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Regulatory Information

Obtain Agency Rulemaking Documents

Man holding documents The Notice contains important information pertaining to the proposed regulatory action, including a summary (informative digest) of the proposed changes to the California Code of Regulations (CCR). However, the Notice is only one of several required documents associated with each regulatory proposal. Other required and essental rulemaking documents contain additonal information that tell “the rest of the story.”

To effectively review and comment on the proposal, it is necessary to obtain the documents from the agency's Internet website, or request them from an agency contact person. The documents should be obtained as soon as they are available to the public, since the public comment period is only 45 days.

As noted below, some of the key documents must be made available to the public on the proposing agency's website. If you do not have access to the Internet, consider having the agency send the desired documents via fascimile, because the time lost during mailing limits the time you will have to review the regulations and prepare any potential comments.

Contents of the Rulemaking Record

Government Code section (GC section) 11347.3 requires state agencies to maintain a rulemaking record for each regulatory proposal that has been published in the California Regulatory Notice Register. The rulemaking record, also referred to as the rulemaking file, is a public record available for inspection and copying during the public comment period. The record includes all documents related to the regulatory proposal and should include, at a minimum, the following items:

  • Notice of Proposed Action. The Notice provides a general description of the proposal and any impacts (including cost impacts), the 45-day comment deadline, the agency contact persons for questions, and the address to which written comments should be submitted. The Notice can be downloaded from the agency's website or from the online California Regulatory Notice Register.
  • Initial Statement of Reasons (ISOR). The agency must provide the background and justification for the proposed regulation(s) in the ISOR. You may find additional information as follows:

    Alternatives the agency considered when developing the proposal;
    Any determination that the proposal “may have” or “will have” a significant, statewide, adverse impact directly affecting business;
    An assessment of all known cost impacts to businesses or individuals;
    An assessment of whether the proposal would create or eliminate jobs;
    Consideration of performance standards instead of prescriptive standards;
    An assessment of the impact on small business;
    A statement of any difference from federal regulations;v And a determination of impacts on housing costs.
    (Some agencies, such as the Air Resources Board, may provide a staff report as the ISOR. The staff report often includes the proposed regulation text as an appendix to the report.)
  • Proposed Regulation Text. The exact text of the proposed changes, using underline or italic to indicate additions to, and strikeout to indicate deletions from, the CCR.
  • Economic and Fiscal Impact Statement, STD 399 Form (rev. 2-98). Agencies are required to complete a STD. 399 Form to assess economic impact or costs to the private sector, and fiscal impacts or costs to the proposing agency or other governmental agencies. This form can provide important information for evaluating cost impacts.

The rulemaking record must also contain:

  • A transcript, recording or minutes of any public hearing connected with the proposal;
  • Petitions, comments, and other information or data received by the agency regarding the proposal;
  • All data and factual information, including studies and reports, used by the agency to develop its proposal.

The final rulemaking record submitted by the agency to OAL for approval must also contain the final statement of reasons and the summary of and responses to comments.

Rulemaking Documents Available from the Agency's Website

Agencies that have an Internet website (and almost all agencies do) are required to publish the following materials on their website: [GC section 11340.85(c)]

  • The Notice of proposed action,
  • The initial statement of reasons,
  • The exact text of the proposed regulation(s) or instructions on how to obtain a copy of the text,
  • The final statement of reasons, and
  • Notice of a decision not to proceed, if the agency decides to discontinue the proposed action.

A few agencies also post the STD. 399 Form on their website. However, there is currently no statutory requirement for them to do so.