Agency Rulemaking Petition - Connecticut

AGENCY RULEMAKING PETITION — CONNECTICUT

Connecticut Uniform Administrative Procedure Act (UAPA)

Conn. Gen. Stat. § 4-174

PART ONE: COVER LETTER

[__/__/____]

[________________________________]
[Agency Name]
[________________________________]
[Agency Street Address]
[________________________________]
[City, State, ZIP Code]

Re: Petition for Rulemaking Under Conn. Gen. Stat. § 4-174
Subject: Request to [Adopt / Amend / Repeal] Regulation(s) Concerning [________________________________]

Dear [________________________________] [Agency Head / Commissioner / Secretary]:

Enclosed please find the formal Petition for Rulemaking submitted pursuant to Connecticut General Statutes § 4-174, requesting that [________________________________] [Agency Name] initiate regulation-making proceedings to [adopt / amend / repeal] regulations pertaining to [________________________________] [subject matter].

The undersigned petitioner(s) have a specific, legally protectable interest in the subject matter of this petition as described herein. We respectfully request that the agency act upon this petition within thirty (30) days as required by statute, either by initiating regulation-making proceedings or issuing a written denial stating the reasons therefor.

This petition includes the following:

☐ Formal Petition for Rulemaking
☐ Statement of Petitioner's Interest and Standing
☐ Proposed Regulatory Text
☐ Statement of Need and Basis
☐ Legal Authority Analysis
☐ Impact Analysis
☐ Supporting Evidence and Exhibits

Please acknowledge receipt of this petition and advise the undersigned of the docket number or reference assigned. I am available to discuss this petition at your convenience.

Respectfully submitted,

[________________________________]
[Petitioner Name]
[________________________________]
[Title / Position]
[________________________________]
[Organization / Entity]
[________________________________]
[Street Address]
[________________________________]
[City, State, ZIP Code]
[________________________________]
[Telephone]
[________________________________]
[Email Address]

PART TWO: FORMAL PETITION FOR RULEMAKING

BEFORE THE [________________________________] [AGENCY NAME]

PETITION FOR [ADOPTION / AMENDMENT / REPEAL] OF REGULATION

Petition Filed Pursuant to Conn. Gen. Stat. § 4-174

I. PETITIONER INFORMATION

Petitioner Name: [________________________________]

Organization / Entity: [________________________________]

Mailing Address: [________________________________]

City, State, ZIP: [________________________________]

Telephone: [________________________________]

Email: [________________________________]

Attorney (if represented): [________________________________]

Attorney Bar Number: [________________________________]

II. STANDING AND INTEREST OF PETITIONER

Under Conn. Gen. Stat. § 4-174, any interested person may petition an agency requesting the promulgation, amendment, or repeal of a regulation. The petitioner must demonstrate a specific, legally protectable interest that would be, or potentially could be, affected by the regulation sought.

Nature of Petitioner's Interest:

[________________________________]
[________________________________]
[________________________________]

How Petitioner Is Affected by the Existing Regulation or Absence of Regulation:

[________________________________]
[________________________________]
[________________________________]

Petitioner's Standing Category:

☐ Regulated entity subject to the agency's jurisdiction
☐ Individual directly affected by agency regulations
☐ Business or organization affected by agency regulations
☐ Trade association or professional organization representing affected parties
☐ Advocacy organization with legal interest in the subject matter
☐ Local government or municipal entity
☐ Other interested person (specify): [________________________________]

III. RELIEF REQUESTED

Petitioner respectfully requests that [________________________________] [Agency Name] initiate regulation-making proceedings to:

☐ Adopt a new regulation concerning [________________________________]
☐ Amend existing regulation(s): [________________________________] [Regulation Citation(s)]
☐ Repeal existing regulation(s): [________________________________] [Regulation Citation(s)]

Brief Summary of Requested Action:

[________________________________]
[________________________________]
[________________________________]

IV. STATEMENT OF NEED AND BASIS

A. Problem Description

[________________________________]
[________________________________]
[________________________________]
[________________________________]

B. Current Regulatory Framework

[________________________________]
[________________________________]
[________________________________]

C. Deficiencies in Current Regulation

[________________________________]
[________________________________]
[________________________________]

D. How the Proposed Regulation Addresses the Problem

[________________________________]
[________________________________]
[________________________________]

E. Benefits of the Proposed Action

[________________________________]
[________________________________]
[________________________________]

V. PROPOSED REGULATORY TEXT

Current Regulation (if amending or repealing):

[________________________________]
[Insert current regulatory text, if applicable]

Proposed New or Amended Text:

[________________________________]
[Insert proposed regulatory language]
[Use strikethrough for deletions and underline/bold for additions if amending]

Alternative Language (if any):

[________________________________]

VI. LEGAL AUTHORITY ANALYSIS

A. Agency's Statutory Authority to Adopt the Proposed Regulation

B. Consistency with Connecticut Constitution and General Statutes

[________________________________]
[________________________________]
[________________________________]

C. Consistency with Existing Regulations

[________________________________]
[________________________________]

D. Federal Preemption Analysis (if applicable)

[________________________________]
[________________________________]

E. Interaction with Other State Agency Regulations

[________________________________]
[________________________________]

VII. IMPACT ANALYSIS

A. Economic Impact

Affected Parties and Estimated Costs:

B. Small Business Impact Analysis

Under Conn. Gen. Stat. § 4-168(f), agencies must prepare a regulatory flexibility analysis for proposed regulations that may have an adverse impact on small businesses. Petitioner provides the following assessment:

☐ The proposed regulation will not have an adverse impact on small businesses
☐ The proposed regulation may impact small businesses as follows:
[________________________________]
[________________________________]

C. Environmental Impact

[________________________________]
[________________________________]

D. Public Health and Safety Impact

[________________________________]
[________________________________]

E. Administrative Impact on the Agency

[________________________________]
[________________________________]

VIII. PUBLIC INTEREST ARGUMENTS

1. [________________________________]
2. [________________________________]
3. [________________________________]
4. [________________________________]
5. [________________________________]

IX. SUPPORTING EVIDENCE AND EXHIBITS

X. PETITIONER'S REQUEST FOR RELIEF

Petitioner respectfully requests that [________________________________] [Agency Name]:

1. Acknowledge receipt of this petition and assign a docket or reference number;

2. Within thirty (30) days after receiving this petition, as required by Conn. Gen. Stat. § 4-174, either:
   (a) Initiate regulation-making proceedings in accordance with Conn. Gen. Stat. § 4-168; or
   (b) Deny the petition in writing, stating the reasons for denial;

3. If regulation-making proceedings are initiated, follow the notice and comment procedures required under Conn. Gen. Stat. §§ 4-168 and 4-169;

4. Provide the petitioner with copies of all notices, decisions, and communications related to this petition;

5. Schedule a public hearing at which petitioner may present testimony in support of the proposed regulation.

XI. VERIFICATION AND SIGNATURE

I, [________________________________], hereby verify that the statements contained in this petition are true and correct to the best of my knowledge and belief. I further certify that I have a specific, legally protectable interest in the subject matter of this petition.

Signature: ___________________________

Printed Name: [________________________________]

Title: [________________________________]

Date: [__/__/____]

PART THREE: FILING INSTRUCTIONS

Connecticut-Specific Procedural Requirements

A. Who May Petition

Under Conn. Gen. Stat. § 4-174, any interested person may petition an agency requesting the promulgation, amendment, or repeal of a regulation. Note that "interested person" has been construed to require a specific, legally protectable interest that would be, or potentially could be, affected by the regulation sought.

B. Petition Form and Procedure

Each agency shall prescribe by regulation the form for petitions and the procedure for their submission, consideration, and disposition. Before filing:

☐ Check the agency's specific regulations for prescribed petition forms
☐ Review agency website for electronic filing options
☐ Confirm the agency's preferred delivery method (mail, hand delivery, electronic)
☐ Obtain any required agency-specific forms

C. Where to File

File the petition with the agency that has jurisdiction over the subject matter:

☐ Mail or deliver to the agency's main office address
☐ Address to the agency head, commissioner, or designated regulation officer
☐ If available, use the agency's electronic filing system
☐ Retain proof of filing (certified mail receipt, electronic confirmation, date stamp)

D. Number of Copies

☐ Consult agency regulations for the required number of copies
☐ Retain at least one complete copy for your records
☐ Prepare additional copies for interested parties

E. Service Requirements

☐ Serve the petition upon the agency as required
☐ Consider providing courtesy copies to the Legislative Regulation Review Committee
☐ Notify known interested parties of the filing

PART FOUR: AGENCY RESPONSE REQUIREMENTS

Timeline Under Conn. Gen. Stat. § 4-174

Within thirty (30) days after receiving the petition, the agency must either:

1. Initiate regulation-making proceedings in accordance with Conn. Gen. Stat. § 4-168, which requires:
   - Publication of notice in the Connecticut Law Journal
   - At least 30 days for public comment
   - Preparation of a fiscal note
   - Preparation of a regulatory flexibility analysis (if small businesses affected)
   - Submission to the Legislative Regulation Review Committee under § 4-170

2. Deny the petition in writing, stating the reasons for the denial

If the Agency Initiates Rulemaking

The agency must follow the full Connecticut rulemaking process:

☐ Publish notice in the Connecticut Law Journal (Conn. Gen. Stat. § 4-168)
☐ Provide at least 30 days for written public comment
☐ Hold a public hearing if required or requested
☐ Prepare a regulatory flexibility analysis (§ 4-169)
☐ Submit the proposed regulation to the Attorney General for approval
☐ Submit the proposed regulation to the Legislative Regulation Review Committee (§ 4-170)
☐ The Committee has 65 days to act; if no action, the regulation is deemed approved
☐ File the certified regulation with the Secretary of the State

If the Agency Denies the Petition

The denial must:

• Be in writing
• State the reasons for denial
• Be issued within 30 days of receipt of the petition

PART FIVE: APPEAL OF DENIAL

Challenging an Agency Denial

If the agency denies the petition or fails to act within the 30-day statutory period, petitioner may consider the following remedies:

A. Declaratory Judgment (Conn. Gen. Stat. § 4-175)

A person may seek a declaratory judgment in Superior Court to determine the validity or applicability of a regulation, or the applicability of a statute to the extent it relates to agency action.

B. Judicial Review (Conn. Gen. Stat. § 4-183)

A person aggrieved by a final decision of an agency may appeal to the Superior Court. The petition must be filed within 45 days after the agency mails the final decision.

Standard of Review:

• The court shall not substitute its judgment for that of the agency as to the weight of the evidence on questions of fact
• The court may reverse or modify the decision if substantial rights of the person have been prejudiced because the administrative findings, inferences, conclusions, or decisions are:
• In violation of constitutional or statutory provisions
• In excess of the statutory authority of the agency
• Made upon unlawful procedure
• Affected by other error of law
• Clearly erroneous in view of the reliable, probative, and substantial evidence on the whole record
• Arbitrary or capricious or characterized by abuse of discretion

C. Legislative Remedy

Petitioner may also seek legislative intervention by contacting:

• Members of the General Assembly representing the petitioner's district
• Relevant legislative committees with jurisdiction over the subject matter
• The Legislative Regulation Review Committee

PART SIX: DOCUMENT CHECKLIST

Before Filing — Confirm Completion of All Items

☐ Reviewed agency-specific regulations for petition form and procedure requirements
☐ Completed all sections of the petition with accurate information
☐ Drafted proposed regulatory text in proper format
☐ Included statement of petitioner's standing and interest
☐ Provided legal authority analysis with accurate statutory citations
☐ Prepared impact analysis including small business assessment
☐ Gathered and attached all supporting exhibits
☐ Proofread the petition for accuracy and completeness
☐ Obtained attorney review (recommended)
☐ Prepared the required number of copies
☐ Arranged for proper filing and proof of delivery
☐ Calendared the 30-day deadline for agency response
☐ Retained a complete copy of the petition and all exhibits for records
☐ Prepared service copies for interested parties (if applicable)

PART SEVEN: PRACTICE TIPS FOR CONNECTICUT

Strategic Considerations

1. Check Agency-Specific Rules First. Each Connecticut agency prescribes its own form and procedure for rulemaking petitions. Review the agency's regulations before filing to ensure compliance with any particular requirements.

2. Establish Standing Clearly. Connecticut courts have interpreted § 4-174 to require a specific, legally protectable interest. Clearly articulate how you or your clients are directly affected by the existing or proposed regulation.

3. Build a Coalition. Petitions supported by multiple stakeholders, trade associations, or public interest organizations tend to receive more serious consideration. Consider filing jointly or attaching letters of support.

4. Engage the Legislative Regulation Review Committee. Because all Connecticut regulations must be reviewed by the Legislative Regulation Review Committee under § 4-170, consider reaching out to Committee members to discuss the merits of the proposed regulation.

5. Prepare for the Full Rulemaking Process. If the agency grants the petition, the regulation must go through notice and comment, Attorney General review, and Legislative Regulation Review Committee approval. Plan to participate actively in the public comment period.

6. Document the Basis for the Proposed Rule. Provide empirical data, cost-benefit analysis, and comparative examples from other jurisdictions. Agencies are more likely to act on well-supported petitions.

7. Monitor the Connecticut Law Journal. All proposed regulations are published in the Connecticut Law Journal. Monitor it for action on your petition and related regulatory activity.

8. Consider Alternative Approaches. If the agency denies the petition, consider seeking a declaratory ruling under Conn. Gen. Stat. § 4-176 or pursuing legislative solutions through the General Assembly.

9. Track Deadlines Carefully. The agency has 30 days to respond. If pursuing judicial review of a denial, the appeal must be filed within 45 days of the agency's mailing of its final decision.

10. Fiscal and Regulatory Flexibility Analysis. Be prepared to address the fiscal impact and small business impact of the proposed regulation, as these analyses are required during the rulemaking process under §§ 4-168 and 4-169.

SOURCES AND REFERENCES

• Connecticut General Statutes, Title 4, Chapter 54 — Uniform Administrative Procedure Act
• § 4-166: Definitions
• § 4-168: Notice prior to action on proposed regulations
• § 4-169: Regulatory flexibility analysis
• § 4-170: Legislative regulation review committee
• § 4-174: Petition for regulation
• § 4-175: Declaratory judgment — validity of regulation
• § 4-183: Appeal to Superior Court
• Connecticut General Assembly Website: https://www.cga.ct.gov/current/pub/chap_054.htm
• Connecticut Secretary of the State — Regulations: https://www.sots.ct.gov
• Connecticut Law Journal (publication of proposed regulations)
• Legislative Regulation Review Committee: https://www.cga.ct.gov

This template is provided for informational purposes only and does not constitute legal advice. Consult a qualified attorney licensed in Connecticut before filing a petition for rulemaking. Statutory citations are current as of the last updated date but should be independently verified.