1. FORMS OF REFERENCE

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References to Rules in Other Rules

Except in a repealer, a reference in rules to another part of Minnesota Rules (an internal reference or cross-reference) must be in one of the forms shown below. In a repealer, the words "Minnesota Rules" must be included.

Avoid the phrase "this rule" or "these rules." Instead, use a range reference that covers all the part numbers you want to refer to. Refer to a table or illustration by naming the part or subpart that contains it.

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Citing Rules in Statutes

To refer to Minnesota Rules in statutes, or other documents that are not themselves part of the rules, use these forms:

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Short Citation Forms for Case Materials

For documents in which abbreviated citations are customary, use the forms given here.

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Example: Internal References to Minnesota Rules

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Citing Minnesota Statutes in Rules

Ordinarily, a reference to Minnesota Statutes should be in this form: "as provided by Minnesota Statutes, section 14.41, subdivision 1, paragraph (a), clause (2)." If there is a special reason to tie the reference to a particular edition of Minnesota Statutes, give the date of the edition: "Minnesota Statutes 1996, section 14.41," and so on. You may also refer to larger units of Minnesota Statutes: "Minnesota Statutes, chapter 14."

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Citing Laws of Minnesota in Rules

To refer to Laws of Minnesota, the session laws publication, write:

"...as provided by Laws 1981, chapter 406, article 6, section 1..."

To refer to a law from a special session, use the form:

"Laws 1997, First Special Session chapter 1, article 2, section 5."

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Citing Federal Laws in Rules

References to federal laws should be in one of the following forms.

Compiled form

"...as provided by United States Code, title 25, chapter 8, subchapter I, part A, section 631, subsection (d), paragraph (4), subparagraph (G)."

Note: This example illustrates the reference names given to the codified divisions of a compiled federal law. Drafters need not include every element in every citation to federal materials. A citation to a section or smaller division of the United States Code renders unnecessary any citation to its chapter, subchapter, and part.

Uncompiled form (used for specific section appearing on a single page)

"..as provided by Statutes at Large, volume 38, page 730, section 251...."

Uncompiled form (used for inclusive reference to entire bill or portion of it)

"...as provided by Statutes at Large, volume 38, pages 220 to 236..."

Slip law

"...as provided by Public Law Number 89-110..."

Internal Revenue Code

"...as provided by the Internal Revenue Code of 1986, section 482, as amended through December 31, 1996."

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Citing Federal Regulations in Rules

References to the Code of Federal Regulations should be in this form:

"...as provided by Code of Federal Regulations, title 10, subtitle B, chapter IV, subchapter B, part 24, subpart C, section 24.02, paragraph (d)(1), as amended."

Note that titles 41 and 48 use Arabic numbers to designate their chapter titles.

Note also that this example illustrates the reference names given to the codified divisions of compiled federal regulations. Drafters need not include every element in every citation to federal materials. A citation to a section or smaller division of the Code of Federal Regulations renders unnecessary any citation to its subtitle, chapter, subchapter, part, and subpart.

The form above incorporates future amendments. To exclude future amendments, add

"...as amended through December 31, 1996"

References to the Federal Register should be in this form:

"...as provided by the Federal Register, volume 46, page 23405..."

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Citing Safety Standards in Rules

References to safety standards such as those issued by the American National Standards Institute or the American Society for Testing and Materials should include:

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First References

"Safety Recommendations for Sensitized Ammonium Nitrate Blasting Agents," issued by the U.S. Department of Interior, Bureau of Mines, as Information Circular 8179 (Washington, D.C.: Government Printing Office, 1963).

The "American National Safety Code for Elevators, Dumbwaiters, Escalators, and Moving Walks," issued by the American National Standards Institute as ANSI A17.1-1978, with supplement ANSI A17.1a.-1979 (New York, 1978) is incorporated by reference.

Copper tubing in these installations must conform to standard B 88-81, "Specification for Seamless Copper Water Tube," in the "Annual Book of ASTM Standards," issued by the American Society for Testing and Materials (Philadelphia, 1981).

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Second and Later References

If your draft names a publication several times, it may be awkward to give full reference information each time. If you want to use a shortened reference form, either define the short form in the definitions part or provide a cross-reference to the part or subpart that contains the full reference. Here is an example of an incorporation in definition form.


Subp. 4. Safety recommendations. "Safety recommendations" means "Safety Recommendations for Sensitized Ammonium Nitrate Blasting Agents," issued by the United States Department of the Interior, Bureau of Mines, as Information Circular 8179 (Washington, D.C.: Government Printing Office, 1963). The safety recommendations are incorporated by reference. They are available at the Government Documents Section, Room 409, Wilson Library, University of Minnesota, 309 19th Avenue South, Minneapolis, Minnesota 55454. They are not subject to frequent change.

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Deciding Which Format to Cite

Often a government document is published in a separate format and in the Federal Register or the Code of Federal Regulations. A reference to the Register or the Code makes it much easier to find the document and relieves you of determining where the public can find it.

Although many state documents are available through the Internet, they should not be referred to by their URLs. Cite directly to the law, not to the web site through which it was found.

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Incorporations by Reference

An incorporation by reference is (1) a statement that declares that the contents of another document are part of the rules, even though the text of that document does not appear in the rules or (2) a statement that orders compliance with a document outside the rules.

Incorporations need not be approved by the revisor's office if they refer to any of the following publications: Minnesota Rules, Minnesota Statutes, Laws of Minnesota, United States Code, United States Statutes at Large, the Code of Federal Regulations, and the Federal Register. See Minnesota Statutes, section 14.07, subdivision 4. To incorporate text from these publications, cite them according to the forms in this chapter.

To incorporate text from other publications, you must:

All this material may be intrusive if it is simply inserted in the middle of a set of rules. If your rules cite the publication several times, you can define a short form of the title in the definition section and put the incorporation there. You may also create a separate part with the headnote "Incorporation by Reference." A separate part for incorporations is especially useful if your rules incorporate several documents.

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Incorporating Other Rules

Adopted rules may always be incorporated by reference. Proposed rules, however, are not part of Minnesota Rules and do not fit the statutory definition of a rule. Agencies risk having their rules challenged when those rules incorporate other proposed rules. In those instances where an agency determines that citation to a proposed rule is necessary, citation to the State Register where the proposed rule appears may be advisable.

Example:


"part 3515.5051, subpart 4, item A, as published in the State Register, Monday, April 6, 1987, volume 11, number 26, page 1250"

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Incorporations and Specificity

When rules incorporate documents or law by reference, the text must make it clear exactly what documents are being incorporated. Consequently, a drafter should not use phrases like, "The applicant must comply with requirements in the standard manuals, including but not limited to the following publications" or "The applicant must comply with all applicable laws and rules."

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Editions, Dates, and Future Amendments

In connection with incorporations by reference, drafters sometimes wonder whether (1) to cite a specific, dated edition of a work, so that future changes are excluded unless the rules are amended, or (2) to incorporate future changes in some way.

To determine whether the agency has the authority to incorporate future changes by reference, drafters should consult pertinent statutory and case law. Whatever the drafter's choice, the form of reference should make it very clear whether future changes are included or not. Simply omitting any mention of a date is not clear enough. It may be necessary to state explicitly whether future changes are or are not incorporated, or under what conditions they are. A possible solution to this problem follows:


Example: Future Changes Incorporated under Certain Conditions

7105.0130 INCORPORATION BY REFERENCE.

Subpart 1. Scope. For purposes of this chapter, the documents in subparts 2 to 4 are incorporated by reference. They can be found at the Minnesota Law Library, Judicial Center, 25 Constitution Avenue, Saint Paul, Minnesota 55155. They are subject to frequent change. If any of the documents in subparts 2 to 4 are amended, and if the amendments are incorporated by reference or otherwise made a part of state or federal law applicable to the installation, repair, or closure of storage tank systems, then the amendments to the documents are also incorporated by reference into this chapter.

Subp. 2. API documents. The following documents are also available from the American Petroleum Institute, 1220 L Street, Northwest, Washington, D.C. 20005:

  1. American Petroleum Institute, Removal and Disposal of Used Underground Petroleum Storage Tanks, API/RP 1604 (December 1987);

  2. American Petroleum Institute, Installation of Underground Petroleum Storage Systems, API/RP 1615 (November 1987);

  3. American Petroleum Institute, Cathodic Protection of Underground Petroleum Storage Tanks and Piping Systems, API/RP 1632 (December 1987); and

  4. American Petroleum Institute, Cleaning Petroleum Storage Tanks, API/RP 2015 (September 1985).

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Amending Documents Incorporated by Reference

Many rules incorporate particular documents and then make changes in the incorporated documents. This is an awkward situation for readers who must consult two sources at the same time in order to see what the rules say. The forms and instructions given in the following examples are intended to make it easier to coordinate the two sources.


Example: Amending a Document Incorporated by Reference

7500.0100 INCORPORATION BY REFERENCE.

The Uniform Fire Code, issued by the International Conference of Building Officials and the Western Fire Chiefs Association (Whittier, California, 1994), is incorporated by reference subject to the alterations and amendments in this chapter. The Uniform Fire Code is not subject to frequent change and is available at the State Law Library, 25 Constitution Avenue, Saint Paul, Minnesota 55155.

7500.0320 ARTICLE 1 - SEC. 101.1, CODE TITLE.

Sec. 101.1 of the Uniform Fire Code is amended to read:

101.1 Title. This code may be cited as the Minnesota Uniform Fire Code, and will be referred to in this chapter as "this code."

7500.0500 ARTICLE 1 - SEC. 105, PERMITS.

Subpart 1. Sec. 105.3. Sec. 105.3 of the Uniform Fire Code is amended to read:

* * *

7500.0600 ARTICLE 11 - GENERAL SAFETY PRECAUATIONS

Subpart 1. Sec. 1102. Sections 1102.1, 1102.2, 1102.3, and 1102.5 of the Uniform Fire Code are deleted.

Subp. 2. Sec. 1103.3.3.1. Sec. 1103.3.3.1 of the Uniform Fire Code is amended by adding Exception 5 to read:

* * *

Subp. 3. Sec. 1103.3.3. Sec. 1103.3.3 of the Uniform Fire Code is amended by adding sections to read:

* * *

Subp 4. Sec. 1114. Sec. 1114 of the Uniform Fire Code is deleted and replaced with the following:

SECTION 1114 - GUARDRAILS

* * *

Use as the part headnote the title of the section being amended and the article number, if applicable, and section number being amended.

If the incorporation is in one part and the amendments are in other parts, be sure the incorporation tells where the amendments are.

Keep the style for abbreviation, capitalization, numbers, paragraph structure, punctuation, references and cross-references, symbols (if possible), and types (if possible) exactly as it is in the incorporated document. Do not change the style to conform to the style of Minnesota Rules. You might submit a copy of a few sections of the document so that the revisor's office will have a sample of the document's style.


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