Dealing with Regulators

I deal with more regulators now than I did when I was practicing law. As much as I say the TTB is great to work with (at least so far), it is because I am prepared and put the time in. There are a few things to remember when dealing with any regulator (whether to get an alcohol license, or to wind-down a company):

Be Nice

This seems obvious, but, as many regulations do not make sense, it is easy to get frustrated and respond accordingly. Don’t get snippy with your regulator. They do not make the rules, and, usually, do not know the logic behind them (if there actually is any). They are typically underpaid and over worked and cannot do anything to change the regulations they are in charge of enforcing. If you cannot empathize, at least do not make them feel like the cause of your frustration.

Be Prepared

It helps to know as much as possible about the issues you are dealing with - whether for procuring a license, or what needs to be installed in your tasting room. Check out the laws, the regulations, and any local codes you can find. Figure out what other agencies might need to be involved. Regulators will know about all the issues at hand, and will ask you about things that you missed. “I don’t know,” or “I didn’t know” will not help you; it will only slow you down.

Keep Asking Questions

While regulators can be helpful in answering questions, they usually do not offer up extra information. Make it clear to the regulator that you are prepared, and then keep asking questions until your questions are answered.

Do Not Seek Approval

This ties into being prepared above. Before you start asking the regulator if what you want to do is legal or not, make sure you cannot find the answer on your own first. Don’t be surprised if the answer is “no.” In grey areas, that is typically the first response. And, do not mistake silence for consent. Just because something is not explicitly illegal, does not mean that it will be approved.

Pickup the Phone

I have never once gotten anywhere e-mailing a regulator. When they do respond to e-mail, the answers to my questions usually lead to more questions, and never fully provide a clear path. Perhaps I am a failure at crafting questions. But, believe me, you will be much better served by having a conversation with your regulator.