TITLE 3. ALCOHOLIC BEVERAGES
ALCOHOLIC BEVERAGE CONTROL BOARD
Final Regulation
REGISTRAR'S NOTICE: The following model public participation guidelines are exempt from Article 2 (§ 2.2-4006 et seq.) of Chapter 40 of Title 2.2 of the Code of Virginia pursuant to Chapter 321 of the 2008 Acts of Assembly.
Titles of Regulations:
3VAC5-10. Procedural Rules for the Conduct of Hearings Before the Board and Its
Hearing Officers and the Adoption or Amendment of Regulations (repealing
3VAC5-10-480).
3VAC5-11. Public Participation Guidelines (adding 3VAC5-11-10 through 3VAC5-11-110).
Statutory Authority: §§ 2.2-4007.02, 4.1-103 and 4.1-111 of the Code of Virginia.
Effective Date: December 24, 2008.
Agency Contact: W. Curtis Coleburn III, Chief Operating Officer, Department of Alcoholic Beverage Control, 2901 Hermitage Rd., Richmond, VA 23220, telephone (804) 213-4409, FAX (804) 213-4411, TTY (804) 213-4687, or email curtis.coleburn@abc.virginia.gov.
Summary:
The regulations comply with the legislative mandate (Chapter 321, 2008 Acts of Assembly) that agencies adopt model public participation guidelines issued by the Department of Planning and Budget by December 1, 2008. Public participation guidelines exist to promote public involvement in the development, amendment, or repeal of an agency's regulations.
This regulatory action repeals the current public participation guidelines and promulgates new public participation guidelines as required by Chapter 321 of the 2008 Acts of Assembly. Highlights of the public participation guidelines include (i) providing for the establishment and maintenance of notification lists of interested persons and specifying the information to be sent to such persons; (ii) providing for public comments on regulatory actions; (iii) establishing the time period during which public comments shall be accepted; (iv) providing that the plan to hold a public meeting shall be indicated in any notice of intended regulatory action; (v) providing for the appointment, when necessary, of regulatory advisory panels to provide professional specialization or technical assistance and negotiated rulemaking panels if a regulatory action is expected to be controversial; and (vi) providing for the periodic review of regulations.
Part V
Public Participation Guidelines for Adoption or Amendment of Regulations
3VAC5-10-480. Public participation guidelines in regulation
development; applicability; initiation of rulemaking; rulemaking procedures.
(Repealed.)
A. Applicability. These guidelines shall apply to all
regulations subject to the Administrative Process Act that are administered by
the Department of Alcoholic Beverage Control, except as provided in subsection
G of this section.
B. Initiation of rulemaking (Step 1). The board shall
publish notice of the commencement or initiation of any rulemaking process.
Rulemaking procedures may be initiated at any time by the board. At the
commencement of any rulemaking process, the board may invite proposals for
regulations or regulation changes from any interested person or may limit the
process to selected proposals. All initial proposals to be considered shall be
in the form of a written petition for the adoption, amendment or repeal of any
regulation. Petitions shall be filed with the board within any time limitation
as may be specified by the board. A petition may be submitted at any time, by
any person, but it shall be at the board's discretion to initiate rulemaking
procedures as a result of such petition or petitions. All petitions shall be
considered and responded to within 180 days. Each petition shall contain the
following information, if available:
1. Name of petitioner;
2. Petitioner's mailing address and telephone number;
3. General description of proposal, with recommendations
for adoption, amendment or repeal of specific regulation(s);
4. Why is change needed? What problem is it meant to
address?;
5. What is the anticipated effect of not making the
change?;
6. Estimated costs or savings, or both, to regulated
entities, the public, or others incurred by this change as compared to current
regulations;
7. Who is affected by recommended change? How affected?;
8. Draft language; and
9. Supporting documents.
C. Notices—in general.
1. Mailing list. The secretary to the board shall prepare a
general mailing list of those persons and organizations who have demonstrated
an interest in specific regulations in the past through the filing of
petitions, written comments or attendance at public hearings. The mailing list
will be updated at least every two years, and a current copy will be on file in
the office of the secretary to the board. Periodically, but not less than every
two years, the board shall publish in the Virginia Register, in a newspaper
published and of general circulation in the City of Richmond, and in such other
newspapers in the Commonwealth as the board may determine, a request that any
individual or organization interested in participating in the development of
specific rules and regulations so notify the board. Any persons or
organizations identified in this process will be placed on the general mailing
list. Persons interested in the board's regulations may also register to
receive notices through the Virginia Regulatory Town Hall.
2. Notice to listed persons. Each person on the general
mailing list shall be sent, by U.S. mail or electronic mail using the agency
mailing list feature of the Virginia Regulatory Town Hall, a copy of all
notices pertaining to rulemaking for the board as are published in the Virginia
Register. In lieu of such copy, the board may notify those on the mailing list
of the publication of the notice and, if lengthy, offer to forward a copy upon
payment of reasonable costs for copying and mailing.
D. Initial requirement for public comment; participation
in regulation development; ad hoc panels; public meetings (Step 2).
1. Notice of Intended Regulatory Action. The board shall
solicit comments, data, views and argument from the public as to each
regulation proposal and shall encourage participation of interested persons in
the development of regulations and draft language. As to each petition or
proposal, the board shall publish a Notice of Intended Regulatory Action. The
notice shall specify the date, time and place of any public meeting to consider
the proposals, either with or without an ad hoc advisory panel, or with or
without consultation with groups and individuals who have expressed an interest
in participating in the development of specific rules and regulations and shall
contain the following information:
a. Subject of the proposed action;
b. Identification of the entities that will be affected;
c. Discussion of the purpose of the proposed action and the
issues involved;
d. Listing of applicable laws or regulations;
e. Name of individual, group or entity proposing
regulation;
f. Request for comments, data, views or argument from
interested parties, either orally or in writing, to the board or its specially
designated subordinate;
g. Notification of date, time and place of any scheduled
public meeting on the proposal; and
h. Name, address and telephone number of staff person to be
contacted for further information.
2. The board shall disseminate the Notice of Intended
Regulatory Action to the public via:
a. Publication in The Virginia Register of Regulations;
b. Distribution by mail or electronic mail to persons on
the general mailing list pursuant to subsection C of this section;
c. Press release to media throughout the Commonwealth if a
public meeting is scheduled; and
d. Posting on the Virginia Regulatory Town Hall.
3. The board may form an ad hoc advisory panel or consult
with groups and individuals who have expressed an interest in participating in
the development of specific rules and regulations to consider regulation
proposals, to make recommendations, assist in development of draft language,
and provide such advice as the board may request. The board may request the
panel or interested groups and individuals to participate in a meeting to develop
or consider regulation proposals.
The board's use of ad hoc advisory panels or consultation
with interested groups and individuals shall be based on, but not limited to,
the following criteria: The proposed regulation's:
a. Complexity;
b. Controversy;
c. Degree of substantive change;
d. Impact on the board, its licensees, and the public; or
e. Enactment required by state or federal mandate.
4. The board may conduct a regulation development public meeting
to receive views and comments and answer questions of the public.
E. Notice of public hearing and publication of proposals
pursuant to § 2.2-4007 of the Virginia Administrative Process Act (Step 3).
1. The board shall consider the comments, recommendations,
reports and other input from the public, industry and other interested persons
received during the initial steps of public participation in the regulation
development process, including comments, views, data and argument received
during any public meeting, before publishing a final proposed draft regulation
and initiating the proceedings required by the Administrative Process Act.
2. The board shall comply with the notice, publication and
other requirements of § 2.2-4007 of the Code of Virginia, and final proposed
drafts to adopt, amend or repeal regulations, together with any other required
statements, shall be published in the Virginia Register, in a newspaper
published and of general circulation in the City of Richmond, in such other
newspapers in the Commonwealth as the board may determine, and on the Virginia
Regulatory Town Hall. In addition, the board shall comply with the provisions
of subdivision C 2 of this section. Such notice shall solicit comments, views,
data and argument from the public and shall specify the date, time and place of
any scheduled public hearing to consider adoption of such regulation proposals.
F. Public hearing (Step 4). The board shall conduct a
public hearing to consider adoption of all proposed regulations. At such
hearing, the board may receive and consider such additional written and verbal
comment as it deems appropriate prior to any final vote.
G. Notwithstanding the foregoing provisions, the board may
elect to dispense with any required public participation or other required
procedure to the extent authorized by the Virginia Administrative Process Act
(§ 2.2-4000 et seq. of the Code of Virginia).
CHAPTER 11
PUBLIC PARTICIPATION GUIDELINES
Part I
Purpose and Definitions
3VAC5-11-10. Purpose.
The purpose of this chapter is to promote public involvement in the development, amendment or repeal of the regulations of the Alcoholic Beverage Control Board. This chapter does not apply to regulations, guidelines, or other documents exempted or excluded from the provisions of the Administrative Process Act (§ 2.2-4000 et seq. of the Code of Virginia).
3VAC5-11-20. Definitions.
The following words and terms when used in this chapter shall have the following meanings unless the context clearly indicates otherwise:
"Administrative Process Act" means Chapter 40 (§ 2.2-4000 et seq.) of Title 2.2 of the Code of Virginia.
"Agency" means the Alcoholic Beverage Control Board, which is the unit of state government empowered by the agency's basic law to make regulations or decide cases. Actions specified in this chapter may be fulfilled by state employees as delegated by the agency.
"Basic law" means provisions in the Code of Virginia that delineate the basic authority and responsibilities of an agency.
"Commonwealth Calendar" means the electronic calendar for official government meetings open to the public as required by § 2.2-3707 C of the Freedom of Information Act.
''Negotiated rulemaking panel'' or ''NRP'' means an ad hoc advisory panel of interested parties established by an agency to consider issues that are controversial with the assistance of a facilitator or mediator, for the purpose of reaching a consensus in the development of a proposed regulatory action.
"Notification list" means a list used to notify persons pursuant to this chapter. Such a list may include an electronic list maintained through the Virginia Regulatory Town Hall or other list maintained by the agency.
"Open meeting" means any scheduled gathering of a unit of state government empowered by an agency's basic law to make regulations or decide cases, which is related to promulgating, amending or repealing a regulation.
"Person" means any individual, corporation, partnership, association, cooperative, limited liability company, trust, joint venture, government, political subdivision, or any other legal or commercial entity and any successor, representative, agent, agency, or instrumentality thereof.
"Public hearing" means a scheduled time at which members or staff of the agency will meet for the purpose of receiving public comment on a regulatory action.
"Regulation" means any statement of general application having the force of law, affecting the rights or conduct of any person, adopted by the agency in accordance with the authority conferred on it by applicable laws.
"Regulatory action" means the promulgation, amendment, or repeal of a regulation by the agency.
"Regulatory advisory panel" or "RAP" means a standing or ad hoc advisory panel of interested parties established by the agency for the purpose of assisting in regulatory actions.
"Town Hall" means the Virginia Regulatory Town Hall, the website operated by the Virginia Department of Planning and Budget at www.townhall.virginia.gov, which has online public comment forums and displays information about regulatory meetings and regulatory actions under consideration in Virginia and sends this information to registered public users.
"Virginia Register" means the Virginia Register of Regulations, the publication that provides official legal notice of new, amended and repealed regulations of state agencies, which is published under the provisions of Article 6 (§ 2.2-4031 et seq.) of the Administrative Process Act.
Part II
Notification of Interested Persons
3VAC5-11-30. Notification list.
A. The agency shall maintain a list of persons who have requested to be notified of regulatory actions being pursued by the agency.
B. Any person may request to be placed on a notification list by registering as a public user on the Town Hall or by making a request to the agency. Any person who requests to be placed on a notification list shall elect to be notified either by electronic means or through a postal carrier.
C. The agency may maintain additional lists for persons who have requested to be informed of specific regulatory issues, proposals, or actions.
D. When electronic mail is returned as undeliverable on multiple occasions at least 24 hours apart, that person may be deleted from the list. A single undeliverable message is insufficient cause to delete the person from the list.
E. When mail delivered by a postal carrier is returned as undeliverable on multiple occasions, that person may be deleted from the list.
F. The agency may periodically request those persons on the notification list to indicate their desire to either continue to be notified electronically, receive documents through a postal carrier, or be deleted from the list.
3VAC5-11-40. Information to be sent to persons on the notification list.
A. To persons electing to receive electronic notification or notification through a postal carrier as described in 3VAC5-11-30, the agency shall send the following information:
1. A notice of intended regulatory action (NOIRA).
2. A notice of the comment period on a proposed, a reproposed, or a fast-track regulation and hyperlinks to, or instructions on how to obtain, a copy of the regulation and any supporting documents.
3. A notice soliciting comment on a final regulation when the regulatory process has been extended pursuant to § 2.2-4007.06 or 2.2-4013 C of the Code of Virginia.
B. The failure of any person to receive any notice or copies of any documents shall not affect the validity of any regulation or regulatory action.
Part III
Public Participation Procedures
3VAC5-11-50. Public comment.
A. In considering any nonemergency, nonexempt regulatory action, the agency shall afford interested persons an opportunity to submit data, views, and arguments, either orally or in writing, to the agency. Such opportunity to comment shall include an online public comment forum on the Town Hall.
1. To any requesting person, the agency shall provide copies of the statement of basis, purpose, substance, and issues; the economic impact analysis of the proposed or fast-track regulatory action; and the agency's response to public comments received.
2. The agency may begin crafting a regulatory action prior to or during any opportunities it provides to the public to submit comments.
B. The agency shall accept public comments in writing after the publication of a regulatory action in the Virginia Register as follows:
1. For a minimum of 30 calendar days following the publication of the notice of intended regulatory action (NOIRA).
2. For a minimum of 60 calendar days following the publication of a proposed regulation.
3. For a minimum of 30 calendar days following the publication of a reproposed regulation.
4. For a minimum of 30 calendar days following the publication of a final adopted regulation.
5. For a minimum of 30 calendar days following the publication of a fast-track regulation.
6. For a minimum of 21 calendar days following the publication of a notice of periodic review.
7. Not later than 21 calendar days following the publication of a petition for rulemaking.
C. The agency may determine if any of the comment periods listed in subsection B of this section shall be extended.
D. If the Governor finds that one or more changes with substantial impact have been made to a proposed regulation, he may require the agency to provide an additional 30 calendar days to solicit additional public comment on the changes in accordance with § 2.2-4013 C of the Code of Virginia.
E. The agency shall send a draft of the agency's summary description of public comment to all public commenters on the proposed regulation at least five days before final adoption of the regulation pursuant to § 2.2-4012 E of the Code of Virginia.
3VAC5-11-60. Petition for rulemaking.
A. As provided in § 2.2-4007 of the Code of Virginia, any person may petition the agency to consider a regulatory action.
B. A petition shall include but is not limited to the following information:
1. The petitioner's name and contact information;
2. The substance and purpose of the rulemaking that is requested, including reference to any applicable Virginia Administrative Code sections; and
3. Reference to the legal authority of the agency to take the action requested.
C. The agency shall receive, consider and respond to a petition pursuant to § 2.2-4007 and shall have the sole authority to dispose of the petition.
D. The petition shall be posted on the Town Hall and published in the Virginia Register.
E. Nothing in this chapter shall prohibit the agency from receiving information or from proceeding on its own motion for rulemaking.
3VAC5-11-70. Appointment of regulatory advisory panel.
A. The agency may appoint a regulatory advisory panel (RAP) to provide professional specialization or technical assistance when the agency determines that such expertise is necessary to address a specific regulatory issue or action or when individuals indicate an interest in working with the agency on a specific regulatory issue or action.
B. Any person may request the appointment of a RAP and request to participate in its activities. The agency shall determine when a RAP shall be appointed and the composition of the RAP.
C. A RAP may be dissolved by the agency if:
1. The proposed text of the regulation is posted on the Town Hall, published in the Virginia Register, or such other time as the agency determines is appropriate; or
2. The agency determines that the regulatory action is either exempt or excluded from the requirements of the Administrative Process Act.
3VAC5-11-80. Appointment of negotiated rulemaking panel.
A. The agency may appoint a negotiated rulemaking panel (NRP) if a regulatory action is expected to be controversial.
B. An NRP that has been appointed by the agency may be dissolved by the agency when:
1. There is no longer controversy associated with the development of the regulation;
2. The agency determines that the regulatory action is either exempt or excluded from the requirements of the Administrative Process Act; or
3. The agency determines that resolution of a controversy is unlikely.
3VAC5-11-90. Meetings.
Notice of any open meeting, including meetings of a RAP or NRP, shall be posted on the Virginia Regulatory Town Hall and Commonwealth Calendar at least seven working days prior to the date of the meeting. The exception to this requirement is any meeting held in accordance with § 2.2-3707 D of the Code of Virginia allowing for contemporaneous notice to be provided to participants and the public.
3VAC5-11-100. Public hearings on regulations.
A. The agency shall indicate in its notice of intended regulatory action whether it plans to hold a public hearing following the publication of the proposed stage of the regulatory action.
B. The agency may conduct one or more public hearings during the comment period following the publication of a proposed regulatory action.
C. An agency is required to hold a public hearing following the publication of the proposed regulatory action when:
1. The agency's basic law requires the agency to hold a public hearing;
2. The Governor directs the agency to hold a public hearing; or
3. The agency receives requests for a public hearing from at least 25 persons during the public comment period following the publication of the notice of intended regulatory action.
D. Notice of any public hearing shall be posted on the Town Hall and Commonwealth Calendar at least seven working days prior to the date of the hearing. The agency shall also notify those persons who requested a hearing under subdivision C 3 of this section.
3VAC5-11-110. Periodic review of regulations.
A. The agency shall conduct a periodic review of its regulations consistent with:
1. An executive order issued by the Governor pursuant to § 2.2-4017 of the Administrative Process Act to receive comment on all existing regulations as to their effectiveness, efficiency, necessity, clarity, and cost of compliance; and
2. The requirements in § 2.2-4007.1 of the Administrative Process Act regarding regulatory flexibility for small businesses.
B. A periodic review may be conducted separately or in conjunction with other regulatory actions.
C. Notice of a periodic review shall be posted on the Town Hall and published in the Virginia Register.
VA.R. Doc. No. R09-1425; Filed October 24, 2008, 9:43 a.m.