Business Letter Format and Ethics

Professional Style

Business Letter Format and Ethics Administrative Policy WritingSpring 2011

Administrative Policy WritingSpring 2011Part I:Business Letters in Administrative Policy WritingAdministrative Policy WritingSpring 2011OverviewThis week: the basic style and conventions used in administrative policy writing.The business letter is the standard medium for formal written communications to and from governmental bodies.Yes, even in the age of email!Thus, to participate in public policy writing, you must be able to follow business letter conventions.Administrative Policy WritingSpring 2011OverviewWriting a business letter is really pretty simple.But there is more to this kind of communication than is immediately apparent.It is not just about having the parts in the right place.Writing an effective business letter is about conveying a sense of credibility.Unspoken elements that make a reader take you and your letter seriously.Administrative Policy WritingSpring 2011OverviewBusiness letters are used in a variety of public policy contexts:Letter explaining a law or official program to a member of the public.Letter requesting a licensed person or regulated industry to take some action.A notice of violation letter.A letter from one governmental body to another. We will look at examples of some of these at the end of todays presentation.Administrative Policy WritingSpring 2011Business Letter as Formal CommunicationThe business letter is a form: a shell or template for formal correspondence.It is used when something more formal than a quick email is needed:Government alleges that X Corp. violated the law. Or X Corp. denies violating the law.You would not dash this off in a quick email.The elements of professional style we talked about earlier are important in a business letter.Administrative Policy WritingSpring 2011Recap Professional StyleResist the informal conventions of email or texting.Sarcasm, jokesContractionsIncomplete or run-on sentencesAssume that whatever you are writing is public information.Focus on facts rather than opinions or beliefsBe concise.Avoid laying blame for issues, unless you must.Be polite.Proofread!Administrative Policy WritingSpring 2011Parts of a Business LetterSenders addressDateInside addressSubject lineSalutationsBodyClosingSignature blockFinal notationsAdministrative Policy WritingSpring 2011Senders AddressFor both private businesses and governmental bodies, most official correspondence is written under a standard letterhead that includes the senders identity and address.The senders address is not just a matter of form. It has an important persuasive function (especially in the governmental context).Establish authority and ethos of the sender.Making the letter more likely to be read carefully and given serious attention.People generally take letters more seriously than email.If you received a letter from the U.S. Department of Justice, what would you do?

Administrative Policy WritingSpring 2011DateThe date usually appears under the senders address or letterhead.Block style has it left-justified.Modified block has it in centered.Normal practice is to spell out the month:January 2, 2011.What does the date mean? The date should be the date the letter is delivered, not the date it was written.This is very important. Why?

Administrative Policy WritingSpring 2011DateThe date a letter is mailed is often of critical importance, especially in the government.Suppose the letter is a notice of violation sent by OSHA to a company.When that company received notice of the violations documented in the letter may have legal implications later down the road.It may become evidence in a lawsuit brought by the government or some private individual.Administrative Policy WritingSpring 2011DateIt may end up costing that company thousands or even millions of dollars!So always, always make sure the date is correct, and never back-date or otherwise falsify the date.Think of your letter as an exhibit at a trial.You dont have to fret over it. Just make sure it is right.

Administrative Policy WritingSpring 2011Inside AddressThe inside address includes the name, title, and address of the recipient.Often the sender will also note the method of delivery near the inside address.Always use Mr. or Ms., or whatever appropriate title they hold:Dr., Rev., Hon.,Always capitalize their title.Include their complete address.Include the full name of their business organization or other entity. Abbreviation is ok here.Exxon Mobil Corp. (Corporation)Council on Foreign RelationsU.S. Environmental Protection AgencyBP Products North America, Inc. (Corporation)

Administrative Policy WritingSpring 2011

Administrative Policy WritingSpring 2011Subject LineThe subject line is like the RE: in a memo or email.Normal practice is to write Re: or RE: in a business letter as well.Purpose is to orient the reader to the subject. If there is a number associated with the person or entity at issue, that number should appear in the subject line.Make it easier to organize or find later by file number, case number, etc.

The subject of this letter is a pending lawsuitAdministrative Policy WritingSpring 2011

The subject of this letter is a request for an opinion.Administrative Policy WritingSpring 2011SalutationThis part is simple.Dear Ms. Jones:Dear Dr. Snodgrass:Always a colon after the name.

Administrative Policy WritingSpring 2011BodyThe body paragraphs convey the substance of the letter.In general, keep body paragraphs short. No more than a few sentences.It is usually a good idea to begin the letter with enough background information for the reader to understand your subject.Unless the letter is part of an on-going conversation, it is a good idea to assume the reader doesnt know (or at least doesnt immediately remember) what you are talking about.Administrative Policy WritingSpring 2011BodyIf it is a letter written in response to a prior communication, reference that prior communication in the opening paragraph (especially if you want to document that the prior communication happened).Often the subject of a letter from a governmental entity will apply a particular rule or statute to a situation. Clearly show what facts apply to what rules, and state them separately:Rule says X. You did Y. Y violated X because Longer letters should be divided into logical headings and subheadings.Sometimes you will see body paragraphs fully justified; sometimes ragged right.

Administrative Policy WritingSpring 2011ClosingBusiness letters usually close with some kind of invitation to further discussion.If you have further questions, please do not hesitate to call me.

Administrative Policy WritingSpring 2011Signature BlockAlways use SincerelyFollowed with a comma.The senders name goes four spaces below.Usually, the senders title goes below their name.Block format: signature justified left.Modified block: signature centered.

Administrative Policy WritingSpring 2011

Administrative Policy WritingSpring 2011Final NotationsNotes regarding enclosures (i.e., attachments) and copies of the letter appear below the signature block.Encl: or Enclosure:Sometimes writers will provide a description of the enclosure as well:Encl: Permit Application.To indicate that the letter is being sent to additional recipients, use cc:Often the cc will have some indication of the persons title:cc: Tony Hayward, President, BP Products, Inc.Typist initials appear if the letter is typed by someone other than the person who wrote it.

Administrative Policy WritingSpring 2011Examples

Go to: http://www.tbpe.state.tx.us/nm/pa10_responseletter.pdf

Go to: http://www.cdphe.state.co.us/hm/cotter/letterfromcotter/080926resp2NOV.pdf

Administrative Policy WritingSpring 2011Part II:Ethical Issues for State Officers and EmployeesAdministrative Policy WritingSpring 2011IntroductionState employees have unique obligations as stewards of taxpayer resources and in the administration of state law.The public has entrusted state agencies with the responsibility to ensure that taxpayer money is spent properly and that the law is applied impartially.Thus, state employees are subject to ethics laws that are not imposed on employees of private companies.We are only going to talk about three ethical principles.My purpose is for you to be generally aware of these concepts and how they influence administrative policy writing. You do not have to memorize these rules, and you will not be tested on them.

Administrative Policy WritingSpring 2011IntroductionThe Texas Ethics Commission is the state agency responsible for administering the ethics laws that govern state employees and state officials.Website: http://www.ethics.state.tx.us/The commission regulates campaign contributions, investigates government corruption, and issues advisory opinions interpreting the ethics laws.The commission publishes a short document called A Guide to Ethics Laws for State Officers and Employees.We will be using this guide in the project for this week.You are responsible for the Introduction, Part I, Part II, and Part III. (It is only six pages.)

Administrative Policy WritingSpring 2011IntroductionThree concepts we are covering:General Standards of Conduct and Conflict of InterestAcceptance of BenefitsAbuse of Office

Administrative Policy WritingSpring 2011General Standards of Conduct

Administrative Policy WritingSpring 2011General Standards of ConductLook at (1)Accepting benefits (of any kind)That might reasonably tend to influence the employee in the discharge of official duties or that the employee knows or should know is being offered with the intent to influence their decision.But notice the Guide says you should also avoid a benefit that might tend to reasonably influence a decision or even one that you know is offered to influence a decision, even if it doesnt.Notice how it doesnt matter who is offering the benefit.This is about avoiding the appearance of a bribe or conflict of interest even if the person accepting the benefit is not actually agreeing to do anything in return.

Administrative Policy WritingSpring 2011General Standards of ConductLook at (3)Accepting other employment or compensation that could reasonably be expected to impair the employees independence of judgment in the performance of their official duties.Again, an employee should not accept an outside job even if it does not actually impair their judgment.It is not about what the person receiving the benefit is thinking. It is about what a reasonable person would say the person offering the benefit is thinking.That is the key to understanding this rule. Sometimes called the appearance of impropriety.

Administrative Policy WritingSpring 2011Bribery and Acceptance of BenefitsThe second rule is the concept of bribery.Bribery is a crime in Texas.Generally speaking, bribery occurs when a public servant asks for or accepts a benefit in exchange for a decision, opinion, recommendation, or exercise of other official duty.In addition, a public servant cannot accept a gift from a person the public servant knows to be subject to regulation, inspection, or investigation by the public servant or his/her agency. Even if the person giving the gift isnt asking for anything in return.Bottom line: public employees cannot accept any kind of benefit or gift from people or organizations they regulate.

Administrative Policy WritingSpring 2011Acceptance of BenefitsExceptions.Many of the exceptions to the rule on accepting benefits listed in the Guide apply mainly to lobbying activities.Lets look at two that have more general application:

Administrative Policy WritingSpring 2011Acceptance of BenefitsObviously you can still accept birthday presents from your friends. The key is the purpose for which they are given.You can also work in some other capacity while you are a state employee and accept money for that work. But the money you receive must be for the work you actually perform.

Administrative Policy WritingSpring 2011Acceptance of BenefitsSo what does unauthorized acceptance of benefits look like?A police officer pulls over restaurant owner for speeding. After providing his license and proof of insurance, the restaurant owner offers to give the officer a $20 gift card to his restaurant in order to let him go with a warning. The officer accepts the gift card and lets him go.Does this violate the ethics guidelines?

Administrative Policy WritingSpring 2011Acceptance of BenefitsA commissioner of the Texas Dental Board has a friend with a friend who is preparing to take the dentist licensing exam. Out of the blue, the Commissioners friend sends the Commissioner a new digital camera worth $500 with no explanation. The Commissioner accepts the camera thinking to himself that accepting this gift will in no way influence the friends license.Does this violate the rules in the Guide?Do you think it matters if the commissioner knows that the friend-of-a-friend is applying to be a dentist?What could the commissioner ask or document before accepting the gift?

Administrative Policy WritingSpring 2011Abuse of OfficeThe third ethical rule from the Guide we are covering is called abuse of office.This means misuse of government property or information.Misuse simply means using it in a way that it was not intended to be used.Not just stealing taking something belonging to the state for yourself.It would also be misuse to give property or information to someone who is not entitled to it.

Administrative Policy WritingSpring 2011Abuse of OfficeJane works for Travis County as a social worker. She handles cases involving people dealing with substance abuse, and often works long hours. In order to advance her career, Jane is attending school part-time to get a Ph.D. in social work. Working and going to schools has forced Jane to juggle many responsibilities at once. She has to do her reading and homework whenever she has a free moment. Because one of her classes meets right after she gets off work, she does not have time to go home. So Jane typically prints out her assignments and papers at the office printer. A long paper can be up to 50 pages.Is this abuse of office?

Administrative Policy WritingSpring 2011Abuse of OfficeFrank works for the Health Department food handling division. This division conducts sanitation inspections of restaurants and other establishments that prepare food for customers. The department conducts a number of unannounced investigations of restaurants every month. The purpose of the unannounced investigation is to get a snap shot of the actual day-to-day operations of the restaurant when the owners do not expect an investigation. One day Frank was looking at the list of restaurants that were due for an unannounced investigation and spotted his friends coffee shop on the list. His friend had recently opened this coffee shop and was struggling to become established. Frank worried that a negative report from the Health Department could do him in, so he called his friend to alert him that his coffee shop was on the list.Abuse of office?

Administrative Policy WritingSpring 2011SummaryAdministrative policy writing is a unique genre of writing because it is an expression of government power.Thus, it is serious business. Not just for elected officials, but for everyone who writes on behalf of the government.The business letter is the standard medium for conveying more formal communications.When writing a business letter in a public policy context, writers should always think of the additional scrutiny that is applied to their work.Professionalism: they must write presuming that their correspondence is open to the public.Ethics: they must think about the appearance of improper dealings, even if their motives are pure: accepting benefits and abuse of office.

Administrative Policy WritingSpring 2011SummaryQuestions?Comments?