Overview of the Regulatory Process

A “regulation” is any rule, regulation, order or standard of general application or the amendment, supplement, or revision of any rule, regulation, order, or standard adopted by any state agency to implement, interpret, or make specific the law enforced or administered by it. When adopting regulations, every agency, department, board, bureau, or commission in the executive branch of the California state government must follow the rulemaking procedures in the Administrative Procedure Act.

The Administrative Procedures Act requirements are designed to provide the public with a meaningful opportunity to participate in the adoption of regulations or rules that have the force of law by California state agencies. The rulemaking process includes comprehensive public notice and comment requirements. It also requires that documents and information on which the rulemaking action is based are available for review and inspection. Additional information regarding California’s Administrative Procedures Act can be found on the Office of Administrative Law (OAL) website at www.oal.ca.gov/rulemaking_process.

In addition to going through the formal rulemaking process set forth in the Administrative Procedures Act, boards and bureaus within the Department of Consumer Affairs (DCA) must also undergo an internal review process. The development and review of regulations is a collaborative effort, involving Board members and staff; DCA legal staff, budget staff, and executive staff; and staff of the Business, Consumer Services and Housing Agency and Department of Finance. The Department of Consumer Affairs (DCA) has a four-phase process to approve regular regulatory packages.

(1) CONCEPT PHASE: The Concept Phase of the regulatory process covers the development of the regulatory text through the time the text is approved by the Board.

Regulation Development: The first stage of the regulatory process is to develop the regulatory text. Regulations may be required to implement, interpret, or make specific a law; or to address an issue raised by Board members, staff, the Legislature, licensees, or other stakeholders. The Board and/or Board Committee(s) works with Board staff and the Board's Regulatory Counsel to draft the regulatory text. Board staff begin drafting the Initial Statement of Reason (ISOR) before bringing the proposed text to the Board because the ISOR process requires staff to draft the purpose and rationale for each proposed amendment. This often illuminates any unintended consequences of the text and leads to further edits. Board staff work with Regulatory Counsel to present the best version of the text to the Board. The public and stakeholders can provide public comment on the draft text during the Board meeting(s). The Board's Regulatory Counsel may seek second-level review of the proposed regulatory text to ensure that the text is clear, concise, and non-repetitive.

(2) PRODUCTION PHASE: The Production Phase of the regulatory process begins once the regulatory text is approved by the Board and involves the drafting of the regulatory package documents and securing DCA and Agency approvals.

Preparing Regulatory Package: In this stage, Board staff work on preparing the required regulatory documents required for public notice including the Notice of Proposed Regulatory Action, Initial Statement of Reasons, and the Economic and Fiscal Impact Statement or Form 399. Board staff review Board meeting materials, webcasts, and meeting minutes to assist in the development of these documents which must justify why the regulatory changes are necessary. Board staff may work closely with DCA Budget Office to develop the Form 399.

Legal and Budget Initial Review: In this stage, the Board's Regulatory Counsel and DCA's Budget Office reviews the regulatory documents. Board staff may meet with the Board's Regulatory Counsel and/or DCA Budget Office to provide additional information in relation to the proposed regulation. Changes to the regulatory documents may be requested by the Board's Regulatory Counsel and/or DCA Budget Office which Board staff incorporates into the documents. At this stage, the Board's Regulatory Counsel approves the regulatory package and DCA's Budget Office signs off on the Form 399.

Director and Agency Initial Review: Upon approval by the Board's Regulatory Counsel and DCA Budget Office, the entire regulatory package is submitted to DCA's Regulations Coordinator, who then prepares the package for the DCA Director (Director) and the Business, Consumer Services and Housing Agency's (Agency) review and approval. Changes to the proposed regulatory text and/or regulatory documents may be requested by the Director or Agency. Board staff work with the Board's Regulatory Counsel to incorporate those changes. Board approval of the proposed regulatory text may be required if substantive changes are made to the text.

(3) INITIAL PHASE: The Initial Phase covers starts with submission of the package to the Office of Administrative Law (OAL) and covers the public comment period.

OAL Public Comment Period: Upon approval by Agency, the regulatory proposal is submitted to the OAL to be published in the California Regulatory Notice Register. This commences the initial phase of the formal rulemaking process. OAL publishes the Notice Register every Friday, and the publication date starts the formal 45-day public comment period as well as the one-year deadline to submit the completed rulemaking file to OAL.

Review and Respond to Comments: If comments are received during the comment period, Board staff reviews the comments and prepares written responses to Board review and approval. The Board must respond in writing to every comment with objection or recommendation received on time during the public comment period(s). Board staff work with the Board's Regulatory Counsel to propose responses to public comments to the Board, which the Board reviews and approves at a Board meeting. If the Board makes substantive changes to the regulatory text in response to the comments, or adds new underlying documents, the updated regulatory text and/or new underlying documents must be made available to the public for an additional 15-day public comment period. Any public comment with objection or recommendation received during a 15-day public comment period requires a response from the Board, which the Board reviews and approves at a Board meeting.

(4) FINAL PHASE: The Final Phase covers approval of the final rulemaking package and final submission to OAL.

Finalizing Regulatory Package: In this stage, the Board approves an Order of Adoption for the rulemaking. Board staff then prepares the required regulatory documents for OAL review, including the Final Statement of Reasons which outlines any changes made to the regulatory text and required regulatory documents.

Legal and Budget Final Review: In this stage, Board staff submits the entire regulatory package to the Board's Regulatory Counsel and, if necessary, DCA Budget Office for final review. Changes to the regulatory documents may be requested by the Board's Regulatory Counsel and/or DCA Budget Office which Board staff incorporates into the documents. At this stage, the Board's Regulatory Counsel approves the package. If there is a fiscal impact, DCA Budget Office works with the Department of Finance to obtain approval of the Form 399.

Director and Agency Final Review: Upon approval by the Board's Regulatory Counsel and, if necessary, DCA Budget Office, the entire regulatory package is submitted to DCA's Regulations Coordinator, who then prepares the package for the Director and Agency review and approval (if no comments were received during comment period, no Agency review required at this stage). Changes to the regulatory documents may be requested by the Director or Agency. Board staff work with the Board's Regulatory Counsel to incorporate those changes. Agency review may not be required if there are no comments with objections or recommendations, or there are no substantial modifications to either the text or the Form 399.

Submission to OAL for Review: Upon approval by Agency, the completed rulemaking package is submitted to OAL. OAL has 30 working days to approve or deny the regulatory proposal. During this stage, Board staff and Regulation Counsel work with the OAL Attorney to address any concerns with the regulatory documents or the regulatory text. Board staff work with the Board's Regulatory Counsel to incorporate those changes.

OAL Decision: Unless the Board requested an early effective date, upon approval by OAL, regulations become effective on one of four quarterly dates (January 1, April 1, July 1, or October 1) based on when OAL files the final regulations with the Secretary of State (SOS). Following approval by OAL, Board staff will work internally to implement the new regulations.

Additional Resources

How can I get involved in the regulatory process?

The Board’s current proposed regulations can be found at www.speechandhearing.ca.gov/board_activity/lawsregs/proposed_regulations.

You can receive updates on regulatory changes and opportunities for public participation by subscribing to the Board's Legislation/Regulation Changes e–mail notification list at www.speechandhearing.ca.gov/webapplications/apps/subscribe.

How can I track proposed regulations?

The Board provides an update on the status of each proposed regulation at Board meetings. For future meeting dates, visit https://www.speechandhearing.ca.gov/board_activity/meetings/index.shtml

Following each Board meeting, the status of each proposed regulation is published on the Board’s website at https://www.speechandhearing.ca.gov/board_activity/lawsregs/current_regulatory_updates.shtml

What happens to my comment once I submit it?

All comments submitted on proposed regulations become public record and are included in Board meeting materials and the completed rulemaking file submitted to OAL.

Board staff review all public comments and work with DCA Regulations Counsel to develop proposed responses to the public comments, which must be approved by the Board. For future meeting dates, visit https://www.speechandhearing.ca.gov/board_activity/meetings/index.shtml

If the Board determines that modification to the proposed regulatory text is necessary to address any objection or recommendation made during a public comment period, the public will be notified of those changes and given an opportunity to respond to those changes.

When will the regulation go into effect?

The Board has one year after the publication in the California Regulatory Notice Register to complete the regulatory process. If the proposed changes do not specify a different date, regulations become effective on one of four quarterly dates based on when the regulations are filed with the Secretary of State:

• January 1, if filed between September 1 and November 30;
• April 1, if filed between December 1 and February 29;
• July 1, if filed between March 1 and May 31; and
• October 1, if filed between June 1 and August 31.

How can I learn more about the regulatory process?

Please visit the Office of Administrative Law’s frequently asked questions page on the regular rulemaking process at www.oal.ca.gov/rulemaking_participation.

The Office of Administrative Law also provides free information sessions for members of the public on the rulemaking process. Please visit https://oal.ca.gov/training/.