
the Register.

Agency decides not to act and
closes docket or lets docket
lapse by not filing proposed
rule within one year.

Agency drafts proposed rule
and Economic Impact
Statement (EIS); informal public
review and comment.

Agency files Notice of Proposed
Rulemaking. Notice of meetings
may be published in Register.
Agency opens comment period.

Agency files Notice of
Supplemental Proposed
Rulemaking for publication
in Register.

Substantial
change

Oral proceeding and close of
record. Comment period must
last at least 30 days after
publication of notice. Oral
proceeding (hearing) is held no
sooner than 30 days after
publication of notice of hearing.

Rule must be submitted for
review or terminated within
120 days after the close of
the record.

Agency decides not to
proceed and files
Notice of Termination
of Rulemaking for
publication in Register.

Agency decides not to
proceed and does not
file final rule with
G.R.R.C. within one
year after proposed
rule is published

Substantial
change

Agency decides not to
proceed and files
Notice of Termination
of Rulemaking and
starts over with a new
Docket Opening.

Submit rule package to
G.R.R.C. or A.G. Contains
preamble, rules, and
Economic Impact Statement.

G.R.R.C. has 90 days to
review and approve or return
the rule package, in whole or
in part; A.G. has 60 days to
approve or disapprove.

After approval by G.R.R.C. or
A.G., the rule becomes
effective 60 days after filing
with the Secretary of State
(unless otherwise indicated).

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Section 1 - Page 7

Final rule published in the
Register and the quarterly
Code Supplement.

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Section 1. Rulemaking in General

Section 2 Key

codification
The codification for the Code is established in
R1-1-102, R1-1-301, and R1-1-402. The Office uses a
codification which starts with general subject areas
and goes to specific rules.

Entry words, in alphabetical
order, are in boldface. They
represent the accepted word
forms unless otherwise
indicated.

The Office is the ultimate authority for codification. The Office rarely interferes with the organization
of a rule established by the drafter. However, please
keep in mind:
Only the Office can create a new Title.

Related topics are in
boldface.

Agencies must contact the Office for the designation of a new Chapter.
Agencies must consult with and get the approval
of the Office before creating Subchapters or Parts.
coemployee
colons
Use a colon between two independent clauses
when the second clause explains or illustrates the first
clause and there is no coordinating conjunction or
transitional expression linking the two clauses. The
new rules will simplify filing: only electronic submissions will be required.

Many entries simply give
the correct spelling,
hyphenization, or
capitalization.

Text explains usage.

Use colons to introduce a list or an example.
Do not use a colon when a form of the verb to be
is used. The three courses required in this program
are accounting, business English, and Computer Science 22.

Examples of correct and
incorrect usage are in
italics.

Do not use a colon between two independent
clauses when the two clauses are equal in value. Use
instead a semi-colon or period.
Many topics have cross
references to other topics
and the A.R.S. and A.A.C.
at the end of the entry.

See semi-colon.

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Section 2. Definitions and Publishing Style

Section 2
Definitions and Publishing Style
The rule drafting and publishing style used in the Arizona
Administrative Code and the Arizona Administrative Register is
drawn from the sources listed in Section 9 of this manual and from
members of the Rulewriters’ Consortium. This section also contains useful definitions and explanations of rulemaking terms. It is
organized alphabetically for quick reference and contains suggested
cross reference terms in boldface.
Not every grammatical rule is included in this manual because,
in most cases, standard grammatical rules apply. This manual does,
however, include those rules where there may be conflicts in
standard use so that the drafter will know which rule the Office and
G.R.R.C. intend to follow. Above all, rules should be clear, concise,
and understandable.

A

Examples:
If you use “FDA” in your rules, don’t define
the term “Food and Drug Administration.” Instead
define “FDA.”

a, an
Use the article a before consonant sounds: a
historic event, a one-year term (sounds as if it
begins with a w), a united stand (sounds like you).

Use F.D.A. (with periods) in the text if you
have defined the term as “F.D.A.” (with periods).

Use the article an before vowel sounds: an
energy crisis, an honorable man (the h is silent),
an AHCCCS record (sounds like it begins with the
letter a), an 1890s celebration.

ability, capacity
Ability means the state of being able to do
something. Capacity means the power of receiving or containing.

abbreviations
As a general rule, define all abbreviations.
The definition of each term must appear before the
abbreviation by itself. In some instances, an
abbreviation is specific to an Article or Section.
While it is preferred that all abbreviations are
defined at the beginning of a Chapter, you may
want these Article- or Section-specific abbreviations and their definitions to appear at the beginning of the Article or Section to which they apply.
If this is the case, specify in the Chapter’s main
definitions Section where additional definitions
may be found in the Chapter.

able-bodied

Spell out an abbreviation that begins a sentence.
Define a term in the way it will be used. In
other words, do not define the spelled-out version
of an abbreviation and then use the abbreviation in
the rules. If abbreviations have periods in the text,
define with periods. If abbreviations do not have
periods in the text, define without periods.

September 2003

Use FDA (without periods) in the text if you
have defined the term as “FDA” (without periods).

about, approximately
About is inexact; it indicates a rough estimate.
Approximately implies accuracy.
above, over
When indicating quantity, avoid using prepositions that indicate direction or location.
See over, more than.
aboveground
accept, except
Accept means to receive, to agree with.
Except means to exclude.
accommodate
acknowledgment

Section 2 - Page 1

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Section 2. Definitions and Publishing Style

action verbs
In general, action verbs are shorter and more
direct than passive verbs:
Don’t write:
give consideration to
is dependent on
make payment
give recognition to
maximize
compartmentalize
utilize

Write:
consider
depends on
pay
recognize
increase
arrange
use

Use verbs instead of nouns to add action to
your writing.
Examples:
Wrong: The Administrator shall develop and
implement a preventative and general maintenance program at each institution and is
responsible for the following activities:
1.
2.
3.
4.

Construction, renovations, alterations or
demolitions of institutions;
Evaluation of capital and building
renewal needs;
Coordination of the preparation of the
capital/building renewal request; and
Execution of capital project funding, or
construction, or both.

Right: The Administrator shall develop and
implement a preventive and general maintenance program at each institution that
includes the following activities:
1.
2.
3.
4.

Constructing, renovating, altering or
demolishing institutions;
Evaluating capital and building renewal
needs;
Coordinating preparation of the capital/
building renewal request; and
Administering capital project funding or
construction.

active voice
Write in the active voice. Active sentences are
usually shorter and more forceful than passive
sentences. Rules written in the active voice
describe who shall do what.
• Active voice identifies an actor. Putting the
actor before the verb clarifies who is responsible
for an act. Rulewriting must identify the responsible party.
Examples:
Wrong: An appeal shall be filed in 30 days.
By whom?
A plan shall be approved before beginning the
program. By whom?

Arizona Rulemaking Manual

Section 2 - Page 2

The regulation shall be explained to each
applicant. By whom?
Right: The employee shall file an appeal in 30
days.
The director shall approve a plan before
beginning the program.
The supervisor shall explain the regulation to
each applicant.
• Passive voice is appropriate when the actor is
unknown, unimportant, or obvious.
Examples:
Fees are refunded only when the application
is withdrawn before the scheduled examination.
The applications have been mailed.
adapt, adept, adopt
Adapt means to alter; to adjust. Adept means
skillful, proficient. Adopt means to take as one’s
own without change.
addresses
Follow these guidelines:
• Abbreviate state names in addresses using the
two-letter postal code. AZ, not Arizona or Ariz.
• Abbreviate compass directions: 1700 W.
Washington.
• Use numerals in numeric street names: 4701
N. 7th Street.
• Use one space after the state abbreviation and
the ZIP code: Phoenix, AZ 85007.
Use the following format when listing an
agency contact and address (note abbreviations
and punctuation):
Name:
Address:
Telephone:
Fax:
E-mail:

John Smith
Department of Rules
1700 W. Washington
Phoenix, AZ 85007
(602) 555-1212
(602) 555-1212
smith@state.az.us

Administrative Procedure Act (APA)
The Administrative Procedure Act is the
group of statutes (A.R.S. §§ 41-1001 through 411092.12) that prescribes how agencies do rulemaking. Substantial changes were made to the
APA in 1995, including a publication change for
the Register from “notice only” to “full text.”
admissible
adverbs
Place an adverb before the word modified to
ensure the correct meaning is communicated.
advice, advise, inform
Advice means suggestions or recommendations concerning a course of action. Advise means

September 2003

Section 2. Definitions and Publishing Style

to offer counsel and suggestions. Inform means to
communicate information.

See A.R.S. § 41-1006, R1-1-212, and the
Rulemaking Forms section of this manual.

affect, effect
Affect means to influence (usually a verb):
The rule will affect the public. Effect means result
(usually a noun): The effect of this rule is cleaner
air.

Agency Receipt
Any document submitted to the Office specified in the APA must be accompanied by two copies of an Agency Receipt. Both copies are datestamped, and one copy is returned to the agency.

afterward
Not afterwards.

If the agency’s receipt is for a non-rulemaking
notice, item #2 of the receipt may be answered
with the subject of what is being submitted.

ages
Always use numerals. Ages expressed as
adjectives before a noun or as substitutes for a
noun use hyphens. A 5-year-old boy. The boy is 5
years old. The race is for 3-year-olds.
Agency Certificate
An Agency Certificate must accompany all
rulemaking packages to indicate that an agency’s
chief executive officer or designee has aproved the
rules. An original and two copies of the certificate
are required. Certain documents filed with the
Office that are related to rulemaking but are not
rulemaking packages do not require an Agency
Certificate (for example, Notice of Rulemaking
Docket Opening, Notice of Public Information).
A package is not formally filed in the Office
if it does not have an Agency Certificate. The
Office will not accept an Agency Certificate that
contains one person’s signature and another person’s typed name.
See forms, R1-1-105, and the Rulemaking
Forms section of this manual.
Agency Guidance Document, Notice of
When an agency has a document that is used
to provide information to “guide” people, it must
submit a Notice of Agency Guidance Document to
the Office for Register publication.
See A.R.S. § 41-1013(B)(14), R1-1-210, and
the Rulemaking Forms section of this manual.
Agency Ombudsman, Notice of
No later than February 1 each year, an agency
with 100 or more employees shall submit the
name of its ombudsman to the Office for Register
publication. The name shall be submitted on a
Notice form with the heading NOTICE OF
AGENCY OMBUDSMAN in all capital letters,
centered on a line one inch from the top of the
page. The following items shall also appear on the
Notice:
1.
2.
3.
4.
5.

The agency’s name;
The ombudsman’s name;
The ombudsman’s title;
The ombudsman’s office address;
The ombudsman’s office telephone number and fax number, if available.

See forms, R1-1-106, and the Rulemaking
Forms section of this manual.
airtight
alternate, alternative
Alternate means a substitute. Alternative Receipts are
means a choice between two or more possibilities. date-stamped;
alternately, alternatively
Alternately is an adverb that means in turn;
one after the other: We alternately spun the wheel
in the game. Alternatively is an adverb that means
on the other hand, one or the other: You can
choose a large bookcase or, alternatively, you can
buy two small ones.

one is returned
to the agency.
See Agency
Receipt.

altogether, all together
All together is applied to people or things that
are being treated as a group. We put the pots and
pans all together on the shelf. All together is the
form that must be used if the sentence can be
reworded so that all and together are separated by
other words: We put all the pots and pans together
on the shelf. Altogether is used to mean entirely: I
am altogether pleased to be receiving this award.
a.m. and p.m.
See time.

Reminder

Amend
Amend is one of the four rulemaking actions
listed in the column for rulemaking action in the
Agency Receipt, Agency Certificate, and item
#1 of the Preamble. It is used for an existing Section.

Unless all the text in a
Section is stricken and all
the text of the heading is
stricken, the rulemaking
action is Amend.

Note: If all of the text of a Section is stricken
but the heading remains unchanged (or mostly
unchanged), the rulemaking action is still Amend.
See R1-1-415 and R1-1-502.
amending words, phrases, and blocks of
text
• When amending words or portions of words,
strike-out the entire word, insert one blank space,
then underline the new version of the word. (It can
be difficult to decipher what you mean if you just
strike-out letters within a word.)
Wrong: The Ddepartment.
Right: The department Department
Wrong: $12500.00.

September 2003

Section 2 - Page 3

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

Right: $150.00 $200.00
• When amending a sentence, place stricken
text in front of new text. Placing old text in front
of new text is usually easier to understand than
placing old text after the new text.
Wrong: The Department shall test all vehicles. Division is responsible for vehicle testing.
Right: The Division is responsible for vehicle
testing. Department shall test all vehicles.
• When amending a paragraph or large block of
text, strike the old text first, then list the new,
underlined text. If the changes to a subsection are
extensive, it is preferable to edit (strike or add) by
whole paragraph.
amid
Not amidst.
among, between
Among is used when things are shared by
more than two people. Between is used when
things are shared by two.
amount, number
Amount tells “how much.” Number tells “how
many.”
ampersand (&)
Use the ampersand when it is part of a formal
name: Baltimore & Ohio Railroad. Do not use the
ampersand in place of and.
another
Another is not a synonym for additional. It
refers to an element that somehow duplicates a
previously stated quantity.
Right: Ten people took the test; another 10
refused.
Wrong: Ten people took the test; another 20
refused.
Right: Ten people took the text; 20 others
refused.

apostrophes
POSSESSION: Use apostrophes to indicate
possession: Driver’s license, the contractors’
licenses.
QUASI-POSSESSIVE: Use apostrophes to
indicate the passage of time: One month’s time,
three days’ pay.
FIGURES: Do not use an apostrophe for plurals of letters, symbols, or figures: Xs, #s, the
1990s.
See contractions.
Appendix
Appendix means supplementary material to
a set of rules, written in prose style.
Appendices (or appendixes) are listed in the
table of contents for the Chapter in the same format used for Sections, indented two spaces from
the left. Number Appendices with either capital
letters or Arabic numbers using a consistent numbering scheme. You may include an Appendix
only if it is referred to in at least one Section.
An Appendix that appears within the text of a
Section, as opposed to being separate from the
Section, does not appear in the table of contents
and does not have its own Historical Note. To reference such an Appendix, use the appropriate subsection label.
See R1-1-101 and R1-1-412.
apposition
A decision on whether to put commas around
a word, phrase, or clause used in apposition
depends on whether it is essential to the meaning
of the sentence (no commas) or not essential (use
commas).
areawide
Article
An Article is a division of an agency’s rules
under a Chapter containing a unified set of rules.

anticipate, expect
Anticipate means to expect and prepare for
something; expect does not include the notion of
preparation: They expect a record crowd. They
have anticipated it by adding more seats to the
auditorium.

Always capitalize Article when referring to a
division of the Code.

anticrime

See Title, Chapter, Subchapter, Part, and
Section; and R1-1-101, R1-1-301, R1-1-402, and
R1-1-501.

antipollution
APA (Administrative Procedure Act)
The Administrative Procedure Act is the
group of statutes (A.R.S. §§ 41-1001 through 411092.12) that prescribes how agencies do rulemaking. Substantial changes were made to the
APA in 1995, including a publication change for
the Register from “notice only” to “full text.”

Arizona Rulemaking Manual

Section 2 - Page 4

After you have used a Chapter and you
repeal or renumber it in its entirety so that no text
remains, you may not re-use that Chapter for one
year.

attorney general, attorneys general
Captalize only when used as a title before a
name: Attorney General John Smith.
authority notes
Authority notes appear immediately below
the Chapter heading, the Subchapter heading, the
Article heading, or the Part heading, as applicable,
September 2003

Section 2. Definitions and Publishing Style

B

in the Chapter’s table of contents and specify the
statutes that the rules are implementing (the specific authority) and the statutes that authorize the
agency to do rulemaking (the general authority).
If you would like to place authority notes in
your Chapter as published in the Code, include
them in a final rulemaking package or send the
Office a letter listing the notes.
See R1-1-101, R1-1-407.
autoformatting
Turn off autoformatting in your word processing program. If a document contains autoformatted text, the subsection numbers and letters
disappear when the file is imported into the
Office’s publishing program. Autoformatting can
also insert fraction symbols (½, ¾) and superscript ordinals (7th) that disappear. Having the
autoformatting option turned off will prevent these
mistakes from happening.
In Microsoft Word, go to Format>AutoFormat... and click on “Options.” In each of the four
tabs, uncheck all of the boxes (leave them blank).
Then click “OK” and “Close” -- not “OK.” Then
go back to each subsection label and make sure it
is manually typed in. (If the text is autoformatted,
you cannot highlight it with your cursor.) You may
find that you have manual labels and autoformatted labels in the same document.
It’s best to do this when the document is first
created, but you can do it later as well.
See Track Changes and the Frequently
Asked Questions section of this manual.
automatic repeal dates
If a date is set for the automatic repeal of a
Section, the last first-level subsection of the Section shall specify the date. Only complete Sections
may have automatic repeal dates. An agency must
notify the Office when the repeal date has passed
so that the Office can remove the Section from the
Code. Chapters from which Sections have been
automatically repealed shall be updated in the next
Code supplement.
See R1-1-411.
average of
The phrase takes a plural verb in a construction such as: An average of 100 new wells are dug
yearly.
awhile, a while
He plans to stay awhile. He plans to stay for a
while.

back up (v.), backup (n., adj.)
backward
Not backwards.
balance, remainder
Balance is used in business to mean “the
amount still owned after a partial payment” or
“the excess of debits over credits.” Remainder is
what is left when a part is taken away.
because, since
Use because to denote a specific cause-effect
relationship: He went because he was told.
Since is acceptable in a causal sense when the
first event in a sequence led logically to the second but was not its direct cause: They went to the
game, since they had been given the tickets.
(Replacing since with because in this example
gives a different meaning.)
Since also refers to something that happened
at a particular time in the past. Do not use “since”
when you mean “because.”
beside, besides
Beside means at the side of. Besides means in
addition to.
biannually, biennially
Biannually means twice a year. Biennially
means every two years.
bimonthly, semimonthly
Bimonthly means every other month. Semimonthly means twice a month.
bipartisan
biweekly
bollard
Any of a series of short posts set at intervals
to delimit an area or to exclude vehicular traffic.
bondholder
bookmaking
book titles
Place statutory quotations, book titles, and
scientific names in italics.
buildup (n.), build up (v.)
bulkhead
bus, buses
The verb forms: bus, bused, busing. Busses
are kisses.
businessperson

September 2003

Section 2 - Page 5

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

bylaw (n.)

OTHER CAPITALIZATION: Capitalize the
major divisions of the Code (Title, Chapter, Subchapter, Article, Part, and Section). A subsection
is not a major division of the Code.

bypass (n., v.)
byproduct (n.)

Capitalize Director, Department, Board, and
Commission when referring to your agency and
agency head.

C
camera-ready material
Camera-ready material is supplementary
material that meets the requirements of R1-1412(D). It must be clear and legible, in solid black
ink on one side of an 8 1/2” x 11” sheet of paper
with a one-inch margin on all edges of the page.
cancel, canceled, canceling, cancellation
cannot

capitalization
DEFINED TERMS: Defined terms may be
Capitol means the capitalized if they are defined with the first letters
main government of each word in the term capitalized or with the
building. See capi- key words of the term capitalized. If you define
State Plan using capital letters for the first letter of
tal, capitol.
each word, you may refer to this document elsewhere in the same Article with the same capital
letters. If you define State plan with only the first
word capitalized because it is the first word of the
definition, refer to this document as state plan
elsewhere in the Article.
Because definitions usually place the term
being defined at the beginning of the sentence,
single words being defined will have capital letters. You can therefore use the term either in all
lower case or capitalize the first letter, but be consistent.
UNNECESSARY CAPITALIZATION: Do
not capitalize rule, law, state, or federal unless the
terms are part of an official name of an agency, an
act, or some other proper noun.
Fast Fact

Title
Title
Title
Title
Title

12, Ch. 1: 203 pages
20, Ch. 6: 193 pages
18, Ch. 2: 167 pages
6, Ch. 5: 163 pages
14, Ch. 2: 151 pages

NAMES OR TITLES: Lowercase federal
government and government (referring specifically to the United States government). In government documents, however, and in other types of
communications where these terms are intended to
have the force of an official name, they are capitalized. Names of governmental units are usually
capitalized, particularly in rules that contain references to the governing agency for those rules.
Titles of individuals are capitalized when immediately preceding a person’s name (Senator Smith)
but not capitalized when following the name (Jane
Smith, senator).

Arizona Rulemaking Manual

Capitalize the first letter of the first word of
each subsection at any level.
Capitalize any term that you have defined in
your rules with capital letters if you also use the
term capitalized within your rules.
Capitalize the title of an individual when the
title immediately precedes the person’s name.
See R1-1-402.

capital, capitol
Capital means an uppercase letter, site of
government, or money. Capitol means the main
government building.

Largest Chapters (as of 03-2)

For Section headings, capitalize the first letter
of the first and last words, and the first letter of
important intermediate words.

Section 2 - Page 6

cardholder
caregiver
caretaker
carpool
carryforward (n.)
carryout (n., adj.)
carryover (n.)
caseworker
CD-ROM
Celsius (C)
Use the degree symbol when using degrees in
your rules.
Wrong: 21 degrees Celsius
Right: 21 C (space before the C and no
period after the C)
cement
Cement is the powder mixed with water and
sand or gravel to make concrete. The proper term
is concrete (not cement) pavement, block, foundation.
Chapter
A Chapter is a division in the codification of
the Code designating a state agency or, for a large
agency, a major program.
Always capitalize Chapter when referring to
a division of the Code.
The Secretary of State’s Office assigns Title
and Chapter designations to state agencies,
boards, and commissions. An agency preparing to
make rules for the first time must contact the
Office for assignment of a Title and Chapter number within the codification system. An agency that
already has at least one Chapter on file shall conSeptember 2003

Section 2. Definitions and Publishing Style

tact the Office, orally or by letter, when adding a
new Chapter.

Wrong: Section 2 of Chapter 6 of Laws 1995,
which added A.R.S. § 42-1011

After you have used a Chapter and you repeal
or renumber it in its entirety so that no text
remains, you may not re-use that Chapter for one
year.

Right: as added by Laws 1995, Ch. 6, § 2

See Title, Subchapter, Article, Part, and
Section; and R1-1-101, R1-1-301, R1-1-402, R11-406, R1-1-501, and A.R.S. § 41-1011.
Chapter headings
Within the Code, Chapter headings shall
always contain the name of the agency. Large
agencies with more than one Chapter may also
specify the subheading, which is a program or
subject division, for that Chapter.
Wrong: Chapter 2. Air Pollution
Right: Chapter 2. Department of Environmental Quality - Air Pollution
checklist
checkout (n., adj.)
checkup (n., adj.)
childrearing
citations
A.R.S. AND SESSION LAW CITATIONS:
Place subsection labels within separate sets of
parentheses. The use of parentheses to enclose
subsection labels is the format used by the Attorney General and results in a clear, concise citation.
Wrong: § 41-1041.C.2.b. or subparagraph b.
of paragraph 2. of subsection C. of § 41-1041
Right: § 41-1041(C)(2)(b)
When referencing a law that has not yet been
codified into the Arizona Revised Statutes, use the
word “Laws” followed by the year the law was
passed by the legislature, the Chapter number
using the abbreviation “Ch.”, and the specific Section number using the Section symbol (§).
Wrong: Laws 1995, Chapter 6, Section 2
Right: Laws 1995, Ch. 6, § 2

CODE AND REGISTER CITATIONS: Place
subsection labels within separate sets of parentheses.
Wrong: R4-13-2121.B.1.a
Right: R4-13-2121(B)(1)(a)
When citing from the Arizona Administrative
Code, use the abbreviation “A.A.C.” If you reference a Subchapter in the Code, however, you must
also list the Chapter; if you reference a Part, you
must also specify the Article.
Right: A.A.C. R9-22-210
Right: A.A.C. R9-22-210(A)(2)(a)(iii)
Right: 9 A.A.C. 22
If a Section in a Code Chapter refers to
another Section in that same Chapter, do not use
A.A.C. before the Section number. If a Section
refers to another Section in a different Chapter, use
A.A.C. before the Section number.
When citing several rules from the Code,
write the entire Section number.
Wrong: R18-2-101, 102, 103, and 104
Right: R18-2-101, R18-2-102, R18-2-103,
and R18-2-104 (or R18-2-101 through R18-2104)
In the Preamble, do not refer to a Section with
just the last three digits of the Section number (for
example, “Section 128”), unless you indicate you
intend to do so for simplicity’s sake (for example,
“The Department intends to amend R18-4-101
(“Section 101”) . . .”
When citing the Arizona Administrative Register, use the abbreviation “A.A.R.” Include in the
citation the volume number that will appear in
front of the abbreviation, and the specific page
number or numbers, which will appear after the
abbreviation. Also include the date of publication.
Wrong: Volume 6, pages 2118-2119 of the
Arizona Administrative Register, 7/11/00

When referencing a law that amends an existing law but that has not yet been codified into the
Arizona Revised Statutes, use the phrase “as
added by” if it is a new Section of the codified
law, or “as amended by” if an existing Section is
being amended, followed by “Laws” followed by
the year the law was passed by the legislature, the
Chapter number using the abbreviation “Ch.”, and
the specific Section number using the Section
symbol (§).

CFR AND FR CITATIONS: When citing
from the Code of Federal Regulations, use the
abbreviation CFR (no periods). The federal government has specified this format. Do not use the
terms “part” or “section” in CFR citations. In the
CFR, part and section numbers are unique within
each title. If you reference a Subchapter in the
CFR, however, you must also list the Chapter.

Wrong: Laws 1995, Chapter 6, Section 2,
which amended A.R.S. § 42-1011

Wrong: Section 221.102 of Title 33 of the
Code of Federal Regulations

Right: as amended by Laws 1995, Ch. 6, § 2

Right: 6 A.A.R. 2118, July 11, 2000

Right: 33 CFR 221.102
Wrong: Subchapter c of Chapter 3 of Title 33
of the Code of Federal Regulations

September 2003

Section 2 - Page 7

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

Right: 33 CFR, Chapter 3, Subchapter c
When citing from the Federal Register, use
the abbreviation FR. Include the volume number
that will appear in front of the abbreviation, and
the specific page number or numbers, which will
appear after the abbreviation. Also include the
date of publication.
Wrong: Volume 78, pages 11829-11892 of the
Federal Register, 7/11/89
Right: 78 FR 11829-11892, July 11, 1989
When the Federal Register amends part of the
CFR, combine the two citation styles:
Wrong: 33 CFR 22.01, November 26, 2002.
Right: 33 CFR 221.01, amended at 79 FR
10477, November 26, 2002.
U.S.C. CITATIONS: When citing from the
United States Code, use the abbreviation U.S.C.
When citing from the United States Code Annotated, use the abbreviation U.S.C.A. The federal
government has specified this format for the
U.S.C. and the U.S.C.A. Do not use the terms
“part” or “section” in U.S.C. citations. Part numbers and section numbers are unique within each
title of the U.S.C.
Wrong: Section 21.1020 of Title 13 of the
United States Code
Right: 13 U.S.C. 21.1020
Wrong: subparagraph iii of paragraph 2 of
subsection a of Section 21.1020 of Title 13 of the
United States Code
Right: 13 U.S.C. 21.1020(a)(2)(iii)
See R1-1-409.
classwork
clearinghouse

 Online

close of record
The close of the public record for a proposed
rulemaking is the date an agency chooses as the
last date it will accept public comments, either
written or oral. An agency cannot make a rule
until the rulemaking record is closed.
The close of record can be included in a
Notice of Proposed Rulemaking if expedient and
practical to do so (for example, in a simple, noncontroversial rulemaking).
See A.R.S. § 41-1024(A) and R1-1-505.

Fast Fact

Total pages in Code Supps.
2003 Supps: 7000 (est.)
2002 Supps: 6725
2001 Supps: 6708
2000 Supps: 5567
1999 Supps: 5561
1998 Supps: 5452

clubhouse
codefendant
Code (A.A.C.)
The Arizona Administrative Code (A.A.C.) is
the official compilation of rules that govern state
agencies, boards, and commissions. The ten-volume set includes rules divided into 20 Titles and

Arizona Rulemaking Manual

The Code contains all rules promulgated by
the regulatory agencies of the state and filed with
the Office after either certification by the Attorney
General or approval by the Governor’s Regulatory
Review Council. The Code also contains rules
exempt from the rulemaking process or exempt
from certification or approval.
Laws 1972, Ch. 35, § 1 required all administrative rules in the state to be printed in one official publication. In 1975 the Secretary of State’s
Office completed the codification of the rules and
published the first multi-volume set referred to as
the Official Compilation of Administrative Rules
and Regulations. In January 1987 the name of the
set was statutorily changed to its current title, the
Arizona Administrative Code.
Until 1990 supplements were published on 6”
x 9” paper as “replacement pages.” Since then the
Office has published supplements by full Chapters
on standard 8 1/2” x 11” paper, making Code set
updates faster and easier. Starting in 1997 the
Code was put online at the Secretary of State’s
web site.
The Code uses a hyphenated numbering system. Each rule (Section) number is preceded by
the letter “R” indicating “Rule.” The first number
following the letter “R” indicates the Title (subject
area) in which the rule appears. The middle number indicates the Chapter (agency or program).
The last number indicates the Section number. For
example: A.A.C. R18-2-101 is the citation for
Section 101 of Chapter 2 of Title 18 of the Code.
Publication of a rule in the Code is prima
facie evidence in court of the making, amendment,
or repeal of that rule as provided by A.R.S. § 411012.

cleanup (n., adj.)

http://www.archives.gov
Click on Federal Register,
then CFR.

230 Chapters. By law the Secretary of State must
publish Code supplements at least once each calendar quarter.

Section 2 - Page 8

See Register, A.R.S. §§ 41-1011, 41-1012,
and R1-1-301 and R1-1-302.
Code of Federal Regulations (CFR)
Do not use periods in the citation: 40 CFR 64.
The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the executive
departments and agencies of the federal government. The CFR online is a joint project authorized
by the publisher, the National Archives and
Records Administration’s Office of the Federal
Register, and the Government Printing Office.
The CFR is divided into 50 titles representing
broad areas subject to federal regulation. Each title
is divided into chapters that usually bear the name
of the issuing agency.

September 2003

Section 2. Definitions and Publishing Style

codification
The codification for the Code is established in
R1-1-102, R1-1-301, and R1-1-402. The codification starts with general subject areas and continues
to specific rules.
The Office is the ultimate authority for codification. The Office rarely interferes with the organization of a rule established by the drafter.
However, keep in mind:
Only the Office can create a new Title.
Agencies must contact the Office for the designation of a new Chapter.
Agencies must consult with and get the
approval of the Office before creating a Subchapter or Part.
coemployee
colons
Use a colon between two independent clauses
when the second clause explains or illustrates the
first clause and there is no coordinating conjunction or transitional expression linking the two
clauses. The new rules will simplify filing: only
electronic submissions will be required.
Use colons to introduce a list or an example.
Do not use a colon when a form of the verb to
be is used. The three courses required in this program are accounting, business English, and Computer Science 22.
Do not use a colon between two independent
clauses when the two clauses are equal in value.
Use a semi-colon or period instead.
See semi-colon.
colored paper
Until Supp. 01-2, the Code was published on
four colors of paper to distinguish rules made,
amended, or repealed under the regular rulemaking process and those changed under various statutory or court-ordered exemptions. Since September 1992 exempt rules were published on blue
paper. Certain exempt rules of the Corporation
Commission were printed on green paper.
Chapters are separated by goldenrod paper,
and Titles are separated by blue tab pages.
Currently, all rules made, amended, or
repealed are printed on white paper. Introductory
materials such as the Title Index and APA are also
printed on white paper.
See exempt rulemaking.
commas
Standard grammatical rules for commas apply
to rulewriting:

• Use a comma to separate three or more items
in a series: We ate turkey, stuffing, and yams.
• Do not separate a month and year with a
comma: January 2001.
See lists and semi-colons.
commercial use of public records
Any material from the Code or Register
ordered from the Office is limited to your personal
use. If you intend to use the material for a commercial purpose or knowingly allow it to be used
for a commercial purpose, you may be in violation
of Arizona law. Refer to the procedures in A.R.S.
§ 39-121.03 to obtain permission to use public
records for a commercial purpose.
The fee for commercial use of an individual
Chapter in the Code is $84.00.
See Price List, R1-1-113, and R1-1-302.
commingle
committeeperson
communitywide
complement, compliment
Complement is a noun and a verb denoting
completeness or the process of supplementing
something: This ship has a complement of 200
sailors. The tie complements his suit.
Compliment is a noun or verb that denotes
praise: The captain complimented the sailors.
complementary, complimentary
The husband and wife have complementary
careers. They received complimentary tickets.
compose, comprise, constitute
Compose means to create or put together. The
United States is composed of 50 states.
Comprise means to contain or to include all.
The United States comprises 50 states.
Constitute, in the sense of make up, may be
preferable to compose or comprise. Fifty states
constitute the United States.
compound words
Compound words usually begin as two separate words with one space between the two words.
As the two words are more frequently used
together, a hyphen may be added to link them
together. When the use of the compound word
becomes common, the hyphen is usually dropped.
The following compound words are also
listed individually in alphabetical order in this section of the manual.
See hyphen.

• Use a comma to separate independent clauses
in a compound sentence.

September 2003

Section 2 - Page 9

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

aboveground
airtight
anticrime
antipollution
areawide
bipartisan
biweekly
bondholder
bookmaking
buildup (n.)

firefighting
firehouse
fireproof
floodplain
freestanding
freshwater
fundraising
groundwater
handgun
highlight

outreach
overall
paperwork
passthrough
percent
policyholders
policymaking
postaudit
postclosure
postgraduate

bulkhead
businessperson
bylaw (n.)
bypass (n., v.)
cardholder
caregiver
carpool
carryforward (n.)
carryout (n., adj.)
carryover (n.)

horsepower
infrastructure
inpatient
interagency
intrastate
lifesaving
lifestyle
lifetime
longstanding
lowfat

postsecondary
powerhouse
praiseworthy
preaudit
preconstruction
preempt
preexist
printout
rainwater
ratemaking

caseworker
checkout (n., adj.)
checkup (n., adj.)
childrearing
cleanup (n., adj.)
clearinghouse
clubhouse
classwork
codefendant
coemployee
commingle
committeeperson
communitywide
co-officer
co-owner
copartnership
copayment
counterclaim
countywide
coursework

makeup
manmade
manpower
marketplace
markup
microcomputer
microform
multicounty
multidimensional
multifamily
multistate
multiyear
nationwide
nonappropriated
nonattainment
noncancelable
noncontact
nongovernmental
nonmember
nonprescription

recordkeeping
restroom
retroactive
rulemaking
runoff
saltwater
securityholders
semiannual
semiautomatic
semifinal
semimonthly
setup
soundproof
springwater
standby
statewide
stockholder
subcommittee
subcontract
videotape

courthouse
coworker
creditworthiness
database
districtwide
earthmoving
farmland
farmworker
firefighter

nonprofit
nonsupport
nonvoting
offset
offsite
offtrack
oneself
onsite
outpatient

wastepaper
wastewater
waterborne
watercourse
whitewater
workload
workspace
wrongdoing

conditional text
If you have Tools>Track Changes turned on
in Microsoft Word at any time during preparation
of your rule package, the rule package you submit
on disk will contain conditional text when the
Office prepares it for publication. Conditional text
is underlined or stricken, appears blue or red, and
does not match the hard copy you submit to the
Office. Significant inaccuracies can result from
the use of these files, and the Office may delay
publishing a rule package created with Track
Changes or return the package to the agency.
In Word, go to Tools>Track Changes>Highlight Changes and make sure the boxes are not
checked (remain white).
See Track Changes.
conditions (lists)
Rules often contain conditions that result in
complex sentences containing many clauses.
• A list that follows introductory language that
is an incomplete sentence should not contain a
complete sentence with end punctuation within
any item in the list.
• If only one or two simple conditions must be
met before a rule applies, state the conditions first
and then state the rule.
Example: If you are the owner or operator of
a chemical manufacturing facility, you shall keep
a daily inspection log.
• If two or more complex conditions must be
met before a rule applies, state the rule first and
then the conditions.
Example: The owner or operator of the plant
shall record daily inspections in a log if the plant
manufactures hazardous substances, employs 10
or more employees, and has equipment that is
more than three years old.
• If several conditions or subordinate provisions
must be met before a rule applies, use a list. Listing
provides white space that separates the various
conditions. Listing can help avoid the problems of
ambiguity caused by the words “and” and “or.”
Use the following rules when making a list:

comprise, constitute, compose
See compose, comprise, constitute.

a.

Concise Explanatory Statement (CES)
The CES is no longer required as a separate
document in a rulemaking package. The CES was
formerly required by A.R.S. § 41-1036.

b.

concurrent, consecutive
Concurrent is an adjective that means simultaneous: The concurrent strikes of several unions
crippled the economy. Consecutive means successive: The union called three consecutive strikes in
one year.

Arizona Rulemaking Manual

Section 2 - Page 10

c.

d.

Each item in the list must fit the classification.
Each item in the list must correspond,
both in substance and form, to the introductory language for the list.
If the introductory language for the list is
a complete sentence, end the introduction
with a colon and make each item in the
list a separate sentence.
If the introductory language for the list is
an incomplete sentence:
i. End each item in the list, except the
last item, with a comma if no item in
the list contains a comma, or a semiSeptember 2003

Section 2. Definitions and Publishing Style

colon if one or more items in the list
contain a comma;
ii. Capitalize the first word of each
listed item;
iii. Use parallel structure;
iv. Write “and” or “or,” as appropriate,
after the comma or semicolon in the
next-to-last item in the list; and
v. End the last item in the list with a
period unless the next subsection is a
continuation.
• Instead of trying to list every possible situation, develop broad categories.
connote
Connote is a verb that means to imply or suggest: The word “espionage” connotes mystery and
intrigue. Denote is a verb that means to indicate or
refer to specifically: The symbol for “pi” denotes
the number 3.14159.

continual, continuous
Continual means something that happens
again and again, over a long period of time. The
statutes have been the source of continual rulemaking.
Continuous means without interruption,
steady, unbroken. Ahead of them was a continuous
stretch of desert.
contractions
Do not use contractions in rules.
convince, persuade
Strictly speaking, one convinces a person that
something is true but persuades a person to do
something. Pointing out that I was overworked, my
friends persuaded me to take a vacation. Now that
I’m relaxing on the beach with my book, I am convinced that they were right. Following this rule,
convince should not be used with an infinitive.
co-officer

consistency
Make the reader’s job easier by writing
clearly. Follow the guidelines in this manual,
including:

co-owner

• Don’t use different words to denote the same
thing.

copies (number of)
An agency submitting materials for filing or
publication in the Register or Code must send an
original and two copies (R1-1-103). An Agency
Certificate and two copies of the Agency Receipt
must accompany the original of the rulemaking
package (R1-1-105 and R1-1-106). An Agency
Certificate must accompany each copy of the rulemaking package. This means, for example, the
materials for a Notice of Proposed Rulemaking
are the following:

Wrong: Each registered nurse shall notify the
agency if the licensee’s place of practice is
changed.
Right: Each registered nurse shall notify the
Board if the registered nurse’s place of practice is
changed.
• Don’t use the same word to denote different
things.
Wrong: The tank had a 200-gallon tank for
fuel.
Right: The tank had a 200-gallon fuel container.
Wrong: The agency shall test these methods
of presenting test materials by requiring each test
taker to choose the testing method he prefers.
Right: The agency shall test these methods of
presenting examination materials by requiring
each examinee to choose the type of examination
the examinee prefers.
constitute, compose, comprise
See compose, comprise, constitute.
contents
The contents of the Register are specified in
A.R.S. §§ 41-1013 and 49-112. The Office will
publish in the Register only those items mandated
by law and those documents pertaining to rulemaking in Arizona.
The contents of the Code are specified in
A.R.S. § 41-1012.
September 2003

copartnership
copayment

Original:
Computer disk
Two Agency Receipts
Agency Certificate
Rule package
Filed in permanent storage
Copy:
Agency Certificate
Rule package
Used by Register
editor

Copy:
Agency Certificate
Rule package
Used by Code
editor

correction of errors
The Office can correct nonsubstantive errors.
The Office may catch some of these errors when
proofing the material, or you may catch some of
them and notify the Office. The Office asks that
you put in writing, for our records, any notice you
give us about errors you would like us to correct.
After you have submitted a Notice of Proposed Rulemaking to the Office, you may correct
a substantive error only by filing a Notice of
Section 2 - Page 11

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

Supplemental Proposed Rulemaking specifying
the change.

numerals, and show the plural by adding the letter
s: the 1990s, the ’60s, the mid-1980s.

After you have filed a final, summary,
exempt, or emergency rulemaking package with
the Office, you may correct a manifest typographical error by filing the corrected page with
the Office accompanied by a letter from the
agency’s chief executive officer requesting the
Office to make the change. The letter must also
specify why you believe the error is a manifest
typographical or clerical error.

definitions
WHEN TO USE A DEFINITION

In contrast, substantive errors must be corrected by the regular rulemaking process. If you
request a change of what you consider to be a nonsubstantive error and the Office is unsure whether
the error is substantive or nonsubstantive, the
Office will contact the Attorney General’s Office
or G.R.R.C. for clarification.

3. Define all acronyms and shortened forms
used in the rule.

See R1-1-109 and R1-1-507.
council, counsel
Council means a group of people. Counsel
means an attorney, advice, or to advise. A councilor is a member of a council, and a counselor is
one who counsels.
cover letter
When delivering a rule package to G.R.R.C.,
an agency must include a cover letter (one original
and one copy) with information specified in R1-6104(A)(1) and signed by the agency head.
creditworthiness
criterion, criteria
cross section (n.) cross-section (v.)

D
database
dates
When writing dates, spell out the date rather
than write it in numerical form. See commas.
Wrong: 2/17/99
Right: February 17, 1999

2. Define all terms to which you are giving
meaning outside of the normal, common meaning
of the term.

4. Define only those terms actually used in the
rules.
PLACEMENT
Definitions of terms or phrases applicable to
an entire Chapter should appear in the first Article
for the Chapter, usually as the first rule of the
Chapter. Definitions applicable only to a specific
Article or Section should appear at the beginning
of that Article or Section.
LEAD-IN STATEMENT
1. Introduce definitions without using “shall” as
a command.
Examples:
In this Chapter, unless otherwise specified:
In addition to the definitions provided in
A.R.S. §§ 44-421, 49-521, 3-201, 3-231, 3-441
and 3-481, the following terms apply to this
[Chapter, Article, Section]:
2. If you do not include a lead-in statement in
your definitions Section, and you choose to label
your definitions, you must label them as first-level
subsections (capital letter labels).
3. You may leave lists of definitions unlabeled,
although you must still indent them as if they were
labeled. If you do not label your definitions, the
subsections of those definitions must also be unlabeled. However, if you must refer to those subsections elsewhere in your rules, you may want to
label your definitions.
TERMS DEFINED BY STATUTE
1. If it is necessary to use a term in a rule that
has been defined by statute, use the following
example.
Example: “Person” has the same meaning as
prescribed in A.R.S. § 49-701(7).

Wrong: 4/01
Right: April 2001 (no comma)
deadline
See publication deadline.
decades
Use Arabic numerals to indicate decades of
history. Use an apostrophe to indicate missing

Arizona Rulemaking Manual

1. Define all terms specific to the rules that are
necessary to help a member of the general public
read and understand the rule.

Section 2 - Page 12

2. Place all statutory definitions repeated verbatim within the text of the rule in italics, followed
by the statutory citation. If the statutory language
contains subsection labeling, retain the labeling.
3. If several definitions are used from a specific
statute, include a reference to the statute in the rule
lead-in statement. (See LEAD-IN STATEMENT
examples.)
September 2003

Section 2. Definitions and Publishing Style

ORDER
List definitions in alphabetical order. Alphabetical definitions do not have to be labeled and
therefore can be amended more easily. If you
choose not to label definitions, do not use labels
on any subsections of the definitions.
FORMAT
Place the terms defined in quotations and use
the verb “means” to begin each definition.
Example: “Oral proceeding” means a public
hearing held during the rulemaking process, as
described by A.R.S. § 41-1023, at which members
of the public may comment about proposed rules.
TERMINOLOGY
1. Use terms already understood to explain the
meaning of a defined term. Do not use the term
being defined to describe its meaning.
2. Define a term only when it is necessary to
make its use clear and consistent.
3.

Use the defined term throughout the rules.

Example: Rules governing school buses
include a definition of “passenger.” Always refer
to a person riding on a school bus as a passenger.
Do not refer to a passenger as a “student,” “person,” or “youth.”
4.

Define a term so it is mutually exclusive.

5. Do not include regulatory language within a
definition.
Example:
[Note: The rule language in the example
below is no longer in effect.– Ed.]
Wrong: Only employees in covered positions
are eligible to receive on-call duty pay.
On-call duty hours are recorded on the Positive Attendance Report (PAR) by entering attendance code “OC” and the number of hours
assigned to on-call duty.
On-call duty pay is paid with other earnings
in the pay period during which it is earned.
Right: “On-Call Duty Pay” means a cash payment of $1.00 per hour for the period of time when
an eligible employee is assigned to on-call duty,
calculated to the nearest tenth of an hour.
See R1-1-101.
degrees
Use the degree symbol.
Wrong: 102 degrees Fahrenheit
Right: 102 F (space before the F and no
period after the F); 35 C
dependent
(Noun and adjective) Not dependant.

September 2003

different
Takes the preposition from, not than.
directness; imperative mood
Direct the rule to the readers. Rules, especially those that provide procedures, how-to
instructions, or a list of duties, lend themselves to
use of the imperative mood. Directness avoids the
passive voice. This style results in procedures that
are more clearly concise and understandable.
Examples:
Sign all copies.
Attach a check to the application.
discreet, discrete
Discreet is an adjective that means prudent,
circumspect, or modest: Their discreet comments
about the negotiations led the reporters to expect
an early settlement. Discrete is an adjective that
means separate or individually distinct: Each company in the conglomerate operates as a discrete
entity.
disinterested, uninterested
Disinterested is an adjective that means unbiased or impartial: We appealed to the disinterested mediator to facilitate the negotiations.
Uninterested is an adjective that means not interested or indifferent: They seemed uninterested in
our offer.
disk
R1-1-104(B) requires an agency to submit its
rulemaking package or other notice in paper copy
and electronic medium. All electronic media submissions shall be compatible with the Office’s
computer system and software. Contact the Office
for further help.
districtwide
divisions of the Code
The major divisions of the Code are defined
in R1-1-101. Definitions for the major divisions of
the Code are also in this section of the manual.
See Title, Chapter, Subchapter, Article,
Part, Section, and R1-1-101, R1-1-301, R1-1- The Office requires
402, and R1-1-501.

agencies to include a

docket
disk when submitting
A docket is a public file for each rulemaking
containing materials related to the proceedings of rule packages. See disk.
that rulemaking. The docket file is established and
maintained by an agency from the time it begins to
consider making a rule until the rulemaking is finished. The agency provides public notice of the
docket by filing a Notice of Rulemaking Docket
Opening with the Office for publication in the
Register.
A docket is pending until any one of the following occurs: 1) The agency decides not to act
and closes the docket; 2) The agency does not file
Section 2 - Page 13

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

a Notice of Proposed Rulemaking within one
year after the Notice of Rulemaking Docket Opening is published; 3) The agency does not submit
the final rule to G.R.R.C. within one year after the
proposed rulemaking is published; 4) The rule
becomes effective; 5) The agency files a Notice of
Termination of Rulemaking (A.R.S. § 41-1021).
To renew the one-year docket period, an
agency must file a new docket opening.
See Notices and the Rulemaking Forms section of this manual.
Docket Opening, Notice of Rulemaking
There is no uniform way to open a docket.
Some agencies simply label a file folder with the
subject or rules under consideration. Some agencies establish a rulemaking docket number. Some
agencies work with their governing boards to open
a docket.
Once you have opened a docket, you must
prepare a Notice of Rulemaking Docket Opening
for publication in the Register. It is a “Rulemaking” Docket Opening because some agencies open
other kinds of dockets that are not published in the
Register.
When preparing the Notice of Rulemaking
Docket Opening, place the heading NOTICE OF
RULEMAKING DOCKET OPENING in all capital letters one inch from the top of the page and
center it on the line. Below the Notice heading
place the agency name, also capitalized, centered
on the line. The remainder of the Notice contains
information in a specified, numerical order. A
sample of the Notice appears in Section 4 of this
manual. Some of this information is explained
below:
1.

2.

In the place where you list the Chapter,
its label and heading, specify the agency
name as it appears in the Code.
In the place for Articles, Parts, and Sections, do not use the term “et seq.” Specify the first and last numbers in the series.
Do not specify any Sections, Parts, or
Articles on which you are not opening
rulemaking consideration. In other
words, if you specify R1-1-201 through
R1-1-208, you must consider every Section in that series. If one of these Sections
has no text currently, it should not be
listed unless you are considering adding
text at that Section number. If you do not
know the specific Section numbers, you
may insert “Sections to be determined”
instead of listing specific Section numbers. You may also insert the phrase,
“Sections may be added, deleted, or modified as necessary.”
If you do not establish a docket number,
you may omit that portion of the item.

Arizona Rulemaking Manual

Section 2 - Page 14

3.

In many instances you will answer this
item, “None published.” If you had previously opened a docket or proposed rulemaking on some of the Sections specified
in this docket, you should list those
Notices here, specifying the date and
Register citation.
4. This subsection is self-explanatory.
5. This subsection is self-explanatory. The
APA requires you to list the time during
which you will accept written comments
and the time and place where oral comments may be made.
6. For item #6, specify the timetable for
action on this rulemaking. If you do not
know a specific timetable, specify this.
See R1-1-205.
double space
All rulemaking packages submitted for publication shall meet the requirements in 1 A.A.C. 1.
The Office will accept text that has line spacing of
space-and-a-half, or text that is double-spaced.
Spacing for the EIS is at the agency’s discretion.
See R1-1-103.

E
each
Takes a singular verb.
each other, one another
Two people look at each other. More than two
look at one another.
earthmoving
Economic, Small Business, and
Consumer Impact Statement (EIS)
The EIS is prepared by an agency for most
rules it makes and submits to G.R.R.C. or the
Attorney General. It identifies the impact of the
rule on private and public employment, on small
businesses, and on consumers. It includes an analysis of the probable costs and benefits of the rule
for these groups and for agencies and political
subdivisions of the state. The agency must include
a brief summary of the EIS in the Preamble to the
rulemaking.
See A.R.S. §§ 41-1001(14), 41-1031, and 411035.
editing and relabeling
The Office may edit rules for grammar, punctuation, gender-specific language, incorrect Section numbering, incorrect subsection labeling,
September 2003

Section 2. Definitions and Publishing Style

definitions not in alphabetical order, capitalization, proper rulemaking action, and other nonsubstantive errors.
See R1-1-108 and R1-1-415.
effect, affect
Affect means to influence (usually a verb):
The rule will affect the public. Effect means result
(usually a noun): The effect of this rule is cleaner
air.
effective dates
• The effective date of a final or emergency
rule is 60 days after the date of filing in the
Office, unless G.R.R.C. or the Attorney General
approves an effective date earlier or later than 60
days after the date of filing in the Office.
• The effective date of an exempt rule depends
on the statutory exemption.
• A summary rule takes interim effect on the
date the Notice of Proposed Summary Rulemaking is published in the Register. If G.R.R.C.
approves the summary rule and files it in the
Office, the interim effective date becomes the permanent effective date 60 days after the date of
filing in the Office.
• Use the last first-level subsection to specify
an effective date in the text of a Section if the
effective date is required in the text of the Section.
• For a Notice of Recodification, the effective
date is the date of filing in the Office.
• If you leave the effective date item in the Preamble blank, the Office will fill in the date.
See R1-1-110 and A.R.S. §§ 41-1027, 411031 and 41-1032.
EIS
See Economic, Small Business, and Consumer Impact Statement.
electronic media
Electronic media or electronic medium means
any type of material for data storage used by a
computer.
See R1-1-104, R1-1-112, and R1-1-113.
e-mail
Lowercase in the middle of a sentence, but
capitalize the e when it stands alone in the Preamble: E-mail: rules@dot.state.az.us. Do not underline or italicize an e-mail address.
emergency rulemaking
If an agency determines that a rule must be
made effective immediately to protect the public
health, safety, or welfare; to comply with legislative deadlines; to avoid violation of another law;
to avoid an imminent budget reduction; or to
avoid serious prejudice to the public interest, it
must send the rule to the Attorney General for
approval before the emergency rule becomes
September 2003

effective. (The attorney general may not approve
the rule as an emergency measure if the emergency situation is created due to the agency’s
delay or inaction and the emergency situation
could have been averted by timely compliance
with the notice and public participation provisions
of the APA.) A.R.S. § 41-1026 lists four other justifications for emergency rulemaking.
If the Attorney General approves the emergency rule and the agency files the rule with the
Office, it is effective for 180 days. The rule may
be renewed for one more 180-day period if several
conditions are met.
See A.R.S. §§ 41-1026, 41-1026.01, R1-1701, and the Rulemaking Forms section of this
manual.
Emergency Rulemaking, Notice of
When an agency determines that a rule falls
within the emergency provisions of A.R.S. § 411026, the agency shall prepare a Notice of Emergency Rulemaking. The notice shall contain the
heading NOTICE OF EMERGENCY RULEMAKING in all capital letters centered on a line
approximately one inch from the top of the page.
Below this heading shall be the word TITLE, the
Title number, and the Title heading, all in capital
letters and centered on the line. Below the Title
shall be the word CHAPTER, the Chapter number,
and the Chapter heading, all in capital letters and
centered on the line.
If your agency uses Subchapters, place the
word SUBCHAPTER, the Subchapter label,
and the Subchapter heading below the Chapter.
If the rules have Parts, the Parts will appear in
the table of contents for the rulemaking and in
the text but not at the beginning of the Notice.
Under the Chapter, or the Subchapter if applicable, place the word PREAMBLE all in capital letters and centered on the line.
An emergency rulemaking package must be
submitted to the Attorney General for approval.
The package must contain one original and two
copies of the Agency Certificate, two copies of the
Agency Receipt, and a computer disk. The Office
will not accept the rules without these items.
The Attorney General will indicate approval
of the package by signing an approval form that is
attached to the first page of the original of the
notice. The Attorney General then submits the
package (one original and two copies) to the
Office for publication and filing.
Emergency rules are in effect for 180 days
and may be renewed for one additional 180-day
period under the provisions of A.R.S. § 41-1026.
If the text of a renewed emergency rule differs
from the text of the previous emergency rule, you
must submit to the Office, at the time the renewed
Section 2 - Page 15

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

emergency rule is filed, a list of every change
made to the latest emergency rule since the previous emergency rule was made.
A renewal of an emergency rule shall be prepared in the manner outlined in R1-1-701.
See A.R.S. §§ 41-1026, 41-1026.01, R1-1701, and the Rulemaking Forms section of this
manual.
ensure, insure, assure
Use ensure to mean guarantee: The agency
wants to ensure compliance. Use insure for references to insurance: Owners shall insure their vehicles. Assure is an acceptable synonym for ensure,
but it is used less often in rules.
entitled
Use it to mean a right to do or have something. Do not use it to mean titled.
et seq.
Not et. seq. Abbreviation of et sequentes,
“and the following.”
except, accept
Except means to exclude. Accept means to
receive or to agree with.
exceptions
• Avoid starting a sentence with an exception.
• State a rule or category directly rather than
describing that rule or category.

Commission, 174 Ariz. 216 848 P2d 301 (App.
1992)). Chapters that contain these exempt rules
were printed on green paper in the Code until
Supp. 01-2.
See colored paper, A.R.S. § 41-1005, R1-1901.
Exempt Rulemaking, Notice of
Any rule exempted from the provisions of the
APA and initiated by the agency before September
30, 1992, is not filed with the Office and does not
appear in the Code. Contact the specific agency
for these early exempt rules. For agencies making
rules under an exemption before September 30,
1992, there will be two versions of their rules: one
that the agency maintains that contains the
exempted rules and one that the Office has that
does not contain any of the exempted rules.
Any rule exempted from the provisions of the
APA and initiated by the agency after September
30, 1992, must be submitted to the Office for publication in the Code. These rules shall be submitted as final rules are filed. The notice shall be the
same as that specified in R1-1-602 except that the
heading of the notice shall be NOTICE OF
EXEMPT RULEMAKING in all capital letters
centered on a line approximately one inch from
the top of the page, and it shall specify the authorization for the exemption.

Wrong: January, February, . . . and November
(a list of ten months) are appropriate for . . .

The Office identifies each Chapter containing
exempt rules initiated by the agency after September 30, 1992, by means of an introductory statement specifying the exemption at the beginning of
the Chapter and before each Section or Article
made under an exemption and by specifying the
exemption in the Section’s Historical Note. Until
Supp. 01-2, any Chapter containing rules
exempted from the APA by legislation appeared
on blue paper. Any Chapter containing rules
exempted by other reasons appeared on green
paper.

Right: Each month except June and December is appropriate for. . . (Note that the category
“each month” is established first and then the
exceptions are stated.)

Agencies shall specify the reason for the
exemption and the specific statute or other citation
authorizing the exemption on the Notice of
Exempt Rulemaking.

exempt rulemaking
If a proposed rule falls within any of the specific categories listed in A.R.S. § 41-1005 or other
statute or session law, it is exempt from the APA
and can be made without following APA procedures. However, an agency must follow the rules
of the Office for the filing and publication of a
Notice of Exempt Rulemaking. Chapters that contain these exempt rules were printed on blue paper
in the Code until Supp. 01-2.

See A.R.S. § 41-1005, R1-1-901, and the
Rulemaking Forms section of this manual.

Wrong: All applicants except those applicants
who are 18 or older shall . . .
Right: Each applicant less than 18 shall . . .
• However, you may use an exception if it
avoids a long and cumbersome list or elaborate
description. When using an exception, state the
rule or category first then state its exception.

Some rules of the Corporation Commission
have been exempt from the Attorney General certification provisions of the APA by a court order
(State ex. rel. Corbin v. Arizona Corporation
Arizona Rulemaking Manual

Section 2 - Page 16

Exhibit
An Exhibit is a form of supplementary
material used for items that do not fit the definition of an Appendix, Table, or Illustration. (R11-101)
Exhibits are listed in the table of contents for
the Chapter in the same format that Sections are
listed, but they are indented two spaces from the
left. Agencies shall number Exhibits with either
capital letters or Arabic numbers using a consistent numbering scheme. An agency shall refer to
an Exhibit within the text of one or more Sections.
September 2003

Section 2. Definitions and Publishing Style

An Exhibit that appears within the text of a
Section, as opposed to being separate from the
Section, does not appear in the table of contents
and does not have its own Historical Note. To reference such an Exhibit, use the appropriate subsection label.
See R1-1-412.
expiration of rules
When an agency’s rules expire, the Office
removes them from the Code. A.R.S. § 41-1011
states: “With the consent of the attorney general,
the secretary of state may remove from the code a
provision of a rule that a court of final appeal
declares unconstitutional or otherwise invalid and
a rule made by an agency that is abolished if the
rule is not transferred to a successor agency.”
If an agency does not include its rules in a
scheduled five-year rule review, the rules scheduled for review expire and G.R.R.C. shall notify
the Office that the rules have expired. The Office
shall publish a notice of the expiration in the Register and remove the rules from the Code.
Emergency rules expire after 180 days unless
the agency renews the rules for an additional 180
days.
See A.R.S. §§ 41-1011, 41-1026, and 411056(E).

F
Fahrenheit (F)
Use the degree symbol when using degrees in
your rules.
Wrong: 102 degrees Fahrenheit
Right: 102 F (space before the F and no
period after the F)
farmland
farmworker
farther, further
Farther refers to physical distance that can be
measured.
Further means “to a greater degree or extent”
and refers to matters in which physical measurement is impossible or in which distance is figurative.
fax (n., v.)
Preferred over facsimile.
federal government
Lowercase in all uses.

September 2003

Federal Register (FR)
Federal Register citations do not use periods:
78 FR 11829-11892, July 11, 1989.
The Federal Register is a legal newspaper
published every business day by the National
Archives and Records Administration (NARA). It
contains federal agency regulations; proposed
rules and notices; and executive orders, proclamations, and other presidential documents. The Federal Register informs citizens of their rights and
obligations and provides access to a wide range of
federal benefits and opportunities for funding.
NARA’s Office of the Federal Register prepares
the Federal Register for publication in partnership
with the Government Printing Office (GPO),
which distributes it on paper, microfiche, and the
internet.

 Online

Federal Register:
www.archives.gov

See citations.
fees
The various fees for the Register and Code
are listed in R1-1-113. Certain agencies receive
copies of the Register and Code without charge
(see R1-1-114).
An agency shall not make a rule establishing
a fee unless the fee for the specific activity is
expressly authorized by statute or state gaming
compact (see A.R.S. § 41-1008).
fewer, less
In general, use fewer for individual items, less
for bulk or quantity.
Wrong: The trend is toward less people. She
was fewer than 60 years old.
Right: Fewer than 10 applicants appealed. He
had less than $50 in his wallet.
filing location
Filings can be hand delievered or mailed to
the Office at the following location:
Office of the Secretary of State
Public Services Division, Attn: Rules
1700 W. Washington, 7th Floor
Phoenix, AZ 85007
See R1-1-107.
final rulemaking
An agency submits a Notice of Final Rulemaking to G.R.R.C. or the Attorney General for
review and approval after a proposed rule is published and the agency has considered and
addressed public comments. A final rule contains
the Preamble, the text of the rule, and an EIS
(A.R.S. § 41-1024). If approved by G.R.R.C. or
the Attorney General, the final rule package must
be filed with the Office for publication in the Register and Code. The effective date of the rule is 60
days after the date of filing unless otherwise specified by the agency (see A.R.S. § 41-1032).
Section 2 - Page 17

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

If an agency’s rules are subject to review by
G.R.R.C., the adopted rules must be submitted to
G.R.R.C. within 120 days after the close of the
rulemaking record. After review and approval by
G.R.R.C., G.R.R.C. submits the rules to the Office
for filing and publication. Provide G.R.R.C. the
appropriate number of copies of the rules, one
original and two copies of the Agency Certificate,
two copies of the Agency Receipt, and a computer
disk. The Office cannot accept your rules without
these items.
If an agency’s rules are exempt from the rulemaking process under A.R.S. § 41-1005, the rules
must be submitted to the Office within 120 days of
the close of the rulemaking record.
If an agency’s rules are exempt from G.R.R.C.
review, the rules must be submitted to the Attorney General for approval within 120 days after the
close of the rulemaking record. Once the Attorney
General has approved the rules, that office will
submit them directly to the Secretary of State for
filing and publication. Make sure that you have
submitted to the Attorney General one original
and two copies of the Agency Certificate, two
copies of the Agency Receipt, and a computer
disk. The Office cannot accept your rules without
these items.
See A.R.S. §§ 41-1031 and 41-1032; R1-1601 and R1-1-602.
Final Rulemaking, Notice of
See A.R.S. §§ 41-1031 and 41-1032, R1-1602, and the Rulemaking Forms section of this
manual.
The Notice shall contain the heading
NOTICE OF FINAL RULEMAKING all in capital letters and centered on a line approximately
one inch from the top of the page. Below this
heading shall be the word TITLE, the Title number, and the Title heading, all in capital letters and
centered on the line. Below the Title shall be the
word CHAPTER, the Chapter number, and the
Chapter heading, all in capital letters and centered
on the line.
If your agency has more than one Chapter, the
Chapter heading always includes the statutorily designated agency name with the subheading for the Chapter below the agency
name.
If your agency uses Subchapters, place the
word SUBCHAPTER, the Subchapter label,
and the Subchapter heading below the Chapter.
If your agency uses Parts, the Parts will
appear in the table of contents for the rulemaking and in the text but not at the beginning of the Notice.

Arizona Rulemaking Manual

Section 2 - Page 18

Under the Chapter, or the Subchapter if applicable, place the word PREAMBLE all in capital letters and centered on the line.
The following items must appear on the
Notice. For further explanation of these items, see
the entry for Notice of Proposed Rulemaking.
1.

Item #1 has two columns. The first column is headed Sections Affected. The
second column is headed Rulemaking
Action.
2. Item #2 asks for the specific statutory
authority for the rulemaking, including
both the implementing and the authorizing statutes. List the authorizing statute
or statutes first and, on the next line (one
double-space below) the statutes the rules
are implementing.
3. In item #3 specify the effective date of
your rules. If you do not know the effective date, leave this item blank, and the
Office will insert the appropriate date
when the Office publishes the rules in the
Register.
4. In item #4 list all previous notices that
appeared in the Register concerning this
final rule. You need to specify the heading of the notice and then give the Register citation for each notice listed.
5. In item #5 list the name and address of a
specific person in your agency whom the
public can call with questions or comments about the rulemaking.
6. In item #6 explain the rule and your
agency’s reasons for initiating the rule.
7. In item #7 provide a reference to any
study your agency relied on or did not
rely on in its evaluation of or justification
for the rule and information for the public on how to access the study.
8. In item #8 show good cause why this
rulemaking is necessary to promote a
statewide interest if the rule or rules will
diminish a previous grant of authority of
a political subdivision of this state.
9. In item #9 give the summary of the economic, small business, and consumer
impact. Your full statement must also be
submitted to the Office for filing but is
not published. A summary of that statement is what must appear here.
10. In item #10 describe the changes made to
the rules between proposed and final
rules including all supplemental notices.
11. In item #11 summarize the principal
comments received from the public and
your agency’s response to them.
12. In item #12 list any other matters prescribed by statute that are applicable to
September 2003

Section 2. Definitions and Publishing Style

your agency or to the specific set of rules.
13. In item #13 list the material you have
incorporated by reference and the Sections in which those incorporations by
reference appear.
14. In item #14 specify whether the rule was
previously made as an emergency rule. If
your answer is “yes,” specify whether
you made any changes to the rule
between adoption as an emergency rule
and this final rule.
15. The full text of the rules, which actually
begins with a table of contents for the
rulemaking, starts on the page following
item #15.
•

In the table of contents, show the Title, its
number, and its heading on the first line
approximately one inch from the top of the
page. Under the Title, show the Chapter, its
number, and its heading. Under the Chapter,
show the Subchapter, its label, and its heading, if applicable, or the first Article contained in this rulemaking, its number, and its
heading. Under the Article show the first Part
in the Article involved in the rulemaking, its
label, and its heading, if applicable. These
shall all be centered on their respective lines.
Under the first Article or the first Part of the
first Article, show the word “Section.” On the
next line show the first Section involved in
the rulemaking. List all Sections in numerical
order under their respective Parts or Articles.
Do not list any Section, Part, or Article not
involved in this particular rulemaking. Do list
all supplementary material that appears in the
rulemaking.
All Articles and Parts that have Sections
undergoing rulemaking in this package must
be shown in the table of contents. Do not list
any Article or Part that has no Sections undergoing rulemaking unless you are amending
the heading of the Article or Part or renumbering the Article or Part.

•

•

The full text of the Sections begins on the
next page following the last item in the table
of contents. At the top of this page list the
first Article and its heading. Then all the Articles, Parts, and Sections involved in this particular rulemaking are listed in order. The
Articles, and Parts if applicable, must be
shown if one Section within the Article or
Part is undergoing rulemaking activity.
When you are renumbering entire Sections,
show the entire old number with strike-outs
and the entire new number with underlining.
Place renumbered Sections in the text at their
new number locations.

changes are being made to the text of the Section, show the renumbering and the Section
heading. Then list “No change” for each subsection in that Section.
Each final rulemaking submitted to the Office
for publication and filing must contain one original package and two copies. You also must include
the following:
1.

The Agency Certificate (one original
and two copies).
2. The Agency Receipt (one original and
two copies).
3. A Certificate of Approval from G.R.R.C.
if the rules are subject to G.R.R.C. review
(one original and two copies).
4. A Certificate of Approval from the Attorney General if the rules are not subject to
Council review (one original and two
copies).
5. The disk containing the Preamble and
text of the rules.
See A.R.S. §§ 41-1031 and 41-1032, R1-1602, the entry for copies (number of), and the
Rulemaking Forms section of this manual.
firefighter
firefighting
firehouse
fireproof
flammable, inflammable
These two words are actually synonyms, both
meaning easily set on fire. The flammable [inflammable] fuel shall be stored in a specially built
tank.
flaunt, flout
To flaunt means to show off shamelessly: She
was eager to flaunt her knowledge of a wide range
of topics. To flout means to show scorn or contempt for: He disliked boarding school and took
every opportunity to flout the house rules.
floodplain
footnotes
Do not use footnotes or endnotes in a rulemaking package. Only the EIS and material incorporated by reference may contain footnotes.
See R1-1-103(E)(4).
Formal Rulemaking Advisory Committee, Notice of
Agencies sometimes create rulemaking advisory committees to help prepare rules for the rulemaking process. If an agency creates a committee,
the APA requires the agency to publish notice of
the committee in the Register.

If the only action being taken on a Section is
renumbering of the entire Section and no
September 2003

Section 2 - Page 19

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

Use the Notice of Formal Rulemaking Advisory Committee in the Rulemaking Forms section
of this manual.
If you establish a formal rulemaking advisory
committee, you must prepare and submit for publication the Notice of Formal Rulemaking Advisory Committee each year.

See ordinals and numbers.
freestanding
freshwater
full time, full-time
Hyphenate when used as a compound modifier: He works full time. She has a full-time job.

See the Rulemaking Forms of this manual
and R1-1-206.

fundraising

forms
Sample rulemaking forms can be found in
Section 4 of this manual. The Office will not
accept any rule package if it does not contain all
required forms (for example, Agency Receipt,
Agency Certificate, G.R.R.C. Certificate of
Approval).

further, farther
See farther, further.

All items on these forms must appear just as
they appear on the samples, and all items must be
answered. Attachment pages for answers are not
permitted.

gender-specific terminology
• Do not use words that unnecessarily distinguish between male and female.

G
Avoid:
chairman
crewman
draftsman
fireman
foreman
man-hours

The agency’s chief executive officer must
sign the Agency Certificate in the designated
place. The officer’s name and title shall appear
under the signature and the date the officer signed
the certificate shall be noted. If a designee signs
the form, the designee’s name and title shall
appear under the signature. The Office will not
accept a certificate form containing one person’s
signature and another person’s typed name.
forms in rules
Avoid including forms in your rules as
Exhibits. If your rules refer to a particular form
used by your agency, indicate where an interested
party can obtain a copy.
forward
Not forwards.
founder, flounder
In its primary sense founder means to sink
below the surface of the water: The ship foundered
after colliding with an iceberg. By extension,
founder means to fail utterly. Flounder means to
move about clumsily, or to act or proceed with
confusion. A good synonym for flounder is blunder: After floundering through the first half of the
course, the student finally passed with the help of
a tutor.
fractions
Spell out a fraction at the beginning of a sentence. For most uses, use Arabic numbers: 6 2/3,
1/2 inch, 1/8 mile. Spell out when a fraction
detracts from readability: the first half of the year.
Do not use a hyphen to separate a whole number from a fraction: 8 1/2” by 11”.
Do not use fraction symbols: (½, ¾). These
symbols sometimes disappear when your files are
prepared for publication by the Office.
Arizona Rulemaking Manual

Section 2 - Page 20

mankind
manpower
policeman

Use:
chair, chairperson
crew member
drafter
firefighter
supervisor
hours worked, workhours, staff-hours
humanity, humankind
personnel, workforce
police officer

• Avoid the gender-specific pronoun when the
antecedent could be male or female.
Wrong: The Director or his designee shall
complete the evaluation form.
Right: The Director or the Director’s designee
shall complete the evaluation form.
• Be careful when you rewrite to avoid the
problem. The following examples do not necessarily have the same meaning.
Examples:
Each assistant Director shall announce his or
her recommendations at the conference.
The Assistant Directors shall announce their
recommendations at the conference.
• Do not attempt to avoid using a gender-specific pronoun by using a plural pronoun with a singular noun.
Wrong: The applicant shall submit their documents.
Right: The applicant shall submit the applicant’s documents.
•

Do not use s/he, he/she, or his or her.

government
Lowercase government unless it is part of a
formal title: the U.S. government, the state govSeptember 2003

Section 2. Definitions and Publishing Style

ernment, the United States Government Printing
Office.
grammar
• Use “a” or “an” when you mean any item or
individual. Use “the” when referring to a specific
subject already described.
•

Avoid split infinitives.

G.R.R.C. Certificate of Approval
A G.R.R.C. Certificate of Approval must
accompany all final and summary rulemaking
packages approved by the Council and submitted
to the Office.
See forms, R1-1-105, and the Rulemaking
Forms section of this manual.

• Make the verb agree with its subject in number and person. The following words are singular
and take a singular verb:
anyone
everyone
no one
one

anybody
everybody
nobody
somebody

each
either
neither
someone

The following “group” words take a singular
verb:
audience
band
class
committee
crowd
dozen

family
flock
group
heap
herd
jury

kind
lot
number
none
public
team

The following words are plural and take a
plural verb: media, data, criteria, phenomena.
•

Do not use contractions. Write out each verb.

gray
Not grey. But: greyhound.
groundwater
group
Takes singular verbs and pronouns: The group
is reviewing its position.
G.R.R.C. (Governor’s Regulatory Review
Council)
Write G.R.R.C., not GRRC.
The Governor’s Regulatory Review Council
was created by Executive Order in May 1981.
Composed of six members, the Council is chaired
by the director of the Department of Administration or the director’s designee, who serves ex-officio.
For most agencies, G.R.R.C. is the final step
in the rulemaking process. G.R.R.C. reviews rules
to ensure that they are necessary and to avoid
unnecessary duplication and adverse impact on
the public. G.R.R.C. also assesses whether the
rules are clear, concise, understandable, legal,
consistent with legislative intent, and whether the
benefits of a rule outweigh the cost. If a rule does
not meet these criteria, G.R.R.C. returns it to the
agency for further consideration.
See 1 A.A.C. 6 and A.R.S. §§ 41-1051
through 41-1057.

September 2003

H
handgun
harass, harassment
headings
Headings of each division of the Code shall
explain what is in that division. Because the divisions of the Code are, by definition, sets of rules
(Title, Chapter, Subchapter, Article, and Part)
or a single rule (Section), the word rule or regulation shall not appear in the heading of the division.
Use a heading for each Section to describe
briefly the subject of the Section. If the heading is
too long or contains different topics, the Section
itself is probably too long or too broad and should
be broken into two or more Sections. Limit Section headings to 10 or fewer words.
Subsections may be used and are a good idea
for long Sections. If a heading is used for one subsection, give headings to all subsections within the
Section.
health care
Two words.
highlight
historic, historical
Reminder
In general usage, historic refers to what is Do not use the article an
important in history, while historical applies more before the word history,
broadly to whatever existed in the past whether it historic, or historical. Use a.
was important or not: A historic summit meeting
between the prime ministers; historical buildings
torn down in the redevelopment.
Historical Note
A Historical Note appears after each Section
in the Code that gives the cumulative history of the
Section, including the rulemaking action, the Register citation, effective date, and Code Supplement
number in which the Section was published.
Historical Note
Adopted as Section R9-20-502 and renumbered as Section R18-4-102 effective October
23, 1987 (Supp. 87-4). R18-4-102 recodified
to R18-5-102 (Supp. 95-2). New Section
adopted effective April 28, 1995 (Supp. 95-2).
Amended effective June 3, 1998 (Supp. 98-3).
Section 2 - Page 21

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style
Amended by final rulemaking at 8 A.A.R.
973, effective February 19, 2002 (Supp. 021).

See R1-1-101 and R1-1-415.
horsepower
hyphens
The following general rules should be used:
•

Use hyphens to connect words:
Nouns: brother-in-law, follow-up, one-half
Verbs: double-space, tape-record

• Compound adjectives appearing before a
noun: all-inclusive list, black-and-white picture,
decision-making authority, long-range goals,
part-time employees, up-to-date record.
• Use a hyphen when two or more words act
together to create a new meaning.
• Use a hyphen when the first part of a compound adjective contains a number: third-party
liability, two-party system.
• Use a hyphen after a prefix when the prefix
precedes a capitalized word: pre-World War II.
• Do not use a hyphen between adverbs ending
in -ly and adjectives they modify: a fully informed
applicant, a badly damaged foundation.
• The following list shows some common compound words that should be hyphenated. Those
that are adjectives are usually hyphenated when
they immediately precede the nouns they modify,
not hyphenated when they appear after the noun
they modify but before the verb, and not hyphenated when they appear after both the noun they
modify and the verb.
See suspensive hyphenation.
able-bodied (adj.)
agreed-upon (adj.)
air-condition (v.)
all-time (adj.)
animal-drawn (adj.)
at-large (adj.)
base-year (adj.)
child-care (adj.)
civic-minded (adj.)
computer-related (adj.)
cost-effective (adj.)
cost-efficient (adj.)

county-owned (adj.)
cross-examine (v.)
cross-examination (n.)
day-care (adj.)
degree-granting (adj.)
drug-related (adj.)
energy-saving (adj.)
even-numbered (adj.)
fact-finding (n., adj.)
fire-resistant (adj.)
fire-retardant (adj.)

See compound words.

I
if, whether
If introduces a conditional clause. Whether
introduces a noun clause involving choices.
Illustration
An Illustration supplementary material used
for diagrams, pictures, and other graphics. (R1-1101)
An Illustration that appears within the text of
a Section, as opposed to being separate from the
Section, does not appear in the table of contents
and does not have its own Historical Note. To reference such an Illustration, use the appropriate
subsection label.
Illustrations are listed in the table of contents
for the Chapter in the same format that Sections
are listed, indented two spaces from the left. Label
Illustrations with either capital letters or Arabic
numbers using a consistent identification scheme.
You must refer to an Illustration within the text of
one or more Sections.
See R1-1-101 and R1-1-412.
inappropriate words
Because of the need for precision in legal
writing, certain words are not used in Arizona
rules. Can should be used only to indicate ability.
Should and could are not allowed in rules. Will
may be used only in limited circumstances. Do not
use must; use shall instead. May is used to indicate
discretion. When using may, specify the standards
under which the agency will use that discretion.
include
Use include to introduce a series when the
items that follow are only part of the total: The
form includes a signature line and a fee.
Use comprise when the full list on individual
elements is given: The form comprises 10 questions, a signature line, and a fee.
incorporation by reference
• Items that may be incorporated by reference
are specified in A.R.S. § 41-1028. The Office
keeps incorporated by reference material on file
for viewing only. An agency must keep one copy
of any item incorporated by reference. As of September 18, 2003 it is no longer necessary to file a
copy with the Office (Laws 2003, Ch.104, § 26).
• When incorporating items by reference, cite
the items as specified in R1-1-414. The material
must be identified by a date and include information about where to obtain a copy of the material.
See A.R.S. § 41-1028, R1-1-409 and R1-1-414.

Arizona Rulemaking Manual

Section 2 - Page 22

September 2003

Section 2. Definitions and Publishing Style

indent levels
Rules submitted to the Office for publication
and filing should be indented similarly to the way
the Office publishes the material. This means the
following:
The opening paragraph (implied A.) begins at
the 1-inch left-hand margin and continues across
the page to the 1-inch right-hand margin. Each
line goes from the 1-inch margin on the left to the
1-inch margin on the right.
The first level of subsection has the label (A.,
B., C., etc.) at the 1-inch left-hand margin with the
text beginning 1/4 inch to the right of the left-hand
margin. Each successive line of text at the first
level of subdivision begins 1/4 inch from the lefthand margin and continues across the page to the
right-hand margin.
The second level of subsection has the label
(1., 2., 3., etc.) 1/4 inch to the right of the left-hand
margin with the text beginning 1/2 inch to the
right of the left-hand margin. Each successive line
of text at the second level of subdivision begins 1/
2 inch from the left-hand margin and continues
across the page to the right-hand margin.
The third level of subsection has the label (a.,
b., c., etc.) 1/2 inch to the right of the left-hand
margin with the text beginning 3/4 inch to the
right of the left-hand margin. Each successive line
of text at the third level of subdivision begins 3/4
inch from the left-hand margin and continues
across the page to the right-hand margin.
The fourth level of subsection has the label
(i., ii., iii., etc.) 3/4 inch to the right of the lefthand margin with the text beginning one inch to
the right of the left-hand margin. Each successive
line of text at the fourth level of subdivision
begins one inch from the left-hand margin and
continues across the page to the right-hand margin.
See R1-1-408.
indispensable
indoor (adj.), indoors (adv.)
He plays indoor tennis. He went indoors.
infant
Applicable to children from birth to 12
months old.
infrastructure
inoculate
inpatient
interagency
interim effective date
A rule made by summary rulemaking takes
interim effect on the date the Notice of Proposed
Summary Rulemaking is published in the Register. If G.R.R.C. approves a final summary rule and
September 2003

files it in the Office, the interim effective date
becomes the permanent effective date 60 days
after the date of filing in the Office.
If G.R.R.C. returns or remands the rule, the
proposed summary rule’s interim effect is revoked
as of the date of initial publication of the rule. If
G.R.R.C. disapproves the summary rulemaking
and orders initiation of regular rulemaking, the
proposed summary rule’s interim effect is revoked
as of the date of initial publication of the rule.
See A.R.S. §§ 41-1027 and 41-1053 and R11-801.
internet
Lowercase i. The Code and Register are
online at www.sos.state.az.us. The Register is
published in PDF format. The Code is published
in HTML, PDF, and RTF formats.
intrastate
irregardless
A double negative. Regardless is correct.
italics
Place the following in italics:
• Verbatim statutory language
• Book titles
• Scientific names
• The name of a legal case: Brown v. Board of
Education (the v. is not in italics)
See R1-1-413.

J
jargon, technical language, foreign
phrases, legalese, and other inappropriate language
• Use plain English when drafting rules. The
plainer the English, the less confusing the material
is to the reader. Although all agencies draft their
rules for specific audiences, even the most technical information should be written plainly because
there will always be people other than an agency’s
specific audience who will need to understand the
material.
• Unlike legitimate technical terms, which outsiders could look up in a dictionary, jargon is a private language that has meaning only to a
particular group. If these special words or phrases
are necessary to the understanding of your rule,
define the jargon.
• Avoid redundant phrases, long sentences, passive voice, and topic-specific acronyms unless you
first define each one. Use concrete or common use
Section 2 - Page 23

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

words and phrases, and make sentences short,
direct, and clear.
• Do not add -ize to a noun to make it into a
verb. The list below contains several -ize words
that are unacceptable.
• Do not use a foreign phrase if an everyday
English equivalent can be used.
• Avoid unclear words and phrases that sound
like “legalese”: aforesaid, hereby, hereinabove,
pursuant to, said, such, thereof, to wit, whatsoever,
and wherein.
judgment
Not judgement.

L
1.

• Do not leave a paragraph unlabled (except
an opening paragraph).
You cannot cite an
unlabled paragraph
(except as noted in the
definitions entry).
• Do not use A without
B, 1 without 2, and so
on.
• You may leave definitions unlabeled as long
as the definitions are
listed in alphabetical
order.

The first level of subsection is labeled
with capital letters followed by a period,
both in boldface. The label for this level
appears at the one-inch left-hand margin
and the text begins 1/4 inch to the right of
the left-hand margin.
2. The second level of subsection is labeled
with Arabic numbers followed by a
period. The label for this level appears
1/4 inch from the left-hand margin and
the text begins 1/2 inch to the right of the
left-hand margin.
3. The third level of subsection is labeled
with small (lower case) letters followed
by a period. The label for this level
appears 1/2 inch from the left-hand margin and the text begins 3/4 inch to the
right of the left-hand margin.
4. The fourth level of subsection is labeled
with small Roman numerals followed by
a period. The label for this level appears
3/4 inch from the left-hand margin and
the text begins one inch to the right of the
left-hand margin.
• The Office prefers that rules do not contain
levels of subsection below the fourth level.
• For a subsection reference that contains several labels for different levels of subsection, list
the labels in order, each within its own set of
parentheses with no space between the parentheses.
Wrong: subsection (a)
Right: subsection (B)(1)(a)
Right: subsections (C)(1) and (2)

Arizona Rulemaking Manual

Right: subsection (A)(6)(c)(vii)
• A list of definitions may be unlabeled, but the
items in the list must still be indented as if they
were labeled. If definitions are unlabeled, the subsections of those definitions must also be unlabeled. However, if you must refer to those
subsections elsewhere in rules, you may want to
label the definitions.
See R1-1-408 and subsection levels.
laid, lain, lay
Laid is the past tense and the past participle of
the verb lay and not the past tense of lie. Lay is the
past tense of the verb lie and lain is the past participle: He laid his books down and lay down on the
couch, where he has lain for an hour.
landfill

labeling subsections
• There are usually only four levels of subsections allowed:

When labeling rules,
remember:

Wrong: subsection (A) (6) (c) (vii)

Section 2 - Page 24

Latin words
Italicize scientific names in Latin. Do not italicize Latin phrases (such as ad hoc, et seq., ex
parte, de jure).
legislature
Capitalize when preceded by the name of a
state or a specific number: the Arizona Legislature, the 45th Legislature. Keep capitalization
when the state name is dropped but the reference
is specifically to that state’s legislature.
less, fewer
In general, use fewer for individual items, less
for bulk or quantity.
Wrong: The trend is toward less people. She
was fewer than 60 years old.
Right: Fewer than 10 applicants appealed. He
had less than $50 in his wallet.
lifesaving
lifestyle
lifetime
lists
• You may leave a list of three or fewer items
within the text of the paragraph, but do not individually label each item. Lists of more than three
items must appear in a “displayed” list: that is, at
the next subsection level. Each item in a displayed
list must be labeled.
• In a displayed list, capitalize the first word of
each item.
• When each item in a list completes the
thought that you began in the introductory sentence, use semicolons (when one or more of the
items in the list contains an internal comma) or
commas (when none of the items in the list contains an internal comma) after all but the last item
and use a period after the last item. When using a
September 2003

Section 2. Definitions and Publishing Style

list of items that complete the introductory sentence, make sure each item is parallel in structure.
• When each item in a list is a complete thought
by itself, end each item with a period.
See commas and semi-colons.
longstanding
long-term
Long-term is hyphenated. Lowercase -term:
Arizona Long-term Care System. If a statute applicable to your agency includes this term in a different style, notify the Office.

more than, over
Over generally refers to a spatial relationship:
The plane flew over the city. The cow jumped over
the moon.
Over can be used with numbers: She is over
30. I paid over $200 for this suit. But more than
may be better: Their salaries went up more than
$20 a week. The AP Stylebook states, “Let your
ear be your guide.”
multicounty
multidimensional
multifamily
multistate

M

multiyear
must, shall, may
See shall, must, may and active voice.

makeup (n., adj.)
manageable
manifest typographical error
Under A.R.S. § 41-1011 the Office may correct manifest typographical errors, in contrast to
substantive errors, within the text of the Register
or Code. The Office consults with the Attorney
General’s office or G.R.R.C. when clarification
about an error is required.
See correction of errors, R1-1-109 and R11-507.
manmade
manpower
mantel, mantle
A mantel is a shelf. A mantle is a cloak.
Mickey Mantle played center field and first base
for the New York Yankees from 1951 to 1968.
marketplace
markup
may, shall, must
See shall, must, may and active voice.
microcomputer
microform
millennium
misdemeanor
months
When a phrase lists only a month and a year,
do not separate the month and year with a comma.
The license expires in January 2005.
See dates.

September 2003

N
nationwide
New Section (or Article)
New Section is one of the four rulemaking
actions that is listed in the column for rulemaking
action in the Agency Receipt, Agency Certificate, and item #1 of the Preamble. It is used only
for a Section that is entirely new text (not recycled
from somewhere else in the Code) at a pre-existing Section number or a new Section number.
See R1-1-502.
nighttime
No change
An agency may omit the text of subsections
that are not undergoing revision and insert the
phrase “No change” (no period). If an agency
chooses this option, it must list every subsection
level omitted and insert “No change” at those subsection levels. See A.R.S. § 41-1013(D).
Wrong:
R4-15-106. Record and Transcript
A. No change
B. Transcripts: Oral proceedings or any part thereof
shall be recorded manually or by a recording
device and shall be transcribed on request of any
party. The cost of such transcript shall be paid in
accordance with the provisions of R4-15-109(B).

Right:
R4-15-106. Record and Transcript
A. No change
1. No change
Section 2 - Page 25

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

B.

2. No change
3. No change
4. No change
5. No change
6. No change
7. No change
Transcripts: Oral proceedings or any part thereof
shall be recorded manually or by a recording
device and shall be transcribed on request of any
party. The cost of such transcript shall be paid in
accordance with the provisions of R4-15-109(B).

If the Section has definitions that do not have
subsection labeling, insert the term being defined
followed by “No change”.
Right:
R18-4-101. Definitions
The terms in this Chapter have the following meanings
In addition to the definitions in A.R.S. § 49-201, in this
Chapter, unless otherwise specified:
“Action level” No change
“ADHS” No change
“Air-gap separation” No change
“ANSI/NSF Standard 60” No change
“ANSI/NSF Standard 61” No change
“Backflow” No change
“Backflow-prevention assembly” No change
“Baseline sampling” No change
“BAT” No change
“Best available technology” No change
“CCR” No change
“Certified operator” No change
“Coagulation” No change
“Community water system” No change
“Compliance cycle” No change
“Compliance period” No change
“Comprehensive performance evaluation” means a
thorough review and analysis of a water treatment
plant’s performance-based capabilities and associated administrative, operation and maintenance
practices. A comprehensive performance evaluation consists of at least the following components:
assessment of water treatment plant performance,
evaluation of major unit processes, identification
and prioritization of performance limiting factors,
assessment of the applicability of comprehensive
technical assistance, and preparation of a comprehensive performance evaluation report.

nonappropriated
nonattainment

nonmember
nonprescription
nonprofit
nonsupport
nonvoting
Notices
All Notices submitted to the Office for publication in the Register or Code shall be doublespaced or spaced “space and a half” and have a
one inch margin on all sides. This includes the
information in the Preamble and all pages of text.
Incorporated by reference materials and Economic Impact Statements submitted with final
rules are not included in this requirement. Notices
submitted that are single-spaced will be returned
for correction before the Office will accept them
for filing and publication.
See the following entries for more information on Notices, and the Rulemaking Forms section of this manual for samples:
Notice of Rulemaking Docket Opening
Notice of Proposed Rulemaking
Notice of Supplemental Proposed Rulemaking
Notice of Proposed Summary Rulemaking
Notice of Final Summary Rulemaking
Notice of Termination of Rulemaking
Notice of Exempt Rulemaking
Notice of Emergency Rulemaking
Notice of Final Rulemaking
Notice of Recodification
Notice of Formal Rulemaking Advisory Committee
Notice of Proposed Delegation Agreements
Notice of Oral Proceeding on Proposed Rulemaking
Notice of Public Workshop on Proposed Rulemaking
Notice of Public Meeting on Open Rulemaking Docket
Notice of Oral Proceeding on Proposed Delegation
Agreement
Notice of Agency Guidance Document
Notice of Substantive Policy Statement
Notice of Agency Ombudsman
Notice of Public Information

See the Rulemaking Forms section of this
manual for other Notices not listed in this entry.

noncancelable
noncontact
none
It usually means no single one and takes a singular verb and pronoun: None of the seats was in
its right place.
Use a plural verb only if the sense is no two or
no amount: None of the consultants agree on the
same approach. None of the taxes have been paid.

Arizona Rulemaking Manual

nongovernmental

Section 2 - Page 26

number of copies
When G.R.R.C. files approved rules with the
Office, it submits an original and two copies of the
agency’s items, two copies of the agency receipt,
and one copy of any incorporated by reference
materials (R1-6-1108).
An agency submitting materials for filing or
publication in the Register or Code must send an
original and two copies (R1-1-103). An Agency
Certificate must accompany each rulemaking
September 2003

Section 2. Definitions and Publishing Style

package (R1-1-105), except for certain Notices, as
well as two copies of an Agency Receipt (R1-1106). This means, for example, the materials for a
Notice of Proposed Rulemaking are the following:
Original:
Computer disk
Two Agency Receipts
Agency Certificate
Rule package
Filed in permanent storage
Copy:
Agency Certificate
Rule package

Copy:
Agency Certificate
Rule package

Used by Register
editor

Used by Code
editor

numbers
Spell out whole numbers below 10. Exceptions to this style include numbers in tabular material, equations, and measurements. Contact the
Office for guidance on numbers in text.
• Do not use both the number spelled out and
its Arabic number equivalent in parentheses.
•

Avoid beginning a sentence with a number.

• For expressions of time, use the abbreviations
a.m. and p.m. in lower case.
• When using numbers that are 1 million or
greater, use a combination of figures and words
(The amount of insurance shall be $5 million.).
• Use a comma to separate groups of three digits: 109,278,345. The exception to this rule is for
numbers of four figures: 1000. In this instance,
you may omit the comma, but be consistent
throughout your rules.
See fractions and ordinals.

O
occur, occurred, occurring
office
Capitalize when part of an agency’s formal
name: on file with the Office of the Secretary of
State.
In this manual Office refers to the Office of
the Secretary of State.
off of
The of is unnecessary. He fell off the bed. Not:
He fell off of the bed.
offset
offsite
September 2003

offtrack
on
Do not use on before a date or day of the
week when its absence would not lead to confusion: The hearing will be held Monday. The application is due September 1, 2005.
Use on to avoid any suggestion that a date is
the object of a transitive verb: The House killed on
Tuesday a bid to raise taxes. The Senate postponed on Wednesday its consideration of a bill to
reduce import duties.
oneHyphenate when used in writing fractions:
one-half, one-fourth.
See fractions.
oneself
one-sided
online
One word in all cases for the computer connection term.
onsite
Onsite is not hyphenated as an adjective or
adverb.
oral proceeding
An agency may schedule one or more oral
proceedings on a proposed rulemaking. A proceeding notice must be published in the Register
at least 30 days before the proceeding. The heading is usually noticed in the Preamble of the
Notice of Proposed Rulemaking, but it can also be
submitted as part of a Notice of Oral Proceeding
on Proposed Rulemaking.
See A.R.S. § 41-1023 and R1-1-209 and R11-504.
Oral Proceedings, Public Workshops, or
Other Meetings, Notices of
If an agency needs to conduct an oral proceeding, a public workshop, or another type of
meeting on a proposed rulemaking, a rulemaking
docket opening, or a proposed delegation agreement, it must prepare a Notice of Oral Proceeding,
a Notice of Public Workshop, or Notice of Meeting (specify the type of meeting) for publication in
the Register.
Use the appropriate notice form in the Rulemaking Forms section of this manual.
See R1-1-209 and the Rulemaking Forms
section of this manual.
ordinals
Spell out ordinals below 10th except if it
would detract from readability (such as in a
Table): The first applicant, third-party liability.
See numbers and fractions.
Section 2 - Page 27

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

outpatient

Right: The duties of the Executive Secretary
of the Administrative Committee are to:

outreach
over, more than
Over generally refers to a spatial relationship:
The plane flew over the city. The cow jumped over
the moon.
Over can be used with numbers: She is over
30. I paid over $200 for this suit. But more than
may be better: Their salaries went up more than
$20 a week. The AP Stylebook states, “Let your
ear be your guide.”
overall
Overall, the Department succeeded. Overall
policy.

1. Take minutes of all the meetings,
2. Answer all the correspondence, and
3. Write the monthly reports.
Part
A Part is a division of the Code between Article and Section. Parts are designated by capital
letters that precede the last numbers of the Section
number: R18-2-B201. An agency must request and
receive approval from the Office before using Part
divisions.
Always capitalize Part when referring to a
division of the Arizona Administrative Code.
After you have used a Chapter and you
repeal or renumber it in its entirety so that no text
remains, you may not re-use that Chapter for one
year.

P
page numbers
If you do not know the page number or publication date for a Register citation in the Preamble
because the notice you are citing has not yet been
published, you may leave it blank. The Office will
fill in the appropriate page number.
Example: Notice of Rulemaking Docket
Opening: 8 A.A.R. xxxx, (date)
palate, palette, pallet
Palate is the roof of the mouth. A palette is an
artist’s paint board. A pallet is a bed.
paperwork
paragraph
Use subsection, not paragraph, when referring to a part of a rule in the Code. However, paragraph is acceptable when referring to a part of the
United States Code, Code of Federal Regulations, or Federal Register.
parallel, paralleled, paralleling
parallel structure
Arrange items in a list so that parallel ideas
have parallel construction.

See Title, Chapter, Subchapter, Article, and
Section; and R1-1-101, R1-1-301, R1-1-402, R11-406, and R1-1-501.
part time, part-time
Hyphenate when used as a compound modifier: She works part time. She has a part-time job.
passthrough
percent
The Office no longer prefers that you spell
out percent instead of using the symbol %, as long
as you are consistent within your rule package.
Percent takes a singular verb when standing
alone or when a singular word follows an of construction: The Department said 95 percent is a
passing test result. It said 80 percent of the population complies.
It takes a plural verb when a plural word follows an of construction: The Department said 80
percent of the cars were tested.
Repeat % with each individual figure: The
Department said 10% to 30% of the vehicles were
tested.

1. To take minutes of all the meetings,
(phrase)

permanent effective date
A rule made by summary rulemaking takes
interim effect on the date the Notice of Proposed
Summary Rulemaking is published in the Register. If G.R.R.C. approves a final summary rule and
files it in the Office, the interim effective date
becomes the permanent effective date 60 days
after the date of filing in the Office.

2. The Executive Secretary answers all the
correspondence, and (clause)

See A.R.S. §§ 41-1027 and 41-1053 and R11-801.

NONPARALLEL:
Wrong: The duties of the Executive Secretary
of the Administrative Committee are:

3. Writing of monthly reports. (topic)

permissible

PARALLEL CONSTRUCTION:

Arizona Rulemaking Manual

Section 2 - Page 28

September 2003

Section 2. Definitions and Publishing Style

permissive examples
A.R.S. § 41-1021.01 states: An agency may
include a diagram, example, table, chart or formula in a rule, preamble, economic impact, small
business and consumer impact statement or concise explanatory statement to the extent that it
assists in making the document understandable by
the persons affected by the rule.

driver’s license, drivers’ licenses, contractor’s
license, parent’s responsibility.

persuade, convince
Strictly speaking, one convinces a person that
something is true but persuades a person to do
something. Pointing out that I was overworked,
my friends persuaded [not convinced] me to take a
vacation. Now that I’m relaxing on the beach with
my book, I am convinced [not persuaded] that
they were right. Following this rule, convince
should not be used with an infinitive.

postgraduate

phenomenon, phenomena
plurals
Do not make a noun or a verb plural by adding the plural form in parentheses. Use either the
singular form or the plural form. The Office will
edit your rules to delete the parentheses if you use
them.
Wrong: paragraph(s), ability(ies), or run(s)

postaudit
postclosure
postsecondary
powerhouse
praiseworthy
Preamble
The Preamble is the part of a rulemaking
package that contains information about the rulemaking and provides agency justification and regulatory intent. It includes reference to the specific
statutes authorizing the agency to make the rule,
an explanation of the rule, reasons for proposing
the rule, and the preliminary Economic Impact
Statement. The information in the Preamble differs depending on the rulemaking procedure used
and the stage of the rulemaking.

Right: paragraph, ability, or run

See A.R.S. § 41-1001 and the Rulemaking
Forms section of this manual.

Right: paragraphs, abilities, or runs

preaudit

Right: paragraph or paragraphs, ability or
abilities, run or runs
See singular form.
p.m., a.m.
See time.
policyholder
policymaking
positive writing
• Negative sentences can be difficult to understand.
Wrong: No application shall be accepted
unless it is signed by the owner.
Wrong: The application shall not be signed by
a person who is not the owner.
Right: The owner shall sign the application.
• A negative statement can be clear. Use it if
you are cautioning the reader: No smoking.
•

• Certain phrases indicating the passage of time
are possessives: a day’s pay, two years’ experience.

Avoid several negatives in one sentence.

Wrong: A license may not be issued if all
application requirements are not met.
Right: A license shall be issued only if the
applicant meets all requirements.
possessives
• Avoid using of phrases (grades of students)
when an apostrophe and s construction is possible:
September 2003

preconstruction
preempt
preexist
present tense
A rule of continuing effect speaks of the time
it is applied, not of the time it is drafted or when it
becomes effective.
Wrong: The fine for employing an unlicensed
person shall be $100.
Right: The fine for employing an unlicensed
person is $100.
Wrong: When it has been determined by the
Director that the application that was submitted by
the applicant is complete . . .
Right: When the Director determines that the
person’s application is complete . . .
Price List
When Code supplements are published, the
Office publishes a new price list that shows all
Chapters in numerical order, the last supplement
in which the Chapter appeared, and the price for
each Chapter. Price Lists are available free from
the Office.

Fast Fact
Perhaps the longest
uninterrupted sentence
in the Code is in
R19-1-205 with 206 words.

See commercial use of public records and
R1-1-302.

Section 2 - Page 29

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

principal, principle
Principal means main or chief, or the sum of
money on which interest accrues. Principle means
moral standard or belief.

tions Affected column in the proper
location. List each Article undergoing rulemaking above the Sections in
that Article undergoing rulemaking,
if any. The same thing applies to
Parts.

printout
Proposed Delegation Agreement,
Notice of
Some agencies have been given legislative
authority to delegate functions, powers, or duties
to political subdivisions within Arizona. When an
agency proposes a delegation agreement, the
agency must submit to the Office for Register publication a Notice of Proposed Delegation Agreement.

If you are also adding, amending,
repealing, or renumbering any
Appendix, Exhibit, Illustration, or
Table that appears at the end of a
Section, an Article, a Part, or the
Chapter as a whole, list it in the Sections Affected column.
If you are repealing a Section and
making a new Section in its place or
renumbering a Section to another
Section number and replacing the
first one with text, the Section number will appear twice. You could list
a Section three times depending on
the action you are taking. For example, a Section could be repealed,
another Section could be renumbered to where the first one was, and
then you could amend the renumbered Section. Because only one
rulemaking action can appear per
line in the second column, a Section
number may appear one, two, or
three times, depending on what you
are doing to the Section.

Use the Notice of Proposed Delegation form
in the Rulemaking Forms section of this manual
and follow the procedures specified in A.R.S. §
41-1081.
See the Rulemaking Forms section of this
manual and R1-1-208.
proposed rulemaking
For rulemaking that is not exempt from the
APA, an agency must file a Notice of Proposed
Rulemaking with the Office for publication in the
Register. The notice includes the Preamble and
the text of the rule. The public comment period
begins on the day the proposed rulemaking is published in the Register.
See A.R.S. § 41-1022 and R1-1-502.

Note: Previously repealed, reserved,
or renumbered Sections where no
text currently appears cannot be
amended. (You cannot amend what
does not exist.) A previously
repealed Section cannot be repealed
again unless you have subsequently
made new text at that Section number.

Proposed Rulemaking, Notice of
See R1-1-502 and the Rulemaking Forms
section of this manual.
• The Notice shall contain the heading
NOTICE OF PROPOSED RULEMAKING all in
capital letters and centered on a line approximately one inch from the top of the page. Below
this heading shall be the word TITLE, the Title
number, and the Title heading, all in capital letters
and centered on the line. Below the Title shall be
the word CHAPTER, the Chapter number, and the
Chapter heading, all in capital letters and centered
on the line.
Under the Chapter, or the Subchapter if applicable, place the word PREAMBLE all in capital letters and centered on the line.
1.

Item #1 has two columns. The first column is headed Sections Affected. The
second column is headed Rulemaking
Action.
a. In the first column, list all Sections
on which you are taking rulemaking
action in numerical order. If one or
more Articles or Parts are involved
in the rulemaking because their
labels or headings are being added,
repealed, amended, or renumbered,
list the Articles and Parts in the Sec-

Arizona Rulemaking Manual

Section 2 - Page 30

You cannot renumber a Section
where no text currently exists.
b.

In the second column, list the rulemaking action you are taking on
each Section. The proper terms and
listing order for each type of action
are as follows:
Repeal: used when you are deleting
the entire text of a Section and its
heading.
Renumber: used when you are
changing the Section number.
New Section: used when you are
making completely new text at a
Section number. This includes new
text after a Section has been repealed
or renumbered and new text in a previously nonexisting Section.
Amend: used when you are changSeptember 2003

Section 2. Definitions and Publishing Style

ing existing text within a Section but
not changing the entire text.
2.

3.

4.

5.
6.

7.

8.

9.

10.

11.

12.

13.

This item asks for the specific statutory
authority for the rulemaking, including
both the implementing and the authorizing statutes. List the authorizing statute
or statutes first and, on the next line (one
double-space below) the statutes the rules
are implementing.
In this item, list all previous notices
appearing in the Register addressing the
proposed rule.
List in this item the name and address of
a specific person in your agency whom
the public can call with questions or
comments about the rulemaking.
In this item, explain your agency’s reasons for initiating the rule.
Provide in this item a reference to any
study your agency proposes to rely on or
not rely on in its evaluation of or justification for the proposed rule and information for the public on how to access the
study.
In this item, show good cause why this
rulemaking is necessary to promote a
statewide interest if the rule or rules will
diminish a previous grant of authority of
a political subdivision of this state.
In this item, give a preliminary summary
of the economic, small business, and
consumer impact statement. Your full
statement will be submitted to G.R.R.C.
later in the rulemaking process.
In this item, give the name and address of
a specific person or persons in your
agency whom the public can call with
questions or comments concerning the
accuracy of the economic, small business, and consumer impact statement.
In this item, list the time, place, and
nature of the proceedings for this rulemaking. If you do not schedule a proceeding, you must list where, when, and
how persons may request an oral proceeding on the proposed rule. Many
agencies schedule at least one oral proceeding.
In this item, list any other matters prescribed by statute that are applicable to
your agency or to the specific set of rules.
In this item, list the material you have
incorporated by reference in this rulemaking and the Sections in which those
incorporations by reference appear.
The full text of the rules, which actually
begins with a table of contents for the
rulemaking, starts on the page following

September 2003

item #13.
a. In the table of contents, show the
Title, its number, and its heading on
the first line approximately one inch
from the top of the page. Under the
Title, show the Chapter, its number,
and its heading. Under the Chapter,
show the Subchapter, its label, and
its heading, if applicable, or the first
Article contained in this rulemaking,
its number, and its heading. Under
the Article shall be the first Part in
the Article involved in the rulemaking, its label, and its heading, if
applicable. These shall all be centered on their respective lines, capitalized. Under the first Article or the
first Part of the first Article, shall be
the word “Section” under which is
the first Section involved in the rulemaking. List all Sections in numerical order under their respective Parts
or Articles. Do not list any Section,
Part, or Article not involved in this
particular rulemaking, unless you
are amending the heading or renumbering the item.
b.

The full text of the Sections shall
begin on the next page following the
last item in the table of contents. At
the top of this page list the first Article and its heading. Then all the Articles, Parts, and Sections involved in
this particular rulemaking shall be
listed in order. The Articles, and
Parts if applicable, must be shown if
one Section within the Article or
Part is undergoing rulemaking activity.

c.

Show new language by underlining
the text. Show language being
deleted from the rule with strikeouts.

d.

If you are renumbering entire Sections, show the entire old number
with strike-outs and the entire new
number with underlining.
Place renumbered Sections in the
text at their new number locations.
If the only action being taken on a
Section is renumbering of the entire
Section and no changes are being
made to the text of the Section, show
the renumbering and the Section
heading. Then list “No change” for
each subsection in that Section.

See R1-1-502 and the Rulemaking Forms
section of this manual.

Section 2 - Page 31

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

publication deadline
The publication schedule for materials submitted to the Office is published in each Register.
Generally, all materials submitted during a given
week will be published in the Register three weeks
from that week’s Friday. However, the Office may
take longer to publish larger rule packages or other
materials that require more time to process.
If an agency schedules a proceeding for proposed rules, it must take place at least 30 days
after the publication date of the proposed rules in
the Register.
The Office publishes Code supplements
approximately four weeks after each calendar
quarter has passed.
If an agency erroneously submits a proposed
rule, it must submit a Notice of Termination of
Rulemaking. There is no means to terminate a
summary, exempt, final, or emergency rulemaking
except to go through rulemaking again.
See R1-1-201.
publication requirements
All rulemaking packages submitted for publication shall meet the requirements in 1 A.A.C. 1.
The Office accepts text that is double-spaced and
text that has line spacing of space and a half.
Spacing for the EIS is at the agency’s discretion.
See 1 A.A.C. 1.
public comment period
After a proposed rulemaking is published in
the Register, a public comment period begins.
During the period, an agency must take oral and
written comment from the public for at least 30
days before holding an oral proceeding or hearing
or submitting the rules to G.R.R.C. or to the Attorney General.

• By making oral comments, if an oral proceeding is held, or written comments to the agency
proposing the rule. In order for the agency to consider comments, the agency must receive them by
the close of record. Comments must reach the
agency within the 30-day (or longer) comment
period following Register publication of the
Notice of Proposed Rulemaking. Send your comments to the agency representative whose name
and address are printed in the Notice of Proposed
Rulemaking. (See A.R.S. § 41-1022.)
• By requesting, in writing, an oral proceeding
on a proposed rule within 30 days after the Notice
of Proposed Rulemaking has been published in the
Register if the agency has not scheduled a proceeding. (See A.R.S. § 41-1023.)
• By submitting to the Governor’s Regulatory
Review Council written comments that are relevant to the Council’s power to review a given rule
(see A.R.S. § 41-1052). The Council reviews the
rule at the end of the rulemaking process and
before the rule is filed with the Secretary of State.
• By petitioning an agency to make, amend, or
repeal a rule. The agency must respond to the petition. (See A.R.S. § 41-1033.)
public record
“Public record . . . means the rulemaking documents as filed by state agencies with the Secretary of State, the rules as published by the
Secretary of State in either the Code or the Register, or the rules as generated in any electronic format by the Secretary of State.” (R1-1-101)
pursuant to
Avoid using pursuant to. Use according to,
under, following, or by.

Q

See A.R.S. § 41-1023 and R1-1-503.
public hearing
See oral proceeding.
public inspection of documents
All documents filed with the Office are available for public inspection during business hours.
Copies of documents are available for a charge of
10¢ per page. The Office will not photocopy any
copyrighted material incorporated by reference.
See R1-1-112 and R1-1-414.
public participation in the rulemaking
process
The public is encouraged to participate in the
rulemaking process by which administrative rules
are made, amended, or repealed. The following
are some of the ways in which to participate:

questionnaire
quotation marks
As the Associated Press Stylebook states, follow these long-established printers’ rules:
• The period and the comma always go within
the quotation marks.
• The dash, the semicolon, the question mark,
and the exclamation point go within the quotation
marks when they apply to the quoted matter only.
They go outside when they apply to the whole
sentence.

• By inspecting a copy of the Notice of Proposed Rulemaking filed with the Secretary of
State. (See A.R.S. § 41-1022.)
Arizona Rulemaking Manual

Section 2 - Page 32

September 2003

Section 2. Definitions and Publishing Style

R
rainwater
ratemaking
retroactive
Receipt
See Agency Receipt.
recodification
If an agency is changing the codification of
part or all of a division of the Code from one
Chapter to a different Chapter, the change is called
a recodification. An agency shall file with the
Office a Notice of Recodification for publication
in the Register. The Office will publish the codification changes in the next available supplement of
the Code. Only entire Sections (or other divisions)
may be renumbered in this manner.
See R1-1-404 and R1-1-1001.
Recodification, Notice of
A Notice of Recodification shall contain
information on the recodification of entire Chapters, Subchapters, Articles, Parts, or Sections from
one Chapter to a different Chapter. The Notice
shall contain no other rulemaking action. An
agency Receipt and Agency Certificate shall
accompany the Notice.
The following items shall be listed in the
Notice:
1. A list of Chapters, Subchapters, Articles,
Parts, and Sections being recodified along with
their respective headings.
2. A list of Chapters, Subchapters, Articles,
Parts, and Sections as recodified along with their
respective headings.
3. A conversion table between the old numbering scheme and the new numbering scheme.
(This table shall contain two columns listing the
Old Numbering Scheme and the New Numbering
Scheme.)
4. The name and address of agency personnel
with whom persons may communicate regarding
the recodification.
See recodification, R1-1-404, R1-1-1001,
and the Rulemaking Forms section of this manual.
recordkeeping
Recordkeeping is not hyphenated, either as a
noun or adjective.

September 2003

recur, recurred, recurring
Register (A.A.R.)
The Arizona Administrative Register
(A.A.R.) is an official state publication and contains the rulemaking activity of the state’s agencies, including proposed, final, emergency,
summary, and exempt rules. The Secretary of
State’s Office prints the Register weekly.

Fast Fact

Total pages in the Register
2002: 5268
2001: 6025
2000: 4861
1999: 4735
1998: 4379

The full text of rulemakings initiated under
the APA as effective January 1, 1995 is published
in the Register. In addition, the Register contains
the full text of the Governor’s Executive Orders
and Proclamations of general applicability, summaries of Attorney General opinions, notices of
rules terminated by the agency, and the Governor’s appointments of state officials and members
of state boards and commissions. Other documents may be included if the documents are concerned with rulemaking or if statute requires their
publication in the Register.
The Register is cited by volume, page number, and issue date. For example: 8 A.A.R. 4834,
November 22, 2002 refers to Volume 8, page
4834, dated November 22, 2002. Pagination of the
Register is consecutive throughout each volume
year. An index to rulemaking activity is published
in each issue and is cumulated every six months in
a separately published index. The Office also publishes biennially an index to the Governor’s documents, the Attorney General’s summaries of
opinions, and the Governor’s appointments to
boards and commissions.
The Secretary of State began publishing the
Arizona Administrative Digest in 1976. The
Digest was a monthly publication containing
“notice only” notices of rulemaking activity in the
state. In January 1987, the title was changed to the
Arizona Administrative Register. The Register was
modified to a full-text, weekly format in January
1995 after significant changes were made to the
APA.
See A.R.S. §§ 41-1011 and 41-1013 and R11-202.
regulation
Headings for any division of the Code shall
not contain the words “Rule” or “Regulation.”
See R1-1-402.
relabeling
See editing and relabeling.
Renumber
Renumber is one of the four rulemaking
actions listed in the column for rulemaking action
in the Agency Receipt, Agency Certificate, and
item #1 of the Preamble. It is used to change the
number for an entire, existing Section or Article
(but not the labels of subsections within a Section).
Section 2 - Page 33

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

The heading for a repealed Section is
Repealed, not Reserved. A repealed Section has a
Historical Note because text has existed at that
Section number. A reserved Section does not have
a Historical Note because no text has ever existed
at that Section number.
Note: If all of the text of a Section is stricken
but the heading remains unchanged (or mostly
unchanged), the rulemaking action is Amend, not
Repeal.
See R1-1-101, R1-1-404 and R1-1-502 and
Section 3 of this manual.
renumbering Sections
For samples of complicated renumbering in
rules, see Section 3 of this manual.
You do not have to renumber Sections when
you are repealing Sections. The Office prefers that
you not renumber unless there is a specific reason
for doing so. (Renumbering usually makes your
rules harder to “figure out” when the Office must
reconstruct them as they were in effect on a particular date.) However, if you must renumber, follow
the procedures listed below.
The rulemaking action intended by an agency
must be accurate in the Preamble, table of contents, and body of the rules. It matters because the
rulemaking action is reflected in the Historical
Note and the index of the Register. The types of
rulemaking action listed in the Preamble are the
following: Repeal, Renumber, Amend, and New
Section (or Article).
The maximum number of actions on a Section
is three, taken as applicable in this order: Repeal,
Renumber, Amend, New Section.
Single Rulemaking Action
For a single rulemaking action, follow these
guidelines:
Repeal -- If all of the text of a Section and all of
the Section heading is stricken, it is a simple
repeal. The Section number is not stricken, and the
word Repealed (underlined) is placed after the
stricken heading. The Preamble uses the word
Repeal.
Renumber -- If a Section is renumbered to
another Section number, and no text is going in
the old place, it is a simple renumber. The Section
number is not stricken, and the word Renumbered (underlined) is placed after the stricken
heading. The Preamble uses the word Renumber.
Amend -- If the only rulemaking action on a Section is amend, it is a simple amend. Note, however, that if all of the text of a Section is stricken
but the heading remains unchanged (or partly
unchanged), the rulemaking action is Amend, not
Repeal.
New Section -- If the text of a Section is brand
new (it hasn’t existed somewhere else before), it is
Arizona Rulemaking Manual

Section 2 - Page 34

a simple New Section. If the Section number is not
currently in the Code, underline the number in the
table of contents and the body of the rules. If the
Section number currently exists in the Code, with
the word Repealed, Renumbered, or Expired next
to it, do not underline the number, and strike the
word Repealed, Renumbered, or Expired.
Double Rulemaking Action
For a double rulemaking action, follow these
guidelines:
Repeal - Renumber -- In this case, Section 101 is
repealed and Section 102 is renumbered into the
place of Section 101, with no amendments. Here’s
how item #1 of the Preamble and the table of contents should appear:
Sections Affected
R1-1-101
R1-1-101
R1-1-102

Rulemaking Action
Repeal
Renumber
Renumber

Section
R1-1-101. Definitions
R1-1-102.R1-1-101. Certificates
R1-1-102. Renumbered

Repeal - New Section -- In this case, Section 101
is repealed and a brand new Section is put into the
place of Section 101.
Sections Affected
R1-1-101
R1-1-101

Rulemaking Action
Repeal
New Section

Section
R1-1-101. Definitions Certificates

Renumber - Amend -- In this case, Section 101 is
renumbered, and Section 102 is renumbered into
the place of old Section 101 and amended. Therefore, the rulemaking action Renumber applies to
what’s happening to the Section leaving and to
what’s happening to the Section coming in.
Sections Affected
R1-1-101
R1-1-101
R1-1-102
R1-1-130

Rulemaking Action
Renumber (moving to
R1-1-130, and receiving
R1-1-102)
Amend
Renumber (moving to
R1-1-101)
Renumber (coming from
R1-1-101)

Section
R1-1-102.R1-1-101. Certificates
R1-1-102. Renumbered
R1-1-101.R1-1-130. Definitions

Triple Rulemaking Action
September 2003

Section 2. Definitions and Publishing Style

For a triple rulemaking action, follow these
guidelines:

a Historical Note because no text has ever existed
at that Section number.

Repeal - Renumber - Amend -- In the previous
example, R1-1-101 only had two rulemaking
actions listed in the Preamble, but in effect three
actions took place. A repeal-renumber-amend is
the only occasion in which all three rulemaking
actions appear in the Preamble. In this case, Section 101 is repealed, and Section 102 is renumbered into the place of Section 101 and amended.

Note: If all of the text of a Section is stricken
but the heading remains unchanged (or mostly
unchanged), the rulemaking action is Amend, not
Repeal.

Sections Affected
R1-1-101
R1-1-101
R1-1-101
R1-1-102

Rulemaking Action
Repeal
Renumber (coming from
R1-1-102)
Amend
Renumber (going to
R1-1-101)

See R1-1-502.
repealing supplementary material
You have two options when repealing supplementary material. First, you may, if possible,
strike through all text in the material as you would
normal text in a Section. Second, you may use a
single slash mark (/) drawn from the lower left to
the upper right sufficiently to cover all of the
material.
See R1-1-412.
rescission

Section
R1-1-101. Definitions
R1-1-102.R1-1-101. Certificates and Licenses
R1-1-102. Renumbered

Reserved
When the Sections in an Article are not consecutive, the Office will list the “missing” Section
numbers with the heading Reserved.

• The table of contents for the rulemaking shall
show the Section numbers in their new order. Disregard the old numbers (which are shown with
strike-outs) and only consider the new numbers to
place the Sections in numerical order.

The heading for a repealed Section is
Repealed, not Reserved. A reserved Section does
not have a Historical Note because no text has
ever existed at that Section number.

• Show the rules in the text in numerical order
as renumbered. The Sections in the text must
appear in the same new order as they are shown in
the table of contents for the rulemaking.
• If you renumber some rules but make no other
changes to the rules, you may do either of the following:
1.

Prepare a Notice of Recodification as
specified in R1-1-1001, or
2. Go through the regular rulemaking process to make the numbering changes.
• You may only renumber full Sections. If you
want to split Sections into two or more Sections,
combine two or more Sections into one Section, or
take portions of one Section and move them to one
or more other Sections, you must go through the
regular rulemaking process to make these
changes.
See R1-1-404.
Repeal
Repeal is one of the four rulemaking actions
listed in the column for rulemaking action in the
Agency Receipt, Agency Certificate, and item
#1 of the Preamble. It is used for an existing Section.
The heading for a repealed Section is
Repealed, not Reserved. A repealed Section has a
Historical Note because text has existed at that
Section number. A reserved Section does not have
September 2003

restroom
re-using a Chapter
After you have used a Chapter and you repeal
or renumber the Chapter in its entirety so that no
text remains, you must wait at least one year
before re-using that Chapter.
If you use a Section number and either repeal
or renumber the Section in its entirety, you may
re-use the Section number immediately.
See R1-1-406.
rule
Always write rule in lowercase. If the text of
a rule refers to itself, use Section (always uppercase), not rule: An applicant shall meet all
requirements of this Section. Headings for any
division of the Code shall not contain the words
“Rule” or “Regulation.”
A.R.S. § 41-1001(17) states: “Rule” means
an agency statement of general applicability that
implements, interprets or prescribes law or policy,
or describes the procedure or practice requirements of an agency. Rule includes prescribing fees
or the amendment or repeal of a prior rule but
does not include intraagency memoranda that are
not delegation agreements.
See headings and R1-1-402.

Section 2 - Page 35

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

rulemaking
Rulemaking is not hyphenated, either as a
noun or adjective in the Register and Code. Arizona Revised Statutes prefers rule making.
rulemaking action
There is a column for rulemaking action in
the Agency Receipt, Agency Certificate, and
item #1 of the Preamble. The types of rulemaking
action listed are the following: Repeal, Renumber, Amend, New Section (or Article).
See R1-1-502.

Fast Fact

Of 592 packages filed
in 2002:
Title 9: 20% of total
DEQ: 18% of total
Title 4: 15% of total
ADOT: 12% of total

rule package, rulemaking package
Rule package is the term the Office uses to
refer to the material filed with the Office as part of
a rulemaking action. In the circumstances under
A.R.S. § 41-1024, a rule package must contain the
Preamble, the text of the rule, and the EIS. (The
Office also requires Agency Receipts and Agency
Certificates.)

Of 641 packages filed
in 2001:
Title 9: 18% of total
ADOT: 15% of total
Title 4: 13% of total
DEQ: 8% of total

Right: R12-1-101, R12-1-102, R12-1-103,
and R12-1-104
or
R12-1-101 through R12-1-104
Sections between existing Sections
An agency must request permission from the
Office before inserting a new Section between two
existing, consecutively numbered Sections. The
new Section uses the number of the preceding
Section followed by a decimal point and a twodigit number. See R1-1-405.
Example:
R18-2-306. Permit Contents
R18-2-306.01. Permits with Standards
R18-2-306.02. Establishment of an Emissions Cap
R18-2-307. Permit Review by the EPA

securityholders
semiannual

runoff

Semiannual Index
The Semiannual Index is published biannually. It contains an index to all rulemaking activity
during the last six months and an index to the
Governor’s documents, the Attorney General’s
summaries of opinions, and the Governor’s
appointments to boards and commissions.

S

Fast Fact

Wrong: R12-1-101, -102, -103, and -104

saltwater

See A.R.S. § 41-1013(A).

scientific names
Place statutory quotations, book titles, and
scientific names in italics.
seasons
Lowercase spring, summer, fall, winter, and
derivatives such as springtime unless part of a formal name: Tucson’s Spring Fling.
second-hand (adj.)
Section
A Section is a complete, individual rule in the
Code. Always capitalize Section when referring to
part of the Code.

semiautomatic
semifinal
semimonthly
semi-colons
• Use a semi-colon when two independent
clauses are related and emphasis is placed equally
on both clauses.
• Use a semi-colon at the end of each subsection that completes the thought of the next previous level of subsection if none of the items in the
list is a complete sentence and if one of the items
in the list contains a comma.

See subsection, Title, Chapter, Subchapter,
Article, and Part; and R1-1-101, R1-1-301, R1-1402, and R1-1-501.

• If no item in the list contains a comma, use
commas at the end of each item.

Sections Affected
There is a column for Sections Affected in the
Agency Receipt, Agency Certificate, and item
#1 of the Preamble. List only the Sections and
supplementary material contained in the rule
package.

serviceable

See R1-1-502.
Section numbers
A Section number is not complete unless all
parts of the Section number appear.
Arizona Rulemaking Manual

Section 2 - Page 36

See commas and lists.
set up (v.), setup (n., adj.)
sewage, sewerage
Sewage is waste matter. Sewerage is the
draining system.
shall, must, may
In Arizona, both in statutes and in rules, shall
is the proper term to use, not must. May is permissive and confers a right, privilege, or power. When
using may, give the standards under which the disSeptember 2003

Section 2. Definitions and Publishing Style

cretion will be used: The Director may approve an
incomplete application after assessing the following factors:
• Use shall instead of may when you require
specific action. Shall is used to impose a mandatory duty, direction, or command. (The Director
shall approve each completed application.)
• Use shall not to indicate an obligation not to
act or a prohibition against acting. (The Director
shall not delegate the duty described in this subsection.)
•

Avoid using shall to confer a right.

Wrong: The applicant shall receive compensation.
Right: The applicant is eligible to receive
compensation.
Wrong: Committee members shall serve for
two years.
Right: The term of office of committee members is two years.
• Avoid the negative subject with the affirmation shall.
Wrong: No person shall . . .
Right: A person shall not . . .
See active voice.
shut down (v.), shutdown (n.)
shut-in
shut off (v.), shut-off (n., adj.)
singular form
• In the absence of specific language to the contrary, the singular implies the plural. A rule should
be written using the singular form.
Avoid: Applicants may . . .
Use: An applicant may . . .
Wrong: The guard shall issue security badges
to the examinees who shall be tested in Building D
and Building E.
Right: The guard shall issue a security badge
to each examinee who shall be tested in Building
D and each examinee who shall be tested in Building E.
or
The guard shall issue a security badge to each
examinee who shall be tested in both Building D
and Building E.
See plurals.
sizable
soundproof
space and a half
All rulemaking packages submitted for publication shall meet the requirements in 1 A.A.C. 1.
September 2003

The Office accepts text that has line spacing of
“space and a half,” and text that is double-spaced.
Spacing for the EIS is at the agency’s discretion.
See R1-1-103(B).
spacing
Never use two spaces after a colon, period, or
state abbreviation. It is an obsolete printing style.
However, the headings for supplementary material listed in the table of contents should be
indented two spaces from the left.
spelling
The Office corrects misspelled words.
Remember that spelling checkers are not accurate
for Latin names, many scientific terms, and other
words.
See Latin words.
springwater
standby
staples
Do not staple the original elements of a filing.
This means the receipts, the original Agency Certificate, and the original rule package. The copies
of these elements may be stapled.
The Office scans the original documents for
permanent digital storage, so it’s preferable not to
have to remove staples.
See number of copies.
state
Lowercase in all state of constructions: the
state of Arizona, licensees in this state. Capitalize
when it is part of an agency title: State Board of
Education.
statewide
stationary, stationery
To stand still is to be stationary. Writing
paper is stationery.
statutory quotations
Place statutory quotations, book titles, scientific names, and the names of court cases in italics.
If the statutory language contains subsection
labeling, retain the labeling.
stockholder
striking in rules
In general, place stricken text before underlined text. When striking a subsection label, strike
the period as well:
A.
B.A.
C.B.

(Text here)
(Text here)
(Text here)

See amending words, phrases, and blocks
of text.
striking (repealing) supplementary
Section 2 - Page 37

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

material
You have two options when repealing supplementary material. First, you may, if possible,
strike through all text in the material as you would
normal text in a Section. Second, you may use a
single slash mark (/) drawn from the lower left to
the upper right sufficiently to cover all of the
material.
See R1-1-412.
Subchapter
A Subchapter is a division of the Code
between Chapter and Article. A Subchapter is
designated by a capital letter after the Chapter
number before the hyphen: R15-2A-201. An
agency must request and receive approval from
the Office before using a Subchapter division.
Always capitalize Subchapter when referring
to a division of the Code.
After you have used a Chapter and you
repeal or renumber it in its entirety so that no text
remains, you may not re-use that specific Chapter
for one year.
See Title, Chapter, Article, Part, and Section; R1-1-101, R1-1-301, R1-1-402, and R1-1501; and re-using Chapter, Subchapter, Article,
Part, or Section numbers.
subcommittee

In determining whether there is a substantial
change, three factors must be considered: 1) the
extent to which all persons affected by the final
rule should have understood that the published
proposed rule would affect their interests; 2) the
extent to which the subject matter of the final rule
or the issues determined by it are different from
the subject matter or issues involved in the proposed rule; and 3) the extent to which the effects
of the final rule differ from those of the proposed
rule.
See A.R.S. §§ 41-1022 and 41-1025.
substantive error
A substantive error is a mistake in the text of
the Register or Code significant enough that correcting it would change the meaning of the text.
The Office consults with the Attorney General’s
office when clarification about an error is
required.
See correction of errors, R1-1-109 and R11-507.

subcontract
submission requirements
When submitting material to the Office, provide an original and two copies of the material and
a disk. The disk should not contain the Agency
Receipt or Agency Certificate.
All pages of the original document and all
copies shall be printed on only one side. Each
page shall have margins of one inch on each edge
of the page.
When filing a rulemaking package with the
Office, place only one Chapter on a single Notice.
The Office prefers that agencies do not file more
than one Notice per Chapter per week for each
type of rulemaking activity.
subsection
A subsection is a division of a Section of the
Code. Lowercase subsection when referring to a
part of a rule in the Code. Do not use paragraph to
refer to a subsection of the Code.
subsection levels
The Office prefers that rules do not contain
levels of subsection below the fourth level. If an
agency submits a proposed rule with more than
four levels of subsection, the Office may ask the
agency to split the rules into additional Sections to
avoid exceeding four levels of subsection.
See labeling subsections.
Arizona Rulemaking Manual

substantial change
A.R.S. § 41-1025 states that an agency shall
not make a rule that is “substantially different”
from the proposed rule published in the Notice of
Proposed Rulemaking or Supplemental Notice of
Proposed Rulemaking, and G.R.R.C. shall not
approve a final rule that contains a “substantial
change” from the proposed rule.

Section 2 - Page 38

Substantive Policy Statement
A.R.S. § 41-1001 states: “Substantive policy
statement” means a written expression which
informs the general public of an agency’s current
approach to, or opinion of, the requirements of the
federal or state constitution, federal or state statute, administrative rule or regulation, or final
judgment of a court of competent jurisdiction,
including, where appropriate, the agency’s current
practice, procedure or method of action based
upon that approach or opinion. A substantive policy statement is advisory only. A substantive policy
statement does not include internal procedural
documents which only affect the internal procedures of the agency and does not impose additional requirements or penalties on regulated
parties, confidential information or rules made in
accordance with this chapter.
• The APA requires the Office to publish summaries of substantive policy statements and guidance document publications in the Register.
A.R.S. § 41-1013(B)(14).
• A.R.S. § 41-1091 requires an agency to submit summaries of substantive policy statements to
the Office for publication. An agency must also
publish a directory summarizing its rules and policy statements. Although the APA does not penalize an agency for failing to do so, the agency
should make a good faith effort to abide by these
September 2003

Section 2. Definitions and Publishing Style

requirements and notify the public of these documents.

See A.R.S. § 41-1027, R1-1-801, and the
Rulemaking Forms section of this manual.

• You do not need to file a copy of the actual
policy statement with the Office, only the Notice.

Summary Rulemaking, Notice of Final
If G.R.R.C. approves a summary rule, an
agency must submit a Notice of Final Summary
Rulemaking to the Office for publication and filing.

See the Rulemaking Forms section of this
manual.
Substantive Policy Statement, Notice of
Use the Notice of Substantive Policy Statement form in the Rulemaking Forms section of
this manual. The Office does not need a copy of
your actual policy statement.
See R1-1-210 and the Rulemaking Forms
section of this manual.
summary rulemaking
If an agency’s rules are subject to review by
G.R.R.C., the agency may use the summary rulemaking process in A.R.S. § 41-1027 for repeals of
rules made obsolete by repeal or supersession of
the agency’s statutory authority or the making,
amendment, and repeal of rules that repeat verbatim existing statutory authority granted to the
agency.
An agency files a Notice of Proposed Summary Rulemaking with G.R.R.C. and the Office,
and the rule takes interim effect on the date of
publication in the Register. Within 90 days after
publication, after consideration of public comment, the agency files the summary rules with
G.R.R.C. as final summary rules. If G.R.R.C.
approves the summary rule and files it in the
Office, the interim effective date becomes the permanent effective date 60 days after the date of
filing in the Office.
See A.R.S. § 41-1027, R1-1-801, and the
Rulemaking Forms section of this manual.
Summary Rulemaking, Notice of Proposed
Within 90 days after publication of the Notice
of Proposed Summary Rulemaking in the Register, you must submit the summary rules to
G.R.R.C. as final summary rules. You must also
submit the preamble, the concise explanatory
statement, and the economic, small business, and
consumer impact statement (the economic, small
business, and consumer impact statement is not
necessary if you are only repealing existing rule
language).
After G.R.R.C. reviews the summary rule, it
will place the summary rule on its consent agenda
unless a member of G.R.R.C. requests a hearing. If
a hearing is requested, G.R.R.C. shall act on the
summary rule and issue its approval or return the
rule to the agency for initiation of the rule under
the regular rulemaking process. If G.R.R.C.
returns the rule to the agency, the interim effect of
the rule is revoked as of the date of initial publication of the proposed summary rule in the Register
unless G.R.R.C. orders otherwise.
September 2003

See A.R.S. § 41-1027, R1-1-801, and the
Rulemaking Forms section of this manual.
supersede
supplemental proposed rulemaking
A.R.S. § 41-1025 states that an agency shall
not make a rule that is “substantially different”
from the proposed rule published in the Notice of
Proposed Rulemaking or Supplemental Notice of
Proposed Rulemaking, and G.R.R.C. shall not
approve a final rule that contains a “substantial
change” from the proposed rule.
If there is a substantial change made to a
rule after it is proposed, an agency has three
options:
1. Do nothing. The docket for the rulemaking
will expire one year after the proposed is published if the agency does not submit the final rule
to G.R.R.C.
2. File a Notice of Termination of Rulemaking. The agency then has the option of starting the
rulemaking over with a new docket and a new proposed.
3. File a Notice of Supplemental Proposed
Rulemaking and provide for additional public
comment under A.R.S. § 41-1023.
Sections included: In the past, the Office
advised rulewriters to include only the Sections
undergoing change after the publication of the
proposed rule (or supplemental). The Office now
advises that the supplemental include every Section undergoing change. Rather than being considered an addendum to the proposed, the
supplemental should be considered a “do-over” –
as if you were resubmitting the original proposed,
but now with new changes.
Changes to the text: In the past, the Office
advised rulewriters to show all changes, interpreted to mean the changes (striking and underlining) from the proposed rule and the “new”
changes that required the supplemental notice –
but only for Sections undergoing change in the
supplemental. These two sets of changes were
seen to exist essentially as two separate layers.
Some text, therefore, might have had both underlining and striking if multiple changes were made
to the same words.
The Office now advises that the supplemental
simply appear as if it were the original proposed
rule package. Include all desired changes from the
original Code text (the base text from which all
Section 2 - Page 39

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

proposed rulemakings start) as if the supplemental
were your first version of the proposed rule.
Rulemaking timetable: A.R.S. § 41-1021
states that a rulemaking docket expires one year
after publication of the proposed rulemaking if the
agency does not submit a final rule to G.R.R.C.
within that time. The start date of that one-year
period is reset upon publication of a supplemental
rulemaking.
For more information on supplementals, see
the Guide for Notices of Supplemental Proposed Rulemaking in Section 3 of this manual.
See A.R.S. §§ 41-1022, 41-1023, and 411025, R1-1-507, and the Rulemaking Forms section of this manual.
Supplemental Proposed Rulemaking,
Notice of
See the entry for supplemental proposed
rulemaking above.
Be sure to include the citation to the original
proposed rules and any supplemental notices.

REPEALING SUPPLEMENTARY MATERIAL: You have two options when repealing supplementary material. First, you may, if possible,
strike through all text in the material. Second, you
may use a single slash mark (/) drawn from the
lower left to the upper right sufficiently to cover
all of the material.
See R1-1-412.
suspensive hyphenation
The form: The 5- and 6-year-olds attend
morning classes.
symbols
Contact the Office when using special symbols, fonts, or formats in the text of a rule.
Some signs and symbols disappear from the
electronic file when the Office formats rule packages from agency disks, especially certain symbols inserted by autoformatting in word
processing programs. Turn off autoformatting
when drafting your rules.
See R1-1-408(N).

See A.R.S. §§ 41-1022, 41-1023, and 411025, R1-1-507, and the Rulemaking Forms section of this manual.
supplementary material
CAMERA-READY MATERIAL: If it is necessary to include a table, an illustration, a diagram,
or other material that appears in a form other than
prose, submit a camera-ready copy of the item
with the final rules. Camera-ready material is
supplementary material that meets the requirements of R1-1-412(D). It must be clear and legible, in solid black ink on one side of an 8 1/2” by
11” sheet of paper with a one-inch margin on all
edges of the page.
SUPPLEMENTARY MATERIAL: Supplementary material that has a heading and a Historical Note should be listed in the Chapter’s table of
contents. If the material is supplementary to a particular Section, it shall appear immediately after
the Section and be included in the Chapter’s table
of contents slightly indented under the Section to
which it belongs. If the material is supplementary
to the entire Article, place it at the end of the Article and list it in the table of contents slightly
indented under the last Section. Use one of the following four terms for supplementary material:
•

Appendix: Use with material in prose form.

• Exhibit: Use for forms. Note that forms
described in statutes or in expository form in the
rules need not be filed with or contained in your
rules as a form.
• Illustration: Use for pictures, maps, drawings, etc.
•

Table: Use for material in tabular format.

Arizona Rulemaking Manual

Section 2 - Page 40

T
Table
A Table is supplementary material containing tabular information. Create a Table using a
spreadsheet program or the table function in your
word processing program.
List a Table in the table of contents for the
Chapter in the same format that a Section is listed,
but indent it two spaces from the left. Number a
Table with either a capital letter or Arabic number
using a consistent identification scheme, and refer
to a Table within the text of one or more Sections.
A Table does not have to be placed at the end
of an Article. If a Table appears within the text of a
Section, as opposed to being separate from the
Section, it does not appear in the table of contents
and does not have its own Historical Note. To reference such an Table, use the appropriate subsection label.
Keep the rows in Tables connected to each
other.
See R1-1-101 and R1-1-412.
table of contents
The table of contents in a rulemaking package
is the list of Articles and Sections that follows the
Preamble and precedes the full text of the Articles
and Sections. The table of contents must start on
the page following the last item of the Preamble.
September 2003

Section 2. Definitions and Publishing Style

The table of contents in a Code Chapter is the
list of Articles and Sections at the beginning of the
Chapter that precedes the full text of the Articles
and Sections.
telephone numbers
The form: (602) 542-4751. If there is an
extension, (602) 542-4751, ext. 24 (abbreviated
and lowercase ext.). The parentheses around the
area code are based on a format that telephone
companies have agreed upon for domestic and
international communications.
temperature
See Celsius and Fahrenheit.
termination
If an agency terminates a rulemaking after the
proposed rule has been submitted to the Office for
filing and publication and before the final rule has
been submitted, the agency shall submit to the
Office a Notice of Termination of Rulemaking.
No rule may be terminated after the agency has
submitted the final rule to the Office.
See A.R.S. § 41-1021 and R1-1-506.
Termination of Rulemaking, Notice of
The Notice shall contain the following:
• The Register citation and the date of the
Notice of Proposed Rulemaking.
• The Section numbers and their appropriate
Articles or Parts or both in numerical and, in the
case of Parts, in alphabetical order in one column
and the original rulemaking action in the second
column. Be sure that you list the original rulemaking action; the term “Termination” is not allowed
for this rulemaking action because it is not the
original rulemaking action.
• The original and each of the two copies of this
Notice of Termination of Rulemaking shall be
attached to a copy of the Notice of Proposed Rulemaking.
Both the original Notice of Proposed Rulemaking and the Notice of Termination of Rulemaking remain on file in the Office.
The Office publishes a list of terminated rules
in the Register, but not the text of the terminated
rules.
See A.R.S. § 41-1021, R1-1-506, and the
Rulemaking Forms section of this manual.
that (conjunction)
Use the conjunction that to introduce a dependent clause if the sentence sounds or looks awkward without it. That is often unnecessary, but in
general:
• That should be used when a time element
intervenes between the verb and the dependent
clause: The president said Monday that he had
signed the bill.
September 2003

• That usually is necessary after some verbs.
They include: advocate, assert, contend, declare,
estimate, make clear, point out, propose, and state.
• That is required before subordinate clauses
beginning with conjunctions such as after,
although, because, before, in addition to, until, and
while: The Department said that after the applicant passes the test, the Department shall process
the application.
that, which
• Use who and whom for references to people.
Use that and which for inanimate objects and animals: This is the owner who drove the car that was
not registered.
• That sets off a restrictive or essential clause
and is used without commas: The Nile is the river
that gives Egypt life. (restrictive)
• Which sets off a non-restrictive or non-essential clause and is used with commas: The Nile,
which flows into the Mediterranean, gives Egypt
life. (non-restrictive)
third-party (adj.), third party (n.)
Hyphenate when used as an adjective.
Always lowercase -party.
through, thru
You may see thru in the Code, but for several
years the Office has been changing to through.
time
Lowercase a.m. and p.m., and use periods and
Lowercase a.m. and p.m.
minute numbers. 2:00 p.m., not 2 PM.
time-frame
Time-frame is hyphenated when used as a
noun or adjective. Lowercase -frame in all uses:
Licensing Time-frame.
Title
A Title is a subject area in the codification of
the Code. Titles are divided into Chapters.
Always capitalize Title when referring to a
division of the Code.
The Secretary of State’s Office assigns Title
and Chapter designations to state agencies,
boards, and commissions. An agency preparing to
make rules for the first time shall contact the
Office for assignment of a Title and Chapter number within the codification system. An agency that
already has at least one Chapter on file shall contact the Office when the agency needs a new
Chapter assignment.
See Chapter, Subchapter, Article, Part,
Section, capitalization; and R1-1-101, R1-1-301,
R1-1-402, and R1-1-501.
total, totaled, totaling
toward
Not towards.
Section 2 - Page 41

Arizona Rulemaking Manual

Section 2. Definitions and Publishing Style

Track Changes
Do not turn on Track Changes under Tools in
Word. Files created with Track Changes cannot be
imported properly into the Office’s publishing
software. The Office may delay publishing a rule
package created with Track Changes, or return the
package to the agency.
See conditional text.
transfer, transferred, transferring

unnecessary words
• If it is possible to omit a word and preserve
the desired meaning, always omit the word.

travel, traveled, traveling

U

Make sure to eliminate Eliminate unnecessary
words

under, below
Avoid using prepositions that indicate direction or location when indicating quantity.

• Omit language that is meaningless or confusing.

Example:

See over, more than.

Lowercase state
in all
state of constructions:
the state of
Arizona...

underlining in rules
• Underlining is used in the text of rules filed
with the Secretary of State only to indicate new
language being added to an existing rule. Do not
use underlining in the text of rules for any other
purpose.
• All new Section numbers, headings, and text
shall be underlined (R1-1-501(B)(13)(b)(i)). If a
Section number currently exists in the Code, it
shall not be underlined.
• If your agency has rules that were exempted
from the rulemaking process before September 30,
1992 (which by law the Office could not publish),
and now you amend your rules, you must show all
changes between the version the Office has on file
in the Office and what you are doing in the new
rulemaking. You will include in these changes all
language you deleted and all language you added
or otherwise changed during the exemption. Thus,
text that you have been operating under since you
made your rules under the exemption will have to
be shown as either repealed text or new language.
This is the only way the Office can ensure that the
appropriate changes are made when the Office
publishes the rules in the Register and Code.
See amending words, phrases, and blocks
of text; and R1-1-103 and R1-1-104.
unique
It means one of a kind. Avoid describing
something as rather unique or most unique.

 Online

http://uscode.house.gov/

285b. The Code is a consolidation and codification by subject matter of the general and permanent laws of the United States. The Code does not
include regulations issued by executive branch
agencies, decisions of the federal courts, treaties,
or laws enacted by state or local governments.
Regulations issued by executive branch agencies
are available in the Code of Federal Regulations.
Proposed and recently adopted regulations may be
found in the Federal Register.

United States Code (U.S.C.)
Citations use periods: 16 U.S.C. 792.
The Office of the Law Revision Counsel of
the U.S. House of Representatives prepares and
publishes the United States Code under 2 U.S.C.

Arizona Rulemaking Manual

Section 2 - Page 42

In order to to eliminate unnecessary words

Wrong: The Department shall maximize its
deficit reduction program and enforce a positive
downsizing in the personnel pool.
Right: The Department shall cut costs and lay
off employees.
upward
Not upwards.
U.S.
U.S. in all uses when abbreviating United
States, not US. Do not use U.S. as a noun.

V
v. or vs.
Do not italicize in the formal title of a legal
case: Brown v. Board of Education.
vacuum
verb tense and voice
A rule of continuing effect speaks of the time
it is applied, not of the time it is drafted or when it
becomes effective. Place verbs in the present tense
and use the active voice.
Wrong: The fine for employing an unlicensed
person shall be $100.
Right: The fine for employing an unlicensed
person is $100.
Wrong: When it has been determined by the
Director that the application that was submitted by
the applicant is complete . . .

September 2003

Section 2. Definitions and Publishing Style

XYZ

Right: When the Director determines that the
applicant’s application is complete . . .
vice versa
videotape

yearlong

W
wastepaper
wastewater
waterborne
watercourse
web site
whac-a-mole
R3-12-206: “Whac-A-Mole. A player hits as
many moles as possible with a rubber mallet in the
five-hole target area. The animated moles pop up
and down at random in the holes. The first player
to hit a predetermined number of moles wins the
designated prize.”

years
Years are the lone exception to the general
rule in numerals that a figure is not used to start a
sentence: 2002 marked the first year of the program.
Use Arabic figures to indicate decades of history. Use an apostrophe to indicate missing
numerals, and show the plural by adding the letter
s: the 1990s, the ’60s, the mid-1980s.
ZIP code
Put one space between the state abbreviation
and the ZIP code: Phoenix, AZ 85007.

which, that
See that, which.
whitewater
who, whom
• Use who and whom for references to people.
Use that and which for inanimate objects and animals: This is the owner who drove the car that was
not registered.
• Use who when someone is the subject of a
sentence, clause, or phrase: The Director who
approves the license shall notify the applicant by
mail.
• Use whom when someone is the object of a
verb or preposition: The Director shall determine
to whom the case will be assigned.
wildlife
workers’ compensation
workload
workspace
wrongdoing

September 2003

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Section 3. Frequently Asked Questions; Renumbering; Supplementals

Section 3
Frequently Asked Questions;
Renumbering; Supplementals
These frequently asked questions were compiled from the Rulewriters’ Consortium and the Secretary of State’s Office. For more
detailed information, see Section 2 of this manual.

1. I’m a new rulewriter. Where do I start?
Read this manual carefully and then give the editors a
call with your questions. No question is unimportant.
Remember to check that you have updated copies of the
APA and the rules for the Secretary of State and G.R.R.C.
2. We’re a new agency. How do we get a
Chapter number?
Contact the Office, and we will assign a Title and
Chapter number for your rules.
3. I submitted a Docket Opening, but now I
want to add some Sections. Can I pull the
Docket and start over?
No. Once a Docket Opening has been date stamped
and logged in, it cannot be pulled. To add Sections to an
open Docket, either file another Docket Opening with the
additional Sections, or include, under the Sections Affected
part of the Docket, the phrase, “Additional Sections may be
added, deleted, or modified as necessary.” This phrase
gives you room to add Sections in the future.
4. Can I split one Docket into two Proposed
(or Final) packages, or take two Dockets
and combine them into one Proposed (or
Final)?
Yes, but you should explain that you did so in the Preamble so the history of the rulemaking can be traced more
easily. You can also combine multiple Proposed packages
and combine them into one Final.
5. What exactly has to be on the disk I submit
with the package?
Only the Notice (Preamble and text of the rule). The
Agency Receipt, Agency Certificate, and EIS do not have
to be on the disk you submit because they are not published
in the Register.
6. Do I always have to submit a disk?
The Office prefers that you always send a disk with
materials that will be published in the Register. Submitting

November 2002

both a disk and hard copy better ensures that your rules will
be published correctly and on schedule.
At the time of this writing, the Office has submitted a
proposed rule for R1-1-104 that requires an agency to submit its rulemaking package or other notice in paper copy
and electronic medium. All electronic media submissions
shall be compatible with the Office’s computer system and
software. Contact the Office for further help.
7. Can I submit a Docket and Proposed on the
same day?
Yes. Usually they will be published in the same issue
of the Register. However, it was probably the intent of the
legislature when it wrote the APA that a docket be open
before a proposed rule is filed. This provides notice to the
public of future rulemaking.
8. Why wasn’t my notice published in this
week’s Register?
There are several explanations. First, notices are not
published the week they are filed: they are usually published three weeks from the Friday of the week they are
filed. Second, if an agency files two like notices for the
same Chapter in the same week, the Office may hold one
notice for a week. The Office will contact you to determine
which notice to hold. Third, you may not have submitted a
disk with your notice, which can delay publishing. Fourth,
your notice may be particularly large or complicated, which
can delay publishing.
9. What parts of my notice will the Register
editor fill in for me?
The Register editor will fill in the items in the Preamble
listing Register citations and the effective date of the rules if
you cannot answer those questions at the time you file your
notice. Sometimes an agency will file a proposed rule package before the docket opening has been published, and
agencies usually cannot answer item #3 of the preamble in a
final rule package because they do not know when G.R.R.C.
or the A.G.’s Office will file the package with the Office and
therefore when it will be published in the Register.

Section 3 - Page 1

Arizona Rulemaking Manual

Section 3. Frequently Asked Questions; Renumbering; Supplementals

10. Who can sign an agency certificate?
The certificate must contain the signature, in ink, of the
agency chief executive officer or the officer’s designee.
Certificates that contain one person’s signature and another
person’s typed name will not be accepted.
11. How many copies of my materials should I
bring to the Office?
An agency submitting materials for filing or publication in the Register or Code must send an original and two
copies. An Agency Certificate and two copies of the
Agency Receipt must accompany the original of the rulemaking package (R1-1-105 and R1-1-106). An Agency
Certificate must accompany each copy of the rulemaking
package.
12. Can I correct an error in a rule package I
submitted, either before or after publication in the Register or Code?
Sometimes. Contact the Office about the error, and we
will advise you on your options. Depending on the error,
you may be required to do a variety of things to correct it.
See the correction of errors entry in Section 2 of this manual.
13. Can I get a courtesy review of my rule
before it is published in the Register?
Sometimes. Depending on the workload in the Office,
the editors may be able to provide a courtesy review of
your rule package. But if you are especially concerned
about your rule package, or if it is particularly complex, the
Office will probably spend additional time on it. It benefits
everyone if you are in contact with the Office during the
time you are doing the rulemaking.
14. How long will it take for my rule to get published in the Register and Code?
Usually the turnaround time for Register publication is
three weeks from the Friday of the week you submit it.
(Refer to the calendar in the back of the Register.) Code
supplements are published approximately one month after
the close of the quarter.
15. When is a final rule effective?
Laws 2002, Ch. 334, §§ 7 and 8 (SB 1339) changed the
effective date of final rules. The effective date is now 60
days after the date of filing in the Office, unless G.R.R.C. or
the Attorney General approves an effective date earlier or
later than 60 days after the date of filing in the Office.
16. There was an error in my rule in the Register. Can it be corrected before appearing in
the Code?

Arizona Rulemaking Manual

If the error is minor, it will be corrected in the Code. If
it is substantive, you will have to do additional rulemaking
to make the correction. Contact the Office regarding corrections.
17. My agency is exempt from the APA. Do I
still have to file rules with the Office?
Yes. Under A.R.S. §§ 41-1005 and 41-1012, your
agency must file a Notice of Exempt Rulemaking and follow the Secretary of State’s rules for filing notices. Some
agencies are only partially exempt from the APA, and others are exempt but choose to follow the normal rulemaking
process (for example, submitting proposed rules and holding a hearing).
18. What changes have to be in the Notice of
Supplemental Proposed Rulemaking?
See the entry for supplemental proposed rulemaking
in Section 2 of this manual.
19. Can I repeal a rule by letting it expire?
Yes, under the circumstances described in A.R.S. § 411056(E). The Historical Note, however, will indicate that
the rule expired, not that it has been repealed.
20. Can I insert a Section between two already
existing Sections?
Yes. You must request permission from the Office to
insert a new Section between two existing, consecutively
numbered Sections. The new Section uses the number of
the preceding Section followed by a decimal point and a
two-digit number.
21. Can I get a free copy of my agency’s rules?
Under R1-1-114, each agency is entitled to one free
paper copy of its rules. The Office will send the rules to the
agency’s chief executive officer unless the Office receives
other instructions from the agency.
22. How do I make sure my document doesn’t
contain autoformatted text?
In Microsoft Word, go to Format>AutoFormat... and
click on “Options.” In each of the four tabs, uncheck all of
the boxes (leave them blank). Then click “OK” and “Close”
-- not “OK.” Then go back to each subsection label and
make sure it is manually typed in. (If the text is autoformatted, you cannot highlight it with your cursor.) You may find
that you have manual labels and autoformatted labels in the
same document.
It’s best to do this when the document is first created,
but you can do it later as well.

Section 3 - Page 2

November 2002

Section 3. Frequently Asked Questions; Renumbering; Supplementals

Renumbering Examples
The following excerpts from the Register contain renumbering that
is more complicated than the examples shown in the renumbering Sections entry in Section 2 of this manual. When renumbering in a rule
package, be sure that the rulemaking action in item #1 of the Preamble
matches the striking and underlining in the table of contents and the text
of the rules. For more details about renumbering, see the renumbering
Sections entry in Section 2 of this manual.

NOTICE OF FINAL RULEMAKING
TITLE 9. HEALTH SERVICES
CHAPTER 6. DEPARTMENT OF HEALTH SERVICES
COMMUNICABLE DISEASES
PREAMBLE
1.

Sections Affected
R9-6-101
R9-6-102
R9-6-103
R9-6-104
R9-6-308
R9-6-309
R9-6-323
R9-6-330
R9-6-331
R9-6-360
Article 4
R9-6-401
R9-6-401
R9-6-402
R9-6-402
R9-6-403
R9-6-403
R9-6-404
R9-6-404
R9-6-405
R9-6-405
R9-6-406
R9-6-406
R9-6-407
R9-6-407
R9-6-407
R9-6-408
R9-6-408
R9-6-409
R9-6-409
Exhibit A
Exhibit B
R9-6-410
Article 9
R9-6-901
R9-6-902
R9-6-902
Exhibit A
Exhibit A
Exhibit B
Exhibit B
R9-6-903

November 2002

Rulemaking Action
Amend
Amend
Amend
Repeal
Amend
Amend
Amend
Amend
Amend
Amend
Amend
Renumber
New Section
Renumber
Amend
Renumber
Amend
Renumber
Amend
Renumber
Amend
Renumber
Amend
Repeal
Renumber
Amend
Renumber
New Section
Renumber
Amend
Renumber
Renumber
Renumber
New Article
New Section
Renumber
Amend
Renumber
Amend
Renumber
Amend
Renumber
Section 3 - Page 3

Arizona Rulemaking Manual

Section 3. Frequently Asked Questions; Renumbering; Supplementals

R9-6-903

Amend

15. The full text of the rules follows:
TITLE 9. HEALTH SERVICES
CHAPTER 6. DEPARTMENT OF HEALTH SERVICES
COMMUNICABLE DISEASES
ARTICLE 1. DEFINITIONS
Section
R9-6-101.
R9-6-102.
R9-6-103.
R9-6-104.

General Definitions
Communicable Disease Reporting
Control Measures for Communicable Diseases
Human Immunodeficiency Virus (HIV)/Acquired Immunodeficiency Syndrome (AIDS) Repealed

ARTICLE 3. CONTROL MEASURES FOR COMMUNICABLE AND PREVENTABLE DISEASES
Section
R9-6-308.
R9-6-309.
R9-6-323.
R9-6-330.
R9-6-331.
R9-6-360.

Chancroid (Haemophilus ducreyi)
Chlamydia Infection
Gonorrhea
Herpes Genitalis
Human Immunodeficiency Virus (HIV) Infection and Related Disease
Syphilis

ARTICLE 4. HUMAN IMMUNODEFICIENCY VIRUS (HIV) / ACQUIRED IMMUNODEFICIENCY SYNDROME
(AIDS) AIDS DRUG ASSISTANCE PROGRAM (ADAP)
Section
R9-6-401. Definitions.
R9-6-401.R9-6-402. Limitations and Termination of Program
R9-6-402.R9-6-403. Eligibility Requirements
R9-6-403.R9-6-404. Application Process
R9-6-404.R9-6-405. Eligibility Determination and Enrollment Process
R9-6-405.R9-6-406. Period of Eligibility Continuing Enrollment
R9-6-407. Appeal
R9-6-406.R9-6-407. Distribution Requirements
R9-6-408. Time-frames
R9-6-408.R9-6-409. Confidentiality
Exhibit A. Consent for HIV-Related Testing Renumbered
Exhibit B. Consentimiento para la Prueba de VIH Renumbered
R9-6-410. Human Immunodeficiency Virus Testing Renumbered
ARTICLE 9. HIV-RELATED TESTING
Section
R9-6-901. Definitions
R9-6-409.R9-6-902. Consent for HIV-related Testing
Exhibit A.Exhibit A. Consent for HIV Testing
Exhibit B.Exhibit B. Consentimiento Para la Prueba de VIH
R9-6-410.R9-6-903. Human Immunodeficiency Virus Court-ordered HIV-related Testing

Arizona Rulemaking Manual

Section 3 - Page 4

November 2002

Section 3. Frequently Asked Questions; Renumbering; Supplementals

NOTICE OF FINAL RULEMAKING
TITLE 18. ENVIRONMENTAL QUALITY
CHAPTER 15. DEPARTMENT OF ENVIRONMENTAL QUALITY
WATER INFRASTRUCTURE FINANCE AUTHORITY
PREAMBLE
1.

Sections Affected
R18-15-101
R18-15-103
R18-15-104
R18-15-105
R18-15-106
R18-15-108
R18-15-108
R18-15-109
R18-15-110
R18-15-110
R18-15-111
R18-15-111
R18-15-112
R18-15-112
R18-15-113
R18-15-201
R18-15-202
R18-15-203
R18-15-204
R18-15-205
R18-15-205
R18-15-205
R18-15-206
R18-15-206
R18-15-207
R18-15-207
R18-15-208
R18-15-301
R18-15-302
R18-15-303
R18-15-304
R18-15-305
R18-15-305
R18-15-305
R18-15-306
R18-15-306
R18-15-307
R18-15-307
R18-15-308
R18-15-403
R18-15-501
R18-15-502
R18-15-503
R18-15-504
R18-15-504
R18-15-504
R18-15-505
R18-15-505
R18-15-506
R18-15-506
R18-15-507
R18-15-507
R18-15-508
R18-15-509
R18-15-510

November 2002

Rulemaking Action
Amend
Amend
Amend
Amend
Amend
Repeal
Renumber
Renumber
Renumber
Amend
Renumber
Amend
Renumber
Amend
Renumber
Amend
Amend
Amend
Amend
Repeal
Renumber
Amend
Renumber
New Section
Repeal
New Section
Amend
Amend
Amend
Amend
Amend
Repeal
Renumber
Amend
Renumber
New Section
Repeal
New Section
Amend
Repeal
Amend
Amend
Amend
Repeal
Renumber
Amend
Renumber
New Section
Repeal
New Section
Repeal
New Section
New Section
New Section
New Section
Section 3 - Page 5

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Section 3. Frequently Asked Questions; Renumbering; Supplementals

R18-15-511
R18-15-601
R18-15-602
R18-15-603
R18-15-701

New Section
Amend
Amend
Amend
Amend

15. The full text of the rules follows:
TITLE 18. ENVIRONMENTAL QUALITY
CHAPTER 15. DEPARTMENT OF ENVIRONMENTAL QUALITY
WATER INFRASTRUCTURE FINANCE AUTHORITY OF ARIZONA
ARTICLE 1. MANAGEMENT
Section
R18-15-101. Definitions
R18-15-103. Legal Capability
R18-15-104. Financial Capability
R18-15-105. Technical Capability
R18-15-106. Managerial and Institutional Capability
R18-15-108. Readiness to Proceed
R18-15-109. R18-15-108. Interest Rate Determinations
R18-15-110. R18-15-109. Bid Document Review
R18-15-111. R18-15-110. Disbursements and Repayments
R18-15-112. R18-15-111. Administration
R18-15-113. R18-15-112. Disputes
R18-15-113. Renumbered
ARTICLE 2. CLEAN WATER REVOLVING FUND
Section
R18-15-201. Types of Financial Assistance Available
R18-15-202. Eligibility Requirements for Financial Assistance
R18-15-203. Clean Water Revolving Fund Intended Use Plan
R18-15-204. Clean Water Revolving Fund Priority List
R18-15-205. Clean Water Revolving Fund Priority Classes
R18-15-206. R18-15-205. Ranking Criteria for the Clean Water Revolving Fund Priority List Ranking Criteria
R18-15-206. Fundable Range for Clean Water Revolving Fund Design Financial Assistance
R18-15-207. Project Construction Fundable Range for Clean Water Revolving Fund Construction Financial Assistance
R18-15-208. Clean Water Revolving Fund Requirements
ARTICLE 3. DRINKING WATER REVOLVING FUND
Section
R18-15-301. Types of Financial Assistance Available
R18-15-302. Eligibility Requirements for Financial Assistance
R18-15-303. Drinking Water Revolving Fund Intended Use Plan
R18-15-304. Drinking Water Revolving Fund Priority List
R18-15-305. Drinking Water Revolving Fund Priority Classes
R18-15-306. R18-15-305. Ranking Criteria for the Drinking Water Revolving Fund Priority List Ranking Criteria
R18-15-306. Fundable Range for Drinking Water Revolving Fund Design Financial Assistance
R18-15-307. Project Construction Fundable Range for Drinking Water Revolving Fund Construction Financial Assistance
R18-15-308. Drinking Water Revolving Fund Requirements
ARTICLE 4. OTHER FINANCIAL ASSISTANCE
Section
R18-15-403. Project Construction Repealed
ARTICLE 5. TECHNICAL ASSISTANCE
Section
R18-15-501. Technical Assistance Intended Use Plan
R18-15-502. Eligibility Requirements for Project Technical Assistance
Arizona Rulemaking Manual

Section 3 - Page 6

November 2002

Section 3. Frequently Asked Questions; Renumbering; Supplementals

R18-15-503. Types of Project Technical Assistance Available
R18-15-504. Maximum Amount of Project Technical Assistance
R18-15-505. R18-15-504. Clean Water Project Technical Assistance Priority List
R18-15-505. Ranking Criteria for Clean Water Project Technical Assistance Priority List
R18-15-506. Project Technical Assistance Priority Classes Fundable Range for Clean Water Project Technical Assistance
Grants
R18-15-507. Project Technical Assistance Priority Scoring Criteria Fundable Range for Clean Water Project Technical Assistance Loans
R18-15-508. Drinking Water Project Technical Assistance Priority List
R18-15-509. Ranking Criteria for Drinking Water Project Technical Assistance Priority List
R18-15-510. Fundable Range for Drinking Water Project Technical Assistance Grants
R18-15-511. Fundable Range for Drinking Water Project Technical Assistance Loans
ARTICLE 6. HARDSHIP GRANT FUND
Section
R18-15-601. Types of Assistance Available
R18-15-602. Eligibility Requirements for Hardship Grant Financial Assistance
R18-15-603. Hardship Grant Financial Assistance Awards
ARTICLE 7. INTEREST RATE SETTING AND FORGIVABLE PRINCIPAL
Section
R18-15-701. Interest Rate Setting and Forgivable Principal

November 2002

Section 3 - Page 7

Arizona Rulemaking Manual

Section 3. Frequently Asked Questions; Renumbering; Supplementals

NOTICE OF FINAL RULEMAKING
TITLE 9. HEALTH SERVICES
CHAPTER 14. DEPARTMENT OF HEALTH SERVICES
LABORATORIES
PREAMBLE
1.

Section Affected
R9-14-601
R9-14-602
R9-14-603
R9-14-604
R9-14-605
R9-14-605
R9-14-606
R9-14-606
R9-14-607
R9-14-607
R9-14-608
R9-14-608
R9-14-609
R9-14-609
R9-14-610
R9-14-610
R9-14-611
R9-14-611
R9-14-612
R9-14-612
R9-14-613
R9-14-613
R9-14-614
R9-14-614
R9-14-615
R9-14-615
R9-14-616
R9-14-616
R9-14-616
R9-14-617
R9-14-617
R9-14-618
R9-14-618
R9-14-619
R9-14-619
R9-14-620
Table 1

Rulemaking Action
Amend
Amend
Amend
Amend
Renumber
New Section
Renumber
Amend
Renumber
Amend
Renumber
New Section
Renumber
Amend
Renumber
Amend
Renumber
Amend
Renumber
Amend
Renumber
Amend
Renumber
Amend
Renumber
Amend
Repeal
Renumber
Amend
Renumber
Amend
Renumber
Amend
Renumber
Amend
New Section
New Table

15. The full text of the rules follows:
TITLE 9. HEALTH SERVICES
CHAPTER 14. DEPARTMENT OF HEALTH SERVICES LABORATORIES
ARTICLE 6. LICENSING OF ENVIRONMENTAL LABORATORIES
R9-14-601.
R9-14-602.
R9-14-603.
R9-14-604.
R9-14-605.
R9-14-605.
R9-14-606.

Definitions
License Applicability
Initial Licensure License Process
Licensure Regular License Renewal Process
Compliance Monitoring
R9-14-606. Provisional License Licensing
R9-14-607. Licensure fees Fees

Arizona Rulemaking Manual

Section 3 - Page 8

November 2002

Section 3. Frequently Asked Questions; Renumbering; Supplementals

R9-14-608.
R9-14-607.
R9-14-608.
R9-14-609.
R9-14-610.
R9-14-611.
R9-14-612.
R9-14-613.
R9-14-616.
R9-14-614.
R9-14-615.
R9-14-617.
R9-14-618.
R9-14-620.
Table 1.

Payment of Fees
R9-14-609. Proficiency Evaluation
R9-14-610. Approved Methods and References
R9-14-611. Drinking Water Sample Matrix Methods
R9-14-612. Wastewater Sample Matrix Methods
R9-14-613. Solid, Liquid, and Hazardous Waste Sample Matrix Methods
R9-14-614. Air Sample Matrix Methods
R9-14-615. Quality Assurance
Laboratory Safety
R9-14-616. Operation
R9-14-617. Laboratory Records and Reports
R9-14-618. Mobile Laboratories
R9-14-619. Out-of-State Environmental Laboratory Licensure Licensing
Time-frames
Time-frames (in days)

November 2002

Section 3 - Page 9

Arizona Rulemaking Manual

Section 3. Frequently Asked Questions; Renumbering; Supplementals

Guide for
Notices of Supplemental Proposed Rulemaking
(September 12, 2002)
The APA states that an agency shall not make a rule that is “substantially different” from the proposed rule published in the Notice of Proposed Rulemaking
or Notice of Supplemental Proposed Rulemaking. G.R.R.C. shall not approve a
final rule that contains a “substantial change” from the proposed rule or supplemental notice.
If there is a substantial change made to a rule after it is
proposed, an agency has three options:
1. Do nothing. The docket for the rulemaking will
expire one year after the proposed is published if the
agency does not submit the final rule to G.R.R.C.
2. File a Notice of Termination of Rulemaking. The
agency then has the option of starting the rulemaking over
with a new docket and a new proposed.
3. File a Notice of Supplemental Proposed Rulemaking and provide for additional public comment.
Supplemental notices have raised publishing questions
because of the SOS instructions on how to prepare them.
To answer these questions and promote consistency among
rulewriters and the Office, SOS provides this brief guide on
the requirements for supplemental notices. These requirements differ from past instructions on supplementals.
1. If I need to make changes to my proposed
rule, do I have to do a supplemental?
Maybe. If the changes you want to make are not considered “substantial” under A.R.S. § 41-1025, you may
simply make the changes in the Notice of Final Rulemaking and explain the changes in item #10 of the Preamble.
But if the changes are substantial, a supplemental is necessary to continue the rulemaking process -- unless you terminate the rules and start over.
2. What Sections go in a supplemental?
In the past, SOS advised rulewriters to include only the
Sections undergoing change after the publication of the
proposed rule (or supplemental). SOS now advises that the
supplemental include every Section undergoing change.
Rather than being considered an addendum to the proposed,
the supplemental should be considered a “do-over” -- as if
you were resubmitting the original proposed, but now with
new changes.
3. What changes to the text do I show?
In the past, SOS advised rulewriters to show all
changes, interpreted to mean the changes (striking and
Arizona Rulemaking Manual

underlining) from the proposed rule and the “new” changes
that required the supplemental notice -- but only for Sections undergoing change in the supplemental. These two
sets of changes were seen to exist essentially as two separate layers. Some text, therefore, might have had both
underlining and striking if multiple changes were made to
the same words.
SOS now advises that the supplemental simply appear
as if it were the original proposed rule package. Include all
desired changes from the original Code text (the base text
from which all proposed rulemakings start) as if the supplemental were your first version of the proposed rule.
4. How do I distinguish the changes in the
proposed from the changes in the supplemental?
There are three ways readers can understand the
changes in text:
1. Compare the two (or more) texts from the Registers
in which they appeared.
2. Look at item #6 of the Preamble of the supplemental(s) for an explanation of the substantial change that
resulted in the supplemental notice.
3. Look at item #10 of the Preamble of the final notice
for a description of the changes between the proposed rules,
including supplemental notices, and final rules.
The Preamble is therefore very important to the public
as the quickest and easiest resource for understanding the
agency’s actions.
5. What should be in the Preamble and table
of contents?
The Preamble should list all Sections appearing in the
text of the supplemental, regardless of whether the Sections
appeared in the proposed. The Preamble should list the
rulemaking action that is taking place in the supplemental
– not the rulemaking action that occurred in the proposed.
The table of contents should reflect what is in the text of the
rules (what follows the table of contents).
Publishing the supplemental as a “do-over” (that is,
including all Sections) may mean republication of Sections
that are identical to the proposed. However, showing all

Section 3 - Page 10

November 2002

Section 3. Frequently Asked Questions; Renumbering; Supplementals

Sections together gives the public a more complete understanding of the agency’s intentions and the effects of the
rulemaking. It also provides for public comment on the
rulemaking as a whole, not just Sections undergoing
change in the supplemental.

November 2002

6. What happens to the rulemaking timetable?
A.R.S. § 41-1021 states that a rulemaking docket
expires one year after publication of the proposed rulemaking if the agency does not submit a final rule to G.R.R.C.
within that time. The start date of that one-year period is
reset upon publication of a supplemental rulemaking.

Section 3 - Page 11

Arizona Rulemaking Manual

This page intentionally left blank.

Section 4. Rulemaking Forms

Section 4
Rulemaking Forms
Use the forms on the following pages when preparing materials for submission to the Office for filing and publication.
The questions and answers must appear in the order published here.
Double-space or space-and-a-half both the questions and answers, and take as many pages as you need to complete each
Notice. The forms in this manual are printed on both sides of the page, but you should use one side of the page when
submitting material to the Office.
See Section 1 of this manual for more information on the rulemaking process, or contact our office at (602) 542-4086.

Editor’s Note: The forms were updated in September 2011. Users are encouraged to review A.R.S. Title 41, Chapter 6,
Articles 1 through 10 to ensure the documents prepared using these forms meet all legal requirements.

FORM LEGAL REFERENCE MATRIX
Form Name
Agency Certificate
Agency Guidance Document, Notice of
Agency Ombudsman, Notice of
Agency Receipt
Emergency Rulemaking, Notice of
Exempt Rulemaking, Notice of
Final Delegation Agreement, Notice of – Optional form
Final Rulemaking, Notice of
Final Summary Rulemaking, Notice of
Formal Rulemaking Advisory Committee, Notice of
Oral Proceeding on Proposed Delegation Agreement, Notice of
Oral Proceeding on Proposed Rulemaking, Notice of
Proposed Delegation Agreement, Notice of
Proposed Rulemaking, Notice of
Proposed Summary Rulemaking, Notice of
Public Meeting on Open Rulemaking Docket, Notice of
Public Workshop on Proposed Rulemaking, Notice of
Recodification, Notice of
Rulemaking Docket Opening, Notice of
Substantive Policy Statement, Notice of
Supplemental Proposed Rulemaking, Notice of
Termination, Notice of

September 2011

Section 4 - Page 1

A.R.S.
§ 41-1013
§ 41-1006
§ 41-1026, § 41-1026.01
§ 41-1005, § 41-1011
§ 41-1081
§ 41-1024, § 41-1025
§ 41-1027
§ 41-1022
§ 41-1081
§ 41-1023
§ 41-1081
§ 41-1022
§ 41-1027
§ 41-1023
§ 41-1023
§ 41-1021
§ 41-1013
§ 41-1022, § 41-1025
§ 41-1024

A.A.C.
R1-1-105
R1-1-210
R1-1-212
R1-1-106
R1-1-701
R1-1-901, R1-1-902
R1-1-208
R1-1-601, R1-1-602
R1-1-801
R1-1-206
R1-1-208
R1-1-504, R1-1-901
R1-1-208
R1-1-502
R1-1-801
R1-1-504, R1-1-901
R1-1-504, R1-1-901
R1-1-404, R1-1-1001
R1-1-205
R1-1-210
R1-1-507
R1-1-506

Arizona Rulemaking Manual

Section 4. Rulemaking Forms

NOTICE OF RULEMAKING DOCKET OPENING
AGENCY NAME
1.

Title and its heading:
IF THE SUBCHAPTER
AND PARTS ARE NOT
APPLICABLE, OMIT
FROM SUBMISSION.

Chapter and its heading:
Subchapter and its heading (if applicable):
Article and its heading:
Part and its heading (if applicable):
Section numbers:
2.

The subject matter of the proposed rule:
The agency docket number, if applicable:

3.

A citation to all published notices relating to the proceeding:
(Notice name): (volume #) A.A.R. (page #), (date)

4.

The name and address of agency personnel with whom persons may communicate regarding the rule:
Name:
Address:
Telephone:

Include area code, (xxx) xxx-xxxx

Fax:
E-mail:
5.

The time during which the agency will accept written comments and the time and place where oral comments
may be made:

6.

A timetable for agency decisions or other action on the proceeding, if known:

Arizona Rulemaking Manual

Section 4 - Page 2

September 2011

Section 4. Rulemaking Forms

NOTICE OF PROPOSED RULEMAKING
TITLE #. HEADING
CHAPTER #. HEADING
SUBCHAPTER LABEL. HEADING (IF APPLICABLE)
PREAMBLE

1.

Article, Part, or Section Affected (as applicable)

2.

Citations to the agency’s statutory rulemaking authority to include the authorizing statute (general) and the

Rulemaking Action

implementing statute (specific):
Authorizing statute:
Implementing statute:
3.

Citations to all related notices published in the Register as specified in R1-1-409(A) that pertain to the record of
the proposed rule:
Notice of Rulemaking Docket Opening: (volume #) A.A.R. (page #)

4.

The agency’s contact person who can answer questions about the rulemaking:
Name:
Address:

5.

Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

An agency’s justification and reason why a rule should be made, amended, repealed or renumbered, to include an
explanation about the rulemaking:

6.

A reference to any study relevant to the rule that the agency reviewed and proposes either to rely on or not to rely
on in its evaluation of or justification for the rule, where the public may obtain or review each study, all data
underlying each study, and any analysis of each study and other supporting material:

7.

A showing of good cause why the rulemaking is necessary to promote a statewide interest if the rulemaking will
diminish a previous grant of authority of a political subdivision of this state:

8.

The preliminary summary of the economic, small business, and consumer impact:

September 2011

Section 4 - Page 3

Arizona Rulemaking Manual

Section 4. Rulemaking Forms

9.

The agency’s contact person who can answer questions about the economic, small business and consumer impact
statement:
Name:
Address:
Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

10. The time, place, and nature of the proceedings to make, amend, repeal, or renumber the rule, or if no proceeding
is scheduled, where, when, and how persons may request an oral proceeding on the proposed rule:

11. All agencies shall list other matters prescribed by statute applicable to the specific agency or to any specific rule
or class of rules. Additionally, an agency subject to Council review under A.R.S. §§ 41-1052 and 41-1055 shall
respond to the following questions:
a.

Whether the rule requires a permit, whether a general permit is used and if not, the reasons why a general
permit is not used:

b. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal
law and if so, citation to the statutory authority to exceed the requirements of federal law:
c.

Whether a person submitted an analysis to the agency that compares the rule’s impact of the competitiveness
of business in this state to the impact on business in other states:
(Editor’s Note: If the answer is “yes” to Preamble item (11)(c),
then the analysis should be filed with the rulemaking package)

12. A list of any incorporated by reference material as specified in A.R.S. § 41-1028 and its location in the rules:

13. The full text of the rules follows:
(Editor’s Note: Rule text begins per R1-1-502(B)(18).)

Arizona Rulemaking Manual

Section 4 - Page 4

September 2011

Section 4. Rulemaking Forms

NOTICE OF SUPPLEMENTAL PROPOSED RULEMAKING
TITLE #. HEADING
CHAPTER #. HEADING
SUBCHAPTER LABEL. HEADING (IF APPLICABLE)
PREAMBLE
1.

Citations to the agency’s Notice of Rulemaking Docket Opening, the Notice of Proposed Rulemaking, and any
other Notices of Supplemental Proposed Rulemaking (if applicable) as published in the Register as specified in
R1-1-409(A). A list of any other related notices published in the Register to include the as specified in R1-1409(A):
Notice of Rulemaking Docket Opening: (volume #) A.A.R. (page #)
Notice of Proposed Rulemaking: (volume #) A.A.R. (page #)
Notice of Supplemental Proposed Rulemaking (if applicable): (volume #) A.A.R. (page #)

2.

Articles, Parts, or Sections Affected (as applicable)

3.

Citations to the agency’s statutory rulemaking authority to include the authorizing statute (general) and the

Rulemaking Action

implementing statute (specific):
Authorizing statute:
Implementing statute:
4.

The agency’s contact person who can answer questions about the rulemaking:
Name:
Address:

5.

Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

An agency’s justification and reason why a rule should be made, amended, repealed or renumbered, to include an
explanation about the rulemaking:

6.

A reference to any study relevant to the rule that the agency reviewed and proposes either to rely on or not to rely
on in its evaluation of or justification for the rule, where the public may obtain or review each study, all data
underlying each study, and any analysis of each study and other supporting material:

7.

An explanation of the substantial change which resulted in the supplemental notice:

September 2011

Section 4 - Page 5

Arizona Rulemaking Manual

Section 4. Rulemaking Forms

8.

A showing of good cause why the rulemaking is necessary to promote a statewide interest if the rulemaking will
diminish a previous grant of authority of a political subdivision:

9.

The preliminary summary of the economic, small business, and consumer impact:

10. The agency’s contact person who can answer questions about the economic, small business and consumer impact
statement:
Name:
Address:
Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

11. The time, place, and nature of the proceedings to make, amend, renumber or repeal the rule or, if no proceeding
is scheduled, where, when, and how persons may request an oral proceeding on the supplemental proposed rule:
Date:
Time:
Location:
Nature:
Close of record: (optional)
12. All agencies shall list any other matters prescribed by statute applicable to the specific agency or to any specific
rule or class of rules. Additionally, an agency subject to Council review under A.R.S. §§ 41-1052 and 41-1055 shall
respond to the following questions:
a.

Whether the rule requires a permit, whether a general permit is used and if not, the reasons why a general
permit is not used:

b. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal
law and if so, citation to the statutory authority to exceed the requirements of federal law:
c.

Whether a person submitted an analysis to the agency that compares the rule’s impact of the competitiveness
of business in this state to the impact on business in other states:

(Editor’s Note: If the answer is “yes” to Preamble item (12)(c),
then the analysis should be filed with the rulemaking package)

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13. A list of any incorporated by reference material as specified in A.R.S. § 41-1028 and its location in the rules:
14. The full text of the rules follows:
(Editor’s Note: Rule text begins per R1-1-502(B)(18).)

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NOTICE OF TERMINATION OF RULEMAKING
TITLE #. HEADING
CHAPTER #. HEADING
SUBCHAPTER LABEL. HEADING (IF APPLICABLE)

1.

The Register citation and the date of the Notice of Rulemaking Docket Opening:
Notice of Rulemaking Docket Opening: (volume #) A.A.R. (page #)

2.

The Register citation and the date of the Notice of Proposed Rulemaking:
Notice of Proposed Rulemaking: (volume #) A.A.R. (page #)

3.

Article, Part, or Section Affected (as applicable)

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NOTICE OF FINAL RULEMAKING
TITLE #. HEADING
CHAPTER #. HEADING
SUBCHAPTER LABEL. HEADING (IF APPLICABLE)

PREAMBLE

1.

Article, Part, or Section Affected (as applicable)

Rulemaking Action

2.

Citations to the agency’s statutory rulemaking authority to include both the authorizing statute (general) and the
implementing statute (specific):
Authorizing statute:
Implementing statute:

3.

The effective date of the rule:
a.

If the agency selected a date earlier than the 60 day effective date as specified in A.R.S. § 41-1032(A), include
the earlier date and state the reason or reasons the agency selected the earlier effective date as provided in
A.R.S. § 41-1032(A)(1) through (5):

b. If the agency selected a date later than the 60 day effective date as specified in A.R.S. § 41-1032(A), include
the earlier date and state the reason or reasons the agency selected the later effective date as provided in
A.R.S. § 41-1032(B):
4.

Citations to all related notices published in the Register to include the Register as specified in R1-1-409(A) that
pertain to the record of the final rulemaking package:
Notice of Rulemaking Docket Opening: (volume #) A.A.R. (page #)
Notice of Proposed Rulemaking: (volume #) A.A.R. (page #)

5.

The agency’s contact person who can answer questions about the rulemaking:
Name:
Address:

6.

Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

An agency’s justification and reason why a rule should be made, amended, repealed or renumbered, to include an
explanation about the rulemaking:

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7.

A reference to any study relevant to the rule that the agency reviewed and either relied on or did not rely on in its
evaluation of or justification for the rule, where the public may obtain or review each study, all data underlying
each study, and any analysis of each study and other supporting material:

8.

A showing of good cause why the rulemaking is necessary to promote a statewide interest if the rulemaking will
diminish a previous grant of authority of a political subdivision of this state:

9.

A summary of the economic, small business, and consumer impact:

10. A description of any changes between the proposed rulemaking, to include supplemental notices, and the final
rulemaking:
11. An agency’s summary of the public stakeholder comments made about the rulemaking and the agency response
to the comments:
12. All agencies shall list any other matters prescribed by statute applicable to the specific agency or to any specific
rule or class of rules. Additionally, an agency subject to Council review under A.R.S. §§ 41-1052 and 41-1055 shall
respond to the following questions:
a. Whether the rule requires a permit, whether a general permit is used and if not, the reasons why a general
permit is not used:
b. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal
law and if so, citation to the statutory authority to exceed the requirements of federal law:
c.

Whether a person submitted an analysis to the agency that compares the rule’s impact of the competitiveness
of business in this state to the impact on business in other states:
(Editor’s Note: If the answer is “yes” to Preamble item (12)(c),
then the analysis should be filed with the rulemaking package)

13. A list of any incorporated by reference material as specified in A.R.S. § 41-1028 and its location in the rule:
14. Whether the rule was previously made, amended or repealed as an emergency rule. If so, cite the notice published
in the Register as specified in R1-1-409(A). Also, the agency shall state where the text was changed between the
emergency and the final rulemaking packages:
Notice of Emergency Rulemaking: (Volume #) A.A.R. (page #)
15. The full text of the rules follows:
(Editor’s Note: Rule text begins per R1-1-502(B)(18).)

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NOTICE OF EMERGENCY RULEMAKING
TITLE #. HEADING
CHAPTER #. HEADING
SUBCHAPTER LABEL. HEADING (IF APPLICABLE)

1.
2.

PREAMBLE
Article, Part, or Section Affected (as applicable)
Rulemaking Action
Citations to the agency’s statutory rulemaking authority to include the authorizing statute (general) and the
implementing statute (specific):
Authorizing statute:
Implementing statute:

3.

The effective date of the rule:
a. If the agency selected a date earlier than the 60 day effective date as specified in A.R.S. § 41-1032(A), include
the earlier date and state the reason or reasons the agency selected the earlier effective date as provided in
A.R.S. § 41-1032(A)(1) through (5):

b. If the agency selected a date later than the 60 day effective date as specified in A.R.S. § 41-1032(A), include
the earlier date and state the reason or reasons the agency selected the later effective date as provided in
A.R.S. § 41-1032(B):
4.

Citations to all related emergency rulemaking notices published in the Register as specified in R1-1-409(A) that
pertain to the record of this notice of emergency rulemaking:
Notice of Emergency Rulemaking: (volume #) A.A.R. (page #)

5.

The agency’s contact person who can answer questions about the rulemaking:
Name:
Address:
Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

6.

An agency’s justification and reason why a rule should be made, amended, repealed or renumbered, to include an
explanation about the rulemaking:

7.

A reference to any study relevant to the rule that the agency reviewed and either relied on or did not rely on in its

September 2011

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evaluation of or justification for the rule, where the public may obtain or review each study, all data underlying
each study, and any analysis of each study and other supporting material:
8.

A showing of good cause why the rulemaking is necessary to promote a statewide interest if the rulemaking will
diminish a previous grant of authority of a political subdivision of this state:

9.

A summary of the economic, small business, and consumer impact:

10. Any other matters prescribed by statute that are applicable to the specific agency or to any specific rule or class
of rules. When applicable, matters shall include but are not limited to:
a.

Whether the rule requires a permit, whether a general permit is used and if not, the reasons why a general
permit is not used:

b. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal
law and if so, citation to the statutory authority to exceed the requirements of federal law:
c.

Whether a person submitted an analysis to the agency that compares the rule’s impact of the competitiveness
of business in this state to the impact on business in other states:

(Editor’s Note: If the answer is “yes” to Preamble item (10)(c),
then the analysis should be filed with the rulemaking package)
11. A list of any incorporated by reference material as specified in A.R.S. § 41-1028 and its location in the rule:
12. An agency explanation about the situation justifying the rulemaking as an emergency rule:
13. The date the Attorney General approved the rule:
14. The full text of the rules follows:
(Editor’s Note: Rule text begins per R1-1-502(B)(18).)

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NOTICE OF PROPOSED SUMMARY RULEMAKING
TITLE #. HEADING
CHAPTER #. HEADING
SUBCHAPTER LABEL. HEADING (IF APPLICABLE)

1.
2.

PREAMBLE
Article, Part, or Section Affected (as applicable)
Rulemaking Action
Citations to the agency’s statutory rulemaking authority to include the authorizing statute (general) and the
implementing statute (specific):
Authorizing statute:
Implementing statute:

3.

The interim effective date of the summary rule as specified in A.R.S. § 41-1027(D):

4.

The agency’s contact person who can answer questions about the rulemaking:
Name:
Address:
Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

5.

An agency’s justification and reason why a rule should be made, amended, repealed or renumbered, to include an
explanation about the rulemaking:

6.

A showing of good cause why the rulemaking is necessary to promote a statewide interest if the rulemaking will
diminish a previous grant of authority of a political subdivision of this state:

7.

A reference to any study relevant to the rule that the agency reviewed and proposes either to rely on or not to rely
on in its evaluation of or justification for the rule, where the public may obtain or review each study, all data
underlying each study, and any analysis of each study and other supporting material:

8.

If required, a preliminary summary of the economic, small business, and consumer impact. If not required, a
statement of exemption under A.R.S. § 41-1055(D):

9.

Agency personnel to contact about the accuracy of the summary of the economic, small business and consumer
impact statement:
Name:

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Address:
Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

10. The time, place, and nature of the proceedings to make, amend, or repeal the rule or, if no proceeding is
scheduled, where, when, and how persons may request an oral proceeding on the proposed summary rule:
Date:
Time:
Location:
Nature:
Close of record: (optional)
11. A justification to the use of summary proceedings:
12. Any other matters prescribed by statute that are applicable to the specific agency or to any specific rule or class
of rules. Additional matters include, but are not limited to:
a. Whether the rule requires a permit, whether a general permit is used and if not, the reasons why a general
permit is not used:
b. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal
law and if so, citation to the statutory authority to exceed the requirements of federal law:
c.

Whether a person submitted an analysis to the agency that compares the rule’s impact of the competitiveness
of business in this state to the impact on business in other states:

(Editor’s Note: If the answer is “yes” to Preamble item (12)(c),
then the analysis should be filed with the rulemaking package.)
13. The full text of the rules follows:
(Editor’s Note: Rule text begins per R1-1-502(B)(18).)

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NOTICE OF FINAL SUMMARY RULEMAKING
TITLE #. HEADING
CHAPTER #. HEADING
SUBCHAPTER LABEL. HEADING (IF APPLICABLE)

1.
2.

PREAMBLE
Article, Part, or Section Affected (as applicable)
Rulemaking Action
Citations to the agency’s statutory rulemaking authority to include the authorizing statute (general) and the
implementing statute (specific):
Authorizing statute:
Implementing statute:

3.

The permanent effective date of the summary rule as specified in A.R.S. § 41-1027(D):

4.

Citations to all related notices published in the Register as specified in R1-1-409(A) that pertain to the record of
the Notice of Final Summary Rulemaking package:

5.

The agency’s contact person who can answer questions about the rulemaking:
Name:
Address:
Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(xxx) xxx-xxxx (if applicable)

E-mail:

Include area code, (if applicable)

Web site:

(if applicable)

6.

An agency’s justification and reason why a rule should be made, amended, repealed or renumbered, to include an
explanation about the rulemaking:

7.

A reference to any study relevant to the rule that the agency reviewed and either relied on or did not rely on in its
evaluation of or justification for the rule, where the public may obtain or review each study, all data underlying
each study, and any analysis of each study and other supporting material:

8.

A showing of good cause why the rulemaking is necessary to promote a statewide interest if the rulemaking will
diminish a previous grant of authority of a political subdivision of this state:

9.

If required, a summary of the economic, small business, and consumer impact. If not required, a statement of
exemption under A.R.S. § 41-1055(D):

10. A description of any changes between the proposed summary rulemaking and the final summary rulemaking:

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11. An agency’s summary of the public or stakeholder comments made about the rulemaking and the agency
response to the comments:
12. Any other matters prescribed by statute that are applicable to the specific agency or to any specific rule or class
of rules. Additional matters include but are not limited to:
a. Whether the rule requires a permit, whether a general permit is used and if not, the reasons why a general
permit is not used:
b. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal
law and if so, citation to the statutory authority to exceed the requirements of federal law:
c.

Whether a person submitted an analysis to the agency that compares the rule’s impact of the competitiveness
of business in this state to the impact on business in other states:

(Editor’s Note: If the answer is “yes” to Preamble item (12)(c),
then the analysis should be filed with the rulemaking package.)
13. The full text of the rules follows:
(Editor’s Note: Rule text begins per R1-1-502(B)(18).)

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NOTICE OF EXEMPT RULEMAKING
TITLE #. HEADING
CHAPTER #. HEADING
SUBCHAPTER LABEL. HEADING (IF APPLICABLE)

PREAMBLE
Rulemaking Action

1.

Article, Part, or Section Affected (as applicable)

2.

Citations to the agency’s statutory rulemaking authority to include the authorizing statute (general) and the
implementing statute (specific), and the statute or session law authorizing the exemption:
Authorizing statute:
Implementing statute:
Statute or session law authorizing the exemption:

3.

The effective date of the rule and the agency’s reason it selected the effective date:

4.

A list of all notices published in the Register as specified in R1-1-409(A) that pertain to the record of the exempt
rulemaking:
(Notice name): (volume #) A.A.R. (page #), (date)

5.

The agency’s contact person who can answer questions about the rulemaking:
Name:
Address:
Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

6.

An agency’s justification and reason why a rule should be made, amended, repealed, or renumbered to include an
explanation about the rulemaking:

7.

A reference to any study relevant to the rule that the agency reviewed and either relied on or did not rely on in its
evaluation of or justification for the rule, where the public may obtain or review each study, all data underlying
each study, and any analysis of each study and other supporting material:

8.

A showing of good cause why the rulemaking is necessary to promote a statewide interest if the rulemaking will
diminish a previous grant of authority of a political subdivision of this state:

9.

The summary of the economic, small business, and consumer impact, if applicable:

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10. A description of any changes between the proposed rulemaking, including any supplemental proposed
rulemaking, and the final rulemaking package (if applicable):
11. An agency’s summary of the public or stakeholder comments made about the rulemaking and the agency
response to the comments, if applicable:
12. Any other matters prescribed by statute that are applicable to the specific agency or to any specific rule or class
of rules. When applicable, matters shall include, but not be limited to:
a. Whether the rule requires a permit, whether a general permit is used and if not, the reasons why a general
permit is not used:
b. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than the
federal law and if so, citation to the statutory authority to exceed the requirements of federal law:
c.

Whether a person submitted an analysis to the agency that compares the rule’s impact of the competitiveness
of business in this state to the impact on business in other states:

(Editor’s Note: If the answer is “yes” to Preamble item (12)(c),
then the analysis should be filed with the rulemaking package.)

13. A list of any incorporated by reference material and its location in the rule:
14. Whether the rule was previously made, amended, repealed or renumbered as an emergency rule. If so, the agency
shall state where the text changed between the emergency and the exempt rulemaking packages:
(Notice name): (volume #) A.A.R. (page #), (date)
15. The full text of the rules follows:
(Editor’s Note: Rule text begins per R1-1-502(B)(18).)

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NOTICE OF RECODIFICATION
TITLE #. HEADING
CHAPTER #. HEADING
SUBCHAPTER LABEL. HEADING (IF APPLICABLE)

1.

A list of the Subchapters (if applicable), Articles, Parts (if applicable), and Sections being recodified along with
their respective headings:

2.

A list of the Subchapters (if applicable), Articles, Parts (if applicable), and Sections as recodified along with their
respective headings:

3.

A conversion table between the two numbering schemes:
Old Numbering Scheme

4.

New Numbering Scheme

The name and address of agency personnel with whom persons may communicate regarding the recodification.
Name:
Address:
Telephone (optional):

Include area code, (xxx) xxx-xxxx

Fax:
E-mail:

September 2011

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NOTICE OF ORAL PROCEEDING ON PROPOSED RULEMAKING

1.

Name of the agency:

2.

Title and its heading:
Chapter and its heading:
Subchapter and its heading, if applicable:
Article and its heading:
Part and its heading, if applicable:

3.

Articles, Parts, or Sections (as applicable) being proposed

4.

Citations to all notices published in the Register concerning the proposed rulemaking:

If the subchapter and
parts are not
applicable, omit from
submission.

Rulemaking Action

(Notice name): (volume #) A.A.R. (page #), (date)
5.

The date, time, and location of the oral proceeding:

6.

The name and address of agency personnel to whom questions and comments on the proposed rules may be
addressed:
Name:
Address:
Telephone (optional):

Arizona Rulemaking Manual

Include area code, (xxx) xxx-xxxx

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NOTICE OF PUBLIC WORKSHOP ON PROPOSED RULEMAKING

1.

Name of the agency:

2.

Title and its heading:
Chapter and its heading:
Subchapter and its heading, if applicable:
Article and its heading:
Part and its heading, if applicable:

3.

Articles, Parts, or Sections (as applicable) being proposed

4.

Citations to all notices published in the Register concerning the proposed rulemaking:

If the subchapter and
parts are not applicable,
omit from submission.

Rulemaking Action

(Notice name): (volume #) A.A.R. (page #), (date)
5.

The date, time, and location of the public workshop:

6.

The name and address of agency personnel to whom questions and comments on the proposed rules may be
addressed:
Name:
Address:
Telephone (optional):

September 2011

Include area code, (xxx) xxx-xxxx

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NOTICE OF PUBLIC MEETING ON OPEN RULEMAKING DOCKET

1.

Name of the agency:

2.

Title and its heading:
Chapter and its heading:
Subchapter and its heading, if applicable:
Article and its heading:
Part and its heading, if applicable:

3.

Articles, Parts, or Sections (as applicable) being proposed

4.

Citations to all notices published in the Register concerning the proposed rulemaking:

Note: If the subchapter
and parts are not
applicable, omit from
submission.

Rulemaking Action

(Notice name): (volume #) A.A.R. (page #)
5.

The date, time, and location of public meeting:

6.

The name and address of agency personnel to whom questions and comments on the subject matter of the rules
may be addressed:
Name:
Address:
Telephone (optional):

Arizona Rulemaking Manual

Include area code, (xxx) xxx-xxxx

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NOTICE OF ORAL PROCEEDING ON PROPOSED DELEGATION AGREEMENT

1.

Name of the agency proposing the delegation agreement:

2.

The name of the political subdivision to which the agency is proposing to delegate functions, powers, or duties:

3.

A summary of the proposed delegation agreement:

4.

Citation and date of the notice of proposed delegation agreement and all supplemental notices published in the
Register:
Notice of Proposed Delegation Agreement: (volume #) A.A.R. (page #), (date)
(Notice name): (volume #) A.A.R. (page #), (date)

5.

The date, time, and location of the oral proceeding:

6.

The name and address of agency personnel to whom questions and comments on the proposed delegation
agreement may be addressed:
Name:
Address:
Telephone (optional):

September 2011

Include area code, (xxx) xxx-xxxx

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NOTICE OF FORMAL RULEMAKING ADVISORY COMMITTEE
1.

The agency name:

2.

The specific rule or subject matter on which the committee is to comment, if known:

3.

The names of the committee members:

4.

The date the committee was formed:

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NOTICE OF PROPOSED DELEGATION AGREEMENT
1.

Name of the agency proposing the delegation agreement:

2.

The name of the political subdivision to which functions, powers, or duties of the agency are proposed to be
delegated:

3.

The name and address of agency personnel to whom persons may direct questions or comments:
Name:
Address:
Telephone (optional):

Include area code, (xxx) xxx-xxxx

4.

Summary of the delegation agreement and the subjects and issues involved:

5.

Copies of the proposed delegation agreement may be obtained from the agency as follows:

6.

The schedule of public hearings on the proposed delegation agreement:

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NOTICE OF FINAL DELEGATION AGREEMENT
(** OPTIONAL FORM **)

1.

Name of the agency entering into the final delegation agreement:

2.

The name of the political subdivision to which functions, powers, or duties of the agency are being delegated:

3.

Citation to the Notice of Proposed Delegation Agreement:

4.

The name and address of agency personnel to whom persons may direct questions or comments:
Name:
Address:
Telephone (optional):

Include area code, (xxx) xxx-xxxx

5.

Summary of the delegation agreement and the subjects and issues involved:

6.

Copies of the final delegation agreement may be obtained from the agency as follows:

7.

Date of issuance of the agency’s final decision to enter into the delegation agreement:

8.

The date the delegation agreement becomes effective:

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NOTICE OF AGENCY GUIDANCE DOCUMENT
AGENCY NAME

1.

Title of the guidance document and the guidance document number by which the document is referenced:

2.

Date of the publication of the guidance document and the effective date of the document if different from the
publication date:

3.

Summary of the contents of the guidance document:

4.

Statement as to whether the guidance document is a new document or a revision:

5.

The agency contact person who can answer questions and comments about the agency guidance document:
Name:
Address:

6.

Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

Information about where a person may obtain a copy of the guidance document and the costs for obtaining the
guidance document:

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NOTICE OF SUBSTANTIVE POLICY STATEMENT
AGENCY NAME
1.

Title of the Substantive Policy Statement and the substantive policy statement number by which the substantive
policy statement is referenced:

2.

Date the substantive policy statement was issued and the effective date of the policy statement if different from
the issuance date:

3.

Summary of the contents of the substantive policy statement:

4.

Federal or state constitutional provision; federal or state statute, administrative rule, or regulation; or final court
judgment that underlies the substantive policy statement:

5.

A statement as to whether the substantive policy statement is a new statement or a revision:

6.

The agency contact person who can answer questions about the substantive policy statement:
Name:
Address:

7.

Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

(if applicable), include area code, (xxx) xxx-xxxx

E-mail:

(if applicable)

Web site:

(if applicable)

Information about where a person may obtain a copy of the substantive policy statement and the costs for
obtaining the policy statement:

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NOTICE OF AGENCY OMBUDSMAN

1.

The agency name:

2.

The ombudsman’s:
a.

Name:

b. Title:
c.

Specific agency division, if applicable:

3.

The ombudsman’s office address to include the city, state and zip code:

4.

The ombudsman’s area code and telephone number, fax number and e-mail address, if available:
Telephone:

Include area code, (xxx) xxx-xxxx

Fax:

Include area code, (xxx) xxx-xxxx

E-mail:

September 2011

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NOTICE OF PUBLIC INFORMATION
1.

The agency name:

Notices of Public Information contain corrections that agencies wish to make to
their notices of rulemaking; miscellaneous rulemaking information that does not
fit into any other category of notice; and other types of information required by
statute to be published in the Register. Because of the variety of material that is
contained in a Notice of Public Information, the Office of the Secretary of State
has not established a specific format for these notices.

Arizona Rulemaking Manual

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September 2011

Section 4. Rulemaking Forms

AGENCY CERTIFICATE
(Editor’s Note: Specify in capital letters the type of notice accompanying this certificate. Choose only one:
NOTICE OF RULEMAKING DOCKET OPENING
NOTICE OF PROPOSED RULEMAKING
NOTICE OF FINAL RULEMAKING
NOTICE OF EXEMPT RULEMAKING
NOTICE OF EMERGENCY RULEMAKING, etc.)

1.

Agency name:

2.

Chapter heading:

3.

Code citation for the Chapter:

4.

The Subchapters, if applicable; the Articles; the Parts, if applicable; and the Sections involved in the rulemaking,
in numerical order:
Article, Part, or Section Affected (as applicable) Rulemaking Action

(Code Title #) A.A.C. (Code Chapter #)

(in numerical order)
5.

The rules contained in this package are true and correct as (choose one: proposed or made):

6.

___________________________________________
Signature of Agency Chief Executive Officer in ink

________________________
Date signed

___________________________________________
Printed or typed name of signer

____________________________
Title of signer

7.

No changes have been made to these rules since the Governor’s Regulatory Review Council approved the rules.
(Editor’s Note: This statement is only to be included when the rules being submitted are
final rules or summary rules approved by the Council.)

Editor’s Note: Under R1-1-105(D), the Agency Certificate accompanying a Notice of Exempt Rulemaking shall include a
statement specifying why the rules are exempt from review along with a citation to the statutory or constitutional provision or
a citation to a court decision specifying the exemption.

September 2011

Section 4 - Page 31

Arizona Rulemaking Manual

Section 4. Rulemaking Forms

AGENCY RECEIPT
Editor’s Note: Receipts shall be used will all filings. Specify in capital letters the type of filing accompanying this receipt.
1.

Agency name:

2.

The Subchapters, if applicable; the Articles; the Parts, if applicable; and the Sections involved in the rulemaking,
listed in alphabetical and numerical order:
Article, Part, or Section Affected (as applicable) Rulemaking Action
(in numerical order)

Editor’s Note: For filings that do not conform to this Agency Receipt (e.g., a Notice of Public Information),
please use the following for item 2:
3.

Identifying information for the type of notice filed, such as a title or subject:

Arizona Rulemaking Manual

Section 4 - Page 32

September 2011

Section 4. Rulemaking Forms

ATTORNEY GENERAL
APPROVAL OF FINAL RULES
Editor’s Note: The Attorney General may disapprove sections or subsections of a rule. This form shall include those sections
or subsections disapproved if some of the rules in the rulemaking package are approved and filed with our Office.
1.

Agency name:

2.

Chapter heading:

3.

Code citation for the Chapter:

4.

The Subchapters, if applicable; the Articles; the Parts, if applicable; and the Sections involved in the rulemaking,
listed in alphabetical and numerical order:
Article, Part, or Section Affected (as applicable) Rulemaking Action

(Code Title #) A.A.C. (Code Chapter #)

(in numerical order)
5.

The rules contained in this package are approved as final rules.

6.

_________________________________________
(Name), Attorney General

September 2011

_______________
Date signed

Section 4 - Page 33

Arizona Rulemaking Manual

Section 4. Rulemaking Forms

ATTORNEY GENERAL
APPROVAL OF EMERGENCY RULES
Editor’s Note: Emergency rules are valid for 180 days after filing with the Secretary of State pursuant to A.R.S. § 41-1026.
1.

Agency name:

2.

Chapter heading:

3.

Code citation for the Chapter:

4.

The Subchapters, if applicable; the Articles; the Parts, if applicable; and the Sections involved in the rulemaking,
listed in alphabetical and numerical order:
Article, Part, or Section Affected (as applicable) Rulemaking Action

(Code Title #) A.A.C. (Code Chapter #)

(in numerical order)
5.

The rules contained in this package are approved as final rules.

6.

_______________________________________
(Name), Attorney General

Arizona Rulemaking Manual

______________
Date signed

Section 4 - Page 34

September 2011

Section 4. Rulemaking Forms

GOVERNOR’S REGULATORY REVIEW COUNCIL
APPROVAL OF FINAL RULES
1.

Agency name:

2.

Chapter heading:

3.

Code citation for the Chapter:

4.

The Subchapters, if applicable; the Articles; the Parts, if applicable; and the Sections involved in the rulemaking,
listed in alphabetical and numerical order:
Article, Part, or Section Affected (as applicable) Rulemaking Action

(Code Title #) A.A.C. (Code Chapter #)

(in numerical order)
5.

The rules contained in this package are approved as final rules.

6.

_________________________________________
Signature of G.R.R.C. Administrator

______________
Date signed

____________________________
Typed Name of G.R.R.C. Administrator

September 2011

Section 4 - Page 35

Arizona Rulemaking Manual

Section 4. Rulemaking Forms

GOVERNOR’S REGULATORY REVIEW COUNCIL
APPROVAL OF SUMMARY RULES
1.

Agency name:

2.

Chapter heading:

3.

Code citation for the Chapter:

4.

The Subchapters, if applicable; the Articles; the Parts, if applicable; and the Sections involved in the rulemaking,
listed in alphabetical and numerical order:
Article, Part, or Section Affected (as applicable) Rulemaking Action

(Code Title #) A.A.C. (Code Chapter #)

(in numerical order)
5.

The rules contained in this package are approved as final rules.

6.

_______________________________________________
Signature of _____________

_______________
Date signed

_______________________________________
Typed Name of ____________

Arizona Rulemaking Manual

Section 4 - Page 36

September 2011

Section 5. Checklists

Section 5
Checklists
This section of the manual contains checklists for the various rulemaking
packages you prepare under the Arizona Administrative Procedure Act. You can
photocopy these checklists and use them each time you prepare a rulemaking
package.
This section also contains a checklist for other documents you may submit
to the Secretary of State’s Office for publication in the Register. Because all documents other than rulemaking packages are handled the same way in the Office,
only one checklist is outlined here. Use this generic checklist for every document
except a rulemaking document.

July 2002

Section 5 - Page 1

Arizona Rulemaking Manual

Section 5. Checklists

Notice of Proposed Rulemaking
This checklist was last updated in 2002. The user is encouraged to read carefully the current
versions of A.R.S. § 41-1022 and R1-1-502 to be certain the documents prepared using this
checklist meet all modern legal requirements.

_____ Is the first page of your package headed “NOTICE OF PROPOSED RULEMAKING” all in capital letters,
centered on the line approximately one inch from the top of the page?
_____ Does the Title in which these rules appear in the Code appear below the Notice heading, along with the
Title number and Title heading, all in capital letters centered on the line?
_____ Does the Chapter in which these rules appear in the Code appear below the Title, along with the Chapter
number and Chapter heading, all in capital letters centered on the line?
_____ If your agency has more than one Chapter, does the name of your agency appear on the same line
with the Chapter and its number?
_____ If your agency has more than one Chapter, does the subheading of the Chapter appear on the line
below the name of your agency?
_____ Does the word PREAMBLE appear below the Chapter, all in capital letters and centered on the line?
_____ Does item #1 have the headings SECTIONS AFFECTED and RULEMAKING ACTION in two columns?
_____ If this Chapter has Subchapters, are the Subchapters listed in alphabetical order, if they are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Articles listed in numerical order under the Subchapters, if the Articles are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Sections on which rulemaking action is occurring listed in numerical order?
_____ Does each Section listed have only one rulemaking action in the second column?
_____ If more than one action is occurring on a Section, is the Section listed separately
for each action?
_____ Are the Sections on which more than one action is occurring listed in order of
action (repealed before new Section or renumbering, renumbered before
amended)?
_____ Are items #1 through #13 listed in the correct order with the correct language (see the Rulemaking Forms
section)?
_____ Have you answered all the items?
_____ Does the text begin on the page following the last page of the Notice?
_____ Does the text begin with a table of contents showing the Subchapters (if applicable), the Articles, the Parts
(if applicable), and the Sections contained in this rulemaking?
_____ Are there Sections or Articles (or Subchapters or Parts, if applicable) listed on which no rulemaking action is occurring? If so, delete them.
_____ Do the appropriate Subchapters, Articles, and Parts appear in their proper location in the text?
_____ If you are amending language, does the language to be repealed have strike-outs and does the language being proposed for making have underlining?
_____ If you are repealing entire Sections with no other action, does your text have strike-outs? If so,
you may delete the strike-outs because they are not necessary when repealing is the only action.
_____ If you are proposing new Sections with no other action, does your text have underlining? If so,
you may delete the underlining because it is not necessary when you are only proposing entire new
Sections.
_____ If you are amending only a portion of a word, have you used strike-outs for the entire word and
placed the new word beside the old and used underlining for the new word? Do not strike-out or
underline partial words.
Arizona Rulemaking Manual

Section 5 - Page 2

July 2002

Section 5. Checklists

_____ Have you consecutively numbered your pages from the first page of the Notice through the last page of
text?
_____ Have you made one original and two copies of the package?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Is an original of the agency certificate attached to the original rulemaking package and a copy of the
agency certificate attached to both copies of the rulemaking package?
_____ Do you have two copies of the agency receipt?
_____ Have you double-checked the dates for any hearings and oral proceedings so that you schedule them at
least 30 days after publication of this Notice in the Register?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the software
and its version?
_____ Have you compiled your original and each copy as follows?
Agency certificate
Notice (including preamble)
Text of rules
Any other information to be filed with this proposed rulemaking package

July 2002

Section 5 - Page 3

Arizona Rulemaking Manual

Section 5. Checklists

Notice of Supplemental Proposed Rulemaking
This checklist was last updated in 2002. The user is encouraged to read carefully the current
versions of A.R.S. § 41-1022 and R1-1-507 to be certain the documents prepared using this
checklist meet all modern legal requirements.

_____ Is the first page of your package headed “NOTICE OF SUPPLEMENTAL PROPOSED RULEMAKING”
all in capital letters, centered on the line approximately one inch from the top of the page?
_____ Does the Title in which these rules appear in the Code appear below the Notice heading, along with the
Title number and Title heading, all in capital letters centered on the line?
_____ Does the Chapter in which these rules appear in the Code appear below the Title, along with the Chapter
number and Chapter heading, all in capital letters centered on the line?
_____ If your agency has more than one Chapter, does the name of your agency appear on the same line
with the Chapter and its number?
_____ If your agency has more than one Chapter, does the subheading of the Chapter appear on the line
below the name of your agency?
_____ Does the word PREAMBLE appear below the Chapter, all in capital letters and centered on the line?
_____ Does your answer to item #1 list the citation and date for the original Notice of Proposed Rulemaking? If
there are more than one original, list them.
_____ Does item #2 have the headings SECTIONS AFFECTED and RULEMAKING ACTION in two columns?
_____ If this Chapter has Subchapters, are the Subchapters listed in alphabetical order, if they are being
newly proposed, repealed in their entirety, or the heading is changing because of this supplemental
rulemaking?
_____ Are the Articles listed in numerical order under the Subchapters, if the Articles are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Sections on which rulemaking action is occurring listed in numerical order?
_____ Does each Section listed have only one rulemaking action in the second column?
_____ If more than one action is occurring on a Section, is the Section listed separately
for each action?
_____ Are the Sections on which more than one action is occurring listed in order of
action (repealed before new Section or renumbering, renumbered before
amended)?
_____ Does item #6 explain the substantial change that resulted in the supplemental notice? You may use this
item to explain the changes between the proposed rule package and the supplemental rule package.
_____ Are items #1 through #13 listed in the correct order with the correct language (see the Rulemaking Forms
section)?
_____ Have you answered all the questions?
_____ Does the text begin on the page following the last page of the Notice?
_____ Does the text begin with a table of contents showing the Subchapters (if applicable), the Articles, the Parts
(if applicable), and the Sections contained only in this supplemental rulemaking?
_____ Are there Sections or Articles (or Subchapters or Parts, if applicable) listed on which no rulemaking action is occurring in this supplemental rulemaking? If so, delete them.
_____ Do the appropriate Subchapters, Articles, and Parts appear in their proper location in the text?
_____ If you are amending language, does the language to be repealed have strike-outs and does the language being proposed for making have underlining? Note: In a supplemental proposed package,
Arizona Rulemaking Manual

Section 5 - Page 4

July 2002

Section 5. Checklists

you must list all changes to the rules, from the original proposed rule to the supplemental. As a
result, some text might be underlined and stricken?
_____ If you are repealing entire Sections with no other action, does your text have strike-outs? If so, you
may delete the strike-outs because they are not necessary when repealing is the only action.
_____ If you are proposing new Sections with no other action, does your text have underlining? If so, you
may delete the underlining because it is not necessary when you are only proposing entire new
Sections.
_____ If you are amending only a portion of a word, have you used strike-outs for the entire word and
placed the new word beside the old and used underlining for the new word? Do not strike-out or
underline partial words.
_____ Have you consecutively numbered your pages from the first page of the Notice through the last page of
text?
_____ Have you made one original and two copies of the package?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Is an original of the agency certificate attached to the original rulemaking package and a copy of the
agency certificate attached to both copies of the rulemaking package?
_____ Do you have two copies of the agency receipt?
_____ Have you double-checked the dates for any hearings and oral proceedings so that you schedule them at
least 30 days after publication of this Notice in the Register?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the software
and its version?
_____ Have you compiled your original and each copy as follows?
Agency certificate
Notice (including preamble)
Text of rules
Any other information to be filed with this supplemental proposed rulemaking package

July 2002

Section 5 - Page 5

Arizona Rulemaking Manual

Section 5. Checklists

Notice of Termination of Proposed Rulemaking
This checklist was last updated in 2002. The user is encouraged to read carefully the current
versions of A.R.S. § 41-1024 and R1-1-506 to be certain the documents prepared using this
checklist meet all modern legal requirements.

_____ Is the first page of your package headed “NOTICE OF TERMINATION OF RULEMAKING” all in capital letters, centered on the line approximately one inch from the top of the page?
_____ Does the Title in which these rules appear in the Code appear below the Notice heading, along with the
Title number and Title heading, all in capital letters centered on the line?
_____ Does the Chapter in which these rules appear in the Code appear below the Title, along with the Chapter
number and Chapter heading, all in capital letters centered on the line?
_____ If your agency has more than one Chapter, does the name of your agency appear on the same line
with the Chapter and its number?
_____ If your agency has more than one Chapter, does the subheading of the Chapter appear on the line
below the name of your agency?
_____ Does item #1 list the Register citation and the date of publication of the Notice of Proposed Rulemaking?
_____ Does question #2 have the headings SECTIONS AFFECTED and RULEMAKING ACTION in two columns? (The rulemaking action shall be that listed on the Notice of Proposed Rulemaking.)
_____ If this Chapter has Subchapters, are the Subchapters listed in alphabetical order, if they are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Articles listed in numerical order under the Subchapters, if the Articles are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Sections on which rulemaking action is occurring listed in numerical order?
_____ Does each Section listed have only one rulemaking action in the second column?
_____ If more than one action is occurring on a Section, is the Section listed separately
for each action?
_____ Are the Sections on which more than one action is occurring listed in order of
action (repealed before new Section or renumbering, renumbered before
amended)?
_____ Have you made one original and two copies of the Notice of Termination?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Is an original of the agency certificate attached to the original termination of rulemaking package and a
copy of the agency certificate attached to both copies of the termination of rulemaking package?
_____ Do you have two copies of the agency receipt?
_____ Have you compiled your original and each copy as follows?
Agency certificate
Notice of Termination

Arizona Rulemaking Manual

Section 5 - Page 6

July 2002

Section 5. Checklists

Notice of Final Rulemaking
This checklist was last updated in 2002. The user is encouraged to read carefully the current
versions of A.R.S. § 41-1024 and R1-1-601 to be certain the documents prepared using this
checklist meet all modern legal requirements.

_____ Is the first page of your package headed “NOTICE OF FINAL RULEMAKING” all in capital letters, centered on the line approximately one inch from the top of the page?
_____ Does the Title in which these rules appear in the Code appear below the Notice heading, along with the
Title number and Title heading, all in capital letters centered on the line?
_____ Does the Chapter in which these rules appear in the Code appear below the Title, along with the Chapter
number and Chapter heading, all in capital letters centered on the line?
_____ If your agency has more than one Chapter, does the name of your agency appear on the same line
with the Chapter and its number?
_____ If your agency has more than one Chapter, does the subheading of the Chapter appear on the line
below the name of your agency?
_____ Does the word PREAMBLE appear below the Chapter, all in capital letters and centered on the line?
_____ Does item #1 have the headings SECTIONS AFFECTED and RULEMAKING ACTION in two columns?
_____ If this Chapter has Subchapters, are the Subchapters listed in alphabetical order, if they are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Articles listed in numerical order under the Subchapters, if the Articles are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Sections on which rulemaking action is occurring listed in numerical order?
_____ Does each Section listed have only one rulemaking action in the second column?
_____ If more than one action is occurring on a Section, is the Section listed separately
for each action?
_____ Are the Sections on which more than one action is occurring listed in order of
action (repealed before new Section or renumbering, renumbered before
amended)?
_____ Are items #1 through #15 listed in the correct order with the correct language (see the Rulemaking Forms
section)?
_____ Have you answered all the items?
_____ Does the text begin on the page following the last page of the Notice?
_____ Does the text begin with a table of contents showing the Subchapters (if applicable), the Articles, the Parts
(if applicable), and the Sections contained in this rulemaking?
_____ Are there Sections or Articles (or Subchapters or Parts, if applicable) listed on which no rulemaking action is occurring? If so, delete them.
_____ Do the appropriate Subchapters, Articles, and Parts appear in their proper location in the text?
_____ If you are amending language, does the language to be repealed have strike-outs and does the language being proposed for making have underlining?
_____ If you are repealing entire Sections with no other action, does your text have strike-outs? If so, you
may delete the strike-outs because they are not necessary when repealing is the only action.
_____ If you are proposing new Sections with no other action, does your text have underlining? If so, you
may delete the underlining because it is not necessary when you are only proposing entire new
Sections.
July 2002

Section 5 - Page 7

Arizona Rulemaking Manual

Section 5. Checklists

_____ If you are amending only a portion of a word, have you used strike-outs for the entire word and
placed the new word beside the old and used underlining for the new word? Do not strike-out or
underline partial words.
_____ Have you consecutively numbered your pages from the first page of the Notice through the last page of
text?
_____ Have you made one original and two copies of the package?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Is an original of the agency certificate attached to the original rulemaking package and a copy of the
agency certificate attached to both copies of the rulemaking package?
_____ Do you have two copies of the agency receipt?
_____ Does the original package and the two copies contain your Concise Explanatory Statement (not required
after 8-21-02) and your Economic, Small Business, and Consumer Impact Statement, each printed on only
one side of the page? (Each of these documents should be individually paginated.)
_____ Have you included one copy of any material you have incorporated by reference in these rules?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the software
and its version?
_____ Have you compiled your original and each copy as follows?
Agency certificate
Notice (including preamble)
Text of rules
Concise Explanatory Statement (not required after 8-21-02)
Economic, Small Business, and Consumer Impact Statement
Incorporated by Reference material
Any other information to be filed with this final rulemaking package

Arizona Rulemaking Manual

Section 5 - Page 8

July 2002

Section 5. Checklists

Notice of Emergency Rulemaking
This checklist was last updated in 2002. The user is encouraged to read carefully the current
versions of A.R.S. §§ 41-1026 and 41-1026.01 and R1-1-701 to be certain the documents
prepared using this checklist meet all modern legal requirements. Use this checklist together
with the checklist for submission of materials to the Attorney General’s Office found in the
Agency Handbook.

_____ Is the first page of your package headed “NOTICE OF EMERGENCY RULEMAKING” all in capital letters, centered on the line approximately one inch from the top of the page?
_____ Does the Title in which these rules appear in the Code appear below the Notice heading, along with the
Title number and Title heading, all in capital letters centered on the line?
_____ Does the Chapter in which these rules appear in the Code appear below the Title, along with the Chapter
number and Chapter heading, all in capital letters centered on the line?
_____ If your agency has more than one Chapter, does the name of your agency appear on the same line
with the Chapter and its number?
_____ If your agency has more than one Chapter, does the subheading of the Chapter appear on the line
below the name of your agency?
_____ Does the word PREAMBLE appear below the Chapter, all in capital letters and centered on the line?
_____ Does item #1 have the headings SECTIONS AFFECTED and RULEMAKING ACTION in two columns?
_____ If this Chapter has Subchapters, are the Subchapters listed in alphabetical order, if they are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Articles listed in numerical order under the Subchapters, if the Articles are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Sections on which rulemaking action is occurring listed in numerical order?
_____ Does each Section listed have only one rulemaking action in the second column?
_____ If more than one action is occurring on a Section, is the Section listed separately
for each action?
_____ Are the Sections on which more than one action is occurring listed in order of
action (repealed before new Section or renumbering, renumbered before
amended)?
_____ Are items #1 through #13 listed in the correct order with the correct language (see the Rulemaking Forms
section)?
_____ Have you answered all the items?
_____ Does the text begin on the page following the last page of the Notice?
_____ Does the text begin with a table of contents showing the Subchapters (if applicable), the Articles, the Parts
(if applicable), and the Sections contained in this rulemaking?
_____ Are there Sections or Articles (or Subchapters or Parts, if applicable) listed on which no rulemaking action is occurring? If so, delete them.
_____ Do the appropriate Subchapters, Articles, and Parts appear in their proper location in the text?
_____ If you are amending language, does the language to be repealed have strike-outs and does the language being proposed for making have underlining?
_____ If you are repealing entire Sections with no other action, does your text have strike-outs? If so, you
may delete the strike-outs because they are not necessary when repealing is the only action.

July 2002

Section 5 - Page 9

Arizona Rulemaking Manual

Section 5. Checklists

_____ If you are proposing new Sections with no other action, does your text have underlining? If so, you
may delete the underlining because it is not necessary when you are only proposing entire new
Sections.
_____ If you are amending only a portion of a word, have you used strike-outs for the entire word and
placed the new word beside the old and used underlining for the new word? Do not strike-out or
underline partial words.
_____ Have you consecutively numbered your pages from the first page of the Notice through the last page of
text?
_____ Have you made one original and two copies of the package?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Is an original of the agency certificate attached to the original rulemaking package and a copy of the
agency certificate attached to both copies of the rulemaking package?
_____ Do you have two copies of the agency receipt?
_____ Does the original package and the two copies contain your Concise Explanatory Statement (not required
after 8-21-02) and your Economic, Small Business, and Consumer Impact Statement, each printed on only
one side of the page? (Each of these documents should be individually paginated.)
_____ Have you included one copy of any material you have incorporated by reference in these rules?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the software
and its version?
_____ Have you compiled your original and each copy as follows?
Agency certificate
Notice (including preamble)
Text of rules
Concise Explanatory Statement (not required after 8-21-02)
Economic, Small Business, and Consumer Impact Statement
Incorporated by Reference material
Any other information to be filed with this emergency rulemaking package

Arizona Rulemaking Manual

Section 5 - Page 10

July 2002

Section 5. Checklists

Notice of Proposed Summary Rulemaking
This checklist was last updated in 2002. The user is encouraged to read carefully the current
versions of A.R.S. § 41-1027 and R1-1-801 to be certain the documents prepared using this
checklist meet all modern legal requirements.

_____ Is the first page of your package headed “NOTICE OF PROPOSED SUMMARY RULEMAKING” all in
capital letters, centered on the line approximately one inch from the top of the page?
_____ Does the Title in which these rules appear in the Code appear below the Notice heading, along with the
Title number and Title heading, all in capital letters centered on the line?
_____ Does the Chapter in which these rules appear in the Code appear below the Title, along with the Chapter
number and Chapter heading, all in capital letters centered on the line?
_____ If your agency has more than one Chapter, does the name of your agency appear on the same line
with the Chapter and its number?
_____ If your agency has more than one Chapter, does the subheading of the Chapter appear on the line
below the name of your agency?
_____ Does the word PREAMBLE appear below the Chapter, all in capital letters and centered on the line?
_____ Does item #1 have the headings SECTIONS AFFECTED and RULEMAKING ACTION in two columns?
_____ If this Chapter has Subchapters, are the Subchapters listed in alphabetical order, if they are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Articles listed in numerical order under the Subchapters, if the Articles are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Sections on which rulemaking action is occurring listed in numerical order?
_____ Does each Section listed have only one rulemaking action in the second column?
_____ If more than one action is occurring on a Section, is the Section listed separately
for each action?
_____ Are the Sections on which more than one action is occurring listed in order of
action (repealed before new Section or renumbering, renumbered before
amended)?
_____ Are items #1 through #13 listed in the correct order with the correct language (see the Rulemaking Forms
section)?
_____ Have you answered all the items?
_____ Does the text begin on the page following the last page of the Notice?
_____ Does the text begin with a table of contents showing the Subchapters (if applicable), the Articles, the Parts
(if applicable), and the Sections contained in this rulemaking?
_____ Are there Sections or Articles (or Subchapters or Parts, if applicable) listed on which no rulemaking action is occurring? If so, delete them.
_____ Do the appropriate Subchapters, Articles, and Parts appear in their proper location in the text?
_____ If you are amending language, does the language to be repealed have strike-outs and does the language being proposed for making have underlining?
_____ If you are repealing entire Sections with no other action, does your text have strike-outs? If so, you
may delete the strike-outs because they are not necessary when repealing is the only action.
_____ If you are proposing new Sections with no other action, does your text have underlining? If so, you
may delete the underlining because it is not necessary when you are only proposing entire new
Sections.
July 2002

Section 5 - Page 11

Arizona Rulemaking Manual

Section 5. Checklists

_____ If you are amending only a portion of a word, have you used strike-outs for the entire word and
placed the new word beside the old and used underlining for the new word? Do not strike-out or
underline partial words.
_____ Have you consecutively numbered your pages from the first page of the Notice through the last page of
text?
_____ Have you made one original and two copies of the package?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Is an original of the agency certificate attached to the original rulemaking package and a copy of the
agency certificate attached to both copies of the rulemaking package?
_____ Do you have two copies of the agency receipt?
_____ Have you double-checked the dates for any hearings and oral proceedings so that you schedule them at
least 30 days after publication of this Notice in the Register?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the software
and its version?
_____ Have you compiled your original and each copy as follows?
Agency certificate
Notice (including preamble)
Text of rules
Any other information to be filed with this proposed summary rulemaking package

Arizona Rulemaking Manual

Section 5 - Page 12

July 2002

Section 5. Checklists

Notice of Final Summary Rulemaking
This checklist was last updated in 2002. The user is encouraged to read carefully the current
versions of A.R.S. § 41-1027 and R1-1-801 to be certain the documents prepared using this
checklist meet all modern legal requirements.

_____ Is the first page of your package headed “NOTICE OF FINAL SUMMARY RULEMAKING” all in capital letters, centered on the line approximately one inch from the top of the page?
_____ Does the Title in which these rules appear in the Code appear below the Notice heading, along with the
Title number and Title heading, all in capital letters centered on the line?
_____ Does the Chapter in which these rules appear in the Code appear below the Title, along with the Chapter
number and Chapter heading, all in capital letters centered on the line?
_____ If your agency has more than one Chapter, does the name of your agency appear on the same line
with the Chapter and its number?
_____ If your agency has more than one Chapter, does the subheading of the Chapter appear on the line
below the name of your agency?
_____ Does the word PREAMBLE appear below the Chapter, all in capital letters and centered on the line?
_____ Does item #1 have the headings SECTIONS AFFECTED and RULEMAKING ACTION in two columns?
_____ If this Chapter has Subchapters, are the Subchapters listed in alphabetical order, if they are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Articles listed in numerical order under the Subchapters, if the Articles are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Sections on which rulemaking action is occurring listed in numerical order?
_____ Does each Section listed have only one rulemaking action in the second column?
_____ If more than one action is occurring on a Section, is the Section listed separately
for each action?
_____ Are the Sections on which more than one action is occurring listed in order of
action (repealed before new Section or renumbering, renumbered before
amended)?
_____ Are items #1 through #13 listed in the correct order with the correct language (see the Rulemaking Forms
section)?
_____ Have you answered all the items?
_____ Does the text begin on the page following the last page of the Notice?
_____ Does the text begin with a table of contents showing the Subchapters (if applicable), the Articles, the Parts
(if applicable), and the Sections contained in this rulemaking?
_____ Are there Sections or Articles (or Subchapters or Parts, if applicable) listed on which no rulemaking action is occurring? If so, delete them.
_____ Do the appropriate Subchapters, Articles, and Parts appear in their proper location in the text?
_____ If you are amending language, does the language to be repealed have strike-outs and does the language being proposed for making have underlining?
_____ If you are repealing entire Sections with no other action, does your text have strike-outs? If so, you
may delete the strike-outs because they are not necessary when repealing is the only action.
_____ If you are proposing new Sections with no other action, does your text have underlining? If so, you
may delete the underlining because it is not necessary when you are only proposing entire new
Sections.
July 2002

Section 5 - Page 13

Arizona Rulemaking Manual

Section 5. Checklists

_____ If you are amending only a portion of a word, have you used strike-outs for the entire word and
placed the new word beside the old and used underlining for the new word? Do not strike-out or
underline partial words.
_____ Have you consecutively numbered your pages from the first page of the Notice through the last page of
text?
_____ Have you made one original and two copies of the package?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Is an original of the agency certificate attached to the original rulemaking package and a copy of the
agency certificate attached to both copies of the rulemaking package?
_____ Do you have two copies of the agency receipt?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the software
and its version?
_____ Have you compiled your original and each copy as follows?
Agency certificate
Notice (including preamble)
Text of rules
Concise Explanatory Statement, if applicable
Economic, Small Business, and Consumer Impact Statement (if applicable)
Incorporated by Reference material
Any other information required to be filed with this final summary rulemaking package

Arizona Rulemaking Manual

Section 5 - Page 14

July 2002

Section 5. Checklists

Notice of Exempt Rulemaking
This checklist was last updated in 2002. The user is encouraged to read carefully the current
versions of A.R.S. §§ 41-1005 and 41-1011 and R1-1-901 to be certain the documents prepared using this checklist meet all modern legal requirements.

_____ Is the first page of your package headed “NOTICE OF EXEMPT RULEMAKING” all in capital letters,
centered on the line approximately one inch from the top of the page?
_____ Does the Title in which these rules appear in the Code appear below the Notice heading, along with the
Title number and Title heading, all in capital letters centered on the line?
_____ Does the Chapter in which these rules appear in the Code appear below the Title, along with the Chapter
number and Chapter heading, all in capital letters centered on the line?
_____ If your agency has more than one Chapter, does the name of your agency appear on the same line
with the Chapter and its number?
_____ If your agency has more than one Chapter, does the subheading of the Chapter appear on the line
below the name of your agency?
_____ Does the word PREAMBLE appear below the Chapter, all in capital letters and centered on the line?
_____ Does item #1 have the headings SECTIONS AFFECTED and RULEMAKING ACTION in two columns?
_____ If this Chapter has Subchapters, are the Subchapters listed in alphabetical order, if they are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Articles listed in numerical order under the Subchapters, if the Articles are being
newly proposed, repealed in their entirety, or the heading is changing?
_____ Are the Sections on which rulemaking action is occurring listed in numerical order?
_____ Does each Section listed have only one rulemaking action in the second column?
_____ If more than one action is occurring on a Section, is the Section listed separately
for each action?
_____ Are the Sections on which more than one action is occurring listed in order of
action (repealed before new Section or renumbering, renumbered before
amended)?
_____ Are items #1 through #15 listed in the correct order with the correct language (see the Rulemaking Forms
section)?
_____ Have you answered all the items?
_____ Does the text begin on the page following the last page of the Notice?
_____ Does the text begin with a table of contents showing the Subchapters (if applicable), the Articles, the Parts
(if applicable), and the Sections contained in this rulemaking?
_____ Are there Sections or Articles (or Subchapters or Parts, if applicable) listed on which no rulemaking action is occurring? If so, delete them.
_____ Do the appropriate Subchapters, Articles, and Parts appear in their proper location in the text?
_____ If you are amending language, does the language to be repealed have strike-outs and does the language being proposed for making have underlining?
_____ If you are repealing entire Sections with no other action, does your text have strike-outs? If so, you
may delete the strike-outs because they are not necessary when repealing is the only action.
_____ If you are proposing new Sections with no other action, does your text have underlining? If so, you
may delete the underlining because it is not necessary when you are only proposing entire new
Sections.
July 2002

Section 5 - Page 15

Arizona Rulemaking Manual

Section 5. Checklists

_____ If you are amending only a portion of a word, have you used strike-outs for the entire word and
placed the new word beside the old and used underlining for the new word? Do not strike-out or
underline partial words.
_____ Have you consecutively numbered your pages from the first page of the Notice through the last page of
text?
_____ Have you made one original and two copies of the package?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Is an original of the agency certificate attached to the original rulemaking package and a copy of the
agency certificate attached to both copies of the rulemaking package?
_____ Do you have two copies of the agency receipt?
_____ Does the original package and the two copies contain your Concise Explanatory Statement (not required
after 8-21-02) and your Economic, Small Business, and Consumer Impact Statement, each printed on only
one side of the page? (Each of these documents should be individually paginated.)
_____ Have you included one copy of any material you have incorporated by reference in these rules?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the software
and its version?
_____ Have you compiled your original and each copy as follows?
Agency certificate
Notice (including preamble)
Text of rules
Concise Explanatory Statement (not required after 8-21-02)
Economic, Small Business, and Consumer Impact Statement
Incorporated by Reference material
Any other information to be filed with this final rulemaking package

Arizona Rulemaking Manual

Section 5 - Page 16

July 2002

Section 5. Checklists

Notice of Recodification
This checklist was last updated in 2002. The user is encouraged to contact the Office to be
certain that documents prepared using this checklist meet all modern legal requirements.

_____ Is the first page of your package headed “NOTICE OF RECODIFICATION” all in capital letters, centered
on the line approximately one inch from the top of the page?
_____ Does the Title in which these rules appear in the Code appear below the Notice heading, along with the
Title number and Title heading, all in capital letters centered on the line?
_____ Does the Chapter in which these rules appear in the Code appear below the Title, along with the Chapter
number and Chapter heading, all in capital letters centered on the line?
_____ If your agency has more than one Chapter, does the name of your agency appear on the same line
with the Chapter and its number?
_____ If your agency has more than one Chapter, does the subheading of the Chapter appear on the line
below the name of your agency?
_____ Does item #1 contain a list of Subchapters, Articles, Parts, and Sections being recodified along with their
respective headings?
_____ Does item #2 contain a list of Subchapters, Articles, Parts, and Sections as recodified along with their
respective headings?
_____ Does item #3 contain a conversion table between the old numbering scheme and the new numbering
scheme?
_____ Does the column on the left list the old numbering scheme, with the Articles and Sections in
numerical order?
_____ Does the column on the right list the new numbering scheme, with the Articles and Sections corresponding to the Articles and Sections in the left column?
_____ Does item #4 contain the name and address of agency personnel with whom persons may communicate
regarding the recodification?
_____ Have you also listed the telephone, fax, and e-mail of the agency personnel?
_____ Are items #1 through #4 listed in the correct order with the correct language (see the Rulemaking Forms
section)?
_____ Have you answered all the items?
_____ Have you consecutively numbered your pages from the first page of the Notice through the last page of
text?
_____ Have you made one original and two copies of the package?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Is an original of the agency certificate attached to the original rulemaking package and a copy of the
agency certificate attached to both copies of the rulemaking package?
_____ Do you have two copies of the agency receipt?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the software
and its version?

July 2002

Section 5 - Page 17

Arizona Rulemaking Manual

Section 5. Checklists

Other Notices Submitted for Publication
This checklist was last updated in 2002. The user is encouraged to contact the Office to be
certain that documents prepared using this checklist meet all modern legal requirements.

_____ Is the first page of your package headed with the appropriate Notice heading, all in capital letters, centered
on the line approximately one inch from the top of the page?
_____ For Notices of Rulemaking Docket Openings:
_____ Does the name of your agency appear under the Notice heading?
_____ Are all six items as specified in R1-1-205 listed using the same language as specified in R1-1-205?
_____ Have you listed more than one Chapter on a single Notice of Rulemaking Docket Opening? If so,
your Notice will not be accepted for publication.
_____ Is everything on the Notice double-spaced or space-and-a-half?
_____ Have you made one original and two copies of the Notice (unless you are submitting a computer
disk)?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the
software and its version?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Do you have two copies of the agency receipt?
_____ Have you double-checked the dates for any hearings and oral proceedings so that you schedule
them at least 30 days after publication of this Notice in the Register?
_____ For Notices of Formal Rulemaking Advisory Committees:
_____ Does the name of your agency appear under the Notice heading?
_____ Are all three questions as specified in R1-1-206 listed using the same language as specified in R11-206?
_____ Have you listed more than one committee on a single Notice of Rulemaking Advisory Committee?
If so, your Notice will not be accepted for publication.
_____ Is everything on the Notice double-spaced or space-and-a-half?
_____ Have you made one original and two copies of the Notice?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the
software and its version?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Do you have two copies of the agency receipt?
_____ For Notices of Proposed Delegation Agreement:
_____ Does the name of your agency appear under the Notice heading?
_____ Are all six questions as specified in R1-1-208(A) listed using the same language as specified in
R1-1-208(A)?

Arizona Rulemaking Manual

Section 5 - Page 18

July 2002

Section 5. Checklists

_____ Have you listed more than one delegation agreement on a single Notice of Proposed Delegation
Agreement? If so, your Notice will not be accepted for publication.
_____ Is everything on the Notice double-spaced or space-and-a-half?
_____ Have you double-checked hearing dates to allow at least 30 days after publication of the Notice in
the Register?
_____ Have you made one original and two copies of the Notice?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the
software and its version?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Do you have two copies of the agency receipt?
_____ For Notices of Oral Proceeding on Proposed Rulemaking, Notices of Public Workshop on Proposed Rulemaking, Notices of Public Meeting on Open Rulemaking Docket, and Notices of Oral Proceeding on Proposed Delegation Agreement:
_____ Does the name of your agency appear under the appropriate Notice heading?
_____ Are all six questions as specified in the appropriate subsection of R1-1-209(B) listed using the
same language as specified in R1-1-208(B)?
_____ Is everything on the Notice double-spaced or space-and-a-half?
_____ Have you double-checked hearing dates to allow at least 30 days after publication of the Notice in
the Register?
_____ Have you made one original and two copies of the Notice?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the
software and its version?
_____ Are all pages of the original and the two copies printed on only one side of the page?
_____ Do you have two copies of the agency receipt?
_____ For Notices of Agency Guidance Documents and Notices of Substantive Policy Statements:
_____ Does the name of your agency appear under the appropriate Notice heading?
_____ Are all six questions as specified in R1-1-210 listed using the same language as specified in R1-1210?
_____ Have you listed more than one agency guidance document or more than one substantive policy
statement per Notice? If so, your Notices will not be accepted. Only one document or statement
per Notice is allowed.
_____ Is everything on the Notice double-spaced or space-and-a-half?
_____ Have you made one original and two copies of the Notice?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the
software and its version?
July 2002

Section 5 - Page 19

Arizona Rulemaking Manual

Section 5. Checklists

_____ Are all pages of the original and all copies printed on only one side of the page?
_____ Do you have two copies of the agency receipt?
_____ For County Notices pursuant to A.R.S. § 49-112:
_____ Does the name of your county appear under the appropriate Notice heading?
_____ Are all questions as specified on the handout sent to all counties listed using the same language as
specified in those handouts?
_____ Is everything on the Notice double-spaced or space-and-a-half?
_____ Have you made one original and two copies of the Notice?
_____ Have you included a computer disk?
_____ Have you attached a label to the disk?
_____ Have you written on the label the name of your agency, the material on the disk, and the
software and its version?
_____ Are all pages of the original and all copies printed on only one side of the page?
_____ Do you have two copies of the agency receipt?

Arizona Rulemaking Manual

Section 5 - Page 20

July 2002

Section 5. Checklists

Governor’s Regulatory Review Council
1400 West Washington, Suite 270
Phoenix, AZ 85007
(602) 542-2058
CHECKLIST FOR SUBMISSION OF FINAL REGULAR RULES FOR:
AGENCY: ___________________________________________________________________________
DATE: ______________________________________________________________________________
TO BE PLACED ON AGENDA:
1.

Two (2) packages, each assembled in the following order:
_____ Cover letter
_____ Notice of Final Rulemaking including:
_____

Preamble

_____

Table of Contents for the rule

_____

Text of rule

_____ Economic, small business, and consumer impact statement
_____ Concise explanatory statement (Not required after 8-21-02)
_____ Existing rule (if not shown as part of the revised text)
_____ Authorizing statutes
_____ Definitions of terms (if applicable)
2.

_____ One (1) copy of all written comments submitted by the public concerning the rule

3.

_____ One (1) copy of incorporation by reference material

BEFORE MEETING:
ELEVEN (11) packages of the materials listed in item 1 above assembled in the specified order.
POST-MEETING:
1.

_____ One (1) original letter identifying each change made after the pre-meeting submission. If no
changes are made, no letter is needed.

2.

Original plus three (3) packages, each assembled in the following order:
_____ Agency certificate (include item #7)
_____ Notice of Final Rulemaking including:
_____

Preamble

_____

Table of contents for the rule

_____

Text of rule with changes, if any

_____ Concise explanatory statement (Not required after 8-22-02)
_____ Economic, small business, and consumer impact statement
3.

One (1) original and one (1) copy of:
_____ Agency receipt

July 2002

Section 5 - Page 21

Arizona Rulemaking Manual

Section 5. Checklists

G.R.R.C. Checklist for Submission of
Proposed Summary Rules
One package assembled in the following order and double-spaced:
_____ Notice of Proposed Summary Rulemaking including:
_____

Preamble

_____

Table of contents for the rule

_____

Text of proposed summary rule filed with the Secretary of State

_____ Authorizing statutes (statute that repeals or supersedes the authority under which the original rule was
enacted or the statute that is repealed verbatim in the original rule or proposed summary rule)

Arizona Rulemaking Manual

Section 5 - Page 22

July 2002

Section 5. Checklists

Governor’s Regulatory Review Council
1400 West Washington, Suite 270
Phoenix, AZ 85007
(602) 542-2058
CHECKLIST FOR SUBMISSION OF FINAL SUMMARY RULES FOR:
AGENCY: ___________________________________________________________________________
DATE: ______________________________________________________________________________
PRE-MEETING:
1.

Eleven (11) packages assembled in the following order
_____ Notice of Summary Rulemaking including:
_____ Preamble
_____ Table of contents for the rule
_____ Text of summary rule
_____ Economic, small business, and consumer impact statement
_____ Concise explanatory statement

2.

One (1) copy of:
_____ All written comments submitted by the public

POST-MEETING:
1.

_____ One (1) original letter identifying each change made

2.

Original plus three (3) packages, each assembled in the following order:
_____ Agency certificate
_____ Notice of Summary Rulemaking including:
_____

Preamble

_____

Table of contents for the rule

_____

Text of summary rule with Council

_____ Economic, small business, and consumer impact statement
_____ Concise explanatory statement
3.

One (1) original and one (1) copy of:
_____ Agency receipt

July 2002

Section 5 - Page 23

Arizona Rulemaking Manual

Section 5. Checklists

Governor’s Regulatory Review Council
1400 West Washington, Suite 270
Phoenix, AZ 85007
(602) 542-2058

CHECKLIST FOR SUBMISSION OF:
FIVE-YEAR-REVIEW REPORT
FOR:
AGENCY: ________________________________________________________________
DATE: ___________________________________________________________________
TO BE PLACED ON AGENDA:
TWO (2) copies of:
_____

Five-year-review report

_____

Rules being reviewed

_____

Authorizing statutes

BEFORE MEETING:
ELEVEN (11) copies of materials listed above.

Arizona Rulemaking Manual

Section 5 - Page 24

July 2002

Section 6. Administrative Procedure Act

Section 6
Administrative Procedure Act
ADMINISTRATIVE PROCEDURE ACT
Arizona Revised Statutes, Title 41, Chapter 6, Articles 1 through 10, as effective July 20, 2011.
A.R.S. § 41-1008.01 will automatically is repealed from and after September 30, 2016 (Laws 2011, Ch. 333, § 6).
Editor’s Note: The statutes printed here are not the official text of the Administrative Procedure Act; they are copied from the Arizona
Legislative Information Service web site, www.azleg.gov. The Administrative Procedure Act became effective January 1, 1995 and is updated
as of the date listed above.
§ 41-1035.

ARTICLE 1. GENERAL PROVISIONS
Section
§ 41-1001.
§ 41-1001.01.
§ 41-1002.
§ 41-1003.
§ 41-1004.
§ 41-1005.
§ 41-1006.

Definitions
Regulatory bill of rights
Applicability and relation to other law
Required rule making
Waiver
Exemptions
Employees providing agency assistance; identification and publication
§ 41-1007.
Award of costs and fees against a department in
administrative hearings; exceptions; definitions
§ 41-1008.
Fees; specific statutory authority
§ 41-1008.01. State agency fee commission; membership; duties;
report
§ 41-1009.
Inspections; applicability
§ 41-1010.
Complaints; public record
ARTICLE 2. PUBLICATION OF AGENCY RULES
Section
§ 41-1011.
§ 41-1012.
§ 41-1013.

Publication and distribution of code and register
Code; publication of rules; distribution
Register

Public rule making docket; notice
Permissive examples
State agencies; annual regulatory agenda
Notice of proposed rule making, amendment or
repeal; contents of notice
§ 41-1023.
Public participation; written statements; oral proceedings
§ 41-1024.
Time and manner of rule making
§ 41-1025.
Variance between rule and published notice of proposed rule
§ 41-1026.
Emergency rule making, amendment or repeal
§ 41-1026.01. Emergency adoption, amendment or termination of
delegation agreements; definition
§ 41-1027.
Summary rule making
§ 41-1028.
Incorporation by reference
§ 41-1029.
Agency rule making record
§ 41-1030.
Invalidity of rules not made according to this chapter; prohibited agency action
§ 41-1031.
Filing rules and preamble with secretary of state;
permanent record
§ 41-1032.
Effective date of rules
§ 41-1033.
Petition for a rule or review of a practice or policy
§ 41-1034.
Declaratory judgment
September 2011

ARTICLE 4. ATTORNEY GENERAL REVIEW OF RULE
MAKING
Section
§ 41-1044.

Attorney general review of certain exempt rules

ARTICLE 4.1. ADMINISTRATIVE RULES OVERSIGHT
COMMITTEE
Section
§ 41-1046.
§ 41-1047.
§ 41-1048.

Administrative rules oversight committee; membership; appointment; staffing; meetings
Committee review of rules; practices alleged to constitute rules; substantive policy statements
Committee review of duplicative or onerous statutes, rules, practices alleged to constitute rules and
substantive policy statements

ARTICLE 5. GOVERNOR’S REGULATORY REVIEW
COUNCIL
Section
§ 41-1051.

ARTICLE 3. RULE MAKING
Section
§ 41-1021.
§ 41-1021.01.
§ 41-1021.02.
§ 41-1022.

§ 41-1036.
§ 41-1037.

Rules affecting small businesses; reduction of rule
impact
Preamble; justifications for rule making
General permits; issuance of traditional permit

Governor’s regulatory review council; membership;
terms; compensation; powers
§ 41-1052.
Council review and approval
§ 41-1053.
Council review of summary rules
§ 41-1055.
Economic, small business and consumer impact
statement
§ 41-1056.
Review by agency
§ 41-1056.01. Impact statements; appeals
§ 41-1057.
Exemptions
ARTICLE 6. ADJUDICATIVE PROCEEDINGS
Section
§ 41-1061.
§ 41-1062.
§ 41-1063.
§ 41-1064.
§ 41-1065.
§ 41-1066.
§ 41-1067.

Section 6 - Page 1

Contested cases; notice; hearing; records
Hearings; evidence; official notice; power to require
testimony and records; rehearing
Decisions and orders
Licenses; renewal; revocation; suspension; annulment; withdrawal
Hearing on denial of license or permit
Compulsory
testimony;
privilege
against
self-incrimination
Applicability of article

Arizona Rulemaking Manual

Section 6. Administrative Procedure Act
ARTICLE 1. GENERAL PROVISIONS

ARTICLE 7. MILITARY ADMINISTRATIVE RELIEF
Section
§ 41-1071.

Military relief from administrative procedures; process

ARTICLE 7.1. LICENSING TIME FRAMES
Section
§ 41-1072.
§ 41-1073.
§ 41-1074.
§ 41-1075.
§ 41-1076.
§ 41-1077.
§ 41-1078.
§ 41-1079.

Definitions
Time frames; exception
Compliance with administrative completeness
review time frame
Compliance with substantive review time frame
Compliance with overall time frame
Consequence for agency failure to comply with
overall time frame; refund; penalty
Reporting; compliance with time frames
Information required to be provided

ARTICLE 7.2. LICENSING ELIGIBILITY
Section
41-1080.

Licensing eligibility; authorized presence; documentation; applicability; definitions

ARTICLE 8. DELEGATION OF FUNCTIONS,
POWERS, OR DUTIES
Section
§ 41-1081.
§ 41-1082.
§ 41-1083.
§ 41-1084.

Standards for delegation
Existing delegation agreements
No presumption of funding authority
Prohibition on subdelegation

ARTICLE 9. SUBSTANTIVE POLICY STATEMENTS
Section
§ 41-1091.

Substantive policy statements; directory

ARTICLE 10. UNIFORM ADMINISTRATIVE HEARING
PROCEDURES
Section
§ 41-1092.
Definitions
§ 41-1092.01. Office of administrative hearings; director; powers
and duties; fund
§ 41-1092.02. Appealable agency actions; application of procedural rules; exemption from article
§ 41-1092.03. Notice of appealable agency action or contested
case; hearing; informal settlement conference; applicability
§ 41-1092.04. Service of documents
§ 41-1092.05. Scheduling of hearings; prehearing conferences
§ 41-1092.06. Appeals of agency actions; informal settlement conferences; applicability
§ 41-1092.07. Hearings
§ 41-1092.08. Final administrative decisions; review
§ 41-1092.09. Rehearing or review
§ 41-1092.10. Compulsory
testimony;
privilege
against
self-incrimination
§ 41-1092.11. Licenses; renewal; revocation; suspension; annulment; withdrawal
§ 41-1092.12. Private right of action; recovery of costs and fees;
definitions

Arizona Rulemaking Manual

§ 41-1001.
Definitions
In this chapter, unless the context otherwise requires:
1. “Agency” means any board, commission, department,
officer or other administrative unit of this state, including
the agency head and one or more members of the agency
head or agency employees or other persons directly or
indirectly purporting to act on behalf or under the authority of the agency head, whether created under the Constitution of Arizona or by enactment of the legislature.
Agency does not include the legislature, the courts or the
governor. Agency does not include a political subdivision
of this state or any of the administrative units of a political subdivision, but does include any board, commission,
department, officer or other administrative unit created or
appointed by joint or concerted action of an agency and
one or more political subdivisions of this state or any of
their units. To the extent an administrative unit purports
to exercise authority subject to this chapter, an administrative unit otherwise qualifying as an agency must be
treated as a separate agency even if the administrative
unit is located within or subordinate to another agency.
2. “Code” means the Arizona administrative code.
3. “Committee” means the administrative rules oversight
committee.
4. “Contested case” means any proceeding, including rate
making, price fixing and licensing, in which the legal
rights, duties or privileges of a party are required or permitted by law, other than this chapter, to be determined by
an agency after an opportunity for an administrative hearing.
5. “Council” means the governor’s regulatory review council.
6. “Delegation agreement” means an agreement between an
agency and a political subdivision that authorizes the
political subdivision to exercise functions, powers or
duties conferred on the delegating agency by a provision
of law. Delegation agreement does not include intergovernmental agreements entered into pursuant to title 11,
chapter 7, article 3.
7. “Emergency rule” means a rule that is made pursuant to
section 41-1026.
8. “Fee” means a charge prescribed by an agency for an
inspection or for obtaining a license.
9. “Final rule” means any rule filed with the secretary of
state and made pursuant to an exemption from this chapter in section 41-1005, made pursuant to section 41-1026,
approved by the council pursuant to section 41-1052 or
41-1053 or approved by the attorney general pursuant to
section 41-1044. For purposes of judicial review, final
rule includes proposed summary rules having interim
effect pursuant to section 41-1027.
10. “General permit” means a regulatory permit, license or
agency authorization that is for facilities, activities or
practices in a class that are substantially similar in nature
and that is issued or granted by an agency to a qualified
applicant to conduct identified operations or activities if
the applicant meets the applicable requirements of the
general permit, that requires less information than an
individual or traditional permit, license or authorization
and that does not require a public hearing.
11. “License” includes the whole or part of any agency permit, certificate, approval, registration, charter or similar
form of permission required by law, but it does not
include a license required solely for revenue purposes.

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Section 6. Administrative Procedure Act
12. “Licensing” includes the agency process respecting the
grant, denial, renewal, revocation, suspension, annulment, withdrawal or amendment of a license.
13. “Party” means each person or agency named or admitted
as a party or properly seeking and entitled as of right to be
admitted as a party.
14. “Person” means an individual, partnership, corporation,
association, governmental subdivision or unit of a governmental subdivision, a public or private organization of
any character or another agency.
15. “Preamble” means:
(a) For any rule making subject to this chapter, a statement accompanying the rule that includes:
(i) Reference to the specific statutory authority for
the rule.
(ii) The name and address of agency personnel
with whom persons may communicate regarding the rule.
(iii) An explanation of the rule, including the
agency’s reasons for initiating the rule making.
(iv) A reference to any study relevant to the rule
that the agency reviewed and either proposes to
rely on in its evaluation of or justification for
the rule or proposes not to rely on in its evaluation of or justification for the rule, where the
public may obtain or review each study, all data
underlying each study and any analysis of each
study and other supporting material.
(v) The economic, small business and consumer
impact summary, or in the case of a proposed
rule, a preliminary summary and a solicitation
of input on the accuracy of the summary.
(vi) A showing of good cause why the rule is necessary to promote a statewide interest if the rule
will diminish a previous grant of authority of a
political subdivision of this state.
(vii) Such other matters as are prescribed by statute
and that are applicable to the specific agency or
to any specific rule or class of rules.
(b) In addition to the information set forth in subdivision (a) of this paragraph, for a proposed rule, the
preamble also shall include a list of all previous
notices appearing in the register addressing the proposed rule, a statement of the time, place and nature
of the proceedings for the making, amendment or
repeal of the rule and where, when and how persons
may request an oral proceeding on the proposed rule
if the notice does not provide for one.
(c) In addition to the information set forth in subdivision (a) of this paragraph, for a proposed summary
rule, the preamble also shall include a statement of
the time, place and nature of the proceedings for the
making, amendment or repeal of the rule and an
explanation of why summary proceedings are justified.
(d) For a final rule, except an emergency rule, the preamble also shall include, in addition to the information set forth in subdivision (a), the following
information:
(i) A list of all previous notices appearing in the
register addressing the final rule.
(ii) A description of the changes between the proposed rules, including supplemental notices
and final rules.
(iii) A summary of the comments made regarding
the rule and the agency response to them.
September 2011

16.

17.
18.

19.
20.

21.

22.

(iv) A summary of the council’s action on the rule.
(v) A statement of the rule’s effective date.
(e) In addition to the information set forth in subdivision (a) of this paragraph, for an emergency rule, the
preamble also shall include an explanation of the situation justifying the rule being made as an emergency rule, the date of the attorney general’s
approval of the rule and a statement of the emergency rule’s effective date.
“Provision of law” means the whole or a part of the federal or state constitution, or of any federal or state statute,
rule of court, executive order or rule of an administrative
agency.
“Register” means the Arizona administrative register.
“Rule” means an agency statement of general applicability that implements, interprets or prescribes law or policy,
or describes the procedure or practice requirements of an
agency. Rule includes prescribing fees or the amendment
or repeal of a prior rule but does not include intraagency
memoranda that are not delegation agreements.
“Rule making” means the process for formulation and
finalization of a rule.
“Small business” means a concern, including its affiliates, which is independently owned and operated, which
is not dominant in its field and which employs fewer than
one hundred full-time employees or which had gross
annual receipts of less than four million dollars in its last
fiscal year. For purposes of a specific rule, an agency may
define small business to include more persons if it finds
that such a definition is necessary to adapt the rule to the
needs and problems of small businesses and organizations.
“Substantive policy statement” means a written expression which informs the general public of an agency’s current approach to, or opinion of, the requirements of the
federal or state constitution, federal or state statute,
administrative rule or regulation, or final judgment of a
court of competent jurisdiction, including, where appropriate, the agency’s current practice, procedure or method
of action based upon that approach or opinion. A substantive policy statement is advisory only. A substantive policy statement does not include internal procedural
documents which only affect the internal procedures of
the agency and does not impose additional requirements
or penalties on regulated parties, confidential information
or rules made in accordance with this chapter.
“Summary rule” means a rule that is made pursuant to
section 41-1027.

§ 41-1001.01. Regulatory bill of rights
A. To ensure fair and open regulation by state agencies, a person:
1. Is eligible for reimbursement of fees and other expenses
if the person prevails by adjudication on the merits
against an agency in a court proceeding regarding an
agency decision as provided in section 12-348.
2. Is eligible for reimbursement of the person’s costs and
fees if the person prevails against any agency in an
administrative hearing as provided in section 41-1007.
3. Is entitled to have an agency not charge the person a fee
unless the fee for the specific activity is expressly authorized as provided in section 41-1008.
4. Is entitled to receive the information and notice regarding
inspections prescribed in section 41-1009.
5. May review the full text or summary of all rule making
activity, the summary of substantive policy statements

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Section 6. Administrative Procedure Act

6.

7.

8.

9.

10.

11.

12.
13.
14.

15.
16.

and the full text of executive orders in the register as provided in article 2 of this chapter.
May participate in the rule making process as provided in
articles 3, 4, 4.1 and 5 of this chapter, including:
(a) Providing written or oral comments on proposed
rules to an agency as provided in section 41-1023
and having the agency adequately address those
comments as provided in section 41-1052, subsection D.
(b) Filing an early review petition with the governor’s
regulatory review council as provided in article 5 of
this chapter.
(c) Providing written or oral comments on rules to the
governor’s regulatory review council during the
mandatory sixty-day comment period as provided in
article 5 of this chapter.
Is entitled to have an agency not base a licensing decision
in whole or in part on licensing conditions or requirements that are not specifically authorized by statute, rule
or state tribal gaming compact as provided in section 411030, subsection B.
Is entitled to have an agency not make a rule under a specific grant of rule making authority that exceeds the subject matter areas listed in the specific statute or not make
a rule under a general grant of rule making authority to
supplement a more specific grant of rule making authority as provided in section 41-1030, subsection C.
May allege that an existing agency practice or substantive
policy statement constitutes a rule and have that agency
practice or substantive policy statement declared void
because the practice or substantive policy statement constitutes a rule as provided in section 41-1033.
May file a complaint with the administrative rules oversight committee concerning:
(a) A rule’s, practice’s or substantive policy statement’s
lack of conformity with statute or legislative intent
as provided in section 41-1047.
(b) An existing statute, rule, practice alleged to constitute a rule or substantive policy statement that is
alleged to be duplicative or onerous as provided in
section 41-1048.
May have the person’s administrative hearing on contested cases and appealable agency actions heard by an
independent administrative law judge as provided in articles 6 and 10 of this chapter.
May have administrative hearings governed by uniform
administrative appeal procedures as provided in articles 6
and 10 of this chapter.
May have an agency approve or deny the person’s license
application within a predetermined period of time as provided in article 7.1 of this chapter.
Is entitled to receive written notice from an agency on
denial of a license application:
(a) That justifies the denial with references to the statutes or rules on which the denial is based as provided in section 41-1076.
(b) That explains the applicant’s right to appeal the
denial as provided in section 41-1076.
Is entitled to receive information regarding the license
application process at the time the person obtains an
application for a license as provided in section 41-1079.
May receive public notice and participate in the adoption
or amendment of agreements to delegate agency functions, powers or duties to political subdivisions as provided in section 41-1026.01 and article 8 of this chapter.

Arizona Rulemaking Manual

B.

17. May inspect all rules and substantive policy statements of
an agency, including a directory of documents, in the
office of the agency director as provided in section 411091.
18. May file a complaint with the office of the ombudsmancitizens aide to investigate administrative acts of agencies
as provided in chapter 8, article 5 of this title.
19. Unless specifically authorized by statute, may expect
state agencies to avoid duplication of other laws that do
not enhance regulatory clarity and to avoid dual permitting to the extent practicable as prescribed in section 411002.
The enumeration of the rights listed in subsection A of this
section does not grant any additional rights that are not prescribed in the sections referenced in subsection A of this section.

§ 41-1002.
Applicability and relation to other law
A. This article and articles 2 through 5 of this chapter apply to all
agencies and all proceedings not expressly exempted.
B. This chapter creates only procedural rights and imposes only
procedural duties. They are in addition to those created and
imposed by other statutes. To the extent that any other statute
would diminish a right created or duty imposed by this chapter, the other statute is superseded by this chapter, unless the
other statute expressly provides otherwise.
C. An agency may grant procedural rights to persons in addition
to those conferred by this chapter so long as rights conferred
on other persons by any provision of law are not substantially
prejudiced.
D. Unless specifically authorized by statute, an agency shall
avoid duplication of other laws that do not enhance regulatory
clarity and shall avoid dual permitting to the extent practicable.
§ 41-1003.
Required rule making
Each agency shall make rules of practice setting forth the nature
and requirements of all formal procedures available to the public.
§ 41-1004.
Waiver
Except to the extent precluded by another provision of law, a person
may waive any right conferred on that person by this chapter.
§ 41-1005.
Exemptions
A. This chapter does not apply to any:
1. Rule that relates to the use of public works, including
streets and highways, under the jurisdiction of an agency
if the effect of the order is indicated to the public by
means of signs or signals.
2. Order of the Arizona game and fish commission that
opens, closes or alters seasons or establishes bag or possession limits for wildlife.
3. Rule relating to section 28-641 or to any rule regulating
motor vehicle operation that relates to speed, parking,
standing, stopping or passing enacted pursuant to title 28,
chapter 3.
4. Rule concerning only the internal management of an
agency that does not directly and substantially affect the
procedural or substantive rights or duties of any segment
of the public.
5. Rule that only establishes specific prices to be charged
for particular goods or services sold by an agency.
6. Rule concerning only the physical servicing, maintenance
or care of agency owned or operated facilities or property.

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Section 6. Administrative Procedure Act
7.

B.

C.

D.

Rule or substantive policy statement concerning inmates
or committed youths of a correctional or detention facility
in secure custody or patients admitted to a hospital, if
made by the state department of corrections, the department of juvenile corrections, the board of executive clemency or the department of health services or a facility or
hospital under the jurisdiction of the state department of
corrections, the department of juvenile corrections or the
department of health services.
8. Form whose contents or substantive requirements are prescribed by rule or statute, and instructions for the execution or use of the form.
9. Capped fee-for-service schedule adopted by the Arizona
health care cost containment system administration pursuant to title 36, chapter 29.
10. Fees prescribed by section 6-125.
11. Order of the director of water resources adopting or modifying a management plan pursuant to title 45, chapter 2,
article 9.
12. Fees established under section 3-1086.
13. Fee-for-service schedule adopted by the department of
economic security pursuant to section 8-512.
14. Fees established under sections 41-2144 and 41-2189.
15. Rule or other matter relating to agency contracts.
16. Fees established under section 32-2067 or 32-2132.
17. Rules made pursuant to section 5-111, subsection A.
18. Rules made by the Arizona state parks board concerning
the operation of the Tonto natural bridge state park, the
facilities located in the Tonto natural bridge state park
and the entrance fees to the Tonto natural bridge state
park.
19. Fees or charges established under section 41-511.05.
20. Emergency medical services protocols except as provided
in section 36-2205, subsection C.
21. Fee schedules established pursuant to section 36-3409.
22. Procedures of the state transportation board as prescribed
in section 28-7048.
23. Rules made by the state department of corrections.
24. Fees prescribed pursuant to section 32-1527.
25. Rules made by the department of economic security pursuant to section 46-805.
26. Schedule of fees prescribed by section 23-908.
27. Procedure that is established pursuant to title 23, chapter
6, article 5 or 6.
28. Rules, administrative policies, procedures and guidelines
adopted for any purpose by the Arizona commerce
authority pursuant to chapter 10 of this title if the authority provides, as appropriate under the circumstances, for
notice of an opportunity for comment on the proposed
rules, administrative policies, procedures and guidelines.
29. Rules made by a marketing commission or marketing
committee pursuant to section 3-414.
Notwithstanding subsection A, paragraph 22 of this section, at
such time as the federal highway administration authorizes the
privatization of rest areas, the state transportation board shall
make rules governing the lease or license by the department of
transportation to a private entity for the purposes of privatization of a rest area.
Coincident with the making of a rule pursuant to an exemption
under this section, the agency shall file a copy of the rule with
the secretary of state for publication pursuant to section 411012.
Unless otherwise required by law, articles 2, 3, 4 and 5 of this
chapter do not apply to the Arizona board of regents and the
institutions under its jurisdiction, except that the Arizona
board of regents shall make policies or rules for the board and

September 2011

E.

F.

the institutions under its jurisdiction that provide, as appropriate under the circumstances, for notice of and opportunity for
comment on the policies or rules proposed.
Unless otherwise required by law, articles 2, 3, 4 and 5 of this
chapter do not apply to the Arizona state schools for the deaf
and the blind, except that the board of directors of all the state
schools for the deaf and the blind shall adopt policies for the
board and the schools under its jurisdiction that provide, as
appropriate under the circumstances, for notice of and opportunity for comment on the policies proposed for adoption.
Unless otherwise required by law, articles 2, 3, 4 and 5 of this
chapter do not apply to the state board of education, except
that the state board of education shall adopt policies or rules
for the board and the institutions under its jurisdiction that provide, as appropriate under the circumstances, for notice of and
opportunity for comment on the policies or rules proposed for
adoption. In order to implement or change any rule, the state
board of education shall provide at least two opportunities for
public comment.

§ 41-1006.
Employees providing agency assistance; identification and publication
Each state agency shall publish annually in the register, in the state
directory and in a telephone directory for Maricopa county the
name or names of those employees who are designated by the
agency to assist members of the public or regulated community in
seeking information or assistance from the agency.
§ 41-1007.
Award of costs and fees against a department in
administrative hearings; exceptions; definitions
A. Except as provided in section 42-2064, subsection G, a hearing
officer or administrative law judge shall award fees and other
costs to any prevailing party in a contested case or an appealable agency action brought pursuant to any state administrative hearing authority. For purposes of this subsection, a
person is considered to be a prevailing party only if both:
1. The agency’s position was not substantially justified.
2. The person prevails as to the most significant issue or set
of issues unless the reason that the person prevailed is due
to an intervening change in the law.
B. Reimbursement under this section may be denied if during the
course of the proceeding the party unduly and unreasonably
protracted the final resolution of the matter.
C. A party that seeks an award of fees or other costs shall apply to
the hearing officer or administrative law judge, within thirty
days after the final decision or order, providing:
1. Evidence of the party’s eligibility for the award.
2. The amount sought.
3. An itemized statement from the attorneys and experts
stating:
(a) The actual time spent representing the party.
(b) The rate at which the fees were computed.
D. The award of reasonable attorney fees pursuant to subsection
A of this section need not equal or relate to the attorney fees
actually paid or contracted, but an award may not exceed the
amount paid or agreed to be paid.
E. A decision of a hearing officer or administrative law judge
under this section is subject to judicial review. If fees and other
costs were denied by the hearing officer or administrative law
judge because the party was not the prevailing party but the
party prevails on appeal, the court may award fees and other
costs for the proceedings before the hearing officer or administrative law judge if the court finds that fees and other costs
should have been awarded under subsection A of this section.
F. The department shall pay the fees and costs awarded pursuant
to this section from any monies appropriated to the department

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Section 6. Administrative Procedure Act
and available for that purpose, or from other operating costs of
the department. If the department fails or refuses to pay the
award within thirty days after the demand, and if no further
review or appeals of the award are pending, the person may
file a claim for the award with the department of administration which shall pay the claim within thirty days in the same
manner as an uninsured property loss under chapter 3.1, article
1 of this title, except that the department shall be responsible
for the total amount awarded and shall pay it from operating
monies. If the department had appropriated monies available
for paying the award at the time it failed or refused to pay, the
legislature shall reduce the department’s operating appropriation for the following fiscal year by the amount of the award
and appropriate that amount to the department of administration as reimbursement for the loss.
G. This section does not apply to:
1. Any grievance and appeal procedure pursuant to title 36,
chapter 29.
2. Any appeal procedure pursuant to chapter 4, article 6 of
this title.
3. Any administrative appeal filed by an inmate in an Arizona state prison.
H. As used in this section:
1. “Department” includes a state agency, department, board
or commission, and the universities.
2. “Party” includes an individual, partnership, corporation,
association and public or private organization.
§ 41-1008.
Fees; specific statutory authority
A. Beginning on July 1, 1999, except as provided in subsection C,
an agency shall not:
1. Charge or receive a fee or make a rule establishing a fee
unless the fee for the specific activity is expressly authorized by statute or tribal state gaming compact.
2. Make a rule establishing a fee that is solely based on a
statute that generally authorizes an agency to recover its
costs or to accept gifts or donations.
B. Beginning on July 1, 1999, an agency shall identify the statute
or tribal state gaming compact that authorizes the fee on documents relating to collection of the fee.
C. An agency authorized by statute or tribal state gaming compact to conduct background checks may charge a fingerprint
fee without a statute expressly authorizing the fee.
§ 41-1008.01. State agency fee commission; membership;
duties; report (Rpld. 10/1/16)
A. The state agency fee commission is established consisting of
the following members:
1. Six members who are appointed by the governor, four
who are private sector professionals from diverse sectors
who represent entities that are licensed or permitted by
the state and two who are state agency executives.
2. Three members of the senate who are appointed by the
president of the senate, not more than two of whom are
members of the same political party.
3. Three members of the house of representatives who are
appointed by the speaker of the house of representatives,
not more than two of whom are members of the same
political party.
4. The director of the governor's office of strategic planning
and budgeting.
B. The governor shall appoint one member of the commission as
chairperson of the commission. Commission members serve at
the pleasure of that person's appointing officer and are not eligible to receive compensation or reimbursement of expenses.
C. The commission shall:

Arizona Rulemaking Manual

1.

D.
E.
F.
G.

Review all state agencies, except those exempted in the
commission bylaws, at least once in each five-year
period, beginning October 1, 2011 or whenever the commission deems necessary.
2. Establish a fee review process of state agencies.
3. Issue an annual, comprehensive report that includes all of
the following:
(a) An analysis of the fees assessed by each of the
reviewed agencies. The analysis shall include a
comparison of this state's agencies with other, similar agencies in other southwestern states as well as a
comparison with nationwide trends.
(b) An analysis of the methods used by agencies to set
fees.
(c) An analysis of the effects that fees currently have on
regulated industries, businesses or consumer groups
for each agency.
(d) An analysis of the long-term sustainability of the
regulated program based on all fund sources.
(e) A list of agencies to be reviewed in the following
year.
(f) An analysis of the effects recent budget reductions
and fund transfers have had on agencies.
At its first meeting, the commission shall adopt bylaws to govern issues related to the conduct of the commission business
and potential conflicts of interest.
Agencies selected for review by the commission shall cooperate with the commission and shall provide information as
requested by the commission.
The commission may use the services of the staff of the governor's office of strategic planning and budgeting as required.
On or before December 31, 2011, the commission shall submit
its first annual report to the governor, the president of the senate and the speaker of the house of representatives. The commission shall provide a copy of the report to the secretary of
state.

§ 41-1009.
Inspections; applicability
A. An agency inspector or regulator who enters any premises of a
regulated person for the purpose of conducting an inspection
shall:
1. Present photo identification on entry of the premises.
2. On initiation of the inspection, state the purpose of the
inspection and the legal authority for conducting the
inspection.
3. Disclose any applicable inspection fees.
4. Afford an opportunity to have an authorized on-site representative of the regulated person accompany the agency
inspector or regulator on the premises, except during confidential interviews.
5. Provide notice of the right to have on request:
(a) Copies of any original documents taken by the
agency during the inspection if the agency is permitted by law to take original documents.
(b) A split of any samples taken during the inspection if
the split of any samples would not prohibit an analysis from being conducted or render an analysis
inconclusive.
(c) Copies of any analysis performed on samples taken
during the inspection.
(d) Copies of any documents to be relied on to determine compliance with licensure or regulatory
requirements if the agency is otherwise permitted by
law to do so.

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6.

B.

C.

D.

E.

F.

G.

Inform each person whose conversation with the agency
inspector or regulator during the inspection is tape
recorded that the conversation is being tape recorded.
7. Inform each person interviewed during the inspection that
statements made by the person may be included in the
inspection report.
On initiation of an inspection of any premises of a regulated
person, an agency inspector or regulator shall provide the following in writing:
1. The rights described in subsection A of this section.
2. The name and telephone number of a contact person
available to answer questions regarding the inspection.
3. The due process rights relating to an appeal of a final
decision of an agency based on the results of the inspection, including the name and telephone number of a person to contact within the agency and any appropriate state
government ombudsman.
An agency inspector or regulator shall obtain the signature of
the regulated person or on-site representative of the regulated
person on the writing prescribed in subsection B of this section
indicating that the regulated person or on-site representative of
the regulated person has read the writing prescribed in subsection B of this section and is notified of the regulated person's
or on-site representative of the regulated person's inspection
and due process rights. The agency shall maintain a copy of
this signature with the inspection report and shall leave a copy
with the regulated person or on-site representative of the regulated person. If a regulated person or on-site representative of
the regulated person is not at the site or refuses to sign the
writing prescribed in subsection B of this section, the agency
inspector or regulator shall note that fact on the writing prescribed in subsection B of this section.
An agency that conducts an inspection shall give a copy of the
inspection report to the regulated person or on-site representative of the regulated person either:
1. At the time of the inspection.
2. Notwithstanding any other state law, within thirty working days after the inspection.
3. As otherwise required by federal law.
The inspection report shall contain deficiencies identified during an inspection. Unless otherwise provided by law, the
agency may provide the regulated person an opportunity to
correct the deficiencies unless the agency determines that the
deficiencies are:
1. Committed intentionally.
2. Not correctable within a reasonable period of time as
determined by the agency.
3. Evidence of a pattern of noncompliance.
4. A risk to any person, the public health, safety or welfare
or the environment.
If the agency allows the regulated person an opportunity to
correct the deficiencies pursuant to subsection E of this section, the regulated person shall notify the agency when the
deficiencies have been corrected. Within thirty days of receipt
of notification from the regulated person that the deficiencies
have been corrected, the agency shall determine if the regulated person is in substantial compliance and notify the regulated person whether or not the regulated person is in
substantial compliance. If the regulated person fails to correct
the deficiencies or the agency determines the deficiencies have
not been corrected within a reasonable period of time, the
agency may take any enforcement action authorized by law for
the deficiencies.
For agencies with authority under title 49, if the agency does
not allow the regulated person an opportunity to correct deficiencies pursuant to subsection E of this section, on the request

September 2011

H.
I.

J.

K.

L.
M.

N.
O.

of the regulated person, the agency shall provide a written
explanation of the reason that an opportunity to correct was
not allowed.
An agency decision pursuant to subsection E or F of this section is not an appealable agency action.
At least once every month after the commencement of the
inspection an agency shall provide a regulated person with an
update on the status of any agency action resulting from an
inspection of the regulated person. An agency is not required
to provide an update after the regulated person is notified that
no agency action will result from the agency inspection or
after the completion of agency action resulting from the
agency inspection.
For agencies with authority under title 49, if, as a result of an
inspection or any other investigation, an agency alleges that a
regulated person is not in compliance with licensure or other
applicable regulatory requirements, the agency shall provide
written notice of that allegation to the regulated person. The
notice shall contain the following information:
1. A citation to the statute, regulation, license or permit condition on which the allegation of noncompliance is based,
including the specific provisions in the statute, regulation,
license or permit condition that are alleged to be violated.
2. Identification of any documents relied on as a basis for
the allegation of noncompliance.
3. An explanation stated with reasonable specificity of the
regulatory and factual basis for the allegation of noncompliance.
4. Instructions for obtaining a timely opportunity to discuss
the alleged violation with the agency.
Subsection J of this section applies only to inspections necessary for the issuance of a license or to determine compliance
with licensure or other regulatory requirements. Subsection J
of this section does not apply to an action taken pursuant to
section 11-871, 11-876, 11-877, 49-457.01, 49-457.03 or 49474.01. Issuance of a notice under subsection J of this section
is not a prerequisite to otherwise lawful agency actions seeking an injunction or issuing an order if the agency determines
that the action is necessary on an expedited basis to abate an
imminent and substantial endangerment to public health or the
environment and documents the basis for that determination in
the documents initiating the action.
This section does not authorize an inspection or any other act
that is not otherwise authorized by law.
Except as otherwise provided in subsection K of this section,
this section applies only to inspections necessary for the issuance of a license or to determine compliance with licensure or
other regulatory requirements applicable to a licensee. This
section does not apply:
1. To criminal investigations, investigations under tribal
state gaming compacts and undercover investigations that
are generally or specifically authorized by law.
2. If the inspector or regulator has reasonable suspicion to
believe that the regulated person may be engaged in criminal activity.
3. To the Arizona peace officer standards and training board
established by section 41-1821.
If an inspector or regulator gathers evidence in violation of this
section, the violation may be a basis to exclude the evidence in
a civil or administrative proceeding.
Failure of an agency, board or commission employee to comply with this section:
1. Constitutes cause for disciplinary action or dismissal of
an employee.

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Section 6. Administrative Procedure Act
2.

Shall be considered by the judge and administrative law
judge as grounds for reduction of any fine or civil penalty.
P. An agency may make rules to implement subsection A, paragraph 5 of this section.
Q. Nothing in this section shall be used to exclude evidence in a
criminal proceeding.

B.

§ 41-1010.
Complaints; public record
Notwithstanding any other law, a person shall disclose the person’s
name during the course of reporting an alleged violation of law or
rule. During the course of an investigation or enforcement action,
the name of the complainant shall be a public record unless the
affected agency determines that the release of the complainant’s
name may result in substantial harm to any person or to the public
health or safety.
ARTICLE 2. PUBLICATION OF AGENCY RULES
§ 41-1011.
Publication and distribution of code and register
A. The secretary of state is responsible for the publication and
distribution of the code and the register.
B. The secretary of state shall prescribe a uniform numbering system, form and style for all rules filed with and published by
that office. The secretary of state shall reject rules if they are
not in compliance with the prescribed numbering system, form
and style.
C. The secretary of state shall prepare, arrange and correlate all
rules and other text as necessary for the publication of the code
and the register. The secretary of state may not alter the sense,
meaning or effect of any rule but may renumber rules and parts
of rules, rearrange rules, change reference numbers to agree
with renumbered rules and parts of rules, substitute the proper
rule number for “the preceding rule” and similar terms, delete
figures if they are merely a repetition of written words, change
capitalization for the purpose of uniformity and correct manifest clerical or typographical errors. With the consent of the
attorney general the secretary of state may remove from the
code a provision of a rule that a court of final appeal declares
unconstitutional or otherwise invalid and a rule made by an
agency that is abolished if the rule is not transferred to a successor agency.
§ 41-1012.
Code; publication of rules; distribution
A. The code shall contain the full text of each final rule filed with
the secretary of state and each rule made pursuant to a statutory exemption from the applicability of this chapter.
B. The secretary of state shall publish, in loose-leaf form, at least
once every quarter all final rules and rules made pursuant to a
statutory exemption from the applicability of this chapter. Publication of a rule by the secretary of state as provided in this
section constitutes prima facie evidence of the making and filing of the rule pursuant to this chapter or the making of the
rule pursuant to a statutory exemption from the applicability of
this chapter.
C. The secretary of state may contract for the printing of the code
on terms most advantageous to this state.
D. The code shall be available by subscription and for single copy
purchase. The charge for each code or periodic subscription
shall be a reasonable charge, not to exceed all costs of production and distribution of the code.
§ 41-1013.
Register
A. The secretary of state shall publish the register at least once
each month, including the information which is provided

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C.

D.

under subsection B of this section and which is filed with the
secretary of state during the preceding thirty days. The secretary of state shall publish an index to the register at least twice
each year.
The register shall contain:
1. A schedule of the time, date and place of all hearings on
proposed repeals, makings or amendments of rules.
2. Each governor’s executive order.
3. Each governor’s proclamation of general applicability,
and each statement filed by the governor in granting a
commutation, pardon or reprieve or stay or suspension of
execution where a sentence of death is imposed.
4. A summary of each attorney general’s opinion.
5. Each governor’s appointment of state officials and board
and commission members.
6. A table of contents.
7. The notice and agency summary of each docket opening.
8. The full text and accompanying preamble of each proposed rule.
9. The full text and accompanying preamble of each final
rule.
10. The full text and accompanying preamble of each emergency rule.
11. Supplemental notices of a proposed rule or summary rule.
12. A summary of council action on each rule.
13. The full text of any exempt final rule filed with the secretary of state pursuant to section 41-1005, subsection C.
14. The identification and a summary of substantive policy
statements and notice and a summary of any guidance
document publication or revision submitted by an agency.
15. Notices of oral proceedings, public workshops or other
meetings on an open rule making docket.
The register shall be available by subscription and for single
copy purchase. The charge for each register or periodic subscription shall be a reasonable charge, not to exceed all costs
of production and distribution of the register.
For purposes of this section, full text publication in the register
includes all new, amended or added language and such existing language as the proposing agency deems necessary for a
proper understanding of the proposed rule. Rules that are
undergoing extensive revision may be reprinted in whole.
Existing rule language not required for understanding shall be
omitted and marked “no change”.
ARTICLE 3. RULE MAKING

§ 41-1021.
Public rule making docket; notice
A. Each agency shall establish and maintain a current, public rule
making docket for each pending rule making proceeding. A
rule making proceeding is pending from the time the agency
begins to consider proposing the rule under section 41-1022
until any one of the following occurs:
1. The time the rule making proceeding is terminated by the
agency indicating in the rule making docket that the
agency is no longer actively considering proposing the
rule.
2. One year after the notice of rule making docket opening
is published in the register if the agency has not filed a
notice of the proposed rule making with the secretary of
state pursuant to section 41-1022.
3. The rule becomes effective.
4. One year after the notice of the proposed rule making is
published in the register if the agency has not submitted
the rule to the council for review and approval.
5. Publication of a notice of termination.

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Section 6. Administrative Procedure Act
B.

C.

D.

For each rule making proceeding, the docket shall indicate all
of the following:
1. The subject matter of the proposed rule.
2. A citation to all published notices relating to the proceeding.
3. The name and address of agency personnel with whom
persons may communicate regarding the rule.
4. Where written submissions on the proposed rule may be
inspected.
5. The time during which written submissions may be made
and the time and place where oral comments may be
made.
6. Where a copy of the economic, small business and consumer impact statement and the minutes of the pertinent
council meeting may be inspected.
7. The current status of the proposed rule.
8. Any known timetable for agency decisions or other action
in the proceeding.
9. The date the rule was sent to the council.
10. The date of the rule’s filing and publication.
11. The date the rule was approved by the council.
12. When the rule will become effective.
The agency shall provide public notice of the establishment of
a rule making docket by causing a notice of docket opening to
be published in the register, including the information set forth
in subsection B, paragraphs 1, 2, 3, 5 and 8 of this section.
An agency may appoint formal advisory committees to comment, before publication of a notice of proposed rule making
under section 41-1022, on the subject matter of a possible rule
making under active consideration within the agency. The
membership of these committees shall be published at the time
of formation and annually thereafter in the register. Members
of these committees are not eligible to receive compensation
except as otherwise provided by law.

§ 41-1021.01. Permissive examples
An agency may include a diagram, example, table, chart or formula
in a rule, preamble, economic impact, small business and consumer
impact statement or concise explanatory statement to the extent that
it assists in making the document understandable by the persons
affected by the rule.
§ 41-1021.02. State agencies; annual regulatory agenda
A. On or before December 1 of each year, each agency, except for
a self-supporting regulatory board as defined in section 411092, shall prepare and make available to the public the regulatory agenda that the agency expects to follow during the next
calendar year.
B. The regulatory agenda shall include all of the following:
1. A notice of docket openings.
2. A notice of any proposed rule making, including potential
sources of federal funding for each proposed rule making.
3. A review of existing rules.
4. A notice of a final rule making.
C. The regulatory agenda shall also provide for the following
information:
1. Any rule making terminated during the current calendar
year.
2. Any privatization option and nontraditional regulatory
approach being considered by the agency.
D. This section does not prohibit an agency from undertaking any
rule making action even if that action has not been included in
the agency’s annual regulatory agenda.

September 2011

§ 41-1022.
Notice of proposed rule making, amendment or
repeal; contents of notice
A. Before rule making, amendment or repeal, the agency shall file
a notice of the proposed action with the secretary of state. The
notice shall include:
1. The preamble.
2. The exact wording of the rule.
B. The secretary of state shall include in the next edition of the
register the information in the notice under subsection A of
this section.
C. At the same time the agency files a notice of the proposed rule
making with the secretary of state, the agency shall notify by
regular mail, telefacsimile or electronic mail each person who
has made a timely request to the agency for notification of the
proposed rule making and to each person who has requested
notification of all proposed rule makings. An agency may provide the notification prescribed in this subsection in a periodic
agency newsletter. An agency may purge its list of persons
requesting notification of proposed rule makings once each
year.
D. Before commencing any proceedings for rule making, amendment or repeal, an agency shall allow at least thirty days to
elapse after the publication date of the register in which the
notice of the proposed rule making, amendment or repeal is
contained.
E. If, as a result of public comments or internal review, an agency
determines that a proposed rule requires substantial change
pursuant to section 41-1025, the agency shall issue a supplemental notice containing the changes in the proposed rule. The
agency shall provide for additional public comment pursuant
to section 41-1023.
§ 41-1023.
Public participation; written statements; oral
proceedings
A. After providing notice of docket openings, an agency may
meet informally with any interested party for the purpose of
discussing the proposed rule making action. The agency may
solicit comments, suggested language or other input on the
proposed rule. The agency may publish notice of these meetings in the register.
B. For at least thirty days after publication of the notice of the
proposed rule making, an agency shall afford persons the
opportunity to submit in writing statements, arguments, data
and views on the proposed rule, with or without the opportunity to present them orally.
C. An agency shall schedule an oral proceeding on a proposed
rule if, within thirty days after the published notice of proposed rule making, a written request for an oral proceeding is
submitted to the agency personnel listed pursuant to section
41-1021, subsection B.
D. An oral proceeding on a proposed rule may not be held earlier
than thirty days after notice of its location and time is published in the register. The agency shall determine a location
and time for the oral proceeding which affords a reasonable
opportunity to persons to participate. The oral proceeding shall
be conducted in a manner that allows for adequate discussion
of the substance and the form of the proposed rule, and persons may ask questions regarding the proposed rule and
present oral argument, data and views on the proposed rule.
E. The agency, a member of the agency or another presiding
officer designated by the agency shall preside at an oral proceeding on a proposed rule. If the agency does not preside, the
presiding official shall prepare a memorandum for consideration by the agency summarizing the contents of the presentations made at the oral proceeding. Oral proceedings must be

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Section 6. Administrative Procedure Act

F.

open to the public and recorded by stenographic or other
means.
Each agency may make rules for the conduct of oral rule making proceedings. Those rules may include provisions calculated to prevent undue repetition in the oral proceedings.

§ 41-1024.
Time and manner of rule making
A. An agency may not submit a rule to the council until the rule
making record is closed.
B. Within one hundred twenty days after the close of the record
on the proposed rule making, an agency shall take one of the
following actions:
1. Submit the rule to the council, or, if the rule is exempt
pursuant to section 41-1057, to the attorney general.
2. Terminate the proceeding by publication of a notice to
that effect in the register.
C. Before submitting a rule to the council or the attorney general,
an agency shall consider the written submissions, the oral submissions or any memorandum summarizing oral submissions
and the economic, small business and consumer impact statement regarding the rule or information in the preamble.
D. Within the scope of its delegated authority, an agency may use
its own experience, technical competence, specialized knowledge and judgment in the making of a rule.
E. Unless exempted by section 41-1005 or 41-1057 or unless the
rule is an emergency rule made pursuant to section 41-1026, if
the agency chooses to make the rule, the agency shall submit a
rule package to the council and to the committee. The rule
package shall include:
1. The preamble.
2. The exact words of the rule, including existing language
and any deletions.
3. The economic, small business and consumer impact
statement.
F. If the rule is exempt pursuant to section 41-1005, the agency
shall file it as a final rule with the secretary of state.
G. If the rule is exempt from council approval, pursuant to section
41-1057, the agency shall submit the rule package set forth in
subsection E of this section to the attorney general for
approval pursuant to section 41-1044.
H. An agency shall not file a final rule with the secretary of state
without prior approval from the council, unless the final rule is
exempted pursuant to section 41-1005 or 41-1057 or the rule is
an emergency rule made pursuant to section 41-1026 or a summary proposed rule made pursuant to section 41-1027.
§ 41-1025.
Variance between rule and published notice of
proposed rule
A. An agency may not submit a rule to the council that is substantially different from the proposed rule contained in the notice
of proposed rule making or a supplemental notice filed with
the secretary of state pursuant to section 41-1022. However, an
agency may terminate a rule making proceeding and commence a new rule making proceeding for the purpose of making a substantially different rule.
B. In determining whether a rule is substantially different from
the published proposed rule on which it is required to be
based, all of the following must be considered:
1. The extent to which all persons affected by the rule
should have understood that the published proposed rule
would affect their interests.
2. The extent to which the subject matter of the rule or the
issues determined by that rule are different from the subject matter or issues involved in the published proposed
rule.

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3.

The extent to which the effects of the rule differ from the
effects of the published proposed rule if it had been made
instead.

§ 41-1026.
Emergency rule making, amendment or repeal
A. If an agency makes a finding that a rule is necessary as an
emergency measure, the rule may be made, amended or
repealed as an emergency measure, without the notice prescribed by sections 41-1021 and 41-1022 and prior review by
the council, if the rule is first approved by the attorney general
and filed with the secretary of state. The attorney general may
not approve the making, amendment or repeal of a rule as an
emergency measure if the emergency situation is created due
to the agency’s delay or inaction and the emergency situation
could have been averted by timely compliance with the notice
and public participation provisions of this chapter, unless the
agency submits substantial evidence that the rule is necessary
as an emergency measure to do any of the following:
1. Protect the public health, safety or welfare.
2. Comply with deadlines in amendments to an agency’s
governing law or federal programs.
3. Avoid violation of federal law or regulation or other state
law.
4. Avoid an imminent budget reduction.
5. Avoid serious prejudice to the public interest or the interest of the parties concerned.
B. Within sixty days of receipt, the attorney general shall review
the demonstration of emergency and the rule in accordance
with the standards prescribed in section 41-1044.
C. After the rule is filed with the secretary of state, the secretary
of state shall publish the rule in the register as provided in section 41-1013.
D. A rule made, amended or repealed pursuant to this section is
valid for one hundred eighty days after the filing of the rule
with the secretary of state and may be renewed for one more
one hundred eighty day period if all of the following occur:
1. The agency determines that the emergency situation still
exists.
2. The agency follows the procedures prescribed in this section.
3. The rule is approved by the attorney general pursuant to
this section.
4. The agency has issued the rule as a proposed rule or has
issued an alternative proposed rule pursuant to section
41-1022.
5. The agency seeks approval of the renewal from the attorney general before the expiration of the preceding one
hundred eighty day period.
6. The agency files notice of the renewal and any required
attorney general approval with the secretary of state and
notice is published in the register.
E. A rule that is made pursuant to this chapter and that replaces a
rule made, amended or repealed pursuant to this section shall
expressly repeal the rule replaced if it has not expired.
§ 41-1026.01. Emergency adoption, amendment or termination of delegation agreements; definition
A. If a delegating agency makes a written finding that a delegation agreement is necessary as an emergency measure, the delegation agreement may be adopted, amended or terminated as
an emergency measure, without complying with the public
notice and participation provisions of this article. An agency
may not adopt, amend or terminate a delegation agreement as
an emergency measure if the emergency situation is created
due to the agency’s delay or inaction and the emergency situation could have been averted by timely compliance with the

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B.

C.

D.

public notice and participation provisions of this article, unless
the agency can present substantial evidence that failure to
adopt, amend or terminate the delegation agreement as an
emergency measure will result in imminent substantial peril to
the public health, safety or welfare.
The agency shall file with the secretary of state a summary of
the emergency delegation agreement. The summary shall provide the name of the person to contact in the agency with questions or comments. The secretary of state shall publish the
summary in the next register.
The delegation agreement adopted, amended or terminated
pursuant to this section is valid for one hundred eighty days
after the filing of the agreement with the secretary of state and
may be renewed for one or two more one hundred eighty day
periods if all of the following occur:
1. The agency determines that the emergency situation still
exists for each renewal.
2. The agency follows the procedures prescribed by this section for each renewal.
3. The agency has begun the public comment and participation process required by this section.
4. The agency makes a finding for an extension of time
before the expiration of the preceding one hundred and
eighty day period.
5. The agency files notice of the renewal with the secretary
of state and notice is published in the register.
For purposes of this section, “emergency” means a situation
which warrants the adoption of a delegation agreement without compliance with the public notice and participation provisions prescribed in this article because the adoption,
amendment or termination of the delegation agreement is necessary for immediate preservation of the public health, safety
or welfare, and the public notice and participation requirements of this article are impracticable.

§ 41-1027.
Summary rule making
A. An agency may use the summary rule making procedure set
forth in this section in place of the rule making procedure set
forth in sections 41-1021 through 41-1024 for the following
actions:
1. Repeals of rules made obsolete by repeal or supersession
of an agency’s statutory authority.
2. Making, amendment and repeal of rules that repeat verbatim existing statutory authority granted to the agency.
3. Repeal of other obsolete rules or rules deemed by the
agency to be ineffective as long as the repeal does not
increase the cost of compliance or reduce procedural
rights of the persons regulated.
B. An agency shall initiate summary rule making by filing the
proposed summary rule with the council and the secretary of
state for publication in the next register. The notice filed with
the secretary of state shall include the preamble.
C. The agency shall forward copies of the notice filed with the
secretary of state pursuant to subsection B of this section to the
council.
D. The proposed summary rule takes interim effect on the date of
publication in the register.
E. Within ninety days after publication in the register, after consideration of any comments, the agency shall submit to the
council a summary rule, preamble, concise explanatory statement and economic, small business and consumer impact
statement.
F. The summary rule making procedures of this section are not
available for rules exempted from council approval pursuant to
section 41-1057.
September 2011

§ 41-1028.
Incorporation by reference
A. An agency may incorporate by reference in its rules, and without publishing the incorporated matter in full, all or any part of
a code, standard, rule or regulation of an agency of the United
States or of this state or a nationally recognized organization
or association, if incorporation of its text in agency rules
would be unduly cumbersome, expensive or otherwise inexpedient.
B. The reference in the agency rules shall fully identify the incorporated matter by location, date and otherwise and shall state
that the rule does not include any later amendments or editions
of the incorporated matter.
C. An agency may incorporate by reference such matter in its
rules only if the agency, organization or association originally
issuing that matter makes copies of it readily available to the
public for inspection and reproduction.
D. The rules shall state where copies of the incorporated matter
are available from the agency issuing the rule and from the
agency of the United States or this state or the organization or
association originally issuing the matter.
E. An agency may incorporate later amendments or editions of
the incorporated matter only after compliance with the rule
making requirements of this chapter.
§ 41-1029.
Agency rule making record
A. An agency shall maintain an official rule making record for
each rule it proposes by publication in the register of a notice
of proposed rule making and each final rule filed in the office
of the secretary of state. The record and matter incorporated by
reference must be available for public inspection.
B. The agency rule making record shall contain all of the following:
1. A copy of the notice initially filed in the office of the secretary of state.
2. Copies of all publications in the register with respect to
the rule or the proceeding on which the rule is based.
3. Copies of any portions of the agency’s rule making
docket containing entries relating to the rule or the proceeding on which the rule is based.
4. All written petitions, requests, submissions and comments received by the agency and all other written materials considered or prepared by the agency in connection
with the rule or the proceeding on which the rule is based.
5. Any official transcript of oral presentations made in the
proceeding on which the rule is based, or if not transcribed, any tape recording or stenographic record of
those presentations, and any memorandum prepared by a
presiding official summarizing the contents of those presentations.
6. A copy of all materials submitted to the council, including the economic, small business and consumer impact
statement and the minutes of the council meeting at
which the rule was reviewed.
7. A copy of the final rule and preamble.
8. Information requested regarding the experience, technical
competence, specialized knowledge and judgment of an
agency if the agency relies on section 41-1024, subsection D in the making of a rule and a request is made.
C. On judicial review, the record required by this section constitutes the official agency rule making record with respect to a
rule. Except as provided in section 41-1036 or otherwise
required by a provision of law, the agency rule making record
need not constitute the exclusive basis for agency action on
that rule or for judicial review of that rule.

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§ 41-1030.
Invalidity of rules not made according to this
chapter; prohibited agency action
A. A rule is invalid unless it is made and approved in substantial
compliance with sections 41-1021 through 41-1029 and articles 4, 4.1 and 5 of this chapter, unless otherwise provided by
law.
B. An agency shall not base a licensing decision in whole or in
part on a licensing requirement or condition that is not specifically authorized by statute, rule or state tribal gaming compact.
A general grant of authority in statute does not constitute a
basis for imposing a licensing requirement or condition unless
a rule is made pursuant to that general grant of authority that
specifically authorizes the requirement or condition.
C. An agency shall not:
1. Make a rule under a specific grant of rule making authority that exceeds the subject matter areas listed in the specific statute authorizing the rule.
2. Make a rule under a general grant of rule making authority to supplement a more specific grant of rule making
authority.
§ 41-1031.
Filing rules and preamble with secretary of state;
permanent record
A. Following the filing of a rule made pursuant to an exemption
to this chapter or following approval and filing of a rule and
preamble and an economic, small business and consumer
impact statement by the council as provided in article 5 of this
chapter or by the attorney general as provided in article 4 of
this chapter, the secretary of state shall affix to each rule document, preamble and economic, small business and consumer
impact statement the time and date of filing. A rule is not final
until the secretary of state affixes the time and date of filing to
the rule document as provided in this section.
B. The secretary of state shall keep a permanent record of rules,
preambles and economic, small business and consumer impact
statements filed with the office.
§ 41-1032.
Effective date of rules
A. A rule becomes effective sixty days after a certified original
and two copies of the rule and preamble are filed in the office
of the secretary of state and the time and date are affixed as
provided in section 41-1031, unless the rule making agency
includes in the preamble information that demonstrates that
the rule needs to be effective immediately on filing in the
office of the secretary of state and the time and date are affixed
as provided in section 41-1031. A rule may only be effective
immediately for any of the following reasons:
1. To preserve the public peace, health or safety.
2. To avoid a violation of federal law or regulation or state
law, if the need for an immediate effective date is not created due to the agency’s delay or inaction.
3. To comply with deadlines in amendments to an agency’s
governing statute or federal programs, if the need for an
immediate effective date is not created due to the
agency’s delay or inaction.
4. To provide a benefit to the public and a penalty is not
associated with a violation of the rule.
5. To adopt a rule that is less stringent than the rule that is
currently in effect and that does not have an impact on the
public health, safety, welfare or environment, or that does
not affect the public involvement and public participation
process.
B. Notwithstanding subsection A of this section, a rule making
agency may specify an effective date more than sixty days
after the filing of the rule in the office of the secretary of state

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C.

if the agency determines that good cause exists for and the
public interest will not be harmed by the later date.
This section does not affect the validity of an existing rule
until the new or amended rule that is filed with the secretary of
state is effective pursuant to this section.

§ 41-1033.
Petition for a rule or review of a practice or policy
A. Any person, in a manner and form prescribed by the agency,
may petition an agency requesting the making of a final rule or
a review of an existing agency practice or substantive policy
statement that the petitioner alleges to constitute a rule. The
petition shall clearly state the rule, agency practice or substantive policy statement which the person wishes the agency to
make or review. Within sixty days after submission of a petition, the agency shall either deny the petition in writing, stating its reasons for denial, initiate rule making proceedings in
accordance with this chapter or, if otherwise lawful, make a
rule.
B. A person may appeal to the council the agency’s final decision
within thirty days after the agency gives written notice pursuant to subsection A. The appeal shall be limited to whether an
existing agency practice or substantive policy statement constitutes a rule. The council shall place this appeal on the
agenda of its next meeting if at least three council members
make such a request of the council chairman within two weeks
after the filing of the appeal.
C. An agency practice or substantive policy statement appealed to
and considered by the council pursuant to this section shall
remain in effect while under consideration of the council. If
the council ultimately decides the agency practice or statement
constitutes a rule, the practice or statement shall be considered
void.
D. A decision by the agency pursuant to this section is not subject
to judicial review, except that, in addition to the procedure prescribed in this section or in lieu of the procedure prescribed in
this section, a person may seek declaratory relief pursuant to
section 41-1034.
§ 41-1034.
Declaratory judgment
A. Any person who is or may be affected by a rule may obtain a
judicial declaration of the validity of the rule by filing an
action for declaratory relief in the superior court in Maricopa
county in accordance with title 12, chapter 10, article 2.
B. Any person who is or may be affected by an existing agency
practice or substantive policy statement that the person alleges
to constitute a rule may obtain a judicial declaration on
whether the practice or substantive policy statement constitutes a rule by filing an action for declaratory relief in the
superior court in Maricopa county in accordance with title 12,
chapter 10, article 2.
§ 41-1035.
Rules affecting small businesses; reduction of
rule impact
If an agency proposes a new rule or an amendment to an existing
rule which may have an impact on small businesses, the agency
shall consider each of the methods described in this section for
reducing the impact of the rule making on small businesses. The
agency shall reduce the impact by using one or more of the following methods, if it finds that the methods are legal and feasible in
meeting the statutory objectives which are the basis of the proposed
rule making:
1. Establish less stringent compliance or reporting requirements in the rule for small businesses.

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Section 6. Administrative Procedure Act
2.
3.
4.
5.

Establish less stringent schedules or deadlines in the rule
for compliance or reporting requirements for small businesses.
Consolidate or simplify the rule’s compliance or reporting requirements for small businesses.
Establish performance standards for small businesses to
replace design or operational standards in the rule.
Exempt small businesses from any or all requirements of
the rule.

§ 41-1036.
Preamble; justifications for rule making
Only the reasons contained in the preamble may be used by any
party as justifications for the making of the rule in any proceeding
in which its validity is at issue.
§ 41-1037.
General permits; issuance of traditional permit
A. If an agency proposes a new rule or an amendment to an existing rule that requires the issuance of a regulatory permit,
license or agency authorization, the agency shall use a general
permit if the facilities, activities or practices in the class are
substantially similar in nature unless any of the following
applies:
1. A general permit is prohibited by federal law.
2. The issuance of an alternative type of permit, license or
authorization is specifically authorized by state statute.
3. The issuance of a general permit is not technically feasible or would not meet the applicable statutory requirements.
4. The issuance of a general permit would result in additional regulatory requirements or costs being placed on
the permit applicant.
5. The permit, license or authorization is issued pursuant to
section 8-126, 8-503, 8-505, 23-504, 36-592, 36-594.01,
36-595, 36-595.03, 36-596, 36-596.54, 41-1967.01 or 46807.
6. The permit, license or authorization is issued pursuant to
title V of the clean air act.
B. The agency retains the authority to revoke an applicant’s ability to operate under a general permit and to require the applicant to obtain a traditional permit if the applicant is in
substantial noncompliance with the applicable requirements
for the general permit.
ARTICLE 4. ATTORNEY GENERAL REVIEW OF RULE
MAKING
§ 41-1044.
Attorney general review of certain exempt rules
A. The attorney general shall review rules that are exempt pursuant to section 41-1057.
B. Rules that are exempt pursuant to section 41-1057 shall not be
filed with the secretary of state unless the attorney general
approves the rule as:
1. To form.
2. Clear, concise and understandable.
3. Within the power of the agency to make and within the
enacted legislative standards.
4. Made in compliance with the appropriate procedures.
C. The attorney general shall not approve a rule with an immediate effective date unless the attorney general determines that
the rule complies with section 41-1032.
D. Within sixty days of receipt of the rule the attorney general
shall endorse the attorney general’s approval on the rule package. After approval, the attorney general shall file the rule
package with the secretary of state.

September 2011

E.

If the attorney general determines that the rule does not comply with subsection B of this section, the attorney general shall
endorse the attorney general’s disapproval of the rule on the
rule package, state the reasons for the disapproval and within
sixty days after receipt of the rule return the rule package to
the agency that made the rule.

ARTICLE 4.1. ADMINISTRATIVE RULES OVERSIGHT
COMMITTEE
§ 41-1046.
Administrative rules oversight committee; membership; appointment; staffing; meetings
A. The administrative rules oversight committee is established.
The committee has oversight over any rules except those rules
exempted by section 41-1005.
B. The committee consists of the following eleven members:
1. Five members of the house of representatives who are
appointed by the speaker of the house of representatives.
No more than three of the members who are appointed
under this paragraph may be members of the same political party. The speaker of the house of representatives
shall designate a member to serve as cochairperson of the
committee.
2. Five members of the senate who are appointed by the
president of the senate. No more than three of the members who are appointed under this paragraph may be
members of the same political party. The president of the
senate shall designate a member to serve as cochairperson
of the committee.
3. The governor or the governor’s designee who is not an
appointed agency director.
C. The speaker of the house of representatives and the president
of the senate shall make the appointments to the committee on
or before October 1, 2009. Members serve at the pleasure of
their respective appointing officer.
D. The legislative council shall staff the committee.
E. The committee shall meet on the call of either of its cochairpersons.
F. A party contesting the legality of a rule, agency practice or
substantive policy statement is not required to file a complaint
with the committee to exhaust its administrative remedies.
§ 41-1047.
Committee review of rules; practices alleged to
constitute rules; substantive policy statements
The committee may review any proposed or final rule, summary
rule, agency practice alleged to constitute a rule or substantive policy statement for conformity with statute and legislative intent. The
committee may hold hearings on whether a proposed or final rule,
summary rule, agency practice alleged to constitute a rule or substantive policy statement is consistent with statute and legislative
intent. The committee may comment to the agency, attorney general
or council on whether the proposed or final rule, summary rule,
agency practice alleged to constitute a rule or substantive policy
statement is consistent with statute or legislative intent. The committee may designate a representative to testify before the council.
The council shall consider the comments of the committee and any
testimony. The administrative records shall contain the comments
of the committee and any testimony.
§ 41-1048.
Committee review of duplicative or onerous statutes, rules, practices alleged to constitute rules and substantive
policy statements
A. The committee shall receive complaints concerning statutes,
rules, agency practices alleged to constitute rules and substantive policy statements that are alleged to be duplicative or

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B.

C.

onerous. The committee may review any statutes, rules,
agency practices alleged to constitute rules or substantive policy statements alleged to be duplicative or onerous and may
hold hearings regarding the allegations. The committee may
comment to an agency, the attorney general, the council or the
legislature on whether the statutes, rules, agency practices
alleged to constitute rules or substantive policy statements are
duplicative or onerous. The comments may include committee
recommendations for alleviating the duplicative or onerous
aspects of the statutes, rules, agency practices alleged to constitute rules and substantive policy statements.
The committee shall prepare a report to the legislature by
December 1 of each year recommending legislation to alleviate the effects of duplicative or onerous statutes, rules, agency
practices alleged to constitute rules and substantive policy
statements.
This section applies to all statutes, rules, agency practices
alleged to constitute rules and substantive policy statements,
regardless of whether the statutes, rules, agency practices
alleged to constitute rules or substantive policy statements
were enacted or made before or after January 1, 1996.
ARTICLE 5. GOVERNOR’S REGULATORY REVIEW
COUNCIL

§ 41-1051.
Governor’s regulatory review council; membership; terms; compensation; powers
A. A governor’s regulatory review council is established that consists of six members who are appointed by the governor pursuant to section 38-211, and the director of the department of
administration or the assistant director of the department of
administration who is responsible for administering the council. The director or assistant director is an ex officio member
and chairperson of the council. The council shall elect a vicechairperson to serve as chairperson in the chairperson’s
absence. The governor shall appoint at least one member who
represents the public interest, at least one member who represents the business community, one member from a list of three
persons who are not legislators submitted by the president of
the senate and one member from a list of three persons who are
not legislators submitted by the speaker of the house of representatives. At least one member of the council shall be an
attorney licensed to practice law in this state. The governor
shall appoint the members of the council for staggered terms
of three years. A vacancy occurring during the term of office
of any member shall be filled by appointment by the governor
for the unexpired portion of the term in the same manner as
provided in this section.
B. The council shall meet at least once a month at a time and
place set by the chairperson and at other times and places as
the chairperson deems necessary.
C. Members of the council are eligible to receive compensation in
an amount of two hundred dollars for each day on which the
council meets and reimbursement of expenses pursuant to title
38, chapter 4, article 2.
D. The chairperson, subject to chapter 4, articles 5 and 6 of this
title, shall employ, determine the conditions of employment of
and specify the duties of administrative, secretarial and clerical employees as the chairperson deems necessary.
E. The council may make rules pursuant to this chapter to carry
out the purposes of this chapter.
F. The council shall make the following information available to
the public on request and on the council’s website:
1. A list of agency rules approved or returned pursuant to
section 41-1052.

Arizona Rulemaking Manual

2.
3.

A list of agencies not certifying compliance as provided
in section 41-1091.
A list of agencies that report a lack of progress pursuant
to section 41-1056, subsection H.

§ 41-1052.
Council review and approval
A. Before filing a final rule with the secretary of state, an agency
shall prepare, transmit to the council and the committee and
obtain the council’s approval of the rule and its preamble and
economic, small business and consumer impact statement that
meets the requirements of section 41-1055. The governor’s
office of strategic planning and budgeting shall prepare the
economic, small business and consumer impact statement if
the legislature appropriates monies for this purpose.
B. The council shall accept an early review petition of a proposed
rule, in whole or in part, if the proposed rule is alleged to violate any of the criteria prescribed in subsection D of this section and if the early petition is filed by a person who would be
adversely impacted by the proposed rule. The council may
determine whether the proposed rule, in whole or in part, violates any of the criteria prescribed in subsection D of this section.
C. Within one hundred twenty days of receipt of the rule, preamble and economic, small business and consumer impact statement, the council shall review and approve or return, in whole
or in part, the rule, preamble or economic, small business and
consumer impact statement. An agency may resubmit a rule,
preamble or economic, small business and consumer impact
statement if the council returns the rule, economic, small business and consumer impact statement or preamble, in whole or
in part, to the agency.
D. The council shall not approve the rule unless:
1. The economic, small business and consumer impact
statement contains information from the state, data and
analysis prescribed by this article.
2. The economic, small business and consumer impact
statement is generally accurate.
3. The probable benefits of the rule outweigh the probable
costs of the rule and the agency has demonstrated that it
has selected the alternative that imposes the least burden
and costs to persons regulated by the rule, including
paperwork and other compliance costs, necessary to
achieve the underlying regulatory objective.
4. The rule is written in a manner that is clear, concise and
understandable to the general public.
5. The rule is not illegal, inconsistent with legislative intent
or beyond the agency’s statutory authority.
6. The agency adequately addressed the comments on the
proposed rule and any supplemental proposals.
7. The rule is not a substantial change, considered as a
whole, from the proposed rule and any supplemental
notices.
8. The preamble discloses a reference to any study relevant
to the rule that the agency reviewed and either did or did
not rely on in the agency’s evaluation of or justification
for the rule.
9. The rule is not more stringent than a corresponding federal law unless there is statutory authority to exceed the
requirements of that federal law.
10. If a rule requires a permit, the permitting requirement
complies with section 41-1037.
E. The council shall verify that a rule with new fees does not violate section 41-1008. The council shall not approve a rule that
contains a fee increase unless two-thirds of the voting quorum
present vote to approve the rule.

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Section 6. Administrative Procedure Act
The council shall verify that a rule with an immediate effective
date complies with section 41-1032. The council shall not
approve a rule with an immediate effective date unless twothirds of the voting quorum present vote to approve the rule.
G. The council may require a representative of an agency whose
rule is under examination to attend a council meeting and
answer questions. The council may also communicate to the
agency its comments on any rule, preamble or economic, small
business and consumer impact statement and require the
agency to respond to its comments in writing.
H. At any time during the sixty days immediately following
receipt of the rule, a person may submit written comments to
the council that are within the scope of subsection D, E or F of
this section. The council may permit oral comments at a council meeting within the scope of subsection D, E or F of this
section.
I. If the agency makes a good faith effort to comply with the
requirements prescribed in this article and has explained in
writing the methodology used to produce the economic, small
business and consumer impact statement, the rule may not be
invalidated after it is finalized on the ground that the contents
of the economic, small business and consumer impact statement are insufficient or inaccurate or on the ground that the
council erroneously approved the rule, except as provided for
by section 41-1056.01.
J. The absence of comments pursuant to subsection D, E or F of
this section or article 4.1 of this chapter does not prevent the
council from acting pursuant to this section.

2.

F.

§ 41-1053.
Council review of summary rules
A. After receipt of the summary rule package from the agency,
the council shall place the summary rule on its consent agenda
for approval unless a member of the council or the committee
requests a hearing.
B. If a hearing is requested, the council shall act on the summary
rule pursuant to section 41-1052 or shall remand the summary
rule to the agency for initiation of a rule making pursuant to
sections 41-1022, 41-1023 and 41-1024.
C. If the council returns the rule pursuant to section 41-1052 or
remands the rule, the proposed summary rule’s interim effect
is revoked as of the date of initial publication of the proposed
summary rule in the register unless the council orders otherwise.
D. The council, at any time a proposed summary rule is pending,
may disapprove the summary rule making and order initiation
of a regular rule making pursuant to sections 41-1022, 411023 and 41-1024. The council’s disapproval of the proposed
summary rule revokes the interim effect of the proposed summary rule as of the date of initial publication of the proposed
summary rule in the register unless the council orders otherwise.
§ 41-1055.
Economic, small business and consumer impact
statement
A. The economic, small business and consumer impact summary
shall include:
1. An identification of the proposed rule making, including
all of the following:
(a) The conduct and its frequency of occurrence that the
rule is designed to change.
(b) The harm resulting from the conduct the rule is
designed to change and the likelihood it will continue to occur if the rule is not changed.
(c) The estimated change in frequency of the targeted
conduct expected from the rule change.
September 2011

B.

A brief summary of the information included in the economic, small business and consumer impact statement.
3. If the economic, small business and consumer impact
summary accompanies a proposed rule or a proposed
summary rule, the name and address of agency employees who may be contacted to submit or request additional
data on the information included in the economic, small
business and consumer impact statement.
The economic, small business and consumer impact statement
shall include:
1. An identification of the proposed rule making.
2. An identification of the persons who will be directly
affected by, bear the costs of or directly benefit from the
proposed rule making.
3. A cost benefit analysis of the following:
(a) The probable costs and benefits to the implementing
agency and other agencies directly affected by the
implementation and enforcement of the proposed
rule making. The probable costs to the implementing
agency shall include the number of new full-time
employees necessary to implement and enforce the
proposed rule. The preparer of the economic, small
business and consumer impact statement shall notify
the joint legislative budget committee of the number
of new full-time employees necessary to implement
and enforce the rule before the rule is approved by
the council.
(b) The probable costs and benefits to a political subdivision of this state directly affected by the implementation and enforcement of the proposed rule
making.
(c) The probable costs and benefits to businesses
directly affected by the proposed rule making,
including any anticipated effect on the revenues or
payroll expenditures of employers who are subject
to the proposed rule making.
4. A general description of the probable impact on private
and public employment in businesses, agencies and political subdivisions of this state directly affected by the proposed rule making.
5. A statement of the probable impact of the proposed rule
making on small businesses. The statement shall include:
(a) An identification of the small businesses subject to
the proposed rule making.
(b) The administrative and other costs required for compliance with the proposed rule making.
(c) A description of the methods that the agency may
use to reduce the impact on small businesses. These
methods may include:
(i) Establishing less costly compliance requirements in the proposed rule making for small
businesses.
(ii) Establishing less costly schedules or less stringent deadlines for compliance in the proposed
rule making.
(iii) Exempting small businesses from any or all
requirements of the proposed rule making.
(d) The probable cost and benefit to private persons and
consumers who are directly affected by the proposed
rule making.
6. A statement of the probable effect on state revenues.
7. A description of any less intrusive or less costly alternative methods of achieving the purpose of the proposed
rule making, including the monetizing of the costs and
benefits for each option and providing the rationale for
not using nonselected alternatives.

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C.

D.

E.

F.
G.

If for any reason adequate data are not reasonably available to
comply with the requirements of subsection B of this section,
the agency shall explain the limitations of the data and the
methods that were employed in the attempt to obtain the data
and shall characterize the probable impacts in qualitative
terms. The absence of adequate data, if explained in accordance with this subsection, shall not be grounds for a legal
challenge to the sufficiency of the economic, small business
and consumer impact statement.
An agency is not required to prepare an economic, small business and consumer impact statement pursuant to this chapter
for the following rule makings:
1. Initial making, but not renewal, of an emergency rule pursuant to section 41-1026.
2. Summary rule makings pursuant to section 41-1027 that
only repeal existing rule language.
3. Any rule making that decreases monitoring, record keeping or reporting burdens on agencies, political subdivisions, businesses or persons, unless the agency
determines that increased costs of implementation or
enforcement may equal or exceed the reduction in burdens.
The economic, small business and consumer impact statement
for a rule making that is exempt pursuant to subsection D of
this section shall state that the proposed rule making is
exempt.
The cost-benefit analysis required by subsection B of this section shall calculate only the costs and benefits that occur in this
state.
If a person submits an analysis to the agency that compares the
rule’s impact on the competitiveness of businesses in this state
to the impact on businesses in other states, the agency shall
consider the analyses.

§ 41-1056.
Review by agency
A. At least once every five years, each agency shall review all of
its rules to determine whether any rule should be amended or
repealed. The agency shall prepare and obtain council
approval of a written report summarizing its findings, its supporting reasons and any proposed course of action. For each
rule, the report shall include a concise analysis of all of the following:
1. The rule’s effectiveness in achieving its objectives,
including a summary of any available data supporting the
conclusions reached.
2. Written criticisms of the rule received during the previous
five years.
3. Authorization of the rule by existing statutes.
4. Whether the rule is consistent with other rules made by
the agency, current agency enforcement policy and current agency views regarding the wisdom of the rule.
5. The clarity, conciseness and understandability of the rule.
6. The estimated economic, small business and consumer
impact of the rules as compared to the economic, small
business and consumer impact statement prepared on the
last making of the rules.
7. Any analysis submitted to the agency by another person
that compares the rule’s impact on this state’s business
competitiveness to the impact on businesses in other
states.
8. If applicable, that the agency completed the previous
five-year review process.
9. A determination that the rule imposes the least burden
and costs to persons regulated by the rule, including
paperwork and other compliance costs, necessary to
achieve the underlying regulatory objective.

Arizona Rulemaking Manual

B.

The council shall schedule the periodic review of each
agency’s rules and shall approve or return, in whole or in part,
the agency’s report on its review. The council may grant an
agency an extension from filing an agency’s report. If the
council returns an agency’s report, in whole or in part, the
council shall inform the agency of the manner in which its
report is inadequate and, in consultation with the agency, shall
schedule submission of a revised report. The council shall not
approve a report unless the report complies with subsection A.
C. The council may reschedule a report or portion of a report for
any rule that is scheduled for review and that was initially
made or substantially revised within two years before the due
date of the report as scheduled by the council.
D. If an agency finds that it cannot provide the written report to
the council by the date it is due, the agency may file an extension with the council before the due date indicating the reason
for the extension. The timely filing for an extension permits
the agency to submit its report on or before the date prescribed
by the council.
E. If an agency fails to submit its report, including a revised
report pursuant to subsection B, or file an extension before the
due date of the report or if it files an extension and does not
submit its report within the extension period, the rules scheduled for review expire and the council shall:
1. Cause a notice to be published in the next register that
states the rules have expired and are no longer enforceable.
2. Notify the secretary of state that the rules have expired
and that the rules are to be removed from the code.
3. Notify the agency that the rules have expired and are no
longer enforceable.
F. If a rule expires as provided in subsection E and the agency
wishes to reestablish the rule, the agency shall comply with
article 3 of this chapter.
G. Not less than ninety days before the due date of a report, the
council shall send a written notice to the head of the agency
whose report is due, the governor and the director of the
department of administration. The notice shall list the rules to
be reviewed and the date the report is due.
H. On or before June 30 of each year, each agency shall report to
the council the agency’s progress toward completion of the
course of action established in all reports submitted to the
council during the previous five years. The annual report prescribed by this subsection shall be on a form developed by the
council.
I. A person who is regulated or could be regulated by an obsolete
rule may petition the council to require an agency that has the
obsolete rule to consider including the rule in the five-year
report with a recommendation for repeal of the rule.
§ 41-1056.01. Impact statements; appeals
A. Within two years after a rule is finalized, a person who is or
may be affected by the rule may file a written petition with an
agency objecting to all or part of a rule on any of the following
grounds:
1. The actual economic, small business or consumer impact
significantly exceeded the impact estimated in the economic, small business and consumer impact statement
submitted during the making of the rule.
2. The actual economic, small business or consumer impact
was not estimated in the economic, small business and
consumer impact statement submitted during the making
of the rule and that actual impact imposes a significant
burden on persons subject to the rule.
3. The agency did not select the alternative that imposes the
least burden and costs to persons regulated by the rule,

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Section 6. Administrative Procedure Act
including paperwork and other compliance costs, necessary to achieve the underlying regulatory objective.
B. The burden of proof is on the petitioner to show that any of the
provisions set forth in subsection A of this section are met.
C. Within thirty days after receiving the copy of the petition, the
agency shall reevaluate the rule and its economic impacts and
publish notice of the petition in the register. For at least thirty
days after publication of the notice the agency shall afford persons the opportunity to submit in writing statements, arguments, data and views on the rule and its impacts. Within thirty
days after the close of comment, the agency shall publish a
written summary of comments received, the agency’s response
to those comments, and the final decision of the agency on
whether to initiate a rule making or to amend or repeal the
rule. The agency shall initiate any such rule making within
forty-five days after publication of its final decision.
D. Any person who is or may be affected by the agency’s final
decision on whether to initiate a rule making pursuant to subsection C of this section may appeal that decision to the council within thirty days after publication of the agency’s final
decision.
E. The council shall place on its agenda the appeal if at least three
council members make such a request of the council chairman
within two weeks after the filing of the appeal with the council.
F. If the appeal is placed on the council’s agenda, the council
chairman shall provide a copy of the appeal and written notice
to the agency that the council will consider the appeal. The
agency shall provide the council with a copy of the written
summary described in subsection C of this section.
G. The council shall require an agency to promptly initiate a rule
making or to amend or repeal the rule or the rule package, as
prescribed by section 41-1024, subsection E, objected to in the
petition if the council finds that any of the provisions set forth
in subsection A of this section are met.
H. This section shall not apply to a rule for which there is a final
judgment of a court of competent jurisdiction based on the
grounds of whether the contents of the economic, small business and consumer impact statement were insufficient or inaccurate.
§ 41-1057.
Exemptions
In addition to the exemptions stated in section 41-1005, this article
does not apply to:
1. An agency which is a unit of state government headed by
a single elected official.
2. The corporation commission, which shall adopt substantially similar rule review procedures, including the preparation of an economic impact statement and a statement
of the effect of the rule on small business.
3. The industrial commission of Arizona when incorporating by reference the federal occupational safety and
health standards as published in 29 Code of Federal Regulations parts 1904, 1910, 1926 and 1928.
4. The Arizona state lottery if making rules that relate only
to the design, operation or prize structure of a lottery
game.
ARTICLE 6. ADJUDICATIVE PROCEEDINGS
§ 41-1061.
Contested cases; notice; hearing; records
A. In a contested case, all parties shall be afforded an opportunity
for hearing after reasonable notice. Unless otherwise provided
by law, the notice shall be given at least twenty days prior to
the date set for the hearing.
B. The notice shall include:
September 2011

1.
2.

C.
D.

E.

F.

G.

A statement of the time, place and nature of the hearing.
A statement of the legal authority and jurisdiction under
which the hearing is to be held.
3. A reference to the particular sections of the statutes and
rules involved.
4. A short and plain statement of the matters asserted. If the
agency or other party is unable to state the matters in
detail at the time the notice is served, the initial notice
may be limited to a statement of the issues involved.
Thereafter upon application a more definite and detailed
statement shall be furnished.
Opportunity shall be afforded all parties to respond and
present evidence and argument on all issues involved.
Unless precluded by law, and except as to claims for compensation and benefits under chapter 6 of title 23, informal disposition may be made of any contested case by stipulation,
agreed settlement, consent order or default.
The record in a contested case shall include:
1. All pleadings, motions, interlocutory rulings.
2. Evidence received or considered.
3. A statement of matters officially noticed.
4. Objections and offers of proof and rulings thereon.
5. Proposed findings and exceptions.
6. Any decision, opinion or report by the officer presiding at
the hearing.
7. All staff memoranda, other than privileged communications, or data submitted to the hearing officer or members
of the agency in connection with their consideration of
the case.
Oral proceedings or any part thereof shall be recorded manually or by a recording device and shall be transcribed on
request of any party, unless otherwise provided by law. The
cost of such transcript shall be paid by the party making the
request, unless otherwise provided by law or unless assessment of the cost is waived by the agency.
Findings of fact shall be based exclusively on the evidence and
on matters officially noticed.

§ 41-1062.
Hearings; evidence; official notice; power to
require testimony and records; rehearing
A. Unless otherwise provided by law, in contested cases the following shall apply:
1. A hearing may be conducted in an informal manner and
without adherence to the rules of evidence required in
judicial proceedings. Neither the manner of conducting
the hearing nor the failure to adhere to the rules of evidence required in judicial proceedings shall be grounds
for reversing any administrative decision or order providing the evidence supporting such decision or order is substantial, reliable, and probative. Irrelevant, immaterial or
unduly repetitious evidence shall be excluded. Every person who is a party to such proceedings shall have the
right to be represented by counsel, to submit evidence in
open hearing and shall have the right of cross-examination. Unless otherwise provided by law, hearings may be
held at any place determined by the agency.
2. Copies of documentary evidence may be received in the
discretion of the presiding officer. Upon request, parties
shall be given an opportunity to compare the copy with
the original.
3. Notice may be taken of judicially cognizable facts. In
addition, notice may be taken of generally recognized
technical or scientific facts within the agency’s specialized knowledge. Parties shall be notified either before or
during the hearing or by reference in preliminary reports
or otherwise of the material noticed including any staff

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B.

memoranda or data and they shall be afforded an opportunity to contest the material so noticed. The agency’s
experience, technical competence and specialized knowledge may be utilized in the evaluation of the evidence.
4. The officer presiding at the hearing may cause to be
issued subpoenas for the attendance of witnesses and for
the production of books, records, documents and other
evidence and shall have the power to administer oaths.
Unless otherwise provided by law or agency rule, subpoenas so issued shall be served and, upon application to
the court by a party or the agency, enforced in the manner
provided by law for the service and enforcement of subpoenas in a civil action. On application of a party or the
agency and for use as evidence, the officer presiding at
the hearing may permit a deposition to be taken, in the
manner and upon the terms designated by him, of a witness who cannot be subpoenaed or is unable to attend the
hearing. Prehearing depositions and subpoenas for the
production of documents may be ordered by the officer
presiding at the hearing, provided that the party seeking
such discovery demonstrates that the party has reasonable
need of the deposition testimony or materials being
sought. All provisions of law compelling a person under
subpoena to testify are applicable. Fees for attendance as
a witness shall be the same as for a witness in the superior
courts of the state of Arizona, unless otherwise provided
by law or agency rule. Notwithstanding the provisions of
section 12-2212, no subpoenas, depositions or other discovery shall be permitted in contested cases except as
provided by agency rule or this paragraph.
Except when good cause exists otherwise, the agency shall
provide an opportunity for a rehearing or review of the decision of an agency before such decision becomes final. Such
rehearing or review shall be governed by agency rule drawn as
closely as practicable from rule 59, Arizona rules of civil procedure, relating to new trial in superior court.

§ 41-1063.
Decisions and orders
Unless otherwise provided by law, any final decision or order
adverse to a party in a contested case shall be in writing or stated in
the record. Any final decision shall include findings of fact and
conclusions of law, separately stated. Findings of fact, if set forth in
statutory language, shall be accompanied by a concise and explicit
statement of the underlying facts supporting the findings. Unless
otherwise provided by law, parties shall be notified either personally or by mail to their last known address of any decision or order.
Upon request a copy of the decision or order shall be delivered or
mailed forthwith to each party and to his attorney of record.
§ 41-1064.
Licenses; renewal; revocation; suspension;
annulment; withdrawal
A. When the grant, denial or renewal of a license is required to be
preceded by notice and an opportunity for a hearing, the provisions of this article concerning contested cases apply.
B. When a licensee has made timely and sufficient application for
the renewal of a license or a new license with reference to any
activity of a continuing nature, the existing license does not
expire until the application has been finally determined by the
agency, and, in case the application is denied or the terms of
the new license limited, until the last day for seeking review of
the agency order or a later date fixed by order of the reviewing
court.
C. No revocation, suspension, annulment or withdrawal of any
license is lawful unless, prior to the action, the agency provides the licensee with notice and an opportunity for a hearing
in accordance with this chapter. If the agency finds that the

Arizona Rulemaking Manual

public health, safety or welfare imperatively requires emergency action, and incorporates a finding to that effect in its
order, summary suspension of a license may be ordered pending proceedings for revocation or other action. These proceedings shall be promptly instituted and determined.
§ 41-1065.
Hearing on denial of license or permit
Proceedings for licenses or permits on application when not
required by law to be preceded by notice and opportunity for hearing shall be governed by the provisions of the law relating to the
particular agency, provided that when an application for a license or
permit is denied under the provisions of the law relating to a particular agency the applicant shall be entitled to have a hearing before
such agency on such denial upon filing within fifteen days after
receipt of notice of such refusal a written application for such hearing. Notice shall be given in the manner prescribed by section 411061. At such hearing such applicant shall be the moving party and
have the burden of proof. Such hearing shall be conducted in accordance with this article for hearing of a contested case before an
agency. Such hearing before such agency shall be limited to those
matters originally presented to the agency for its determination on
such application.
§ 41-1066.
Compulsory testimony; privilege against selfincrimination
A. A person may not refuse to attend and testify or produce evidence sought by an agency in an action, proceeding or investigation instituted by or before the agency on the ground that the
testimony or evidence, documentary or otherwise, required of
him may tend to incriminate him or subject him to a penalty or
forfeiture unless it constitutes the compelled testimony or the
private papers of the person which would be privileged evidence either pursuant to the fifth amendment of the Constitution of the United States or article II, section 10, Constitution
of Arizona, and the person claims the privilege prior to the
production of the testimony or papers.
B. If a person asserts his privilege against self-incrimination and
the agency seeks to compel production of the testimony or
documents sought, it may, with the prior written approval of
the attorney general, issue a written order compelling the testimony or production of documents in proceedings and investigations before the agency or apply to the appropriate court for
such an order in other actions or proceedings.
C. Evidence produced pursuant to subsection B is not admissible
in evidence or usable in any manner in a criminal prosecution,
except for perjury, false swearing, tampering with physical
evidence or any other offense committed in connection with
the appearance made pursuant to this section against the person testifying or the person producing his private papers.
§ 41-1067.
Applicability of article
This article only applies to contested cases of agencies that are
exempt from article 10 of this chapter as provided in section 411092.02.
ARTICLE 7. MILITARY ADMINISTRATIVE RELIEF
§ 41-1071.
Military relief from administrative procedures;
process
At any stage, any action or proceeding before any state agency,
board, commission or administrative tribunal involving a person on
active duty in the military service of the United States or this state
as a necessary party, which occurs during such period of service or
within sixty days thereafter, may be stayed in the discretion of the
state administrative entity before which it is pending, on its own

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Section 6. Administrative Procedure Act
motion. The state administrative entity shall not stay an action or
proceeding on its own motion if the service member makes a written objection to the stay. Such action or proceeding shall be stayed
on application to the state administrative entity by such person or
some person on his behalf, unless in the written decision of the state
administrative entity, the ability of the service member to pursue
the claim or defense in the action or proceeding is not prejudiced by
the military service.

D.

ARTICLE 7.1. LICENSING TIME FRAMES
§ 41-1072.
Definitions
In this article, unless the context otherwise requires:
1. “Administrative completeness review time frame” means
the number of days from agency receipt of an application
for a license until an agency determines that the application contains all components required by statute or rule,
including all information required to be submitted by
other government agencies. The administrative completeness review time frame does not include the period of
time during which an agency provides public notice of
the license application or performs a substantive review
of the application.
2. “Overall time frame” means the number of days after
receipt of an application for a license during which an
agency determines whether to grant or deny a license.
The overall time frame consists of both the administrative
completeness review time frame and the substantive
review time frame.
3. “Substantive review time frame” means the number of
days after the completion of the administrative completeness review time frame during which an agency determines whether an application or applicant for a license
meets all substantive criteria required by statute or rule.
Any public notice and hearings required by law shall fall
within the substantive review time frame.
§ 41-1073.
Time frames; exception
A. No later than December 31, 1998, an agency that issues
licenses shall have in place final rules establishing an overall
time frame during which the agency will either grant or deny
each type of license that it issues. Agencies shall submit their
overall time frame rules to the governor’s regulatory review
council pursuant to the schedule developed by the council. The
council shall schedule each agency’s rules so that final overall
time frame rules are in place no later than December 31, 1998.
The rule regarding the overall time frame for each type of
license shall state separately the administrative completeness
review time frame and the substantive review time frame.
B. If a statutory licensing time frame already exists for an agency
but the statutory time frame does not specify separate time
frames for the administrative completeness review and the
substantive review, by rule the agency shall establish separate
time frames for the administrative completeness review and
the substantive review, which together shall not exceed the
statutory overall time frame. An agency may establish different time frames for initial licenses, renewal licenses and revisions to existing licenses.
C. The submission by the department of environmental quality of
a revised permit to the United States environmental protection
agency in response to an objection by that agency shall be
given the same effect as a notice granting or denying a permit
application for licensing time frame purposes. For the purposes of this subsection, “permit” means a permit required by
title 49, chapter 2, article 3.1 or section 49-426.
September 2011

E.

In establishing time frames, agencies shall consider all of the
following:
1. The complexity of the licensing subject matter.
2. The resources of the agency granting or denying the
license.
3. The economic impact of delay on the regulated community.
4. The impact of the licensing decision on public health and
safety.
5. The possible use of volunteers with expertise in the subject matter area.
6. The possible increased use of general licenses for similar
types of licensed businesses or facilities.
7. The possible increased cooperation between the agency
and the regulated community.
8. Increased agency flexibility in structuring the licensing
process and personnel.
This article does not apply to licenses issued either:
1. Pursuant to tribal state gaming compacts.
2. Within seven days after receipt of initial application.
3. By a lottery method.

§ 41-1074.
Compliance with administrative completeness
review time frame
A. An agency shall issue a written notice of administrative completeness or deficiencies to an applicant for a license within
the administrative completeness review time frame.
B. If an agency determines that an application for a license is not
administratively complete, the agency shall include a comprehensive list of the specific deficiencies in the written notice
provided pursuant to subsection A. If the agency issues a written notice of deficiencies within the administrative completeness time frame, the administrative completeness review time
frame and the overall time frame are suspended from the date
the notice is issued until the date that the agency receives the
missing information from the applicant.
C. If an agency does not issue a written notice of administrative
completeness or deficiencies within the administrative completeness review time frame, the application is deemed administratively complete. If an agency issues a timely written
notice of deficiencies, an application shall not be complete
until all requested information has been received by the
agency.
§ 41-1075.
Compliance with substantive review time frame
A. During the substantive review time frame, an agency may
make one comprehensive written request for additional information. The agency and applicant may mutually agree in writing to allow the agency to submit supplemental requests for
additional information. If an agency issues a comprehensive
written request or a supplemental request by mutual written
agreement for additional information, the substantive review
time frame and the overall time frame are suspended from the
date the request is issued until the date that the agency receives
the additional information from the applicant.
B. By mutual written agreement, an agency and an applicant for a
license may extend the substantive review time frame and the
overall time frame. An extension of the substantive review
time frame and the overall time frame may not exceed twentyfive per cent of the overall time frame.
§ 41-1076.
Compliance with overall time frame
Unless an agency and an applicant for a license mutually agree to
extend the substantive review time frame and the overall time frame
pursuant to section 41-1075, an agency shall issue a written notice
granting or denying a license within the overall time frame to an

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Section 6. Administrative Procedure Act
applicant. If an agency denies an application for a license, the
agency shall include in the written notice at least the following
information:
1. Justification for the denial with references to the statutes
or rules on which the denial is based.
2. An explanation of the applicant’s right to appeal the
denial. The explanation shall include the number of days
in which the applicant must file a protest challenging the
denial and the name and telephone number of an agency
contact person who can answer questions regarding the
appeals process.
§ 41-1077.
Consequence for agency failure to comply with
overall time frame; refund; penalty
A. If an agency does not issue to an applicant the written notice
granting or denying a license within the overall time frame or
within the time frame extension pursuant to section 41-1075,
the agency shall refund to the applicant all fees charged for
reviewing and acting on the application for the license and
shall excuse payment of any such fees that have not yet been
paid. The agency shall not require an applicant to submit an
application for a refund pursuant to this subsection. The refund
shall be made within thirty days after the expiration of the
overall time frame or the time frame extension. The agency
shall continue to process the application subject to subsection
B of this section. Notwithstanding any other statute, the
agency shall make the refund from the fund in which the application fees were originally deposited. This section applies only
to license applications that were subject to substantive review.
B. Except for license applications that were not subject to substantive review, the agency shall pay a penalty to the state general fund for each month after the expiration of the overall
time frame or the time frame extension until the agency issues
written notice to the applicant granting or denying the license.
The agency shall pay the penalty from the agency fund in
which the application fees were originally deposited. The penalty shall be two and one-half per cent of the total fees
received by the agency for reviewing and acting on the application for each license that the agency has not granted or
denied on the last day of each month after the expiration of the
overall time frame or time frame extension for that license.
§ 41-1078.
Reporting; compliance with time frames
A. Beginning on September 1, 1998 for agencies that have established time frames before July 1, 1998 and by September 1 of
each year thereafter for all agencies that issue licenses, each
agency shall report to the governor’s regulatory review council
on summary forms developed by the council the agency’s
compliance level with its overall time frames for the prior fiscal year. The agency reports shall include the number of
licenses issued or denied by the agency within the applicable
time frames, the dollar amount of all fees returned to applicants and all penalties paid to the state general fund due to the
agency’s failure to comply with the applicable time frames
and, if this article does not apply to licenses issued by the
agency because the licenses are issued within seven days after
receipt of initial application, a certification by category of
license, including a statutory reference for the category of
license, that the agency has complied with the seven-day
requirement.
B. By December 1 of each year, the governor’s regulatory review
council shall compile the summary forms submitted by the
agencies pursuant to subsection A and present them to the governor, the president of the senate, the speaker of the house of
representatives and the cochairmen of the administrative rules
oversight committee.

Arizona Rulemaking Manual

§ 41-1079.
Information required to be provided
A. An agency that issues licenses shall provide the following
information to an applicant at the time the applicant obtains an
application for a license:
1. A list of all of the steps the applicant is required to take in
order to obtain the license.
2. The applicable licensing time frames.
3. The name and telephone number of an agency contact
person who can answer questions or provide assistance
throughout the application process.
B. This section does not apply to the Arizona peace officer standards and training board established by section 41-1821.
ARTICLE 7.2. LICENSING ELIGIBILITY
41-1080.
Licensing eligibility; authorized presence; documentation; applicability; definitions
A. Subject to subsections C and D, an agency or political subdivision of this state shall not issue a license to an individual if the
individual does not provide documentation of citizenship or
alien status by presenting any of the following documents to
the agency or political subdivision indicating that the individual's presence in the United States is authorized under federal
law:
1. An Arizona driver license issued after 1996 or an Arizona
nonoperating identification license.
2. A driver license issued by a state that verifies lawful presence in the United States.
3. A birth certificate or delayed birth certificate issued in
any state, territory or possession of the United States.
4. A United States certificate of birth abroad.
5. A United States passport.
6. A foreign passport with a United States visa.
7. An I-94 form with a photograph.
8. A United States citizenship and immigration services
employment authorization document or refugee travel
document.
9. A United States certificate of naturalization.
10. A United States certificate of citizenship.
11. A tribal certificate of Indian blood.
12. A tribal or bureau of Indian affairs affidavit of birth.
B. This section does not apply to an individual if either:
1. Both of the following apply:
(a) The individual is a citizen of a foreign country or, if
at the time of application, the individual resides in a
foreign country.
(b) The benefits that are related to the license do not
require the individual to be present in the United
States in order to receive those benefits.
2. All of the following apply:
(a) The individual is a resident of another state.
(b) The individual holds an equivalent license in that
other state and the equivalent license is of the same
type being sought in this state.
(c) The individual seeks the Arizona license to comply
with this state's licensing laws and not to establish
residency in this state.
C. If, pursuant to subsection A of this section, an individual has
affirmatively established citizenship of the United States or a
form of nonexpiring work authorization issued by the federal
government, the individual, on renewal or reinstatement of a
license, is not required to provide subsequent documentation
of that status.
D. If, on renewal or reinstatement of a license, an individual holds
a limited form of work authorization issued by the federal gov-

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Section 6. Administrative Procedure Act

E.

F.

ernment that has expired, the individual shall provide documentation of that status.
If a document listed in subsection A, paragraphs 1 through 12
does not contain a photograph of the individual, the individual
shall also present a government issued document that contains
a photograph of the individual.
For the purposes of this section:
1. “Agency” means any agency, department, board or commission of this state or any political subdivision of this
state that issues a license for the purposes of operating a
business in this state or to an individual who provides a
service to any person.
2. “License” means any agency permit, certificate,
approval, registration, charter or similar form of authorization that is required by law and that is issued by any
agency for the purposes of operating a business in this
state or to an individual who provides a service to any
person where the license is necessary in performing that
service.
ARTICLE 8. DELEGATION OF FUNCTIONS,
POWERS OR DUTIES

§ 41-1081.
Standards for delegation
A. No agency may enter into or amend any delegation agreement
unless the delegation agreement clearly sets forth all of the following:
1. Each function, power or duty being delegated by the
agency, the term of the agreement and the procedures for
terminating the agreement.
2. The standards of performance required to fulfill the
agreement.
3. The types of fees that will be imposed on regulated parties and the legal authority for imposing any such fees.
4. The qualifications of the personnel of the political subdivision responsible for exercising the delegated functions,
powers or duties.
5. Record keeping and reporting requirements.
6. Auditing requirements if the delegation agreement
includes the transfer of funds from the delegating agency
to the political subdivision.
7. A definition of the enforcement role if enforcement
authority is being delegated.
8. Procedures for resolving conflicts between the parties to
the delegation agreement.
9. Procedures for amending the delegation agreement.
10. The names and addresses of primary contact persons at
both the delegating agency and the political subdivision.
B. An agency that seeks to delegate functions, powers or duties
shall file with the secretary of state a summary of the proposed
delegation agreement. The summary shall provide the name of
a person to contact in the agency with questions or comments
and shall state that a copy of the proposed delegation agreement may be obtained upon request from the agency. The secretary of state shall publish the summary in the next register.
C. For at least thirty days after publication of the notice of the
proposed delegation agreement in the register, the agency shall
provide persons the opportunity to submit in writing statements, arguments, data and views on the proposed delegation
agreement and shall provide an opportunity for a public hearing if there is sufficient public interest.
D. A public hearing on the delegation agreement shall not be held
earlier than thirty days after the notice of its location and time
is published in the register. The agency shall determine a location and time for the public hearing that affords a reasonable
opportunity for persons to participate. At that public hearing
September 2011

persons may present oral argument, data and views on the proposed delegation agreement.
E. After the conclusion of the public comment period and hearing, if any, the agency shall prepare a written summary,
responding to the comments received, whether oral or written.
The agency shall consider the comments received from the
public in determining whether to enter into the proposed delegation agreement. The agency shall give written notice to
those persons who submitted comments of the agency’s decision on whether to enter into the proposed delegation agreement. The delegation agreement is effective thirty days after
written notice of the agency’s final decision is given unless an
appeal is filed and pending before the council pursuant to subsection F.
F. A person who filed written comments with the delegating
agency objecting to all or part of the proposed delegation
agreement may appeal to the council the delegating agency’s
decision to enter into the delegation agreement within thirty
days after the agency gives written notice to enter into the delegation agreement pursuant to subsection E. The council shall
place the appeal of the delegation agreement on its next meeting agenda if at least three council members make such a
request of the council chairman within two weeks of the filing
of the appeal.
G. Delegation agreements that are appealed to and considered by
the council shall become effective upon council approval of
the delegation agreement. Delegation agreements that are
appealed to the council and not considered by the council are
effective either thirty days after written notice of the agency’s
final decision is given pursuant to subsection E, or two weeks
after an appeal is filed if at least three council members do not
request council consideration of the delegation agreement pursuant to subsection F, whichever date is later.
H. The council shall not approve the delegation agreement if it
does not meet the provisions set forth in subsection A or if the
agency has not provided adequate notice and an opportunity
for comment to the public.
§ 41-1082.
Existing delegation agreements
A. By January 1, 1995, each state agency shall compile and make
public a list of all delegation agreements that it has entered
into with political subdivisions and a list of all subdelegation
agreements to the delegation agreements. Upon request and
for a reasonable cost, a person may obtain a copy of any delegation agreement on the list.
B. By January 1, 1996, each state agency shall amend, if necessary, any delegation agreement entered into prior to the effective date of this article to conform with criteria set forth in
section 41-1081, subsection A.
§ 41-1083.
No presumption of funding authority
No political subdivision may assess any fee, tax or other assessment
in the exercise of its delegated authorities pursuant to any delegation agreement unless the delegation agreement specifically authorizes the fee, tax or other assessment or the political subdivision is
otherwise authorized by law to impose the fee, tax or other assessment.
§ 41-1084.
Prohibition on subdelegation
No political subdivision that exercises delegated authority pursuant
to a delegation agreement may subdelegate its delegated authority
to another agency or political subdivision without first notifying the
delegating agency.

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Section 6. Administrative Procedure Act
(c) The board of barbers.
(d) The board of behavioral health examiners.
(e) The Arizona state boxing and mixed martial arts
commission.
(f) The state board of chiropractic examiners.
(g) The board of cosmetology.
(h) The state board of dental examiners.
(i) The state board of funeral directors and embalmers.
(j) The Arizona game and fish commission.
(k) The board of homeopathic and integrated medicine
examiners.
(l) The Arizona medical board.
(m) The naturopathic physicians medical board.
(n) The state board of nursing.
(o) The board of examiners of nursing care institution
administrators and adult care home managers.
(p) The board of occupational therapy examiners.
(q) The state board of dispensing opticians.
(r) The state board of optometry.
(s) The Arizona board of osteopathic examiners in medicine and surgery.
(t) The Arizona peace officer standards and training
board.
(u) The Arizona state board of pharmacy.
(v) The board of physical therapy examiners.
(w) The state board of podiatry examiners.
(x) The state board for private postsecondary education.
(y) The state board of psychologist examiners.
(z) The board of respiratory care examiners.
(aa) The office of pest management.
(bb) The state board of technical registration.
(cc) The Arizona state veterinary medical examining
board.
(dd) The acupuncture board of examiners.
(ee) The Arizona regulatory board of physician assistants.
(ff) The board of athletic training.
(gg) The board of massage therapy.

ARTICLE 9. SUBSTANTIVE POLICY STATEMENTS
§ 41-1091.
Substantive policy statements; directory
A. An agency shall file substantive policy statements pursuant to
section 41-1013, subsection B.
B. An agency shall ensure that the first page of each substantive
policy statement includes the following notice:
This substantive policy statement is advisory only. A substantive policy statement does not include internal procedural documents that only affect the internal procedures of the agency
and does not impose additional requirements or penalties on
regulated parties or include confidential information or rules
made in accordance with the Arizona administrative procedure
act. If you believe that this substantive policy statement does
impose additional requirements or penalties on regulated parties you may petition the agency under Arizona Revised Statutes section 41-1033 for a review of the statement.
C. The agency shall publish at least annually a directory summarizing the subject matter of all currently applicable rules and
substantive policy statements. The agency shall keep copies of
this directory and all of its substantive policy statements at one
location. The directory, rules and substantive policy statements
and any materials incorporated by reference in the rules or
substantive policy statements shall be open to public inspection at the office of the agency director.
D. On or before June 30 of each year, the agency head shall certify to the council that the agency is in compliance with this
section.
ARTICLE 10. UNIFORM ADMINISTRATIVE HEARING
PROCEDURES
§ 41-1092.
Definitions
In this article, unless the context otherwise requires:
1. “Administrative law judge” means an individual or an
agency head, board or commission that sits as an administrative law judge, that conducts administrative hearings
in a contested case or an appealable agency action and
that makes decisions regarding the contested case or
appealable agency action.
2. “Administrative law judge decision” means the findings
of fact, conclusions of law and recommendations or decisions issued by an administrative law judge.
3. “Appealable agency action” means an action that determines the legal rights, duties or privileges of a party and
that is not a contested case. Appealable agency actions do
not include interim orders by self-supporting regulatory
boards or rules, orders, standards or statements of policy
of general application issued by an administrative agency
to implement, interpret or make specific the legislation
enforced or administered by it, nor does it mean or
include rules concerning the internal management of the
agency that do not affect private rights or interests. For
the purposes of this paragraph, administrative hearing
does not include a public hearing held for the purpose of
receiving public comment on a proposed agency action.
4. “Director” means the director of the office of administrative hearings.
5. “Final administrative decision” means a decision by an
agency that is subject to judicial review pursuant to title
12, chapter 7, article 6.
6. “Office” means the office of administrative hearings.
7. “Self-supporting regulatory board” means any one of the
following:
(a) The Arizona state board of accountancy.
(b) The state board of appraisal.

Arizona Rulemaking Manual

§ 41-1092.01. Office of administrative hearings; director; powers and duties; fund
A. An office of administrative hearings is established.
B. The governor shall appoint the director pursuant to section 38211. At a minimum, the director shall have the experience necessary for appointment as an administrative law judge. The
director also shall possess supervisory, management and
administrative skills, as well as knowledge and experience
relating to administrative law.
C. The director shall:
1. Serve as the chief administrative law judge of the office.
2. Make and execute the contracts and other instruments
that are necessary to perform the director’s duties.
3. Hire employees, including full-time administrative law
judges, and contract for special services, including temporary administrative law judges, that are necessary to
carry out this article. An administrative law judge
employed or contracted by the office shall have graduated
from an accredited college of law or shall have at least
two years of administrative or managerial experience in
the subject matter or agency section the administrative
law judge is assigned to in the office.
4. Make rules that are necessary to carry out this article,
including rules governing ex parte communications in
contested cases.
5. Submit a report to the governor, speaker of the house of
representatives and president of the senate by November

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Section 6. Administrative Procedure Act
1 of each year describing the activities and accomplishments of the office. The director’s annual report shall
include a summary of the extent and effect of agencies’
utilization of administrative law judges, court reporters
and other personnel in proceedings under this article and
recommendations for changes or improvements in the
administrative procedure act or any agency’s practice or
policy with respect to the administrative procedure act.
6. Secure, compile and maintain all decisions, opinions or
reports of administrative law judges issued pursuant to
this article and the reference materials and supporting
information that may be appropriate.
7. Develop, implement and maintain a program for the continuing training and education of administrative law
judges and agencies in regard to their responsibilities
under this article. The program shall require that an
administrative law judge receive training in the technical
and subject matter areas of the sections to which the
administrative law judge is assigned.
8. Develop, implement and maintain a program of evaluation to aid the director in the evaluation of administrative
law judges appointed pursuant to this article that includes
comments received from the public.
9. Annually report the following to the governor, the president of the senate and the speaker of the house of representatives by December 1 for the prior fiscal year:
(a) The number of administrative law judge decisions
rejected or modified by agency heads.
(b) By category, the number and disposition of motions
filed pursuant to section 41-1092.07, subsection A to
disqualify office administrative law judges for bias,
prejudice, personal interest or lack of expertise.
(c) By agency, the number and type of violations of section 41-1009.
10. Schedule hearings pursuant to section 41-1092.05 upon
the request of an agency or the filing of a notice of appeal
pursuant to section 41-1092.03.
D. The director shall not require legal representation to appear
before an administrative law judge.
E. Except as provided in subsection F of this section, all state
agencies supported by state general fund sources, unless
exempted by this article, and the registrar of contractors shall
use the services and personnel of the office to conduct administrative hearings. All other agencies shall contract for services
and personnel of the office to conduct administrative hearings.
F. An agency head, board or commission that directly conducts
an administrative hearing as an administrative law judge is not
required to use the services and personnel of the office for that
hearing.
G. Each state agency, and each political subdivision contracting
for office services pursuant to subsection I of this section, shall
make its facilities available, as necessary, for use by the office
in conducting proceedings pursuant to this article.
H. The office shall employ full-time administrative law judges to
conduct hearings required by this article or other laws as follows:
1. The director shall assign administrative law judges from
the office to an agency, on either a temporary or a permanent basis, at supervisory or other levels, to preside over
contested cases and appealable agency actions in accordance with the special expertise of the administrative law
judge in the subject matter of the agency.
2. The director shall establish the subject matter and agency
sections within the office that are necessary to carry out
this article. Each subject matter and agency section shall
provide training in the technical and subject matter areas
September 2011

of the section as prescribed in subsection C, paragraph 7
of this section.
I. If the office cannot furnish an office administrative law judge
promptly in response to an agency request, the director may
contract with qualified individuals to serve as temporary
administrative law judges. These temporary administrative
law judges are not employees of this state.
J. The office may provide administrative law judges on a contract basis to any governmental entity to conduct any hearing
not covered by this article. The director may enter into contracts with political subdivisions of this state, and these political subdivisions may contract with the director for the purpose
of providing administrative law judges and reporters for
administrative proceedings or informal dispute resolution. The
contract may define the scope of the administrative law
judge’s duties. Those duties may include the preparation of
findings, conclusions, decisions or recommended decisions or
a recommendation for action by the political subdivision. For
these services, the director shall request payment for services
directly from the political subdivision for which the services
are performed, and the director may accept payment on either
an advance or reimbursable basis.
K. The office shall apply monies received pursuant to subsections
E and J of this section to offset its actual costs for providing
personnel and services.
§ 41-1092.02. Appealable agency actions; application of procedural rules; exemption from article
A. This article applies to all contested cases as defined in section
41-1001 and all appealable agency actions, except contested
cases with or appealable agency actions of:
1. The state department of corrections.
2. The board of executive clemency.
3. The industrial commission of Arizona.
4. The Arizona corporation commission.
5. The Arizona board of regents and institutions under its
jurisdiction.
6. The state personnel board.
7. The department of juvenile corrections.
8. The department of transportation.
9. The department of economic security except as provided
in sections 8-506.01, 8-811 and 46-458.
10. The department of revenue regarding:
(a) Income tax, withholding tax or estate tax.
(b) Any tax issue related to information associated with
the reporting of income tax, withholding tax or
estate tax unless the taxpayer requests in writing that
this article apply and waives confidentiality under
title 42, chapter 2, article 1.
11. The board of tax appeals.
12. The state board of equalization.
13. The state board of education, but only in connection with
contested cases and appealable agency actions related to
applications for issuance or renewal of a certificate and
discipline of certificate holders pursuant to sections 15203, 15-534, 15-534.01, 15-535, 15-545 and 15-550.
14. The board of fingerprinting.
B. Unless waived by all parties, an administrative law judge shall
conduct all hearings under this article, and the procedural rules
set forth in this article and rules made by the director apply.
C. Except as provided in subsection A of this section:
1. A contested case heard by the office of administrative
hearings regarding taxes administered under title 42 shall
be subject to the provisions under section 42-1251.
2. A final decision of the office of administrative hearings
regarding taxes administered under title 42 may be

Section 6 - Page 23

Arizona Rulemaking Manual

Section 6. Administrative Procedure Act

D.

E.

F.

G.

appealed by either party to the director of the department
of revenue, or a taxpayer may file and appeal directly to
the board of tax appeals pursuant to section 42-1253.
Except as provided in subsections A, B, E, F and G of this section and notwithstanding any other administrative proceeding
or judicial review process established in statute or administrative rule, this article applies to all appealable agency actions
and to all contested cases.
Except for a contested case or an appealable agency action
regarding unclaimed property, sections 41-1092.03, 411092.08 and 41-1092.09 do not apply to the department of revenue.
The board of appeals established by section 37-213 is exempt
from:
1. The time frames for hearings and decisions provided in
section 41-1092.05, subsection A, section 41-1092.08
and section 41-1092.09.
2. The requirement in section 41-1092.06, subsection A to
hold an informal settlement conference at the appellant’s
request if the sole subject of an appeal pursuant to section
37-215 is the estimate of value reported in an appraisal of
lands or improvements.
Auction protest procedures pursuant to title 37, chapter 2, article 4.1 are exempt from this article.

§ 41-1092.03. Notice of appealable agency action or contested
case; hearing; informal settlement conference; applicability
A. Except as provided in subsection D of this section, an agency
shall serve notice of an appealable agency action or contested
case pursuant to section 41-1092.04. The notice shall:
1. Identify the statute or rule that is alleged to have been
violated or on which the action is based.
2. Identify with reasonable particularity the nature of any
alleged violation, including, if applicable, the conduct or
activity constituting the violation.
3. Include a description of the party’s right to request a hearing on the appealable agency action or contested case.
4. Include a description of the party’s right to request an
informal settlement conference pursuant to section 411092.06.
B. A party may obtain a hearing on an appealable agency action
or contested case by filing a notice of appeal or request for a
hearing with the agency within thirty days after receiving the
notice prescribed in subsection A of this section. The notice of
appeal or request for a hearing may be filed by a party whose
legal rights, duties or privileges were determined by the
appealable agency action or contested case. A notice of appeal
or request for a hearing also may be filed by a party who will
be adversely affected by the appealable agency action or contested case and who exercised any right provided by law to
comment on the action being appealed or contested, provided
that the grounds for the notice of appeal or request for a hearing are limited to issues raised in that party’s comments. The
notice of appeal or request for a hearing shall identify the
party, the party’s address, the agency and the action being
appealed or contested and shall contain a concise statement of
the reasons for the appeal or request for a hearing. The agency
shall notify the office of the appeal or request for a hearing and
the office shall schedule an appeal or contested case hearing
pursuant to section 41-1092.05, except as provided in section
41-1092.01, subsection F.
C. If good cause is shown an agency head may accept an appeal
or request for a hearing that is not filed in a timely manner.
D. This section does not apply to a contested case if the agency:

Arizona Rulemaking Manual

1.
2.

Initiates the contested case hearing pursuant to law other
than this chapter and not in response to a request by
another party.
Is not required by law, other than this chapter, to provide
an opportunity for an administrative hearing before taking action that determines the legal rights, duties or privileges of an applicant for a license.

§ 41-1092.04. Service of documents
Unless otherwise provided in this article, every notice or decision
under this article shall be served by personal delivery or certified
mail, return receipt requested, or by any other method reasonably
calculated to effect actual notice on the agency and every other
party to the action to the party’s last address of record with the
agency. Each party shall inform the agency and the office of any
change of address within five days of the change.
41-1092.05. Scheduling of hearings; prehearing conferences
A. Except as provided in subsections B and C, hearings for:
1. Appealable agency actions shall be held within sixty days
after the notice of appeal is filed.
2. Contested cases shall be held within sixty days after the
agency’s request for a hearing.
B. Hearings for appealable agency actions of or contested cases
with self-supporting regulatory boards that meet quarterly or
less frequently shall be held at the next meeting of the board
after the board receives the written decision of an administrative law judge or the issuance of the notice of hearing, except
that:
1. If the decision of the administrative law judge is received
or the notice of hearing is issued within thirty days before
the board meets, the hearing shall be held at the following
meeting of the board.
2. If good cause is shown, the hearing may be held at a later
meeting of the board.
C. The date scheduled for the hearing may be advanced or
delayed on the agreement of the parties or on a showing of
good cause.
D. The agency shall prepare and serve a notice of hearing on all
parties to the appeal or contested case at least thirty days
before the hearing. The notice shall include:
1. A statement of the time, place and nature of the hearing.
2. A statement of the legal authority and jurisdiction under
which the hearing is to be held.
3. A reference to the particular sections of the statutes and
rules involved.
4. A short and plain statement of the matters asserted. If the
agency or other party is unable to state the matters in
detail at the time the notice is served, the initial notice
may be limited to a statement of the issues involved.
After the initial notice and on application, a more definite
and detailed statement shall be furnished.
E. Notwithstanding subsection D, a hearing shall be expedited as
provided by law or upon a showing of extraordinary circumstances or the possibility of irreparable harm if the parties to
the appeal or contested case have actual notice of the hearing
date. Any party to the appeal or contested case may file a
motion with the director asserting the party’s right to an expedited hearing. The right to an expedited hearing shall be listed
on any abatement order. The Arizona health care cost containment system administration may file a motion with every
member grievance and eligibility appeal that cites federal law
and that requests that a hearing be set within thirty days after
the motion is filed.
F. Prehearing conferences may be held to:
1. Clarify or limit procedural, legal or factual issues.

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September 2011

Section 6. Administrative Procedure Act
2.
3.
4.
5.
6.

Consider amendments to any pleadings.
Identify and exchange lists of witnesses and exhibits
intended to be introduced at the hearing.
Obtain stipulations or rulings regarding testimony, exhibits, facts or law.
Schedule deadlines, hearing dates and locations if not
previously set.
Allow the parties opportunity to discuss settlement.

F.

§ 41-1092.06. Appeals of agency actions; informal settlement
conferences; applicability
A. If requested by the appellant of an appealable agency action,
the agency shall hold an informal settlement conference within
fifteen days after receiving the request. A request for an informal settlement conference shall be in writing and shall be filed
with the agency no later than twenty days before the hearing.
If an informal settlement conference is requested, the agency
shall notify the office of the request and the outcome of the
conference, except as provided in section 41-1092.01, subsection F. The request for an informal settlement conference does
not toll the sixty day period in which the administrative hearing is to be held pursuant to section 41-1092.05.
B. If an informal settlement conference is held, a person with the
authority to act on behalf of the agency must represent the
agency at the conference. The agency representative shall
notify the appellant in writing that statements, either written or
oral, made by the appellant at the conference, including a written document, created or expressed solely for the purpose of
settlement negotiations are inadmissible in any subsequent
administrative hearing. The parties participating in the settlement conference shall waive their right to object to the participation of the agency representative in the final administrative
decision.
§ 41-1092.07. Hearings
A. A party to a contested case or appealable agency action may
file a nonperemptory motion with the director to disqualify an
office administrative law judge from conducting a hearing for
bias, prejudice, personal interest or lack of technical expertise
necessary for a hearing.
B. The parties to a contested case or appealable agency action
have the right to be represented by counsel or to proceed without counsel, to submit evidence and to cross-examine witnesses.
C. The administrative law judge may issue subpoenas to compel
the attendance of witnesses and the production of documents.
The subpoenas shall be served and, on application to the superior court, enforced in the manner provided by law for the service and enforcement of subpoenas in civil matters. The
administrative law judge may administer oaths and affirmations to witnesses.
D. All parties shall have the opportunity to respond and present
evidence and argument on all relevant issues. All relevant evidence is admissible, but the administrative law judge may
exclude evidence if its probative value is outweighed by the
danger of unfair prejudice, by confusion of the issues or by
considerations of undue delay, waste of time or needless presentation of cumulative evidence. The administrative law
judge shall exercise reasonable control over the manner and
order of cross-examining witnesses and presenting evidence to
make the cross-examination and presentation effective for
ascertaining the truth, avoiding needless consumption of time
and protecting witnesses from harassment or undue embarrassment.
E. All hearings shall be recorded. The administrative law judge
shall secure either a court reporter or an electronic means of
September 2011

G.

producing a clear and accurate record of the proceeding at the
agency’s expense. Any party that requests a transcript of the
proceeding shall pay the costs of the transcript to the court
reporter or other transcriber.
Unless otherwise provided by law, the following apply:
1. A hearing may be conducted in an informal manner and
without adherence to the rules of evidence required in
judicial proceedings. Neither the manner of conducting
the hearing nor the failure to adhere to the rules of evidence required in judicial proceedings is grounds for
reversing any administrative decision or order if the evidence supporting the decision or order is substantial, reliable and probative.
2. Copies of documentary evidence may be received in the
discretion of the administrative law judge. On request,
parties shall be given an opportunity to compare the copy
with the original.
3. Notice may be taken of judicially cognizable facts. In
addition, notice may be taken of generally recognized
technical or scientific facts within the agency’s specialized knowledge. Parties shall be notified either before or
during the hearing or by reference in preliminary reports
or otherwise of the material noticed including any staff
memoranda or data and they shall be afforded an opportunity to contest the material so noticed. The agency’s
experience, technical competence and specialized knowledge may be used in the evaluation of the evidence.
4. On application of a party or the agency and for use as evidence, the administrative law judge may permit a deposition to be taken, in the manner and on the terms
designated by the administrative law judge, of a witness
who cannot be subpoenaed or who is unable to attend the
hearing. Subpoenas for the production of documents may
be ordered by the administrative law judge if the party
seeking the discovery demonstrates that the party has reasonable need of the materials being sought. All provisions of law compelling a person under subpoena to
testify are applicable. Fees for attendance as a witness
shall be the same as for a witness in court, unless otherwise provided by law or agency rule. Notwithstanding
section 12-2212, subpoenas, depositions or other discovery shall not be permitted except as provided by this paragraph or subsection C of this section.
5. Informal disposition may be made by stipulation, agreed
settlement, consent order or default.
6. Findings of fact shall be based exclusively on the evidence and on matters officially noticed.
7. A final administrative decision shall include findings of
fact and conclusions of law, separately stated. Findings of
fact, if set forth in statutory language, shall be accompanied by a concise and explicit statement of the underlying
facts supporting the findings.
Except as otherwise provided by law:
1. At a hearing on an agency’s denial of a license or permit
or a denial of an application or request for modification of
a license or permit, the applicant has the burden of persuasion.
2. At a hearing on an agency action to suspend, revoke, terminate or modify on its own initiative material conditions
of a license or permit, the agency has the burden of persuasion.
3. At a hearing on an agency’s imposition of fees or penalties or any agency compliance order, the agency has the
burden of persuasion.
4. At a hearing held pursuant to title 41, chapter 23 or 24,
the appellant or claimant has the burden of persuasion.

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Section 6. Administrative Procedure Act
H. Subsection G of this section does not affect the law governing
burden of persuasion in an agency denial of, or refusal to issue,
a license renewal.
§ 41-1092.08. Final administrative decisions; review
A. The administrative law judge of the office shall issue a written
decision within twenty days after the hearing is concluded.
The written decision shall contain a concise explanation of the
reasons supporting the decision. The administrative law judge
shall serve a copy of the decision on the agency. Upon request
of the agency, the office shall also transmit to the agency the
record of the hearing as described in section 12-904, except as
provided in section 41-1092.01, subsection F.
B. Within thirty days after the date the office sends a copy of the
administrative law judge’s decision to the head of the agency,
executive director, board or commission, the head of the
agency, executive director, board or commission may review
the decision and accept, reject or modify it. If the head of the
agency, executive director, board or commission declines to
review the administrative law judge’s decision, the agency
shall serve a copy of the decision on all parties. If the head of
the agency, executive director, board or commission rejects or
modifies the decision the agency head, executive director,
board or commission must file with the office, except as provided in section 41-1092.01, subsection F, and serve on all parties a copy of the administrative law judge’s decision with the
rejection or modification and a written justification setting
forth the reasons for the rejection or modification.
C. A board or commission whose members are appointed by the
governor may review the decision of the agency head, as provided by law, and make the final administrative decision.
D. Except as otherwise provided in this subsection, if the head of
the agency or a board or commission does not accept, reject or
modify the administrative law judge’s decision within thirty
days after the date the office sends a copy of the administrative
law judge’s decision to the head of the agency, executive
director, board or commission, as evidenced by receipt of such
action by the office by the thirtieth day the office shall certify
the administrative law judge’s decision as the final administrative decision. If the board or commission meets monthly or
less frequently, if the office sends the administrative law
judge’s decision at least thirty days before the next meeting of
the board or commission and if the board or commission does
not accept, reject or modify the administrative law judge’s
decision at the next meeting of the board or commission, as
evidenced by receipt of such action by the office within five
days after the meeting the office shall certify the administrative law judge’s decision as the final administrative decision.
E. For the purposes of subsections B and D of this section, a copy
of the administrative law judge’s decision is sent on personal
delivery of the decision or five days after the decision is
mailed to the head of the agency, executive director, board or
commission.
F. The decision of the agency head is the final administrative
decision unless either:
1. The agency head, executive director, board or commission does not review the administrative law judge’s decision pursuant to subsection B of this section or does not
reject or modify the administrative law judge’s decision
as provided in subsection D of this section, in which case
the administrative law judge’s decision is the final administrative decision.
2. The decision of the agency head is subject to review pursuant to subsection C of this section.
G. If a board or commission whose members are appointed by the
governor makes the final administrative decision as an admin-

Arizona Rulemaking Manual

istrative law judge or upon review of the decision of the
agency head, the decision is not subject to review by the head
of the agency.
H. A party may appeal a final administrative decision pursuant to
title 12, chapter 7, article 6, except as provided in section 411092.09, subsection B and except that if a party has not
requested a hearing upon receipt of a notice of appealable
agency action pursuant to section 41-1092.03, the appealable
agency action is not subject to judicial review.
I. This section does not apply to the Arizona peace officer standards and training board established by section 41-1821.
§ 41-1092.09. Rehearing or review
A. Except as provided in subsection B of this section:
1. A party may file a motion for rehearing or review within
thirty days after service of the final administrative decision.
2. The opposing party may file a response to the motion for
rehearing within fifteen days after the date the motion for
rehearing is filed.
3. After a hearing has been held and a final administrative
decision has been entered pursuant to section 41-1092.08,
a party is not required to file a motion for rehearing or
review of the decision in order to exhaust the party’s
administrative remedies.
B. A party to an appealable agency action of or contested case
with a self-supporting regulatory board shall exhaust the
party’s administrative remedies by filing a motion for rehearing or review within thirty days after the service of the administrative decision that is subject to rehearing or review in order
to be eligible for judicial review pursuant to title 12, chapter 7,
article 6. The board shall notify the parties in the administrative decision that is subject to rehearing or review that a failure
to file a motion for rehearing or review within thirty days after
service of the decision has the effect of prohibiting the parties
from seeking judicial review of the board’s decision.
C. Service is complete on personal service or five days after the
date that the final administrative decision is mailed to the
party’s last known address.
D. Except as provided in this subsection, the agency head, executive director, board or commission shall rule on the motion
within fifteen days after the response to the motion is filed or,
if a response is not filed, within five days of the expiration of
the response period. A self-supporting regulatory board shall
rule on the motion within fifteen days after the response to the
motion is filed or at the board’s next meeting after the motion
is received, whichever is later.
§ 41-1092.10. Compulsory testimony; privilege against selfincrimination
A. A person may not refuse to attend and testify or produce evidence sought by an agency in an action, proceeding or investigation instituted by or before the agency on the ground that the
testimony or evidence, documentary or otherwise, required of
the person may tend to incriminate the person or subject the
person to a penalty or forfeiture unless it constitutes the compelled testimony or the private papers of the person that would
be privileged evidence either pursuant to the fifth amendment
of the Constitution of the United States or article II, section 10,
Constitution of Arizona, and the person claims the privilege
before the production of the testimony or papers.
B. If a person asserts the privilege against self-incrimination and
the agency seeks to compel production of the testimony or
documents sought, the office or agency as provided in section
41-1092.01, subsection F may issue, with the prior written
approval of the attorney general, a written order compelling

Section 6 - Page 26

September 2011

Section 6. Administrative Procedure Act

C.

the testimony or production of documents in proceedings and
investigations before the office or agency as provided in section 41-1092.01, subsection F or apply to the appropriate court
for such an order in other actions or proceedings.
Evidence produced pursuant to subsection B of this section is
not admissible in evidence or usable in any manner in a criminal prosecution, except for perjury, false swearing, tampering
with physical evidence or any other offense committed in connection with the appearance made pursuant to this section
against the person testifying or the person producing the person’s private papers.

§ 41-1092.11. Licenses; renewal; revocation; suspension;
annulment; withdrawal
A. If a licensee makes timely and sufficient application for the
renewal of a license or a new license with reference to any
activity of a continuing nature, the existing license does not
expire until the application has been finally determined by the
agency, and, in case the application is denied or the terms of
the new license limited, until the last day for seeking review of
the agency order or a later date fixed by order of the reviewing
court.
B. Revocation, suspension, annulment or withdrawal of any
license is not lawful unless, before the action, the agency provides the licensee with notice and an opportunity for a hearing
in accordance with this article. If the agency finds that the public health, safety or welfare imperatively requires emergency
action, and incorporates a finding to that effect in its order, the
agency may order summary suspension of a license pending
proceedings for revocation or other action. These proceedings
shall be promptly instituted and determined.
§ 41-1092.12. Private right of action; recovery of costs and fees;
definitions
A. If an agency takes an action against a party that is arbitrary,
capricious or not in accordance with law, the action is an
appealable agency action if all of the following apply:
1. Within ten days after the action that is arbitrary, capricious or not in accordance with law, the party notifies the
director of the agency in writing of the party’s intent to
file a claim pursuant to this section. This notice shall
include a description of the action the party claims to be
arbitrary, capricious or not in accordance with law and
reasons why the action is arbitrary, capricious or not in
accordance with law.

September 2011

2.

B.
C.

D.

E.

The agency continues the action that is arbitrary, capricious or not in accordance with law more than ten days
after the agency receives the notice.
3. The action is not excluded from the definition of appealable agency action as defined in section 41-1092.
This section only applies if an administrative remedy or an
administrative or a judicial appeal of final agency action is not
otherwise provided by law.
If the party prevails, the agency shall pay reasonable costs and
fees to the party from any monies appropriated to the agency
and available for that purpose or from other operating monies
of the agency. If the agency fails or refuses to pay the award
within fifteen days after the demand, and if no further review
or appeal of the award is pending, the prevailing party may file
a claim with the department of administration. The department
of administration shall pay the claim within thirty days in the
same manner as an uninsured property loss under title 41,
chapter 3.1, article 1, except that the agency is responsible for
the total amount awarded and shall pay it from its operating
monies. If the agency had appropriated monies available for
paying the award at the time it failed or refused to pay, the legislature shall reduce the agency’s operating appropriation for
the following fiscal year by the amount of the award and shall
appropriate that amount to the department of administration as
reimbursement for the loss.
If the administrative law judge determines that the appealable
agency action is frivolous, the administrative law judge may
require the party to pay reasonable costs and fees to the agency
in responding to the appeal filed before the office of administrative hearings.
For the purposes of this section:
1. “Action against the party” means any of the following
that results in the expenditure of costs and fees:
(a) A decision.
(b) An inspection.
(c) An investigation.
(d) The entry of private property.
2. “Agency” means the department of environmental quality
established pursuant to title 49, chapter 1, article 1.
3. “Costs and fees” means reasonable attorney and professional fees.
4. “Party” means an individual, partnership, corporation,
association and public or private organization at whom
the action was directed and who has expended costs and
fees as a result of the action against the party.

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Section 7. Rules of the Office of the Secretary of State

Section 7
Rules of the Office of the Secretary of State
Editor’s Note: The Chapter printed here is not the official version of the Arizona Administrative Code.
TITLE 1. RULES AND THE RULEMAKING PROCESS
CHAPTER 1. SECRETARY OF STATE
RULES AND RULEMAKING
ARTICLE 1. GENERAL PROVISIONS
Section
R1-1-101.
R1-1-102.
R1-1-103.
R1-1-104.
R1-1-105.
R1-1-106.
R1-1-107.
R1-1-108.
R1-1-109.
R1-1-110.
R1-1-111.
R1-1-112.
R1-1-113.
R1-1-114.

Definitions
Codification Outline
Submission Requirements for Publication and Filing
Submitting Material for Publication
Certificates
Receipts
Filing Location
Editing and Relabeling by the Office
Correction of Errors
Effective Date
Repealed
Public Inspection of Documents; Copies
Fees
Official Distribution of the Register and the Code at
No Charge

ARTICLE 2. THE ARIZONA ADMINISTRATIVE
REGISTER
Section
R1-1-201.
R1-1-202.
R1-1-203.
R1-1-204.
R1-1-205.
R1-1-206.
R1-1-207.
R1-1-208.
R1-1-209.
R1-1-210.
R1-1-211.
R1-1-212.

Publication Schedule and Deadlines
Contents
Repealed
Repealed
Notice of Rulemaking Docket Opening
Notice of Formal Rulemaking Advisory Committee
Repealed
Notice of Proposed Delegation Agreement; Notice
of Final Delegation Agreement
Notice of Oral Proceeding, Public Workshop, or
Other Meeting
Notice of Agency Guidance Document; Notice of
Substantive Policy Statement
Summary of Council Action
Agency Ombudsman

R1-1-403.
R1-1-404.
R1-1-405.

Numbering System
Renumbering Sections within a Chapter
Addition of a New Section Between Existing Sections
Repeal and Re-use of a Chapter
Authority Notes
Text of the Rules; Subsections
Citations to the Code, Register, Statutes, and Federal
Laws and Rules
Repealed
Automatic Repeal of Rules
Supplementary Material
Statutory Language; Italics
Incorporation by Reference; Citation of Referenced
Material
Rulemaking Actions for an Article, Part, Section,
Table, Appendix or Exhibit

R1-1-406.
R1-1-407.
R1-1-408.
R1-1-409.
R1-1-410.
R1-1-411.
R1-1-412.
R1-1-413.
R1-1-414.
R1-1-415.

ARTICLE 5. PROPOSED RULEMAKING
Section
R1-1-501.
R1-1-502.
R1-1-503.
R1-1-504.
R1-1-505.
R1-1-506.
R1-1-507.

Assignment of Chapters
Notice of Proposed Rulemaking
Public Comment Period
Oral Proceedings on Proposed Rulemaking
Close of the Record
Notice of Termination of Rulemaking
Notice of Supplemental Proposed Rulemaking
ARTICLE 6. FINAL RULEMAKING

Section
R1-1-601.

Preparation and Filing of a Final Rulemaking Package
Notice of Final Rulemaking

R1-1-602.

ARTICLE 7. EMERGENCY RULEMAKING
Section
R1-1-701.

Notice of Emergency Rulemaking

ARTICLE 3. THE ARIZONA ADMINISTRATIVE CODE
Section
R1-1-301.
R1-1-302.
R1-1-303.
R1-1-304.
R1-1-305.
R1-1-306.
R1-1-307.
R1-1-308.

ARTICLE 8. SUMMARY RULEMAKING
Development of the Code
Publication of the Code and its Supplements
Repealed
Repealed
Repealed
Repealed
Repealed
Repealed

Section
R1-1-801.

Notice of Summary Rulemaking
ARTICLE 9. EXEMPT RULEMAKING

Section
R1-1-901.
R1-1-902.

Exempt Rulemaking
Notice of Exempt Rulemaking
ARTICLE 10. RECODIFICATION

ARTICLE 4. RULE DRAFTING
Section
R1-1-401.
R1-1-402.

Section
R1-1-1001.

Notice of Recodification

Rule Drafting
Assignment of Code Divisions; Headings

September 2011

Section 7 - Page 1

Arizona Rulemaking Manual

Section 7. Rules of the Office of the Secretary of State
ARTICLE 1. GENERAL PROVISIONS
R1-1-101.
Definitions
The following definitions apply in this Chapter unless the context
otherwise requires:
“Act” means A.R.S. §§ 41-1001 et seq., the Administrative
Procedure Act.
“Agency” has the same meaning as in A.R.S. § 41-1001.
“Amendment” means a change to:
A Section, including added or deleted language;
A Part, by the addition or repeal of one or more Sections;
An Article, by the addition or repeal of one or more Sections or Parts;
A Subchapter, by the addition or repeal of one or more
Articles, Parts, or Sections; or
A Chapter, by the addition or repeal of one or more Subchapters, Articles, Parts, or Sections.
“Appendix” means supplementary material to a set of rules,
written in prose format.
“Arizona Rulemaking Manual” means the guide prepared by
and available from the Office for use by agencies when
engaged in rulemaking.
“A.R.S.” means the Arizona Revised Statutes, the laws of the
state of Arizona.
“Article” means a division of an agency’s rules under a Chapter containing a unified set of rules.
“Authority” means the statutory right or power to make,
amend, or repeal rules.
“Authority note” means the information, not a part of the rule,
appearing at the beginning of a Chapter, Subchapter, Article,
or Part that cites the implementing and authorizing statutes for
the rules appearing in that Chapter, Subchapter, Article, or
Part.
“Chapter” means a division in the codification of the Code
designating a state agency or, for a large agency, a major program.
“Close of record” means the last date on which an agency
accepts comments, either written or oral, on a rulemaking.
“Code” means the Arizona Administrative Code published
under A.R.S. § 41-1011.
“Codification” means the labeling and numbering scheme for
the rules contained in the Code.
“Commercial purpose” has the same meaning as in A.R.S. §
39-121.03.
“Council” means the Governor’s Regulatory Review Council
established under A.R.S. § 41-1051.
“Economic, Small Business, and Consumer Impact Statement”
means the document that an agency makes to show that the
agency has studied the rule’s economic impact on the regulated community as well as the impact on small businesses and
consumers.
“Electronic media” or “electronic medium” means any type of
material for data storage used by a computer.
“Emergency rule” has the same meaning as in A.R.S. § 411001.
“Exempt rule” means a rule that is exempt from the provisions
of the Act. “Exempt rule” does not include a rule that is
exempt only from Council review.

Arizona Rulemaking Manual

“Exhibit” means supplementary material used for items that do
not fit the definition of an Appendix, Table, or Illustration.
“Heading” means the caption for any level of division within
the Code.
“Historical note” means the note appearing after each Section
of a Chapter, or after each separate Appendix, Exhibit, Illustration, or Table, in the Code that gives the history of that particular Section, Appendix, Exhibit, Illustration, or Table, including
the action, the Register citation, the effective date, and the
Code Supplement number in which the Section, Appendix,
Exhibit, Illustration, or Table was published.
“Illustration” means supplementary material used for diagrams, pictures, and other graphics.
“Label” means the number or letter that is assigned to a division of the Code and to its subsections and that identifies the
particular Code division or subsection.
“Notice form” means the form prescribed by the Office that an
agency uses when submitting material to the Office for filing
or publication.
“Office” means the Office of the Secretary of State, Public
Services Division.
“Part” means a division of the Code between Article and Section.
“Public record,” for purposes of this Chapter, means the rulemaking documents as filed by state agencies with the Secretary of State, the rules as published by the Secretary of State in
either the Code or the Register, or the rules as generated in any
electronic format by the Secretary of State.
“Register” means the Arizona Administrative Register, published under A.R.S. § 41-1013.
“Renumbering” means changing the numbers of one or more
whole Sections. Renumbering does not include changing the
labels of subsections within a Section.
“Repeal” means to rescind a rule by removing it from the
Code.
“Rule” means an agency statement of general applicability
that implements, interprets, or prescribes law or policy, or
describes the procedure or practice requirements of an agency.
Rule includes prescribing fees or the amendment or repeal of a
prior rule but does not include intra-agency memoranda that
are not delegation agreements. A.R.S. § 41-1001(17)
“Rulemaking” or “rulemaking activity” means the process a
state agency uses to make, amend, or repeal a rule.
“Rulemaking package” or “rulemaking documents” means all
material filed as a unit with the Office as part of rulemaking.
“Section” means an individual rule that is a unit of an Article
or Part.
“Section number” means the number that identifies a Section.
“Subchapter” means a division of the Code between Chapter
and Article.
“Subsection” means a division of a Section of the Code.
“Summary rule” means a rule made under A.R.S. § 41-1027.
“Supplement” means a quarterly update to the Code.
“Table” means supplementary material containing tabular
information.
“Title” means a subject area in the codification of the Code.

Section 7 - Page 2

September 2011

Section 7. Rules of the Office of the Secretary of State
R1-1-102.
Codification Outline
A. All rules made, amended, renumbered, recodified, or repealed
and filed with the Office after September 30, 1992, will be
published in the Register or the Code, as appropriate under:
1. The Act, or
2. Exempt from all or part of the rulemaking process as
required in:
a. The Act, or
b. Arizona Revised Statute, or
c. As provided in the Constitution of Arizona.
B. Rules shall be published within the following Titles:
1. Title 1. Rules and the Rulemaking Process
2. Title 2. Administration
3. Title 3. Agriculture
4. Title 4. Professions and Occupations
5. Title 5. Corrections
6. Title 6. Economic Security
7. Title 7. Education
8. Title 8. Emergency and Military Affairs
9. Title 9. Health Services
10. Title 10. Law
11. Title 11. Mines
12. Title 12. Natural Resources
13. Title 13. Public Safety
14. Title 14. Public Service Corporations; Corporations and
Associations; Securities Regulation
15. Title 15. Revenue
16. Title 16. Tax Appeals
17. Title 17. Transportation
18. Title 18. Environmental Quality
19. Title 19. Alcohol, Horse and Dog Racing, Lottery, and
Gaming
20. Title 20. Commerce, Financial Institutions, and Insurance
R1-1-103.
Submission Requirements for Publication and
Filing
A. An agency submitting material for filing or publication in the
Register or Code shall send one original and two copies to the
Office.
B. All pages of an original document and all copies, including all
receipts and certificates accompanying the document, shall be
printed on one side. All pages shall have a one-inch margin on
all edges. All pages of the original document shall be doublespaced or spaced space-and-a-half. The following may be single-spaced:
1. The Economic, Small Business, and Consumer Impact
Statement; and
2. Incorporated-by-reference material.
C. The text and images on all original pages and copies shall
appear clear and legible. The Office shall return to the agency
a rulemaking package that does not contain an original of both
the text and all supplementary material. An agency shall not
use a text font size smaller than 9 point or larger than 12 point.
D. An agency shall file only one Chapter per notice for any rulemaking activity. If an agency files more than one Chapter per
notice, the Office shall return the notice to the agency.
E. All rulemaking packages submitted for publication shall meet
the following requirements:
1. The original shall not be stapled, nor shall it or any of the
copies be hole punched. The Office shall not accept
pleading paper, with numbers and vertical lines along the
right- or left-hand margins.
2. Each document containing rules or relating to the rulemaking process submitted for publication shall specify on
the notice or on the Preamble, as applicable, the Code
citation, Code divisions, and the specific Sections
September 2011

F.

involved. Subsections shall not be specified in the column headed “Sections Affected.” Articles, Parts, and
Subchapters shall be specified if their labels or headings
are being changed or if the Articles, Parts, and Subchapters are being added to the Chapter or repealed in their
entirety.
3. Underlining shall be used for text added to rules. This
includes new language for a Chapter, Article, or existing
Section, the addition of an entire Section, the addition of
new language in existing supplementary material, or the
addition of new supplementary material. Underlining
shall not be used in the text of rules for any other purpose.
4. The Preamble of a rulemaking package shall not contain
footnotes or endnotes. This subsection does not apply to
the Economic, Small Business, and Consumer Impact
Statement and material that is incorporated by reference.
5. A table of contents listing all Sections and other divisions
of the Chapter on which rulemaking is taking place shall
be included in the rulemaking package after the last item
in the Preamble and before the text of the first Section.
Sections, Articles, or Parts, if applicable, not having rulemaking action taken in a particular rulemaking package
shall not be included in the table of contents. The table of
contents shall not include page numbers to the various
Sections in the rulemaking, nor shall it be labeled “Table
of Contents.”
6. Pages in the package shall be consecutively numbered,
from the first page of the Preamble through the last page
of the text of the rules or supplementary material appearing at the end of the rulemaking package.
7. An agency shall compile a rulemaking package before
submitting it to the Office. An agency shall place the
receipts on top of the entire submission and place the
original package and each copy of the items listed below
in the following order:
a. The Council certificate of approval or the Attorney
General certificate of approval, if applicable;
b. The agency certificate;
c. The notice, including the Preamble;
d. The table of contents;
e. The text of the rule including supplementary material within the rules;
f. The Economic, Small Business, and Consumer
Impact Statement, if applicable; and
g. Incorporated-by-reference material and other information required to be filed with the rule (compiled
only with the original rule package).
The Office shall not accept but shall return to the agency a
rulemaking package that does not meet the requirements of
this Chapter.

R1-1-104.
Submitting Material for Publication
A. An agency submitting a rulemaking package or other notice,
as specified in the Act and this Chapter, to the Office for publication in the Register shall follow deadlines established by the
Office and published in the Register.
B. An agency shall submit its rulemaking package in paper copy
and in an electronic medium. All electronic media submissions
shall be compatible with the Office’s computer system and
software. An agency shall not save electronic format rules as
templates.
C. Information other than rulemaking notices required by law to
be published in the Register shall be submitted to the Office in
an electronic medium and in paper copy. This information
includes agency ombudsmen names and addresses, notices of
substantive policy statements, notices of guidance documents,

Section 7 - Page 3

Arizona Rulemaking Manual

Section 7. Rules of the Office of the Secretary of State

D.

notices of proposed and final delegation agreements, and
notices of formal rulemaking advisory committees.
An agency shall use the correct notice form prescribed by the
Office when submitting material to the Office for publication
or filing. An agency shall contact the Office when using a
form not prescribed by the Office.

R1-1-105.
Certificates
A. An agency certificate shall accompany each rulemaking package. The Office shall not consider a package submitted to the
Office without an agency certificate to be formally filed. The
certificate shall be printed on one side and shall state the following:
1. The heading “AGENCY CERTIFICATE” in capital letters centered on a line at least one inch from the top of the
page;
2. The type of notice being submitted, in capital letters centered on a line below “AGENCY CERTIFICATE”; and
3. The following numbered items:
a. The agency name;
b. The Chapter heading;
c. The Code citation for the Chapter;
d. The Subchapters, if applicable; the Articles; the
Parts, if applicable; and the Sections involved in the
rulemaking, in numerical order;
e. The signature, in ink, of the agency chief executive
officer or designee, attesting that the material being
submitted is a true and correct version of the rule
proposed or made by the agency. The certificate
shall include the printed or typed name of the person
signing the form, the person’s title, and the date of
signing; and
f. For a final rule, a statement that no changes have
been made since the Council approved the rule if the
rule is subject to Council review and approval.
B. A Council certificate of approval shall accompany all final
rules subject to Council review. When the Council submits the
rules to the Office for an agency, the certificate shall be
attached to the rules as approved by the Council. The Office
shall not accept any final rulemaking package subject to Council review and approval if the Council certificate of approval is
missing or altered in any way.
C. An Attorney General certificate of approval or disapproval
shall accompany all rules subject to Attorney General review.
The certificate shall be attached to the original rulemaking
document within the rulemaking package. The Office shall not
accept a rulemaking package subject to Attorney General
review and approval if the Attorney General certificate of
approval or disapproval is missing or altered. If the Attorney
General does not approve one or more Sections in the rulemaking, the Attorney General shall prepare a certificate of disapproval listing all Sections not approved and attach it to the
package.
D. An agency certificate accompanying a rulemaking package
containing rules exempt from both Council and Attorney General review shall include the information specified in subsections (A)(1) through (3) and shall include a statement
specifying why the rules are exempt from review along with a
citation to the statutory or constitutional provision or a citation
to the court decision specifying the exemption.
E. On an agency certificate, the agency chief executive officer’s
name and title shall be typed under the signature and the date
of signing shall be indicated. If a designee signs the certificate,
the designee’s name and title shall be typed under the signature
and the date of signing shall be indicated. The Office shall not

Arizona Rulemaking Manual

accept an agency certificate that contains one person’s signature and another person’s typed name.
R1-1-106.
Receipts
An agency submitting a rulemaking package or other document to
the Office for publication or filing under the Act shall attach at least
two copies of a receipt. The Office shall time- and date-stamp all
receipts, keep one receipt for its files, and return the other receipts
to the agency. The receipt shall be printed on one side and shall
state the following:
1. The heading “AGENCY RECEIPT” in capital letters centered on a line at least one inch from the top of the page;
2. The type of notice being submitted, in capital letters centered on a line below “AGENCY RECEIPT”; and
3. The following numbered items:
a. The agency’s name; and
b. If applicable, the Title, Chapter, Subchapter, Article,
Part, and Sections that are contained in the rulemaking package and the rulemaking action occurring on
each.
R1-1-107.
Filing Location
An agency, the Council, or the Attorney General shall either file
rules in person with the Office at the State Capitol Executive Tower,
1700 West Washington, 7th Floor, Phoenix, Arizona, or mail the
rules to: Secretary of State, Public Services Division, 1700 West
Washington, 7th Floor, Phoenix, Arizona 85007-2888. The Office
shall accept a document for filing or publication only if it meets the
requirements specified in the Act and this Chapter.
R1-1-108.
Editing and Relabeling by the Office
The Office may edit and relabel the text of rules under A.R.S. § 411011.
R1-1-109.
Correction of Errors
A. After a proposed rulemaking package is filed with the Office,
an agency may make a substantive change in the text only by
filing a supplemental proposed rulemaking package showing
the change, as specified in R1-1-507 and A.R.S. § 41-1022(E).
B. After a final, proposed summary, final summary, exempt, or
emergency rulemaking package is filed with the Office, an
agency may request that the Office correct a manifest typographical or clerical error in the text by filing the corrected
pages, accompanied by a letter signed by the agency’s chief
executive officer or the officer’s designee requesting the
Office to correct the error and specifying why the agency considers the error a manifest typographical or clerical error. The
corrected pages and the letter shall both indicate the specific
changes to be made. Both the original rulemaking package and
the corrected pages shall remain on file. An error that the
Office considers substantive in nature shall be corrected
through the regular rulemaking process.
C. If, upon review, an issuing agency discovers an error in its
rules as published in the Code or Register, the agency shall
notify the Office in writing about the error.
1. If the error is substantive and was in the document as submitted by the agency, the agency shall go through the regular rulemaking process to correct the error.
2. If the error is a manifest typographical or clerical error,
the agency shall follow the procedure in subsection (B),
and the Office shall follow the procedure in subsection
(D) to print the correction.
D. If the Office finds an error in the printing of a rulemaking
package in the Register or Code or an agency notifies the
Office about a manifest typographical or clerical error and follows the procedures specified in this Section, the Office shall

Section 7 - Page 4

September 2011

Section 7. Rules of the Office of the Secretary of State
c.

correct the error in the next available issue of the Register or
supplement to the Code if the Office determines that the error
would confuse or mislead the reader. If the error would not
confuse or mislead the reader or is in a note or heading not
considered part of the rule, the Office shall correct the error
and publish the correction in the next supplement to the Code.
R1-1-110.
Effective Date
A. For a final or emergency rule, the effective date is 60 days
after the date of filing in the Office, unless:
1. The Council or the Attorney General approves an effective date earlier than 60 days after the date of filing in the
Office, or
2. An agency specifies an effective date later than 60 days
after the date of filing in the Office.
B. For a summary rule, the interim effective date is the date the
proposed summary rule is published in the Register. If the
Council approves the summary rule and files it in the Office,
the interim effective date becomes the permanent effective
date 60 days after the date of filing in the Office.
C. For a Notice of Recodification, the effective date is the date of
filing in the Office.
R1-1-111.

C.

Repealed

R1-1-112.
Public Inspection of Documents; Copies
A. Documents filed with the Office under the Act are available
for public inspection in the Office during regular office hours.
Regular office hours are 8:00 a.m. to 5:00 p.m., Monday
through Friday, except state holidays.
B. A person may request, during regular office hours, a copy of a
rulemaking document on file in the Office. The Office shall
charge the per-page statutory copy fee specified in A.R.S. §
41-126(A)(1) for all copy requests.
C. The Office shall make available for review incorporated-byreference material under R1-1-414.
D. A person requesting a certified copy of a document filed in the
Office shall pay the statutory certification fee plus the perpage statutory copy fee specified in A.R.S. § 41-126(A).
E. The Office shall collect the fees listed in R1-1-113 for individual issues of the Register or rules published in the Code in both
print and electronic media.
R1-1-113.
Fees
A. The fees for the Register, covering publication and distribution
costs, are as follows:
1. For a one-year subscription to the Register in print format:
a. For noncommercial use: $276.
b. For commercial use: $5,500.
2. For a single issue of the Register or a single issue of the
Semi-annual Index:
a. In print format for noncommercial use: $7;
b. In print format for commercial use: $125;
c. On electronic medium for noncommercial use: the
cost of computer time at $35 per hour or portion of
an hour;
d. On electronic medium for commercial use: $125
plus the cost of computer time at $35 per hour or
portion of an hour.
B. The fees for the printed Code, covering publication and distribution costs, are as follows:
1. For noncommercial use:
a. For a full set of the Code, including binders: $450.
b. For an annual subscription for quarterly updates to
the complete set of the Code: $125.
September 2011

D.
E.

For individual Chapters and Titles:
i. For an entire Title: the sum of the charges for
all Chapters within the Title as specified in subsection (B)(1)(c)(ii).
ii. For a Chapter: $1 for one to four pages and $1
for each additional 10 pages or portion of 10
pages.
d. For an individual Code supplement: the sum of the
charges of all Chapters within the supplement, as
specified in subsection (B)(1)(c)(ii).
2. For commercial use:
a. For a full set of the Code, including binders:
$15,000.
b. For individual Chapters and Titles:
i. For a Chapter: $84.
ii. For an entire Title: the sum of the charges for
all Chapters within the Title, as specified in
subsection (B)(2)(b)(i).
c. For an individual Code supplement: the sum of the
charges of all Chapters within the supplement, as
specified in subsection (B)(2)(b)(i).
The fees for rules on electronic media available to the Office
are as follows:
1. For a person, company, organization, business, or governmental agency buying a Chapter on electronic medium
for noncommercial use: the cost of computer time at $35
per hour or portion of an hour.
2. For a person, company, organization, business, or governmental agency buying a Chapter on electronic medium
for a commercial purpose as stated in A.R.S. § 39-121.03:
$85 and computer time at $35 per hour or portion of an
hour.
3. For a person, company, organization, business, or governmental agency downloading a Chapter from the internet
for a commercial purpose as stated in A.R.S. § 39-121.03:
$84.
The fee for a binder for the Code: $5.
A purchaser shall pay in advance for materials bought from the
Office. Payment shall be made by cash, check, or money order,
unless the order is from a governmental agency, in which case
a government purchase order or fund transfer form may be
used.

R1-1-114.
Official Distribution of the Register and the Code
at No Charge
A. The Office shall distribute copies of the Register and the Code
to the following, upon request, without charge:
1. Governor: one copy;
2. Legislature:
a. The Senate: six copies;
b. The House of Representatives: six copies;
c. The Department of Library, Archives, and Public
Records: three copies;
3. Attorney General: 15 copies;
4. Supreme Court: one copy;
5. Counties. Each county law library (or one major public or
university library per county if the county does not have a
law library): one copy. The County Board of Supervisors
shall specify to the Office the library to which the subscription is to be sent when there is no county law library;
6. Governor’s Regulatory Review Council: one copy of the
Register and one copy of the Code.
B. The Office may distribute one copy of individual Chapters as
printed in a Code supplement free of charge to the agency filing the final, summary, emergency, or exempt rule if the
agency requests a copy.

Section 7 - Page 5

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Section 7. Rules of the Office of the Secretary of State
ARTICLE 2. THE ARIZONA ADMINISTRATIVE
REGISTER
R1-1-201.
Publication Schedule and Deadlines
A. The Secretary of State shall publish the Register under A.R.S.
§ 41-1013. The Office shall include the schedule of publication dates and deadlines in each issue of the Register and shall
make copies of the schedule available in the Office. The Office
shall publish each document filed and approved for publication in the Register according to the published schedule.
B. The Office shall not waive a deadline for submission of documents for any agency.
R1-1-202.
Contents
Each issue of the Register shall contain all material submitted in the
categories specified by A.R.S. §§ 41-1013 and 49-112 and any
other items required by state statute or session law to be published
in the Register.
R1-1-203.

Repealed

R1-1-204.

Repealed

R1-1-205.
Notice of Rulemaking Docket Opening
A. When a rulemaking docket is established, an agency shall submit a notice of rulemaking docket opening to the Office.
B. The Notice of Rulemaking Docket Opening shall contain the
heading NOTICE OF RULEMAKING DOCKET OPENING
in all capital letters centered on a line approximately one inch
from the top of the page; followed by the name of the agency
below the notice heading centered on the line. The remainder
of the notice shall contain the following information in the
same numbered order:
1. The Title and its heading; the Chapter and its heading; the
Subchapter and its heading, if applicable; the Article and
its heading; the Part and its heading, if applicable; and the
appropriate Section numbers;
a. If an agency does not know specific Sections at the
time of docket opening, the agency may specify
“Sections to be determined.”
b. If an agency knows specific Sections but may want
to add Sections to the rulemaking as the rulemaking
is drafted, the agency shall specify the particular
Sections and add the language “Sections may be
added, deleted, or modified as necessary.”
2. The subject matter of the proposed rule and the agency
docket number, if applicable;
3. A citation to all published notices relating to the proceeding, including the type of published notice, the Register
volume number; the abbreviation “A.A.R.”; the page
number on which the notice began; and the issue date
including month, day, and year;
4. The name and address of agency personnel with whom
persons may communicate regarding the proposed rule
(this may include a telephone number, fax number, and email address);
5. The time during which the agency will accept written
comments and the time and place where oral comments
may be made; and
6. A timetable for agency decisions or other action on the
proceeding, if known.
R1-1-206.
Notice of Formal Rulemaking Advisory Committee
A. If an agency appoints a formal advisory committee to comment on a rule under consideration, the agency shall, at the
time the committee is formed, submit to the Office for publica-

Arizona Rulemaking Manual

B.

tion in the Register a Notice of Formal Rulemaking Advisory
Committee. The notice shall contain the heading NOTICE OF
FORMAL RULEMAKING ADVISORY COMMITTEE in all
capital letters, centered on a line approximately one inch from
the top of the page and followed by the items listed below in
the same numbered order:
1. The name of the agency;
2. The specific rule or subject matter on which the committee is to comment, if known;
3. The names of the committee members; and
4. The date the committee was formed.
An agency appointing a formal advisory committee shall submit a notice annually to the Office for publication in the Register in the form specified in subsection (A).

R1-1-207.

Repealed

R1-1-208.
Notice of Proposed Delegation Agreement; Notice
of Final Delegation Agreement
A. An agency seeking to delegate functions, powers, or duties
shall submit to the Office a Notice of Proposed Delegation
Agreement that contains the heading NOTICE OF PROPOSED DELEGATION AGREEMENT in all capital letters,
centered on a line approximately one inch from the top of the
page, followed by the items listed below in the same numbered
order:
1. Name of the agency proposing the delegation agreement;
2. Name of the political subdivision to which functions,
powers, or duties of the agency are proposed to be delegated;
3. Name and address of agency personnel to whom persons
may direct questions or comments;
4. Summary of the delegation agreement and the subjects
and issues involved;
5. Statement that a copy of the proposed delegation agreement may be obtained from the agency and any pertinent
information on how a person may obtain the copy; and
6. Schedule of public hearings on the proposed delegation
agreement.
B. An agency proposing a delegation agreement shall follow the
procedures specified in A.R.S. § 41-1081.
C. After an agency considers any comments received and determines whether to enter into the delegation agreement, the
agency shall issue a final decision. The delegation agreement
is effective 30 days after written notice of the agency’s final
decision is given unless an appeal is filed and pending before
the Council.
D. If no appeal is pending, at the end of the 30-day period following the agency’s issuance of its final decision, the agency may
submit to the Office for publication a Notice of Final Delegation Agreement that contains the heading NOTICE OF FINAL
DELEGATION AGREEMENT in all capital letters, centered
on a line approximately one inch from the top of the page, followed by the items listed below in the same numbered order:
1. Name of the agency entering into the final delegation
agreement;
2. Name of the political subdivision to which functions,
powers, or duties of the agency are being delegated;
3. Citation to the Notice of Proposed Delegation Agreement;
4. Name and address of agency personnel to whom persons
may direct questions or comments;
5. Summary of the delegation agreement and the subjects
and issues involved;

Section 7 - Page 6

September 2011

Section 7. Rules of the Office of the Secretary of State
6.
7.
8.

Statement that a copy of the final delegation agreement
may be obtained from the agency and any pertinent information on how a person may obtain the copy;
Date of issuance of agency’s final decision to enter into
the delegation agreement; and
Date the delegation agreement becomes effective.

R1-1-209.
Notice of Oral Proceeding, Public Workshop, or
Other Meeting
A. If an agency schedules an oral proceeding, public workshop,
or other meeting on a proposed rulemaking or an oral proceeding on a proposed delegation agreement after the Notice of
Proposed Rulemaking or Notice of Proposed Delegation
Agreement is submitted to the Office for publication in the
Register, the agency shall send to the Office one original and
two copies of a notice of oral proceeding, public workshop, or
other meeting on proposed rules or a notice of oral proceeding,
public workshop, or other meeting on proposed delegation
agreement, whichever is appropriate.
B. A notice of oral proceeding, public workshop, or other meeting on proposed rules, a public meeting on rules after an
agency has submitted the notice of docket opening for publication but before the Office publishes the rules as proposed rules
in the Register, a notice of oral proceeding on a proposed delegation agreement, or a notice of oral proceeding on a proposed
rule, ordinance, or other regulation under A.R.S. § 49-112
shall be as specified below:
1. For an oral proceeding on a proposed rulemaking, the
heading NOTICE OF ORAL PROCEEDING ON PROPOSED RULEMAKING in all capital letters, centered on
a line approximately one inch from the top of the page
and followed by the items listed below in the same numbered order:
a. The name of the agency;
b. The Title and its heading; the Chapter and its heading; the Subchapter and its heading, if applicable;
the Article and its heading; and the Part and its heading, if applicable;
c. The Sections being proposed in numerical order in
one column with the specific action being taken on
each Section in the second column;
d. The Register citations to all notices published in the
Register concerning the proposed rulemaking;
e. The date, time, and location of the oral proceeding;
and
f. The name and address of agency personnel to whom
questions and comments on the proposed rules may
be addressed.
2. For a public workshop on a proposed rulemaking, the
heading NOTICE OF PUBLIC WORKSHOP ON PROPOSED RULEMAKING in all capital letters, centered on
a line approximately one inch from the top of the page
and followed by the items listed below in the same numbered order:
a. The name of the agency;
b. The Title and its heading; the Chapter and its heading; the Subchapter and its heading, if applicable;
the Article and its heading; and the Part and its heading, if applicable;
c. The Sections being proposed in numerical order in
one column with the specific action being taken on
each Section in the second column;
d. The Register citations to all notices published in the
Register concerning the proposed rulemaking;
e. The date, time, and location of the public workshop;
and
September 2011

f.

3.

4.

The name and address of agency personnel to whom
questions and comments on the proposed rules may
be addressed.
For a public meeting on an open rulemaking docket, the
heading NOTICE OF PUBLIC MEETING ON OPEN
RULEMAKING DOCKET in all capital letters, centered
on a line approximately one inch from the top of the page
and followed by the items listed below in the same numbered order:
a. The name of the agency;
b. The Title and its heading; the Chapter and its heading; the Subchapter and its heading, if applicable;
the Article and its heading; and the Part and its heading, if applicable;
c. The Sections being proposed in numerical order in
one column with the specific action being taken on
each Section in the second column, if known;
d. The Register citation and the date of the notice of
docket opening and all supplemental notices published in the Register;
e. The date, time, and location of the public meeting;
and
f. The name and address of agency personnel to whom
questions and comments on the subject matter of the
rules may be addressed.
For an oral proceeding on a proposed delegation agreement, the heading NOTICE OF ORAL PROCEEDING
ON PROPOSED DELEGATION AGREEMENT in all
capital letters, centered on a line approximately one inch
from the top of the page and followed by the items listed
below in the same numbered order:
a. The name of the agency proposing the delegation
agreement;
b. The name of the political subdivision to which the
agency is proposing to delegate functions, powers,
or duties;
c. A summary of the proposed delegation agreement;
d. The Register citation and date of the notice of proposed delegation agreement and all supplemental
notices published in the Register;
e. The date, time, and location of the oral proceeding;
and
f. The name and address of agency personnel to whom
questions and comments on the proposed delegation
agreement may be addressed.

R1-1-210.
Notice of Agency Guidance Document; Notice of
Substantive Policy Statement
A. An agency shall prepare and file a Notice of Agency Guidance
Document under A.R.S. § 41-1013(B)(14) for publication in
the Register. A Notice of Agency Guidance Document shall
contain:
1. On a centered line one inch from the top of the page, the
heading in all capital letters, NOTICE OF AGENCY
GUIDANCE DOCUMENT.
2. On a centered line under the notice heading and in all
capital letters, the name of the agency.
3. Under the agency name, the items listed below in numbered order:
a. Title of the guidance document and the guidance
document number by which the document is referenced.
b. Date of the publication of the guidance document
and the effective date of the document if different
from the publication date.
c. Summary of the contents of the guidance document.

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Section 7. Rules of the Office of the Secretary of State
d.

B.

C.
D.

Statement as to whether the guidance document is a
new document or a revision.
e. The agency contact person who can answer questions about the agency guidance document. The
information shall include the contact’s:
i. Name;
ii. Address;
iii. Area code and telephone number; and
iv. Fax number, e-mail and web site addresses, if
applicable.
f. Information about where a person may obtain a copy
of the guidance document and the costs for obtaining
the guidance document.
An agency shall prepare and file a Notice of Substantive Policy Statement, under A.R.S. § 41-1013(B)(14), for publication
in the Register. A Notice of Substantive Policy Statement shall
contain:
1. On a centered line one inch from the top of the page, the
heading in all capital letters, NOTICE OF SUBSTANTIVE POLICY STATEMENT.
2. On a centered line under the notice heading and in all
capital letters, the name of the agency.
3. Under the agency name, the items listed below in the
same numbered order:
a. Title of the substantive policy statement and the substantive policy statement number by which the substantive policy statement is referenced.
b. Date the substantive policy statement was issued and
the effective date of the policy statement if different
from the issuance date.
c. Summary of the contents of the substantive policy
statement.
d. Federal or state constitutional provision; federal or
state statute, administrative rule, or regulation; or
final court judgment that underlies the substantive
policy statement.
e. Statement as to whether the substantive policy statement is a new statement or a revision.
f. The agency contact person who can answer questions about the substantive policy statement. The
information shall include the contact’s:
i. Name;
ii. Address;
iii. Area code and telephone number; and
iv. Fax number, e-mail and web site addresses, if
applicable.
g. Information about where a person may obtain a copy
of the substantive policy statement and the costs for
obtaining the policy statement.
An agency shall file only one notice per agency guidance document or substantive policy statement.
A Notice of Agency Guidance Document or a Notice of Substantive Policy Statement shall include:
1. Two agency receipts as specified in R1-1-106; and
2. An original and one copy of the completed notice form as
specified in R1-1-103(B), (C), (E)(1), (6), and (7).

R1-1-211.
Summary of Council Action
The Council shall submit to the Office for Register publication a
summary of Council action on each final rule or summary rule.
Rules of one Chapter, one Subchapter (if applicable), or one Article
if the Article has Parts, grouped together into one rulemaking package, may be summarized together if the specific Sections affected
are listed.
R1-1-212.

Agency Ombudsman

Arizona Rulemaking Manual

A.

B.
C.
D.

E.

An agency shall designate an agency ombudsman under
A.R.S. § 41-1006. “Ombudsman” as used in this Section
means the employee or employees designated by the agency to
assist members of the public or regulated community.
An agency shall prepare and file a Notice of Agency Ombudsman with the Office at least annually no later than December
31 of each year.
An agency shall file only one notice per ombudsman.
The notice shall contain:
1. On a centered line one inch from the top of the page, the
heading in all capital letters, NOTICE OF AGENCY
OMBUDSMAN.
2. Under the notice heading, in numbered order:
a. The agency’s name;
b. Under the agency’s name, list in numbered order the
ombudsman’s:
i. Name;
ii. Title;
iii. Agency division, if applicable;
iv. Office address, to include the city, state, and zip
code; and
v. Area code and telephone number, fax number,
and e-mail address, if available.
A Notice of Agency Ombudsman shall include:
1. Two agency receipts as specified in R1-1-106; and
2. An original and one copy of the completed notice form as
specified in R1-1-103(B), (C), (E)(1), (6), and (7).

ARTICLE 3. THE ARIZONA ADMINISTRATIVE CODE
R1-1-301.
Development of the Code
A. The Office may establish new Titles in the Code and rearrange
existing Titles and Chapters to ensure orderly development of
the Code. The Office shall notify each agency whose rules are
affected by any rearrangement.
B. The first volume of the Code contains a Table of Contents for
the multi-volume Code, a Table of Titles and Chapter Headings, the Administrative Procedure Act, and other material to
help the public find specific rules. A Table of Contents listing
the Chapters, Subchapters, Articles, and Parts appearing in a
Title appears at the beginning of each Title.
R1-1-302.
Publication of the Code and its Supplements
A. The Office shall publish the Code in loose-leaf form as specified in the Act.
B. The Office shall update the Code by quarterly supplements
containing all final, summary, emergency, and exempt rules
filed in the Office during each calendar quarter.
C. Supplements are dated with the last day of the calendar quarter. Supplements are numbered according to the calendar year
of publication and the number of the quarter. The Office shall
publish a supplement calendar in the Register.
D. Supplements are printed in complete Chapters.
E. Each time the Office publishes a supplement to the Code, the
Office issues a new price list showing all Chapters in the Code
in numerical order and indicating the last supplement in which
each Chapter was printed along with the price for each Chapter.
F. Persons may buy individual Chapters or Titles of the Code, or
they may buy an entire set. Persons who buy an entire set are
eligible to buy an annual subscription, which contains quarterly supplements.
R1-1-303.

Repealed

R1-1-304.

Repealed

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Section 7. Rules of the Office of the Secretary of State
R1-1-305.

Repealed

R1-1-306.

Repealed

R1-1-307.

Repealed

R1-1-308.

Repealed

D.

E.
ARTICLE 4. RULE DRAFTING
R1-1-401.
Rule Drafting
An agency preparing a rulemaking package for filing with the
Office shall draft it in accordance with this Chapter.
R1-1-402.
Assignment of Code Divisions; Headings
A. The Office shall arrange and classify the subject matter of the
Code according to a system of Titles. The Titles are divided
into Chapters. The heading of a Chapter containing rules of
one major program or subject specifies both the name of the
agency and the program or subject. Chapters are divided into
Articles. Articles that cover several subjects or regulate different groups of people are divided into several Parts. Parts and
Articles without Parts are divided into Sections. Some Chapters may also contain two or more Subchapters. An agency
shall request and receive approval from the Office for Subchapter and Part divisions before using these divisions.
B. All Titles, Chapters, Subchapters (if applicable), Articles,
Parts (if applicable), and Sections shall have a heading that
describes the subject of that division of the Code. A heading
shall not contain the word “Rule” or “Regulation.”
C. A heading shall have capital letters for the first letter of the
first and last words, and the first letter of important intermediate words.
R1-1-403.
Numbering System
A. A Section number is preceded by the letter “R”.
B. A hyphenated numbering system is used in the Code.
1. A Section number includes the “R”, the Title number, the
Chapter number, the Subchapter label (if applicable), and
the Section number indicating the Article number and the
Part label (if applicable).
2. The one or two numbers to the far left indicate the number of the Title in which the Section appears.
3. The one or two numbers between the two hyphens indicate the Chapter number. If the Chapter has been assigned
a Subchapter, the Subchapter letter label appears immediately after the Chapter number before the hyphen.
4. The numbers to the far right indicate the Section number.
A Section number has at least three digits. The last two
digits indicate the Section and the number or numbers to
the left of these two digits indicate the Article number. If
an Article has been assigned a Part, the Part’s letter label
appears immediately after the second hyphen before the
Section number.
C. The first Section in each Article is numbered 101, 201, 301,
and so on, as applicable. Sections shall be numbered consecutively through the Article except where Section numbers are
reserved for future expansion. Any Section number not used
when the rules are originally made is automatically reserved.
An agency shall specify “Reserved” for an unused Section
when the Section falls before a Section with text in the same
Article or Part. Sections that are reserved are shown when the
rules are published in the Code. Sections that are renumbered
or repealed so that no text remains shall be headed with the
appropriate term; “Reserved” shall not be used for these Section headings.
September 2011

A Section number is not complete unless it contains all portions specified in subsection (B). An agency shall use only
complete Section numbers in its rules, on a notice of rulemaking activity, or in any material submitted to the Office for
either publication or filing.
Titles, Chapters, Articles, and Sections shall be designated by
Arabic numbers. Subchapters and Parts shall be designated by
capital letters.

R1-1-404.
Renumbering Sections within a Chapter
A. If an agency renumbers one or more Sections at the time the
agency amends other existing Sections:
1. The table of contents for the rulemaking package shall
show the old number of the Section with strike-outs and
the new number with underlining.
a. If an agency makes a new Section at the old number,
the agency shall show the old heading with strikeouts and the new heading with underlining;
b. If an agency renumbers another existing Section to
the old Section number, the agency shall show the
heading and text of the moved Section at the location of its new number and strike-outs through the
moved Section number and its new number with
underlining;
c. If an agency is not making new text or moving text
to the location of a renumbered Section, the agency
shall show the old Section heading with strike-outs
and the term “Renumbered” with underlining next to
the old number of the renumbered Section.
2. The table of contents shall show Sections and Articles in
the order the Sections are being made.
3. The Sections shall appear in numerical order as renumbered.
B. If an agency is renumbering one or more Sections within a
Chapter but is making no other changes, the agency shall do
one of the following:
1. Prepare a Notice of Recodification as specified in R1-11001, or
2. Make the numbering change using the regular rulemaking
process.
C. Only entire Sections may be renumbered or recodified in the
matter described in this Section. If an agency splits an existing
Section into two or more Sections, or moves a portion of one
Section to another Section, or combines two or more Sections
into one Section, the agency shall follow the regular rulemaking process to make the changes.
R1-1-405.
Addition of a New Section Between Existing Sections
An agency shall request, in writing or orally, and receive the
Office’s permission before inserting a new Section between two
existing, consecutively numbered Sections. The agency shall number the new Section using the Section number of the preceding
existing Section, followed by a decimal point and a two-digit number. The new Section shall be in numerical order.
R1-1-406.
Repeal and Re-use of a Chapter Number
If an agency repeals or renumbers all Sections in a Chapter, or if all
Sections in a Chapter expire, the agency shall not use the Chapter
number for one year.
R1-1-407.
Authority Notes
If an agency requests that the specific or general authority for a
Chapter, Subchapter, Article, or Part be published in its rules in the
Code, the agency shall include an authority note under which the
rules in that Chapter, Subchapter, Article, or Part were made. This

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Section 7. Rules of the Office of the Secretary of State
note appears immediately below the Chapter, Subchapter, Article,
or Part heading, as applicable, in the Chapter’s table of contents and
specifies the statutes that the rules are implementing (the specific
authority) and the statutes that authorize the agency to do rulemaking (the general authority). An agency’s failure to include a statute
or portion of a statute in the authority note does not negate the
agency’s authority to make the rule.
R1-1-408.
Text of the Rules; Subsections
A. The divisions of a Chapter (Title, Chapter, Subchapter (if
applicable), first Article, and first Part (if applicable)) and their
labels and headings shall appear above the Section number and
heading of the first Section in a rulemaking package. An
agency shall center on each line these divisions and their labels
and headings.
B. If a Section has only one subsection, an agency shall leave that
subsection unlabeled.
C. If a Section has an opening subsection followed by labeled
subsections, the Office shall treat the opening subsection as an
implied subsection (A). An agency shall label and indent
appropriately the subsections following the opening subsection as second-level subsections.
D. If a Section has two or more subsections at any level, an
agency shall label the subsections separately. An agency shall
label subsections as indicated below.
1. First-level subsections are designated by a capital letter
(A., B., C., and so on).
2. Second-level subsections are designated by an Arabic
numeral (1., 2., 3., and so on).
3. Third-level subsections are designated by a lower case
letter (a., b., c., and so on).
4. Fourth-level subsections are designated by a lower case
Roman numeral (i., ii., iii., and so on).
E. If an agency uses the entire alphabet for subsections at the first
or third level, additional subsections shall be labeled with double letters (aa., bb., cc., and so on).
F. Within the text of a subsection, an agency referring to the same
subsection shall use the term “this subsection.” An agency
referring to a different subsection shall use the term “subsection” and the labels of all appropriate levels, each within its
own set of parentheses. If an agency refers to a different Section in the same Chapter, the agency shall specify the correct
Section number along with all subsection labels but shall not
use the term “Section.”
G. An agency shall not subdivide its rules into more than four levels of subsections unless the agency obtains permission from
the Office.
H. An agency may choose not to label definitions that are listed in
alphabetical order or other lists of items in some specific order,
although the agency shall indent the definitions or items in the
list as if they were labeled at the appropriate level of subsection. If an agency chooses not to label definitions that are
listed in alphabetical order or other lists in a specific order,
additional levels of subsection under those definitions or lists
also shall not be labeled. If an agency quotes statutory language verbatim that contains labeling, the agency shall retain
the labeling within the statutory language but not the label of
the statutory language.
I. When dividing a Section into subsections, an agency shall not:
1. Leave an unlabeled subsection at any level after a labeled
subsection at the same level;
2. Use A. without B.; 1. without 2.; a. without b.; or i. without ii.
J. When referring to one or more subsections within the text of a
subsection, an agency shall enclose the label for each subsection in its own set of parentheses. When referring to second-,

Arizona Rulemaking Manual

third-, and fourth-level subsections, an agency shall specify
the labels of each preceding level of subsection. For example,
an agency referring to a third-level subsection would state
“subsection (A)(2)(c)”; an agency referring to a fourth-level
subsection would state “subsection (B)(1)(d)(iii).”
K. When referring to multiple subsections, an agency shall
enclose the label for each subsection in its own set of parentheses, followed by a conjunction and the last subsection label
enclosed in parentheses. For example, an agency would state
“(A)(1) through (9)”; “(B)(4)(b) and (c)”; or “(C)(1)(a)(i) and
(ii).”
L. When referring to a Section in another Chapter, an agency
shall cite the Section number with “A.A.C.” preceding the
number. For example, an agency would state “A.A.C. R2-12201.”
M. An agency shall not include numbered or lettered phrases
within the text of a subsection. These shall be labeled properly
and indented at the appropriate level of subsection.
N. An agency shall contact the Office when using special symbols, fonts, or formats in the text of a rule.
O. An agency shall define all acronyms and abbreviations not
defined in the A.R.S. that the agency uses in the text of its
rules in a definitions Section at the beginning of the Chapter.
R1-1-409.
Citations to the Code, Register, Statutes, and Federal Laws and Regulations
A. Citations to the Register shall include the volume and page
number, the abbreviation “A.A.R.”, and the issue date. For
example, 7 A.A.R. 1325, March 23, 2001.
B. Citations to the Code shall include the Title, Chapter, Subchapter, Article, Part, and Section, as applicable, and the short
form “A.A.C.” For example, 17 A.A.C. 4 and A.A.C. R17-4301.
C. Citations to state laws:
1. A citation to a law contained in a published edition of the
Arizona Revised Statutes shall include the abbreviation
“A.R.S.” and either the specific Section number or the
Title number, Chapter number, and Article number in that
order. For example, A.R.S. Title 41, Chapter 6, Article 5.
2. A citation to a law that has not yet been published in the
Arizona Revised Statutes shall include the following:
a. If the reference is to a new Section of the statutes
and the codified Section number is known, the citation shall include the Section number followed by
the phrase “as added by Laws” and the year the law
was passed along with the Chapter number as
assigned by the Office and the specific Section of
the new law. For example, A.R.S. § 41-1008 as
added by Laws 1998, Ch. 57, § 22.
b. If the reference is to an amendment of an existing
Section of the Arizona Revised Statutes, the citation
shall include the Section number followed by the
phrase “as amended by Laws” and the year the law
was passed along with the Chapter number as
assigned by the Office and the specific Section of
the new law that amended this Section of an existing
law. For example, A.R.S. § 41-1021 as amended by
Laws 1998, Ch. 57, § 27.
c. Citations to new laws that do not indicate a statutory
citation shall include the word “Laws” and the year
the law was enacted by the legislature and the Section number within that law. For example, Laws
1998, Ch. 196, § 4.
3. When an agency uses a statutory citation and also refers
to that law by a commonly used heading, the agency shall
enclose the commonly used heading within parentheses.

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Section 7. Rules of the Office of the Secretary of State
D.

Citations to federal laws and regulations:
1. Citations to the United States Code (U.S.C.) and the
United States Code Annotated (U.S.C.A.) shall include
the Title number first, followed by the appropriate abbreviation, followed by the Part number or the Section number. Neither the word “Part” or “Section” nor the Section
symbol shall appear in the citation. For example, 10
U.S.C. 1. Citations to laws not yet codified into the
U.S.C. or the U.S.C.A. shall be referenced by the words
“Public Law” or the abbreviation “P.L.” and the number
of the law. For example, P.L. 100-20191.
2. Citations to the Code of Federal Regulations (CFR) shall
list the Title number, followed by the appropriate abbreviation, followed by the Part number or the Section number.
Neither the word “Part” or “Section” nor the Section
symbol shall appear in the citation. Citations to the Federal Register (FR) shall include the volume number, followed by the abbreviation, followed by the page number.
FR citations shall also include the date of the publication.
For example, 49 CFR 201; 42 FR 10109, July 1, 1997.

R1-1-410.

Repealed

R1-1-411.
Automatic Repeal of Rules
A. An agency may provide for the automatic repeal of a Section,
in the Section being automatically repealed, by including the
day, month, and year of the automatic repeal. This automatic
repeal shall be used to repeal only an entire Section. The information specifying the automatic repeal date shall appear in a
first-level subsection by itself at the end of the Section.
B. An agency shall notify the Office, orally or by letter, when the
automatic repeal date has passed so the Office can remove the
rule from the Code. Chapters from which automatically
repealed rules are removed shall appear in the next quarterly
supplement to the Code.
R1-1-412.
Supplementary Material
A. An agency including tabular materials, illustrations, diagrams,
figures, and other supplementary material in rules shall label
them as Appendices, Exhibits, Illustrations, or Tables. An
agency shall use supplementary material to make a rule understandable by persons affected by the rule. An agency shall consider all supplementary material included in rules as part of the
rules and shall refer to the supplementary material within the
text of one or more Sections. An agency shall list Appendices,
Exhibits, Tables, and Illustrations in the table of contents for
the Chapter.
B. An agency shall label all Appendices, Exhibits, Illustrations,
and Tables with either capital letters or Arabic numbers using
a consistent labeling scheme. The specific term the agency
uses (Appendix, Exhibit, Illustration, or Table) and its label
shall appear in the text along with a heading in the same format that a Section number and heading appear at the beginning
of a Section.
C. Supplementary material appearing within the text of a Section
shall not appear in the table of contents. When referencing
supplementary material appearing within the text of a Section,
an agency shall use the appropriate subsection label.
D. An agency shall submit only camera-ready supplementary
material to the Office for publication or filing. Camera-ready
means that the material must be clear and legible when the text
is reproduced at 9-point size or the illustration is reproduced to
fit within the one-inch margin requirements of an 8 1/2 inch by
11 inch sheet of paper.
E. An agency shall create tabular material in a rulemaking package using a spreadsheet program or the table function of a
September 2011

word processing program. This subsection does not apply to
an Economic, Small Business, and Consumer Impact Statement and material incorporated by reference.
R1-1-413.
Statutory Language; Italics
A. Rules may contain statutory language that repeats verbatim
existing statutory authority granted to the agency.
B. If an agency repeats statutory language within the text of a
rule, the statutory language shall appear in italics, and the statutory citation shall appear after the statutory language.
C. Rules may contain the following language in italics:
1. Titles of books, periodicals, and reports;
2. Scientific names; and
3. Court cases (for example, Marbury v. Madison).
R1-1-414.
Incorporation by Reference; Citation of Referenced Material
A. Items that may be incorporated by reference within an
agency’s rules are specified in A.R.S. § 41-1028.
B. Following the citation of incorporated-by-reference material in
the text of the rules shall be a statement specifying that the
incorporated material contains no later editions or amendments.
C. A citation to an item incorporated by reference shall state the
publisher’s name and address, date of publication, and a location where the item is available if different from the publisher.
If a physical address for the publisher is not available, a web
site address may be substituted.
D. A citation to an item incorporated by reference shall state
where a copy of the incorporated by reference material is
available from the agency issuing the rule.
E. An item incorporated by reference and filed with an agency’s
final rules prior to September 18, 2003 may be viewed in the
Office. The Office shall not photocopy any copyrighted material incorporated by reference.
R1-1-415.
Rulemaking Actions for an Article, Part, Section,
Table, Appendix or Exhibit
A. An agency shall list rulemaking actions in the preamble of a
rulemaking package as specified in R1-1-502(B)(5) and as
required in R1-1-103.
B. Article or Part Headings Actions:
1. An agency that strikes text in an Article or Part heading in
its entirety, with active Sections remaining under the
Article or Part, shall list the rulemaking action to an Article or Part as “Amend.”
2. An agency that strikes text in an Article or Part heading in
its entirety, without active Sections remaining under the
Article or Part, shall list the rulemaking action to an Article or Part as “Repeal.”
C. Section, Table, Appendix or Exhibit Actions: An agency that
strikes text or images in an existing Section, Table, Appendix
or Exhibit and simultaneously makes new text or images at the
same Section, Table, Appendix or Exhibit number, shall list
the rulemaking action as:
1. A “Repeal” and “New Section” or “New Table” or “New
Appendix” or “New Exhibit” if both the text of the Section, Table, Appendix or Exhibit and the Section, Table,
Appendix or Exhibit heading are completely changed; or
2. An “Amend” if the entire existing Section, Table, Appendix or Exhibit text is repealed, but the Section, Table,
Appendix or Exhibit heading is not completely changed.

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Section 7. Rules of the Office of the Secretary of State
ii.

17.

Has more than one rulemaking action applied
to the Section, shall list the actions, each on a
separate line, as follows: repeal, renumber, new
Section, or amend.
Citations to the agency’s statutory rulemaking authority
to include the authorizing statute (general) and the implementing statute (specific).
Citations to all related notices published in the Register as
specified in R1-1-409(A) that pertain to the record of the
proposed rule.
The agency’s contact person who can answer questions
about the rulemaking. This information shall include the
contact’s:
a. Name;
b. Address;
c. Area code and telephone number; and
d. Fax number, e-mail and web site addresses, if applicable.
An agency’s justification and reason why a rule should be
made, amended, repealed or renumbered, to include an
explanation about the rulemaking.
A reference to any study relevant to the rule that the
agency reviewed and proposes either to rely on or not to
rely on in its evaluation of or justification for the rule,
where the public may obtain or review each study, all
data underlying each study, and any analysis of each
study and other supporting material.
A showing of good cause why the rulemaking is necessary to promote a statewide interest if the rulemaking will
diminish a previous grant of authority of a political subdivision of this state.
The preliminary summary of the economic, small business, and consumer impact.
The agency’s contact person who can answer questions
about the economic, small business, and consumer impact
statement. This information shall include the contact’s:
a. Name;
b. Address;
c. Area code and telephone number; and
d. Fax number, e-mail and web site addresses, if applicable.
The time, place, and nature of the proceedings to make,
amend, repeal, or renumber the rule or, if no proceeding
is scheduled, where, when, and how persons may request
an oral proceeding on the proposed rule.
All agencies shall list any other matters prescribed by
statute applicable to the specific agency or to any specific
rule or class of rules. Additionally, an agency subject to
Council review under A.R.S. §§ 41-1052 and 41-1055
shall respond to the following questions:
a. Whether the rule requires a permit, whether a general permit is used and if not, the reasons why a general permit is not used;
b. Whether a federal law is applicable to the subject of
the rule, whether the rule is more stringent than federal law and if so, citation to the statutory authority
to exceed the requirements of federal law; and
c. Whether a person submitted an analysis to the
agency that compares the rule’s impact of the competitiveness of business in this state to the impact on
business in other states.
A list of any incorporated by reference material as specified in A.R.S. § 41-1028 and its location in the rules.
The phrase “The full text of the rules follows:”.

Section 7 - Page 12

September 2011

ARTICLE 5. PROPOSED RULEMAKING
R1-1-501.
Assignment of Chapters
An agency preparing to make rules for the first time shall contact
the Office, orally or by letter, for assignment of a Title and Chapter
number within the codification system. An agency that already has
at least one Chapter on file shall contact the Office, orally or by letter, when the agency needs a new Chapter assignment.
R1-1-502.
Notice of Proposed Rulemaking
A. If an agency determines a proposed new Section, an amendment to a Section, a repeal of an existing Section, or a renumber of a Section, meets the provisions of A.R.S. § 41-1022 and
the Act, the agency shall prepare and file a Notice of Proposed
Rulemaking as prescribed in this Section.
B. A Notice of Proposed Rulemaking shall contain:
1. On a centered line one inch from the top of the page, the
heading in all capital letters, NOTICE OF PROPOSED
RULEMAKING.
2. On a centered line under the notice heading, the agency’s
Code Title number and heading.
3. On a centered line under the Title number and heading,
the agency’s Code Chapter number and heading.
4. If applicable, on a centered line under the Chapter number and heading, the agency’s Code Subchapter label and
heading.
5. On a centered line under the Chapter heading or Subchapter label, whichever is applicable, the heading in all capital letters and underlined, PREAMBLE. The Preamble of
the Notice of Proposed Rulemaking shall include in numbered order:
a. In two columns a list of Articles, Parts, or Sections
affected and the rulemaking action of each Article,
Part, or Section affected.
b. The first column shall contain the heading “Articles,
Parts, and Sections Affected” under which shall list
in sequential and numerical order:
i. Articles or Parts affected if an Article heading
or Part label is being made, amended or
repealed as specified in R1-1-415, or renumbered. Article headings or Part labels shall be
listed multiple times, each on a separate line, if
the Article or Part has more than one rulemaking action. Article headings or Part labels that
do not have a rulemaking action directly
applied to the headings or labels shall not be
listed.
ii. Under each Article or Part affected in subsection (B)(5)(a)(i), if applicable, shall be a list of
Section numbers of Sections being made,
amended, repealed or renumbered. Section
numbers shall be listed multiple times, each on
a separate line, if the Section has more than one
rulemaking action applied to it. A Section that
currently exists but has no rulemaking action
applied to the Section shall not be listed.
c. The second column shall contain the heading “Rulemaking Action” under which will be listed the rulemaking activity being applied to each Article, Part
or Section listed in the first column. A Section that:
i. Has no text because the Section was previously
reserved, repealed, or renumbered cannot have
a rulemaking action listed as amended, renumbered, or recodified. A previously repealed
Section cannot be repealed again unless new
text has subsequently been made at the Section
number.

Arizona Rulemaking Manual

6.
7.
8.

9.
10.

11.

12.
13.

14.

15.

16.

Section 7. Rules of the Office of the Secretary of State
18. The full text of the rules in the rulemaking package shall
begin on the next page after the last item in the Preamble.
The text of the rules shall contain in sequential order:
a. Under the Preamble, on a centered line, the agency’s
Code Title number and heading.
b. On a centered line under the Title number and heading, the agency’s Code Chapter number and heading.
c. If applicable, on a centered line under the Chapter
number and heading, the agency’s Subchapter label
and heading.
d. Under the Chapter or Subchapter heading, whichever is applicable, shall be a list as prescribed in subsections (B)(18)(d)(i) through (iv):
i. On a centered line under the Chapter number
and its heading, list the first Article number and
its heading that has Sections undergoing a rulemaking action or with Article heading text
being made, amended, renumbered, or
repealed.
ii. If applicable, on a centered line under the Article number and its heading, list the Part number
and its label with Sections undergoing a rulemaking action or with Part label text being
made, amended, renumbered or repealed.
iii. Under the Article heading, or Part label if
applicable, at the left margin, list the Section
numbers and their headings for those Sections
undergoing a rulemaking action. A Section
shall not be listed if the Section does not have a
rulemaking action assigned to the Section.
iv. A Chapter, Subchapter, Article, Part or Section
heading with text being made, amended,
renumbered or repealed shall have the text written as described in R1-1-502(18)(e)(iii) and
(iv).
e. Under the list in subsection (B)(18)(d) the next page
shall be the full text of the Sections being made,
amended, repealed or renumbered. The text shall:
i. Include, if applicable, in sequential and numerical order, Article numbers and headings, and
Part labels and their headings if any of the Sections within the Article or Part are being made,
amended, repealed, or renumbered or if the
heading of the Article or Part is undergoing a
rulemaking action.
ii. Include Section numbers listed in numerical
order that follow the numbering scheme in R11-403. A Section shall always contain a heading, whether it is to specify the name of a rule,
or to label the Section as renumbered or
repealed. New Section numbers, headings, and
text shall be underlined; currently existing Section numbers shall not be underlined. Repealed
Section headings and text shall be stricken. The
Section numbers of repealed Sections shall not
be stricken.
iii. Specify current rule text being deleted or
repealed as stricken.
iv. Specify rule text being made as new text as
underlined.
v. Within a Section, have stricken text appear
before new, underlined text.
f. An agency that amends some but not all of the subsections in a Section may list the subsections not
being amended by the subsection label and the
words “No change” Each level of subsection desigSeptember 2011

C.

nated as having no change shall be individually
labeled. Subsections shall not be grouped together.
g. An agency that renumbers an existing Section shall
strike the current Section number. The new Section
number shall be underlined immediately next to the
stricken number. Renumbered Sections shall be in
numerical order with the text of the rule at the location of the new Section number. If the only action on
a Section is to renumber it, immediately under the
Section number and its heading shall appear the
words “No change” to indicate that the text is not
being amended. If an existing Section is renumbered
and no text is made, amended, or repealed at the current Section number, the current Section number
shall be listed in numerical order with strike-outs
through the old heading but not through the Section
number, with the new heading underlined and
labeled “Renumbered.”
A proposed rulemaking package shall include:
1. Two agency receipts as specified in R1-1-106;
2. An original and two copies of the agency certificate as
specified in R1-1-105;
3. An original and two copies of the rulemaking package as
specified in R1-1-103; and
4. An agency subject to Council review that received an
analysis comparing the rule’s impact of the competitiveness of business in this state to the impact on business in
other states, shall file the analysis with the rulemaking.

R1-1-503.
Public Comment Period
The public comment period for a proposed rule begins on the day
the rule is published in the Register. An agency shall allow a minimum of 30 days for public comment after publication. After the end
of the public comment period, an agency may hold an oral proceeding.
R1-1-504.
Oral Proceedings on Proposed Rulemaking
A. An agency may refer to the publication schedule of the Register when scheduling an oral proceeding. An agency shall hold
an oral proceeding no earlier than 30 days after the Office publishes the notice of proposed rulemaking in the Register under
A.R.S. § 41-1023. The Office shall include oral proceedings
shown in the notice of proposed rulemaking Preamble in the
proposed rules portion of the Register. The Office shall list in a
different section of the Register oral proceedings on rulemaking packages not scheduled by the agency until after the
agency has submitted the proposed rulemaking package to the
Office as specified in R1-1-209(B)(1).
B. If an agency submits a proposed rulemaking package to the
Office and indicates in the Preamble that an oral proceeding is
scheduled to take place before 30 days after the anticipated
publication date in the Register, the Office shall return the
package to the agency.
C. If an oral proceeding is not scheduled and an agency receives a
written request for an oral proceeding from one or more persons, the agency shall file a notice of oral proceeding on proposed rules with the Office in accordance with the Register
publication schedule, scheduling the oral proceeding to be
held no earlier than 30 days after the notice of oral proceeding
is published in the Register, under A.R.S. § 41-1023. The
agency shall file with the Office one original and two copies of
the Notice of Oral Proceeding on Proposed Rulemaking. This
notice shall be as stated in R1-1-209(B)(1).
D. If an oral proceeding begins and the proceeding officer publicly announces a time and place for a continuation of the oral

Section 7 - Page 13

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Section 7. Rules of the Office of the Secretary of State
proceeding, the agency is not required to submit a notice of
oral proceeding to the Office for publication in the Register.
R1-1-505.
Close of the Record
The close of the record for a proposed rule occurs on the date the
agency chooses as the last date it will accept public comments. An
agency shall not complete a rulemaking until the record is closed.

b.

c.
R1-1-506.
Notice of Termination of Rulemaking
A. To terminate a proposed rulemaking at any stage of the rulemaking process before the final rules are filed with the Office,
an agency shall file with the Office one original and two copies of a Notice of Termination of Rulemaking. The agency
shall attach the original and two copies of the Notice of Termination of Rulemaking to a copy of the original Notice of Proposed Rulemaking if the agency has filed a Notice of Proposed
Rulemaking with the Office.
B. The Notice of Termination of Rulemaking shall contain the
heading NOTICE OF TERMINATION OF RULEMAKING
in all capital letters, centered on the line approximately one
inch from the top of the page; followed by the Title, its number, and heading, centered on a line below the notice heading;
followed by the Chapter, its number and heading, centered on
a line below the Title; followed by the items listed below in the
same numbered order:
1. The Register citation and the date of the Notice of Rulemaking Docket Opening;
2. The Register citation and the date of the Notice of Proposed Rulemaking; and
3. The Section numbers (and Article and Part numbers or
labels) in numerical order in one column and the action
that had been proposed in the second column.
C. Both the original Notice of Proposed Rulemaking and the
Notice of Termination of Rulemaking shall remain on file with
the Office.
D. The Office shall publish a listing of the rules terminated in the
Register. The Office shall not publish the full text of rules
being terminated in the Register.
R1-1-507.
Notice of Supplemental Proposed Rulemaking
A. If an agency determines it meets the requirements of A.R.S. §
41-1022(E) and that a filed and published proposed rule
requires substantial change due to either internal review or
public comments, the agency shall prepare and file a Notice of
Supplemental Proposed Rulemaking as prescribed in this Section.
B. A Notice of Supplemental Proposed Rulemaking shall contain:
1. On a centered line one inch from the top of the page, the
heading, in all capital letters, NOTICE OF SUPPLEMENTAL PROPOSED RULEMAKING.
2. On a centered line under the notice heading, the agency’s
Code Title number and heading.
3. On a centered line under the Title number and heading,
the agency’s Code Chapter number and heading.
4. If applicable, on a centered line under the Chapter number and heading, the agency’s Code Subchapter label and
heading.
5. On a centered line under the Chapter or Subchapter heading, whichever is applicable, the heading in all capital letters and underlined, PREAMBLE. The Preamble of the
Notice of Supplemental Proposed Rulemaking shall
include, in numbered order:
a. Citations to the agency’s Notice of Rulemaking
Docket Opening, the Notice of Proposed Rulemaking, and any other Notices of Supplemental Proposed Rulemaking, if applicable, as published in the

Arizona Rulemaking Manual

Section 7 - Page 14

d.

e.
f.

g.
h.

i.
j.

k.

l.

Register as specified in R1-1-409(A). A list of any
other related notices published in the Register as
specified in R1-1-409(A).
A list of Articles, Parts, or Sections affected and the
rulemaking action of each Article, Part, or Section
affected in two columns as specified in R1-1502(B)(5).
Citations to the agency’s statutory rulemaking
authority to include the authorizing statute (general)
and the implementing statute (specific).
The agency’s contact person who can answer questions about the rulemaking. This information shall
include the contact’s:
i. Name;
ii. Address;
iii. Area code and telephone number; and
iv. Fax number, e-mail and web site addresses, if
applicable.
An agency’s justification and reason why a rule
should be made, amended, repealed, or renumbered,
to include an explanation about the rulemaking.
A reference to any study relevant to the rule that the
agency reviewed and proposes either to rely on or
not to rely on in its evaluation of or justification for
the rule, where the public may obtain or review each
study, all data underlying each study, and any analysis of each study and other supporting material.
An explanation of the substantial change that
resulted in the supplemental notice.
A showing of good cause why the rulemaking is
necessary to promote a statewide interest if the rulemaking will diminish a previous grant of authority
of a political subdivision.
The preliminary summary of the economic, small
business, and consumer impact.
The agency’s contact person who can answer questions about the economic, small business, and consumer impact statement. This information shall
include the contact’s:
i. Name;
ii. Address;
iii. Area code and telephone number; and
iv. Fax number, e-mail and web site addresses, if
applicable.
The time, place, and nature of the proceedings to
make, amend, repeal, or renumber the rule or, if no
proceeding is scheduled, where, when, and how persons may request an oral proceeding on the supplemental proposed rule.
All agencies shall list any other matters prescribed
by statute applicable to the specific agency or to any
specific rule or class of rules. Additionally, an
agency subject to Council review under A.R.S. §§
41-1052 and 41-1055 shall respond to the following
questions:
i. Whether the rule requires a permit, whether a
general permit is used and if not, the reasons
why a general permit is not used;
ii. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal law and if so, citation to the
statutory authority to exceed the requirements
of federal law; and
iii. Whether a person submitted an analysis to the
agency that compares the rule’s impact of the

September 2011

Section 7. Rules of the Office of the Secretary of State

C.

competitiveness of business in this state to the
impact on business in other states.
m. A list of any incorporated by reference material as
specified in A.R.S. § 41-1028 and its location in the
rules.
n. The phrase “The full text of the rules follows:”.
6. The full text of the rules in the rulemaking package shall
begin on the page after the last page of the Preamble and
contain the text as specified in R1-1-502(B)(18). A supplemental notice shall contain every Section undergoing
change from the current text in the Code, as if the supplemental notice were the agency’s first version of the proposed rulemaking.
A supplemental proposed rulemaking package shall include:
1. Two agency receipts as specified in R1-1-106;
2. An original and two copies of the agency certificate as
specified in R1-1-105;
3. An original and two copies of the rulemaking package as
specified in R1-1-103; and
4. An agency subject to Council review that received an
analysis comparing the rule’s impact of the competitiveness of business in this state to the impact on business in
other states, shall file the analysis with the rulemaking.
ARTICLE 6. FINAL RULEMAKING

R1-1-601.
Preparation and Filing of a Final Rulemaking
Package
A. If an agency’s rules are subject to review by the Council, the
agency shall submit its final rulemaking package to the Council within 120 days after the close of record. After the Council
approves the final rulemaking package, the Council shall submit the agency’s final rulemaking package to the Office for filing and publication. The final rulemaking package shall be as
specified in R1-1-602.
B. If an agency’s rules are exempt from the rulemaking process
under A.R.S. § 41-1005 or another state statute, the agency
shall follow the procedures in Article 9 and submit its final
rulemaking package to the Office within 120 days after the
close of record.
C. If an agency’s rules are subject to review by the Attorney General, the agency shall submit its final rulemaking package to
the Attorney General for approval within 120 days after the
close of record. After approval, the Attorney General shall
submit the final rule package to the Office for filing and publication.
R1-1-602.
Notice of Final Rulemaking
A. If an agency determines it meets the requirements of A.R.S. §
41-1024 and other requirements in the Act an agency shall prepare a Notice of Final Rulemaking as prescribed in this Section.
B. A Notice of Final Rulemaking shall contain:
1. On a centered line one inch from the top of the page, the
heading in all capital letters, NOTICE OF FINAL RULEMAKING.
2. On a centered line under the notice heading, the agency’s
Code Title number and heading.
3. On a centered line under the Title number and heading,
the agency’s Code Chapter number and heading.
4. If applicable, on a centered line under the Chapter number and heading, the agency’s Code Subchapter label and
heading.
5. On a centered line under the Chapter or Subchapter heading, whichever is applicable, the heading in all capital letters and underlined, PREAMBLE. The Preamble of the
September 2011

Section 7 - Page 15

Notice of Final Rulemaking shall include, in numbered
order:
a. A list of Articles, Parts, or Sections affected and the
rulemaking action of each Article, Part, or Section
affected in two columns as specified in R1-1502(B)(5).
b. Citations to the agency’s statutory rulemaking
authority to include the authorizing statute (general)
and the implementing statute (specific).
c. The effective date of the rule. If an agency specifies
a date:
i. Earlier than the 60 day effective date as specified in A.R.S. § 41-1032(A), the agency shall
include the earlier date and state the reason or
reasons it selected the earlier effective date as
provided in A.R.S. § 41-1032(A)(1) through
(5); or
ii. Later than the 60 day effective date as specified
in A.R.S. § 41-1032(A), the agency shall
include the later date and state the reason or
reasons it selected the later effective date as
provided in A.R.S. § 41-1032(B).
d. Citations to all related notices published in the Register as specified in R1-1-409(A) that pertain to the
record of the final rulemaking package.
e. The agency’s contact person who can answer questions about the rulemaking. This information shall
include the contact’s:
i. Name;
ii. Address;
iii. Area code and telephone number; and
iv. Fax number, e-mail and web site addresses, if
applicable.
f. An agency’s justification and reason why a rule
should be made, amended, repealed, or renumbered,
to include an explanation about the rulemaking.
g. A reference to any study relevant to the rule that the
agency reviewed and either relied on or did not rely
on in its evaluation of or justification for the rule,
where the public may obtain or review each study,
all data underlying each study, and any analysis of
each study and other supporting material.
h. A showing of good cause why the rulemaking is
necessary to promote a statewide interest if the rulemaking will diminish a previous grant of authority
of a political subdivision of this state.
i. A summary of the economic, small business, and
consumer impact.
j. A description of any changes between the proposed
rulemaking, to include supplemental notices, and the
final rulemaking.
k. An agency’s summary of the public or stakeholder
comments made about the rulemaking and the
agency response to the comments.
l. All agencies shall list any other matters prescribed
by statute applicable to the specific agency or to any
specific rule or class of rules. Additionally, an
agency subject to Council review under A.R.S. §§
41-1052 and 41-1055 shall respond to the following
questions:
i. Whether the rule requires a permit, whether a
general permit is used and if not, the reasons
why a general permit is not used;
ii. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal law and if so, citation to the

Arizona Rulemaking Manual

Section 7. Rules of the Office of the Secretary of State

C.

D.

statutory authority to exceed the requirements
of federal law; and
iii. Whether a person submitted an analysis to the
agency that compares the rule’s impact of the
competitiveness of business in this state to the
impact on business in other states.
m. A list of any incorporated by reference material as
specified in A.R.S. § 41-1028 and its location in the
rule.
n. Whether the rule was previously made, amended or
repealed as an emergency rule. If so, cite the notice
published in the Register as specified in R1-1409(A). Also, the agency shall state where the text
changed between the emergency and the final rulemaking packages; and
o. The phrase “The full text of the rules follows:”.
6. The full text of the rules in the rulemaking package shall
begin on the next page after the last item in the Preamble
and contain the text as specified in R1-1-502(B)(18).
7. An agency shall submit a final rulemaking package to
either the Council or the Attorney General for review as
specified in R1-1-105.
A final rulemaking package shall include:
1. Two agency receipts as specified in R1-1-106;
2. An original and two copies of the certificate of approval
of the rules from either the:
a. Council, if the rules are subject to Council review as
specified in R1-1-105; or
b. Attorney General, if the rules are subject to Attorney
General review as specified in R1-1-105.
3. An original and two copies of the agency certificate as
specified in R1-1-105;
4. An original and two copies of the rulemaking package as
specified in R1-1-103;
5. An economic, small business, and consumer impact statement if required by A.R.S. § 41-1055; and
6. An agency subject to Council review that received an
analysis comparing the rule’s impact of the competitiveness of business in this state to the impact on business in
other states, shall file the analysis with the rulemaking.
If the Notice of Final Rulemaking is subject to review by:
1. Council, the Council shall file the final rulemaking package, to include all documents listed under subsection (C),
with the Office as specified in R1-1-601(A).
2. The Attorney General, the Attorney General shall file the
final rulemaking package, to include all documents listed
under subsection (C), with the Office as specified in R11-601(C).

4.
5.

ARTICLE 7. EMERGENCY RULEMAKING
R1-1-701.
Notice of Emergency Rulemaking
A. If an agency determines a proposed new Section, an amendment to a Section, or a repeal of an existing Section meets the
emergency provisions of A.R.S. § 41-1026, the agency shall
prepare a Notice of Emergency Rulemaking as prescribed in
this Section.
B. A Notice of Emergency Rulemaking shall contain:
1. On a centered line one inch from the top of the page, the
heading in all capital letters, NOTICE OF EMERGENCY RULEMAKING.
2. On a centered line under the notice heading, the agency’s
Code Title number and heading.
3. On a centered line under the Title, the agency’s Code
Chapter number and heading.

Arizona Rulemaking Manual

Section 7 - Page 16

If applicable, on a centered line under the Chapter number and heading the agency’s Code Subchapter label and
heading.
On a centered line under the Chapter or Subchapter heading, whichever is applicable, the heading in all capital letters and underlined, PREAMBLE. The Preamble of the
Notice of Emergency Rulemaking shall include, in numbered order:
a. A list of Articles, Parts, or Sections affected and the
rulemaking action of each Article, Part, or Section
affected in two columns, as specified in R1-1502(B)(5).
b. Citations to the agency’s statutory rulemaking
authority to include the authorizing statute (general)
and the implementing statute (specific).
c. The effective date of the rule. If an agency specifies
a date:
i. Earlier than the 60 day effective date as specified in A.R.S. § 41-1032(A) the agency shall
include the earlier date and state the reason or
reasons it selected the earlier effective date as
provided in A.R.S. § 41-1032(B), or
ii. Later than the 60 day effective date as specified
in A.R.S. § 41-1032(A) the agency shall
include the date and state the reason or reasons
it selected the later effective date as provided in
A.R.S. § 41-1032(B).
d. Citations to all related emergency rulemaking
notices published in the Register as specified in R11-409(A) that pertain to the record of this notice of
emergency rulemaking.
e. The agency’s contact person who can answer questions about the rulemaking. This information shall
include the contact’s:
i. Name;
ii. Address;
iii. Area code and telephone number; and
iv. Fax number, e-mail and web site addresses, if
applicable.
f. An agency’s justification and reason why a rule
should be made, amended, repealed, or renumbered,
to include an explanation about the rulemaking.
g. A reference to any study relevant to the rule that the
agency reviewed and either relied on or did not rely
on in its evaluation of or justification for the rule,
where the public may obtain or review each study,
all data underlying each study, and any analysis of
each study and other supporting material.
h. A showing of good cause why the rulemaking is
necessary to promote a statewide interest if the rulemaking will diminish a previous grant of authority
of a political subdivision of this state.
i. A summary of the economic, small business, and
consumer impact.
j. Any other matters prescribed by statute and applicable to the specific agency or to any specific rule or
class of rules. When applicable, matters shall
include but are not limited to:
i. Whether the rule requires a permit, whether a
general permit is used and if not, the reasons
why a general permit is not used;
ii. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal law and if so, citation to the
statutory authority to exceed the requirements
of federal law; and
September 2011

Section 7. Rules of the Office of the Secretary of State
iii. Whether a person submitted an analysis to the
agency that compares the rule’s impact of the
competitiveness of business in this state to the
impact on business in other states.
k. A list of any incorporated by reference material as
specified in A.R.S. § 41-1028 and its location in the
rule.
l. An agency explanation about the situation justifying
the rulemaking as an emergency rule.
m. The date the Attorney General approved the rule.
n. The phrase “The full text of the rules follows:”.
6. The full text of the rules in the rulemaking package shall
begin on the page after the last page of the Preamble and
contain the text as specified in R1-1-502(B)(18).
C. An agency shall submit an emergency rulemaking package to
the Attorney General for review.
D. The Attorney General shall prepare a certificate as specified in
R1-1-105.
E. An emergency rulemaking package shall include:
1. Two agency receipts as specified in R1-1-106;
2. An original and two copies of the agency certificate as
specified in R1-1-105;
3. An original and two copies of the certificate of approval
or disapproval from the Attorney General as specified in
subsection (D).
4. An original and two copies of the rulemaking package as
specified in R1-1-103;
5. An economic, small business, and consumer impact statement if required by A.R.S. § 41-1055; and
6. An agency that received an analysis comparing the rule’s
impact of the competitiveness of business in this state to
the impact on business in other states, shall file the analysis with the rulemaking.
F. The Attorney General shall file the emergency rulemaking
package, to include all documents listed under subsection (E),
with the Office.
G. Emergency rules are in effect for 180 days under the provisions of A.R.S. § 41-1026.
H. Emergency rules may be renewed for an additional 180-day
period under the provisions of A.R.S. § 41-1026. If an agency
amends the text of a rule renewed, the agency shall prepare a
list of every amendment made to the renewed emergency rule.
The list of amendments shall be included and attached to the
renewal notice when filed with the Office.
ARTICLE 8. SUMMARY RULEMAKING
R1-1-801.
Notice of Summary Rulemaking
A. If an agency determines it meets the requirements of A.R.S. §
41-1027 and other requirements in the Act an agency shall prepare a Notice of Summary Rulemaking as prescribed in this
Section.
B. A Notice of Proposed Summary Rulemaking shall contain:
1. On a centered line one inch from the top of the page, the
heading in all capital letters, NOTICE OF PROPOSED
SUMMARY RULEMAKING.
2. On a centered line under the notice heading, the agency’s
Code Title number and heading.
3. On a centered line below the Title number and heading,
the agency’s Code Chapter number and heading.
4. If applicable, on a centered line under the Chapter number and heading the agency’s Code Subchapter label and
heading.
5. On a centered line under the Chapter or Subchapter heading, whichever is applicable, the heading in all capital letters and underlined, PREAMBLE. The Preamble of the
September 2011

Section 7 - Page 17

Notice of Proposed Summary Rulemaking shall include,
in numbered order:
a. A list of the Articles, Parts, or Sections affected and
the rulemaking action of each Article, Part, or Section affected in two columns as specified in R1-1502(B)(5).
b. Citations to the agency’s statutory rulemaking
authority to include the authorizing statute (general)
and the implementing statute (specific).
c. The interim effective date of the summary rule as
specified in A.R.S § 41-1027(D).
d. The agency’s contact person who can answer questions about the rulemaking. This information shall
include the contact’s:
i. Name;
ii. Address;
iii. Area code and telephone number; and
iv. Fax number, e-mail and web site addresses, if
applicable.
e. An agency’s justification and reason why a rule
should be made, amended, repealed, or renumbered,
to include an explanation about the rulemaking.
f. A showing of good cause why the rulemaking is
necessary to promote a statewide interest if the rulemaking will diminish a previous grant of authority
of a political subdivision of this state.
g. A reference to any study relevant to the rule that the
agency reviewed and proposes either to rely on or
not to rely on in its evaluation of or justification for
the rule, where the public may obtain or review each
study, all data underlying each study, and any analysis of each study and other supporting material.
h. If required, a preliminary summary of the economic,
small business, and consumer impact. If not
required, a statement of exemption under A.R.S. §
41-1055(D).
i. Agency personnel to contact about the accuracy of
the summary of the economic, small business, and
consumer impact statement. This information shall
include the contact’s:
i. Name;
ii. Address;
iii. Area code and telephone number; and
iv. Fax number, e-mail and web site addresses, if
applicable.
j. The time, place, and nature of the proceedings to
make, amend, or repeal the rule or, if no proceeding
is scheduled, where, when, and how persons may
request an oral proceeding on the proposed summary
rule.
k. A justification to the use of summary proceedings.
l. Any other matters prescribed by statute applicable to
the specific agency or to any specific rule or class of
rules. Additional matters shall include but are not
limited to:
i. Whether the rule requires a permit, whether a
general permit is used and if not, the reasons
why a general permit is not used;
ii. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal law and if so, citation to the
statutory authority to exceed the requirements
of federal law; and
iii. Whether a person submitted an analysis to the
agency that compares the rule’s impact of the

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Section 7. Rules of the Office of the Secretary of State

C.

D.

competitiveness of business in this state to the
impact on business in other states.
m. The phrase “The full text of the rules follows:”.
6. The full text of the rules in the rulemaking package shall
begin on the page after the last page of the Preamble and
contain the text as specified in R1-1-502(B)(18).
If an agency determines it meets the requirements in A.R.S. §
41-1027(A) through (E) it shall prepare a Notice of Final Summary Rulemaking. An agency shall, within 90 days after publication in the Register and after consideration of any
comments, submit to the Council its final summary rule, along
with the Preamble, concise explanatory statement, and economic, small business, and consumer impact statement.
A Notice of Final Summary Rulemaking shall contain:
1. On a centered line one inch from the top of the page, the
heading in all capital letters NOTICE OF FINAL SUMMARY RULEMAKING.
2. On a centered line under the notice heading, the agency’s
Code Title number and heading.
3. On a centered line under the Title number and heading,
the agency’s Code Chapter number and heading.
4. If applicable, on a centered line under the Chapter number and heading the agency’s Code Subchapter label and
heading.
5. On a centered line under the Chapter or Subchapter heading, whichever is applicable, the heading in all capital letters and underlined, PREAMBLE. The Preamble of the
Notice of Final Summary Rulemaking shall include, in
numbered order:
a. A list of Articles, Parts, or Sections affected and the
rulemaking action of each Article, Part, or Section
affected in two columns as specified in R1-1502(B)(5).
b. Citations to the agency’s statutory rulemaking
authority to include the authorizing statute (general)
and the implementing statute (specific).
c. The permanent effective date of the summary rule as
specified in A.R.S § 41-1027(D).
d. Citations to all related notices published in the Register as specified in R1-1-409(A) that pertain to the
record of the Notice of Final Summary Rulemaking
package.
e. The agency’s contact person who can answer questions about the rulemaking. This information shall
include the contact’s:
i. Name;
ii. Address;
iii. Area code and telephone number; and
iv. Fax number, e-mail and web site addresses, if
applicable.
f. An agency’s justification and reason why a rule
should be made, amended, repealed, or renumbered,
to include an explanation about the rulemaking.
g. A reference to any study relevant to the rule that the
agency reviewed and either relied on or did not rely
on in its evaluation of or justification for the rule,
where the public may obtain or review each study,
all data underlying each study, and any analysis of
each study and other supporting material.
h. A showing of good cause why the rulemaking is
necessary to promote a statewide interest if the rulemaking will diminish a previous grant of authority
of a political subdivision of this state.
i. If required, a summary of the economic, small business, and consumer impact. If not required, a statement of exemption under A.R.S. § 41-1055(D).

Arizona Rulemaking Manual

j.

E.

F.

A description of any changes between the proposed
summary rulemaking and the final summary rulemaking.
k. An agency’s summary of the public or stakeholder
comments made about the rulemaking and the
agency response to the comments.
l. Any other matters prescribed by statute applicable to
the specific agency or to any specific rule or class of
rules. Additional matters include but are not limited
to:
i. Whether the rule requires a permit, whether a
general permit is used and if not, the reasons
why a general permit is not used;
ii. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal law and if so, citation to the
statutory authority to exceed the requirements
of federal law; and
iii. Whether a person submitted an analysis to the
agency that compares the rule’s impact of the
competitiveness of business in this state to the
impact on business in other states.
m. The phrase “The full text of the rules follows:”.
6. The full text of the rules in the rulemaking package shall
begin on the next page after the last item in the Preamble
and contain the text as specified in R1-1-502(B)(18).
A summary rulemaking package shall include:
1. Two agency receipts as specified in R1-1-106;
2. An original and two copies of the agency certificate as
specified in R1-1-105;
3. If the notice is a Notice of Final Summary Rulemaking,
an original and two copies of Council’s certificate of
approval as specified in R1-1-105.
4. An original and two copies of the rulemaking package as
specified in R1-1-103;
5. An economic, small business, and consumer impact statement if required by A.R.S. § 41-1055; and
6. An agency that received an analysis that compares the
rule’s impact of the competitiveness of business in this
state to the impact on business in other states, shall file
the analysis with the rulemaking.
Upon approval from the Council of the final summary rule, the
Council shall file the final summary rulemaking package, to
include all documents listed in subsection (E) with the Office.
ARTICLE 9. EXEMPT RULEMAKING

R1-1-901.
Exempt Rulemaking
A. An agency shall not file with the Office an exempt rule made
by the agency before September 30, 1992.
B. The Office shall publish in the Code any exempt rule made
after September 30, 1992 if the agency involved submits the
rulemaking package to the Office. An exempt rule shall be
submitted following the procedures in Article 6 of this Chapter, except that an agency shall use the notice specified in R11-902.
C. The Office shall identify in the Code a Chapter containing
rules that are exempt from the Act and made after September
30, 1992, by a statement specifying the exemption at the
beginning of the Chapter and before a Section or Article made
under an exemption and by specifying the exemption in the
Section’s historical note.
D. If a statute or session law authorizes an agency to publish in
the Register a type of rulemaking not specified in this Chapter,
the agency shall contact the Office orally or by letter, specifying the exact statutory citation.

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September 2011

Section 7. Rules of the Office of the Secretary of State
R1-1-902.
Notice of Exempt Rulemaking
A. If an agency determines it meets the requirements of A.R.S. §§
41-1005 and 41-1057, or has been given a statutory exemption, an agency shall prepare a Notice of Exempt Rulemaking
as prescribed in this Section.
B. A Notice of Exempt Rulemaking shall contain:
1. On a centered line one inch from the top of the page, the
heading in all capital letters NOTICE OF EXEMPT
RULEMAKING.
2. On a centered line under the notice heading, the agency’s
Code Title number and heading.
3. On a centered line under the Title number and heading
the agency’s Code Chapter number and heading.
4. If applicable, on a centered line under the Chapter number and heading the agency’s Code Subchapter label and
heading.
5. On a centered line under the Chapter or Subchapter heading, whichever is applicable, the heading in all capital letters and underlined, PREAMBLE. The Preamble of the
Notice of Exempt Rulemaking shall include in numbered
order:
a. A list of Articles, Parts, or Sections affected and the
rulemaking action of each Article, Part, or Section
affected in two columns as specified in R1-1502(B)(5).
b. Citations to the agency’s statutory rulemaking
authority to include:
i. The authorizing statute (general),
ii. The implementing statute (specific), and
iii. The statute or session law authorizing the
exemption.
c. The effective date of the rule and the agency’s reason it selected the effective date.
d. A list of all notices published in the Register as specified in R1-1-409(A) that pertain to the record of the
exempt rulemaking.
e. The agency’s contact person who can answer questions about the rulemaking. This information shall
include the contact’s:
i. Name;
ii. Address;
iii. Area code and telephone number; and
iv. Fax number, e-mail and web site addresses, if
applicable.
f. An agency’s justification and reason why a rule
should be made, amended, repealed, or renumbered
to include an explanation about the rulemaking.
g. A reference to any study relevant to the rule that the
agency reviewed and either relied on or did not rely
on in its evaluation of or justification for the rule,
where the public may obtain or review each study,
all data underlying each study, and any analysis of
each study and other supporting material.
h. A showing of good cause why the rulemaking is
necessary to promote a statewide interest if the rulemaking will diminish a previous grant of authority
of a political subdivision of this state.
i. The summary of the economic, small business, and
consumer impact, if applicable.
j. A description of any changes between the proposed
rulemaking, including any supplemental proposed
rulemaking, and the final rulemaking, if applicable.
k. An agency’s summary of the public or stakeholder
comments made about the rulemaking and the
agency response to the comments, if applicable.

September 2011

l.

C.

Any other matters prescribed by statute applicable to
the specific agency or to any specific rule or class of
rules. When applicable, matters shall include, but
not be limited to:
i. Whether the rule requires a permit, whether a
general permit is used and if not, the reasons
why a general permit is not used;
ii. Whether a federal law is applicable to the subject of the rule, whether the rule is more stringent than federal law and if so, citation to the
statutory authority to exceed the requirements
of federal law; and
iii. Whether a person submitted an analysis to the
agency that compares the rule’s impact of the
competitiveness of business in this state to the
impact on business in other states.
m. A list of any incorporated by reference material and
its location in the rule.
n. Whether the rule was previously made, amended,
repealed, or renumbered as an emergency rule. If so,
the agency shall state where the text changed
between the emergency and the exempt rulemaking
packages.
o. The phrase “The full text of the rules follows:”.
6. The full text of the rules in the rulemaking package shall
begin on the next page after the last item in the Preamble
and contain the text as specified in R1-1-502(B)(18).
An exempt rulemaking package submitted to the Office for filing and publication shall include:
1. Two agency receipts as specified in R1-1-106;
2. An original and two copies of the agency certificate as
specified in R1-1-105;
3. An original and two copies of the rulemaking package as
specified in R1-1-103;
4. An economic, small business, and consumer impact statement if required by A.R.S. § 41-1055; and
5. An agency that received an analysis comparing the rule’s
impact of the competitiveness of business in this state to
the impact on business in other states, shall file the analysis with the rulemaking.
ARTICLE 10. RECODIFICATION

R1-1-1001. Notice of Recodification
A. An agency renumbering one or more Sections from one Chapter to another Chapter, or within a Chapter under R1-1404(B)(1), shall submit to the Office one original and two copies of a Notice of Recodification for filing and publication.
B. A Notice of Recodification shall contain the heading NOTICE
OF RECODIFICATION in all capital letters, centered on a
line approximately one inch from the top of the page; followed
by the Title, its number, and heading centered under the notice
heading; followed by the Chapter, its number, and heading
centered below the Title; followed by the Subchapter, its label,
and heading, if applicable, centered below the Chapter; followed by the items listed below in the same numbered order:
1. A list of the Subchapters (if applicable), Articles, Parts (if
applicable), and Sections being recodified along with
their respective headings;
2. A list of the Subchapters (if applicable), Articles, Parts (if
applicable), and Sections as recodified along with their
respective headings;
3. A conversion table between the two numbering schemes;
and
4. The name and address of agency personnel with whom
persons may communicate regarding the recodification.

Section 7 - Page 19

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Section 7. Rules of the Office of the Secretary of State
C.

If an agency renumbers or recodifies a Section, it shall make
no other changes to the Section except corrections to Section
references within the text of the Section or its heading.

Arizona Rulemaking Manual

D.

A Notice of Recodification is effective on the date the notice is
filed with the Office.

Section 7 - Page 20

September 2011

Section 8. Rules of G.R.R.C.

Section 8
Rules of G.R.R.C.
Editor’s Note: The Chapter printed here is not the official version of the Arizona Administrative Code.
TITLE 1. RULES AND THE RULEMAKING PROCESS
CHAPTER 6. GOVERNOR’S REGULATORY REVIEW COUNCIL
(Authority: A.R.S. § 41-1051)
1.

ARTICLE 1. RULES OF PROCEDURE
Section
R1-6-101.
R1-6-102.
R1-6-103.
R1-6-104.
R1-6-105.
R1-6-106.
R1-6-107.
R1-6-108.
R1-6-109.
R1-6-110.
R1-6-111.
R1-6-112.
R1-6-113.
R1-6-114.
R1-6-115.

Definitions
Meetings
Schedule and Filing Deadlines
Placing a Regular Rule on the Council Agenda
Submitting a Proposed Summary Rule
Placing a Final Summary Rule on the Council
Agenda
Submitting Approved Regular Rules
Filing Rules Approved by the Council
Returned Rules and Five-year Review Reports
Appearance by the Agency
Five-year Review Report
Oral and Written Comments
Rescheduling a Five-year Review Report
Extension to File a Five-year Review Report
Petition under A.R.S. § 41-1056(I) for an Agency to
Consider Including an Obsolete Rule in a Scheduled
Five-year Review Report with Recommendation for
Repeal

ARTICLE 2. DELEGATION AGREEMENTS
Section
R1-6-201.
R1-6-202.
R1-6-203.
R1-6-204.
R1-6-205.
R1-6-206.

Appeal of a Delegation Agreement
Repealed
Repealed
Repealed
Repealed
Repealed

ARTICLE 3. AGENCY PRACTICE OR SUBSTANTIVE
POLICY STATEMENTS
Section
R1-6-301.
R1-6-302.

Petition for Council Rulemaking or Review
Appeal of an Existing Agency Practice or Substantive Policy Statement

ARTICLE 4. APPEALS OF ECONOMIC, SMALL
BUSINESS, AND CONSUMER IMPACT STATEMENTS
Section
R1-6-401.

Appeal of an Economic, Small Business, and Consumer Impact Statement
ARTICLE 5. EARLY REVIEW PETITION

Section
R1-6-501.

Early Review Petition of a Proposed Rule
ARTICLE 1. RULES OF PROCEDURE

R1-6-101.
Definitions
A. The definitions in A.R.S. § 41-1001 apply to this Chapter.
B. In this Chapter:
September 2011

2.
3.
4.
5.

“Agency head” means the chief officer of an agency or
another person directly or indirectly purporting to act on
behalf or under the authority of the agency head.
“Chair” means the chairperson of the Council.
“Electronic copy” means a document submitted by email.
“Open Meeting Law” means A.R.S. §§ 38-431 through
38-431.09.
“Regular rule” means a rule made according to A.R.S. §§
41-1021, 41-1022 through 41-1025, 41-1028 through 411032, 41-1035, 41-1052, and 41-1055.

R1-6-102.
Meetings
A. The Chair, in consultation with the Council, shall set regular
meeting dates of the Council for each calendar year by the preceding October 31 and shall post notice of each regular meeting according to the Open Meeting Law.
B. The Chair or Council may schedule a special meeting to consider any matter it may consider at a regular meeting. The
Council shall post notice of a special meeting according to the
Open Meeting Law at least 24 hours before the special meeting.
C. The Council may recess a regular or special meeting to a later
date if, before recessing, the Chair gives notice of the date and
time of the resumption of the meeting and posts a notice of
resumption of the meeting according to the Open Meeting
Law.
R1-6-103.
Schedule and Filing Deadlines
The Chair, in consultation with Council, shall establish for each calendar year, by the preceding October 31, a schedule containing filing deadlines based on the meeting dates established under R1-6102 for:
1. Rules submitted or if applicable, resubmitted to the
Council including new, amended, repealed, or renumbered rules; and
2. Five-year review reports.
R1-6-104.
Placing a Regular Rule on the Council Agenda
A. To place a regular rule on the Council agenda, an agency shall
deliver to the Council office two rule packages prepared in the
manner required by this Chapter and the rules of the Office of
the Secretary of State. The agency shall ensure that each rule
package contains the following items assembled in the following order:
1. Cover letter signed by the agency head specifying:
a. The close of record date;
b. Whether definitions of terms contained in statutes or
other rules and used in the rule are attached;
c. Whether the rulemaking relates to a five-year review
report and, if applicable, the date the report was
approved by the Council;

Section 8 - Page 1

Arizona Rulemaking Manual

Section 8. Rules of G.R.R.C.
d.

B.

C.

Whether the rule contains a new fee and, if it does,
citation of the statute expressly authorizing the new
fee;
e. Whether the rule contains a fee increase;
f. Whether an immediate effective date is requested for
the rule under A.R.S. § 41-1032;
g. A certification that the preamble discloses a reference to any study relevant to the rule that the agency
reviewed and either did or did not rely on in the
agency’s evaluation of or justification for the rule;
h. If one or more full-time employees are necessary to
implement and enforce the rule, a certification that
the preparer of the economic, small business, and
consumer impact statement has notified the Joint
Legislative Budget Committee of the number of new
full-time employees necessary to implement and
enforce the rule; and
i. A list of all items enclosed.
2. Notice of Final Rulemaking, required by A.A.C. R1-1602, including the preamble, table of contents for the
rulemaking, and text of each rule;
3. Economic, small business, and consumer impact statement that contains the information required by A.R.S. §
41-1055;
4. Copy of the existing rule if the entire existing rule is not
shown as part of the revised text of a rule the agency is
amending; and
5. Copy of definitions of terms, used in the rule, that are
defined in statute or another rule, if any.
In addition to the items specified in subsection (A), an agency
shall submit one copy of each of the following:
1. All written comments received by the agency concerning
the proposed rule and a written record, transcript, or minutes of any oral comments received if the agency maintains a written record, transcript, or minutes;
2. Materials incorporated by reference, if any; and
3. Any analysis submitted to the agency that compares the
rule’s impact on the competitiveness of businesses in this
state to the impact on businesses in other states.
After a rule is placed on the Council agenda, Council staff
shall review the rule for compliance with the requirements of
A.R.S. § 41-1052(D), (E), and (F) and this Chapter and may
suggest changes to the agency. After making any change, the
agency shall submit the rule package to the Council office
under one of the following alternatives:
1. If the agency believes it is likely that the rule package
will be approved by the Council without change, it shall
submit:
a. Four paper copies of the Notice of Final Rulemaking
as specified in subsection (A)(2) and the economic,
small business, and consumer impact statement as
specified in subsection (A)(3);
b. One original and three paper copies of an agency
certificate prepared as provided in A.A.C. R1-1-105
except that the statement in A.A.C. R1-1105(A)(3)(f) that no changes have been made since
the Council approved the rule shall be omitted;
c. Two paper copies of an agency receipt prepared as
provided in A.A.C. R1-1-106; and
d. One of the following:
i. A computer disk or CD that contains the items
listed in subsection (A) and the general and
specific statutes authorizing the rule, or
ii. A computer disk or CD that contains the Notice
of Final Rulemaking specified in subsection
(A)(2) and an electronic copy of all the items

Arizona Rulemaking Manual

D.

E.

listed in subsection (A) and the general and
specific statutes authorizing the rule; or
2. If the agency is uncertain whether the rule package will
be approved by the Council without change, it shall submit:
a. One paper copy of the Notice of Final Rulemaking
in subsection (A)(2) and the economic, small business, and consumer impact statement in subsection
(A)(3); and
b. One of the following:
i. A computer disk or CD that contains all the
items listed in subsection (A) and the general
and specific statutes authorizing the rule, or
ii. An electronic copy of all the items listed in subsection (A) and the general and specific statutes
authorizing the rule.
After a rule is placed on the Council agenda, an agency may
have the rule moved to the agenda of a later meeting by having
the agency head send a notice to the Chair that includes the
date of the later meeting.
If it is necessary for a rule to be heard at more than one Council meeting, the agency shall contact the Council staff to learn
which rule-package items the agency needs to resubmit for the
later meeting.

R1-6-105.
Submitting a Proposed Summary Rule
To submit a proposed summary rule, an agency shall deliver to the
Council office one copy of the following items, assembled in the
following order and prepared in the manner required by this Chapter and the rules of the Office of the Secretary of State:
1. Notice of Proposed Summary Rulemaking, including the
preamble, table of contents for the proposed summary
rulemaking, and text of the proposed summary rule filed
with the Office of the Secretary of State as required by
A.R.S. § 41-1027(B); and
2. Statute that repeals or supersedes the authority under
which the original rule was enacted or the statute that is
repeated verbatim in the original rule or proposed summary rule.
R1-6-106.
Placing a Final Summary Rule on the Council
Agenda
A. To place a final summary rule on the Council agenda, an
agency shall deliver to the Council office the following items,
prepared in the manner required by this Chapter and the rules
of the Office of the Secretary of State:
1. The cover letter described in subsection (B)(1);
2. Four paper copies of the Notice of Final Summary Rulemaking in subsection (B)(2) and the economic, small
business, and consumer impact statement in subsection
(B)(3);
3. One original and three paper copies of an agency certificate prepared as provided in A.A.C. R1-1-105, except
that the statement in A.A.C. R1-1-105(A)(3)(f) that no
changes have been made since the Council approved the
rule shall be omitted;
4. Two paper copies of an agency receipt prepared as provided in A.A.C. R1-1-106; and
5. A computer disk or CD that contains all the items listed in
subsection (B) and the general and specific statutes
authorizing the rule; or
6. A computer disk or CD that contains the Notice of Final
Summary Rulemaking in subsection (B)(2) and an electronic copy of all the items listed in subsection (B) and
the general and specific statutes authorizing the rule.

Section 8 - Page 2

September 2011

Section 8. Rules of G.R.R.C.
B.

C.

An agency shall ensure that the rule package contains the following items assembled in the following order:
1. Cover letter signed by the agency head specifying:
a. The close of record date;
b. Whether the rulemaking relates to a five-year review
report and, if applicable, the date the report was
approved by the Council;
c. Whether an immediate effective date is requested for
the rule under A.R.S. § 41-1032;
d. A certification that the preamble discloses a reference to any study relevant to the rule that the agency
reviewed and either did or did not rely on in the
agency’s evaluation of or justification for the rule;
and
e. A list of all items enclosed.
2. Notice of Final Summary Rulemaking, required by
A.A.C. R1-1-801, including the preamble, table of contents for the final summary rulemaking, and text of each
final summary rule;
3. Economic, small business, and consumer impact statement that:
a. Contains the information required by A.R.S. § 411055 or a statement that the rulemaking is exempt
from this requirement under A.R.S. § 411055(D)(2); and
b. If applicable, contains an explanation of why repeal
of the obsolete rule does not increase the cost of
compliance under A.R.S. § 41-1027(A)(3).
In addition to the items specified in subsection (B), an agency
shall submit one copy of all written comments received by the
agency concerning the proposed summary rule and any analysis submitted to the agency that compares the rule’s impact on
the competitiveness of businesses in this state to the impact on
businesses in other states.

R1-6-107.
Submitting Approved Regular Rules
A. For a final regular rule placed on the Council’s agenda under
R1-6-104(C)(2) and approved by the Council or placed on the
Council’s agenda under R1-6-104(C)(1) and approved by the
Council with changes or a final summary rule approved by the
Council with changes, an agency shall deliver to the Council
office within 14 calendar days after Council approval, unless a
later date is arranged under subsection (B), the following
items, prepared in the manner required by this Chapter and the
rules of the Office of the Secretary of State:
1. A letter identifying each change made at the direction of
the Council. If no changes were directed, no letter is
required;
2. One original and three paper copies of the following
items assembled in the following order:
a. Agency certificate; and
b. Notice of Final Rulemaking or Notice of Final Summary Rulemaking and the economic, small business,
and consumer impact statement;
3. Two copies of the receipt required by A.A.C. R1-1-106;
and
4. One computer disk or CD that contains the item listed in
R1-6-104(A)(2) or (B)(2).
B. If an agency is unable to deliver an approved regular rule or
summary rule to the Council office within the time specified in
subsection (A), the agency shall contact the Council office and
arrange to submit the approved rule at a later date.
R1-6-108.
Filing Rules Approved by the Council
A. If the Council approves a Notice of Final Rulemaking or
Notice of Final Summary Rulemaking and the agency submits
September 2011

B.

C.

the items required by R1-6-107, the Council shall file the original and two copies of the agency’s items; two copies of the
agency receipt; and the computer disk or CD, with the Office
of the Secretary of State. The Council shall include an original
and two copies of a written notice specifying the Sections
approved and the date of Council approval.
If the Council approves a preamble, table of contents for the
rulemaking, rule, or economic, small business, and consumer
impact statement subject to the agency making changes as
directed by the Council, and the agency submits the items
required by R1-6-107:
1. Council staff shall verify that each change required by the
Council was made and file the items with the Office of
the Secretary of State as prescribed in subsection (A).
2. If an agency submits a revised preamble, table of contents
for the rulemaking, rule, or economic, small business, and
consumer impact statement that does not contain the
exact words approved by the Council, Council staff shall
notify the agency and require that the items be submitted
as approved or schedule the matter for reconsideration by
the Council.
Except as specified in subsection (B), an agency shall not
make any change to a preamble, table of contents for the rulemaking, rule, economic, small business, and consumer impact
statement, or materials incorporated by reference after Council
approval.

R1-6-109.
Returned Rules and Five-year Review Reports
A. The Council may vote to return a preamble, table of contents
for the rulemaking, rule, or economic, small business, and consumer impact statement under A.R.S. § 41-1052(C), after
identifying the manner in which the returned rule-package
item does not meet the standards at A.R.S. § 41-1052(D)
through (F).
1. The Council may schedule a date for resubmission in
consultation with the agency representative.
2. An agency resubmitting a preamble, table of contents for
the rulemaking, rule, or economic, small business, and
consumer impact statement to the Council shall attach to
the resubmitted rule-package item a letter that:
a. Identifies all changes made in response to the Council’s explanation for its return of the rule-package
item,
b. Explains how the changes ensure that the rule-package item meets the standards at A.R.S. § 41-1052(D)
through (F), and
c. Shows that the resubmitted rule is not substantially
different from the proposed rule under the standards
in A.R.S. § 41-1025.
3. In accordance with R1-6-110, an agency representative
shall appear at the Council meeting at which the resubmitted preamble, table of contents for the rulemaking,
rule, or economic, small business, and consumer impact
statement is to be considered.
B. The Council may vote to return a five-year review report after
identifying the manner in which the five-year review report
does not meet the standards in A.R.S. § 41-1056(A)(1)
through (9).
1. The Council, in consultation with the agency, shall schedule submission of a revised report.
2. An agency submitting a revised five-year review report
shall attach to the revised report a letter that:
a. Identifies all changes made in response to the Council’s explanation for return of the five-year review
report, and

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Section 8. Rules of G.R.R.C.
b.

Explains how the changes ensure that the five-year
review report meets the standards in A.R.S. § 411056(A)(1) through (9).

R1-6-110.
Appearance by the Agency
A. A representative of an agency shall appear at the Council
meeting at which the agency rule or five-year review report is
to be considered to respond to questions and comments by the
Council.
B. If an agency representative fails to appear at the Council meeting at which the agency rule or five-year review report is considered, the Council may:
1. Reschedule consideration of the rule or report;
2. Return the rule or report, in whole or in part, to the
agency; or
3. Approve the rule or report, in whole or in part, after
allowing public comment, if any.
R1-6-111.
Five-year Review Report
A. To place a five-year review report on the Council agenda, an
agency shall deliver to the Council office two copies of the
five-year review report required by A.R.S. § 41-1056. Except
as indicated in subsection (B), the agency shall concisely analyze and provide the following information in the five-year
review report in the following order for each rule:
1. General and specific statutes authorizing the rule;
2. Objective of the rule;
3. Effectiveness of the rule in achieving the objective;
4. Consistency of the rule with state and federal statutes and
rules, and a listing of the statutes or rules used in determining the consistency;
5. Agency enforcement policy, including whether the rule is
currently being enforced and, if so, whether there are any
problems with enforcement;
6. Agency view regarding current wisdom of the rule;
7. Clarity, conciseness, and understandability of the rule;
8. Summary of the written criticisms of the rule received by
the agency within the five years immediately preceding
the five-year review report, including letters, memoranda,
reports, and written allegations made in litigation or
administrative proceedings in which the agency was a
party that the rule is discriminatory, unfair, unclear,
inconsistent with statute, or beyond the authority of the
agency to enact, and the result of the litigation or administrative proceedings;
9. A comparison of the current economic, small business,
and consumer impact of the rule with the economic, small
business, and consumer impact statement prepared on the
last making of the rule or, if no economic, small business,
and consumer impact statement was prepared on the last
making of the rule, an assessment of the actual economic,
small business, and consumer impact of the rule;
10. Any analysis submitted to the agency by another person
that compares the rule’s impact on this state’s business
competitiveness to the impact on businesses in other
states;
11. If applicable, whether the agency completed the course of
action indicated in the agency’s previous five-year review
report;
12. A determination that the rule imposes the least burden
and costs to persons regulated by the rule, including
paperwork and other compliance costs necessary to
achieve the underlying regulatory objective; and
13. Course of action the agency proposes to take regarding
each rule, including the month and year in which the
agency anticipates submitting the rules to the Council if

Arizona Rulemaking Manual

B.

C.

D.

E.

F.

the agency determines it is necessary to amend or repeal
an existing rule, or to make a new rule.
If the information regarding any of the items listed in subsection (A) is identical for any group of rules, the agency shall
discuss that information in its five-year review report only
once for the group of rules.
An agency shall attach the following to each copy of a fiveyear review report:
1. Cover letter, signed by the agency head, that identifies:
a. A person to contact for information regarding the
report,
b. Any rule that is not reviewed with the intention that
the rule will expire under A.R.S. § 41-1056(E), and
c. Any rule that is not reviewed because the Council
rescheduled the review of the rule under A.R.S. §
41-1056(C), and
2. Copy of the rules being reviewed.
If an economic, small business, and consumer impact statement was prepared on the last making of a rule being
reviewed, an agency shall attach one copy of the economic,
small business, and consumer impact statement for the rule to
the five-year review report.
After a five-year review report is placed on the Council
agenda, Council staff shall review the report for compliance
with the requirements of A.R.S. § 41-1056 and this Chapter
and may suggest changes to the agency. After making any
change, the agency shall submit to the Council office one
paper copy of the five-year review report and one electronic
copy of or a computer disk or CD that contains the five-year
review report as specified in subsection (A), the cover letter
and rules specified in subsection (C)(2), and the general and
specific statutes authorizing the rules reviewed.
After a five-year review report is filed, an agency may make
one request that the report be moved to the agenda of a meeting scheduled for no later than 60 days after the request by
having the agency head send a written request to the Chair that
includes the date of the meeting. After the agency makes a
request to have a five-year review report moved, an agency
shall address any subsequent requests to the Chair. The Chair
may grant or deny a subsequent request at the Chair’s discretion.

R1-6-112.
Oral and Written Comments
A. Under A.R.S. § 41-1052(H) a person may submit written comments to the Council about an agency rulemaking within 60
days from Council receipt of the rulemaking. The date of
Council receipt of the rule shall be posted on the Council’s
web site. Council staff shall notify the agency of any written
comments received by the Council. An agency may submit a
written response to the Council within 15 days of being notified by Council staff of the comment.
B. A person may make oral comments about an agency rulemaking at a Council meeting.
C. The Chair may limit the time allotted to each speaker and preclude repetitious comments.
D. A person who makes written or oral comments to the Council
shall:
1. Ensure that the comments relate to a final rulemaking
filed with the Council;
2. Cite the particular provision of A.R.S. § 41-1052(D)
through (F) that is the basis for the Council’s authority to
consider each issue addressed;
3. State specifically how each issue relates to the particular
provision cited;
4. Tell what other efforts the person made to communicate
with the rulemaking agency about each issue; and

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5.

E.

If making oral comments, submit one of the following by
at least 5:00 p.m. Arizona time six business days before a
scheduled Council meeting: one electronic copy of, a
computer disk or CD, or 10 paper copies of any visual
aids or written materials supplementing the oral comments to the Council analyst assigned. The Council analyst shall forward a copy to each member of the Council,
the Council’s Assistant Attorney General, and the person
identified as responsible for the agency’s rulemaking; or
6. If not making oral comments, submit one of the following
by at least 5:00 p.m. Arizona time six business days
before a scheduled Council meeting: one electronic copy,
of a computer disk or CD, or 10 paper copies of any written comments to the Council analyst assigned. The Council analyst shall forward a copy to each member of the
Council, the Council’s Assistant Attorney General, and
the person identified as responsible for the agency’s rulemaking.
If materials are submitted under subsection (C)(5) or (6) fewer
than six business days before the Council meeting, the Chair,
in the Chair’s discretion, shall consider the reason for the
untimely submittal, fairness to the rulemaking agency, and the
best interests of the state in determining the action to take
under A.R.S. § 41-1052.

R1-6-113.
Rescheduling a Five-year Review Report
A. To request that a five-year review report be rescheduled under
A.R.S. § 41-1056(C), an agency head shall submit a letter to
the Chair before the report is due but not more than 90 days
before the report is due that includes the following information:
1. The Title, Chapter, and Article of the rules for which
rescheduling is sought;
2. Whether the rules were initially made or substantially
revised with an effective date that is within the two years
before the due date of the report; and
a. If substantially revised:
i. A description of the revisions,
ii. Why the revisions are believed to be substantial, and
iii. The date on which the rules were published in
the Register by the Office of the Secretary of
State and the effective date of the rules; or
b. If initially made, the date on which the rules were
published in the Register by the Office of the Secretary of State and the effective date of the rules.
B. The Chair or the Chair’s designee, in the Chair’s or Chair’s
designee’s discretion, may grant the rescheduling of a fiveyear review report if all rules within an Article meet the
requirements of this Section.
R1-6-114.
Extension to File a Five-year Review Report
A. An agency may obtain an extension of 120 days to file a fiveyear review report by filing a written notice of extension with
the Council before the due date of the report. The agency shall
specify in the notice the reason for the extension.
B. An agency may request one extension of more than 120 days
but less than 181 days to file the report by sending a written
request to the Chair at least 40 days prior to the due date of the
report. The agency shall specify the length of the requested
extension and the reason for the requested extension.
1. A request for an extension of more than 120 days but less
than 181 days shall be placed on the agenda of a Council
meeting scheduled to occur prior to the due date of the
report.

September 2011

2.

Council shall consider the extension request and may
grant a request that is greater than 120 days but shall not
grant an extension request that exceeds 180 days.

R1-6-115.
Petition under A.R.S. § 41-1056(I) for an Agency
to Consider Including an Obsolete Rule in a Scheduled Fiveyear Review Report with Recommendation for Repeal
A. A person shall file a petition under A.R.S. § 41-1056(I) at least
60 days before the original due date of the five-year review
report in which the rule is scheduled to be reviewed. The person filing the petition shall deliver to the Council office one of
the following: one electronic copy, a computer disk or CD, or
one paper copy. The petition shall contain:
1. The name, mailing address, e-mail address, and fax and
telephone numbers of the person filing the petition;
2. The name of the person being represented by the person
filing the petition, if applicable;
3. A statement of why the rule is obsolete and should be
repealed; and
4. A statement of how the person is regulated or could be
regulated by the rule.
B. The petition shall not exceed five double-spaced pages and
shall be in Arial typeface of no less than 12 point.
C. The Council shall notify the agency head of the petition by
5:00 p.m. of the business day following Council receipt of the
petition. Within 14 days of the date the petition is filed the
agency shall file one electronic copy, a computer disk or CD,
or one paper copy of a response to the petition that either:
1. Indicates the agency will consider including the obsolete
rule in the five-year review report with a recommendation
for repeal, or
2. Includes a statement of why the rule is not obsolete and
should not be repealed.
D. The Council shall schedule the petition for the next Council
meeting as soon as practicable after receipt of the agency’s
response under subsection (C).
E. Within seven calendar days after the Council’s decision on the
petition, the Chair or the Chair’s designee, shall send a letter to
the affected agency head and the person filing the petition
advising them of the Council’s decision.
ARTICLE 2. DELEGATION AGREEMENTS
R1-6-201.
Appeal of a Delegation Agreement
A. Under A.R.S. § 41-1081(F), a person who appeals an agency
decision to enter into a delegation agreement shall deliver to
the Council office one original written request signed by the
person submitting the appeal and eight paper copies or one
electronic copy of, or a computer disk that contains, the
request. The person submitting the appeal shall include the following in the request:
1. All written objections to the delegation agreement submitted to the delegating agency by the person filing the
appeal;
2. The name and address of each agency and each political
subdivision entering into the delegation agreement;
3. The name, address, and fax and telephone numbers of the
person filing the appeal;
4. The name of the person being represented by the person
filing the appeal;
5. The subject matter of the delegation agreement; and
6. The reasons why the person is objecting to the delegation
agreement and filing the appeal.
B. The head of an agency whose delegation agreement is being
appealed shall deliver to the Council office one original and
eight paper copies or one electronic copy of, or a computer
disk that contains the following:

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Section 8. Rules of G.R.R.C.

C.

D.

E.

A memorandum that lists the date the delegating agency
gave written notice of the decision to enter into the delegation agreement and the dates of all public proceedings
regarding the delegation agreement;
2. The name, address, and fax and telephone numbers of
each agency and each political subdivision contact person;
3. The delegation agreement; and
4. A written summary prepared by the agency, responding
to all oral or written comments received by the agency
regarding the delegation agreement.
The Council shall notify the delegating agency head of an
appeal of a delegation agreement by 5:00 p.m. of the business
day following Council receipt of the appeal. The agency head
shall deliver to the Council office the information and documents listed in subsection (B) no later than 5:00 p.m. on the
third business day following notification of the appeal by the
Council.
Within 14 calendar days after an appeal is filed with the Council, the Chair shall send written notice to the person filing the
appeal and the delegating agency head stating whether three
Council members have requested that the appeal be considered
at a Council meeting. If an appeal is to be considered at a
Council meeting, the notice shall include the date and time of
the Council meeting.
After the Council approves or disapproves a delegation agreement that has been appealed, the Chair shall send a written letter to the delegating agency head and person filing the appeal
that specifies the reasons for the approval or disapproval and
the date of Council action.

4.

1.

R1-6-202.

Repealed

R1-6-203.

Repealed

R1-6-204.

Repealed

R1-6-205.

Repealed

R1-6-206.

Repealed

ARTICLE 3. AGENCY PRACTICE OR SUBSTANTIVE
POLICY STATEMENTS
R1-6-301.
Petition for Council Rulemaking or Review
A. A person may petition the Council under A.R.S. § 41-1033(A)
for a:
1. Rulemaking action relating to a Council rule, including
making a new rule or amending or repealing an existing
rule; or
2. Review of an existing Council practice or substantive
policy statement alleged to constitute a rule.
B. To act under A.R.S. § 41-1033(A) and this Section, a person
shall submit to the Council office a written petition including
the following information:
1. Name, address, telephone number, and fax number, if
any, of the person submitting the petition;
2. Name of any person represented by the person submitting
the petition;
3. If requesting a rulemaking action:
a. Statement of the rulemaking action sought, including the A.A.C. citation of all existing rules, and the
specific language of a new rule or rule amendment;
and
b. Reasons for the rulemaking action, including an
explanation of why an existing rule is inadequate,
unreasonable, unduly burdensome, or unlawful;

Arizona Rulemaking Manual

C.

D.

If requesting a review of an existing practice or substantive policy statement:
a. Subject matter of the existing practice or substantive
policy statement, and
b. Reasons why the existing practice or substantive
policy statement constitutes a rule; and
5. Dated signature of the person submitting the petition.
A person may submit supporting information with a petition,
including:
1. Statistical data; and
2. A list of other persons likely to be affected by the rulemaking action or the review, with an explanation of the
likely effects.
The Council shall send the person submitting a petition a written response within 60 calendar days of the date the Council
receives the petition.

R1-6-302.
Appeal of an Existing Agency Practice or Substantive Policy Statement
A. A person appealing an agency’s final decision regarding a petition for review of an existing agency practice or substantive
policy statement filed under A.R.S. § 41-1033(B) shall deliver
to the Council office one original and eight paper copies or one
electronic copy of, or a computer disk that contains, the following:
1. A request signed by the person submitting the appeal that
includes the following:
a. Name of the agency upon which the appeal is taken;
b. Name, address, telephone number, and fax number,
if any, of the person filing the appeal;
c. Name of the person being represented by the person
filing the appeal;
d. Subject matter of the existing agency practice or
substantive policy statement being appealed; and
e. Reasons why the existing agency practice or substantive policy statement constitutes a rule.
2. The petition requesting a review of the agency’s existing
practice or substantive policy statement; and
3. The agency’s written decision that is being appealed.
B. The Council shall notify the affected agency head of an appeal
of an existing agency practice or a substantive policy statement by 5:00 p.m. of the business day following Council
receipt of the appeal. The agency shall deliver to the Council
office the information and documents listed in subsection (C)
no later than 5:00 p.m. on the third business day following
notification by the Council of the appeal.
C. The head of an agency whose final decision is being appealed
shall deliver to the Council office one original and eight paper
copies or one electronic copy of, or a computer disk that contains, the following:
1. A memorandum that includes the following:
a. Date the agency gave written notice of its decision
under A.R.S. § 41-1033(A);
b. Name, address, telephone number, and fax number,
if any, of each agency contact person; and
c. Reasons why the agency believes that the existing
agency practice or substantive policy statement does
not constitute a rule.
2. The existing agency practice or substantive policy statement being appealed; and
3. If a petition other than that of the appellant was filed with
the agency requesting a review of the same existing practice or substantive policy statement being appealed:
a. The other petition, and
b. The agency’s written decision regarding the other
petition.

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Section 8. Rules of G.R.R.C.
D.

E.

b.

Within 14 calendar days after an appeal is filed with the Council, the Chair shall send written notice to the person filing the
appeal and the affected agency head stating whether three
Council members have requested that the appeal be considered
at a Council meeting. If the appeal is to be considered at a
Council meeting, the notice shall include the date and time of
the Council meeting.
Within seven calendar days after the Council decides whether
the agency practice or substantive policy statement constitutes
a rule, the Chair shall send a letter to the affected agency head
and the person filing the appeal that specifies the decision and
the reasons for and date of the Council decision.
ARTICLE 4. APPEALS OF ECONOMIC, SMALL
BUSINESS, AND CONSUMER IMPACT STATEMENTS

R1-6-401.
Appeal of an Economic, Small Business, and
Consumer Impact Statement
A. A person appealing an agency’s final decision on whether to
initiate a rulemaking under A.R.S. § 41-1056.01(D), shall
deliver to the Council office one of the following: one electronic copy, a computer disk or CD, or one original and eight
paper copies of an appeal. The appeal shall contain:
1. A request signed by the person submitting the appeal, citing the rule or rules being appealed and:
a. Name of the agency upon which the appeal is taken;
b. Name, mailing address, e-mail address, telephone
number, and fax number, if any, of the person filing
the appeal;
c. Name of the person being represented by the person
filing the appeal, if applicable;
d. How the person filing the appeal is or may be
affected by the agency’s final decision made under
A.R.S. § 41-1056.01(C); and
e. Why the person appealing believes that:
i. Under A.R.S. § 41-1056.01(A)(1), the actual
economic, small business, or consumer impact
significantly exceeded the estimated impact; or
ii. Under A.R.S. § 41-1056.01(A)(2), the actual
economic, small business, or consumer impact
was not estimated on adoption of the rule; and
the impact imposes a significant burden on persons subject to the rule; or
iii. Under A.R.S. § 41-1056.01(A)(3), the agency
did not select the alternative that imposes the
least burden and costs to persons regulated by
the rule, including paperwork and other compliance costs, necessary to achieve the underlying regulatory objective.
2. A copy of the economic, small business, and consumer
impact statement being addressed in the appeal; and
3. The data used by the person appealing to support the reasons listed under subsection (A)(1)(e).
B. The Council shall notify the affected agency head of an appeal
of the economic impact of a rule by 5:00 p.m. of the business
day following Council receipt of the appeal. The affected
agency head shall deliver to the Council office the information
and documents listed in subsection (C) no later than 5:00 p.m.
on the third business day following notification by the Council
of the appeal.
C. The head of an agency whose final decision is being appealed
shall deliver to the Council office one of the following: one
electronic copy, a computer disk or CD, or one original and
eight paper copies of a response. The response shall contain:
1. A memorandum that includes the following:
a. Date of publication of the agency’s final decision
under A.R.S. § 41-1056.01(C);
September 2011

D.

E.

Name, mailing address, e-mail address, telephone
number, and fax number, if any, of each agency contact person;
c. Reasons why the agency believes that:
i. The actual economic, small business, and consumer impact did not significantly exceed the
estimated economic, small business, and consumer impact; or
ii. The actual economic, small business, and consumer impact was estimated on approval of the
rule and the impact does not impose a significant burden on persons subject to the rule; or
iii. Under A.R.S. § 41-1056.01(A)(3), the agency
selected the alternative that imposes the least
burden and costs to persons regulated by the
rule, including paperwork and other compliance costs, necessary to achieve the underlying
regulatory objective; and
d. A copy of final judgments, if any, issued by a court
of competent jurisdiction that are based on whether
the contents of the rule’s economic, small business,
and consumer impact statement were insufficient or
inaccurate;
2. A copy of the rule being appealed; and
3. The agency’s written summary prepared and published as
required by A.R.S. § 41-1056.01(C).
Within 14 calendar days after an appeal is filed with the Council, the Chair shall send written notice to the person filing the
appeal and the affected agency head stating whether three
Council members have requested that the appeal be considered
at a Council meeting. If the appeal is to be considered at a
Council meeting, the notice shall include the date and time of
the Council meeting.
Within seven calendar days after the Council decides whether
one or more of the provisions in A.R.S. § 41-1056.01(A) are
met, the Chair shall send a letter to the affected agency head
and the person filing the appeal that specifies the decision, the
reasons for and date of the Council decision, and the action, if
any, required by the agency.
ARTICLE 5. EARLY REVIEW PETITON

R1-6-501.
Early Review Petition of a Proposed Rule
A. A person may file an early review petition with Council after a
proposed rule is published in the Register but before the rule is
filed with Council as a final rule under R1-6-104 or R1-6-106.
B. The person filing the petition shall deliver to the Council
office one of the following: one electronic copy, a computer
disk or CD, or one paper copy. The petition shall contain:
1. The name, mailing address, e-mail address, and fax and
telephone numbers of the person filing the petition;
2. The name of the person being represented by the person
filing the petition, if applicable;
3. An explanation of how the proposed rule violates any of
the criteria in A.R.S. § 41-1052(D);
4. An explanation of why the Council should consider the
petition at the proposed rulemaking stage; and
5. An explanation of how the person would be adversely
affected by the proposed rule.
C. The petition shall not exceed five double-spaced pages and
shall be in Arial typeface of not less than 12 point.
D. The Council shall notify the agency head of the petition by
5:00 p.m. of the business day following Council receipt of the
petition. Within 14 days of the date the petition is filed the
agency shall file a response to the petition and deliver to the
Council one of the following: one electronic copy, a computer
disk or CD, or one paper copy. The agency shall deliver by

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Section 8. Rules of G.R.R.C.

E.

mail or in person a copy of the response to the Petitioner. The
response shall contain:
1. An explanation of why the proposed rule does not violate
any of the criteria in A.R.S. § 41-1052(D);
2. If applicable, an explanation of why the person would not
be adversely affected by the proposed rule; and
3. An explanation of why the rulemaking should be permitted to proceed to final rulemaking.
A reply brief is not permitted. Documents and exhibits supporting the petition or response shall only be allowed by a

Arizona Rulemaking Manual

majority vote of the quorum present and upon written request
that demonstrates good cause.
F. An early review petition filed under this Section does not stay
the rulemaking process.
G. The Council shall consider the petition at a scheduled Council
meeting as soon as practicable after receipt of the agency’s
response under subsection (D).
H. Within seven calendar days after the Council considers the
petition, the Chair shall send a letter to the affected agency
head and the person filing the petition, advising them of the
Council’s decision.

Section 8 - Page 8

September 2011

6HFWLRQ
%LEOLRJUDSK\
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Goldfarb, Ronald L. and James C. Raymond, Clear Understandings. Random House, New York, New
York, 1982.
Goldstein, Norm, Ed., Associated Press Stylebook and Briefing on Media Law. Perseus Publishing, Cambridge, Massachusetts, 2000.
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Office of the Federal Register, “Rule Writing - A Practical Approach.” March, 1985. (Approved by the
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Office, 1990.)
Redish, Janice C., Ph.D., “How to Write Regulations And Other Legal Documents In Clear English.”
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