Ala. Admin. Code r. 538-X-3-.04

Current through Register Vol. 42, No. 7, April 30, 2024

Section 538-X-3-.04 - Applications And Applications Processing Generally

(1) Application Fees. Applicants for a license under the Act and this Chapter shall pay a nonrefundable Application Fee in accordance with the most recent Application Fee Schedule approved by the Commission and then in effect, as applicable to the particular license sought. The current Application Fee Schedule may be found at www.AMCC.Alabama.gov (hereinafter, "the AMCC website").

(2) License Does not Convey Rights; Burden on Applicant. The license granted and issued by the Commission is deemed to be a revocable privilege (§ 20-2A-68, Code of Ala. 1975, (as amended)), and no person or legal entity holding such a license is deemed to have acquired any vested rights therein. An Applicant for a license authorized by the Act or this Chapter is seeking the granting of a privilege rather than a right, and the burden of proving qualification and suitability to receive the license is, at all times, on the Applicant. Responsibility for the continued use of the license is, at all times, on the licensee; licenses are non-delegable and non-transferable except with the express permission of the Commission, as provided in Chapter 4 of these Rules.

(3) Limited Communication - Generally; Exceptions. The integrity of the application and licensing process is of paramount importance to the Commission and will not be compromised. Throughout the Application Process, Applicants (including all employees, agents and representatives of Applicants and any other individual acting on an Applicant's behalf) must not initiate communication with any member of the Commission or any AMCC staff, officials, or representatives regarding the application, except as follows:

(a) through the "Applicant Questions" portal as provided at the AMCC website;

(b) by written notification to the Commission of a change in the Applicant's Summary Sheet information;

(c) to file an Amended Application, request additional time for filing proposed corrections to a deficiency noted by the Commission, to request additional opportunity to amend the application based on extenuating circumstances, or to request an investigative hearing before the Commission in the event the applicant's license was denied.

To the extent oral communication is deemed to be helpful to resolving any issue or answering any question, AMCC staff will initiate the oral communication, and the result of the oral communication will be memorialized in writing.

(4) limited Communication - Response to questions and requests for information initiated by AMCC. An applicant shall, as directed, answer questions from, and provide information to, the Commission or its staff, officials, agents, and representatives, including to propose corrections to deficiencies noted; however, unsolicited communications from the Applicant other than through the "Applicant Questions" portal are strictly prohibited. Any unauthorized contact with the Commission or its staff, officials, or representatives during the course of the Application Process may disqualify the Applicant from further consideration.

(5) limited Communication -- Applicant Questions; Question Clearinghouse. Questions or requests for assistance regarding the Request for Application, the Application, or the selection process, will be considered only when submitted though the "Applicant Questions" portal at the AMCC website. As the Commission may deem helpful, questions submitted by Applicants to the AMCC website, along with AMCC's response, may be made public for the benefit of other Applicants as part of a Question Clearinghouse database accessible through the AMCC website. Direct communication with Commission members during the application process is strictly prohibited. Ex parte communications by individual Commission members to Applicants (or their representatives) during the application process are unofficial and improper.

(6) limited Communication -- Writing Required. Communications to Commission staff in response to any question, whether through the "Applicant Questions" portal or if initiated by the AMCC Staff or other Commission representatives, must be in writing. Any oral communications will be considered unofficial and shall not be binding upon the Commission.

(7) Procedures for Filing Applications - Request for Application Form - Initial Offering. As to the initial offering of licenses under the Act and this Chapter, a prospective licensee in any category may "begin applying for a license" as stated in § 20-2A-53, Code of Ala. 1975, (as amended) (see also § 20-2A-55, Code of Ala. 1975, (as amended): "Beginning September 1, 2022) by electronically submitting to the Commission at the AMCC website a Request for Application Form as to one of the various categories of licenses beginning at the window opening time of 10:00 a.m., CDT, on Thursday, September 1, 2022 (For a helpful timetable applicable to the initial offering, see Appendix A to this Chapter). As to the initial offering, the window for submitting a Request for Application Form shall close as of 4:00 p.m., CDT on October 17, 2022, or at 4 p.m. Central Time on the date these Rules become effective, whichever is later.

(8) Procedures for Filing Applications-Subsequent Offer an Offering Announcement on its websiteings-Offering Announcement. As to subsequent offerings, approximately 15-45 days prior to opening a window in one or more categories, the Commission shall issue, providing public notice of its intention to offer one or more licenses in one or more categories. In addition to specifying the license or licenses to be offered in a category or categories, the Offering Announcement shall provide Requests for Application Forms, the window of time during which the Request for Application Forms shall be made available, and the time by which Application Forms will be supplied to those who make a timely, properly filled out and properly submitted Request for Application. As to Subsequent Offerings, the Offering Announcement shall include the timetable for the Commission's issuance of licenses to be offered, but such timetables may be amended by the Commission at its discretion.

(9) Procedures for Filing Applications - Request for Application Form - Generally. The Commission will respond to properly filled out, properly submitted and timely Requests for Application Forms per category, by electronically supplying the appropriate Application Form. The Request for Application Form shall contain the following information: the category of license being applied for, the Applicant's name, business address, business email address, business telephone number, Social Security Number or Federal Tax Identification Number; as well as the name, business address, email address, and direct dial telephone number of the contact person who will be responsible for fielding and responding to additional requests by the Commission. The Request for Application form shall also contain a verification that the contact person has authority to act on behalf of the applicant and that the Applicant, by filing the Request for Application, voluntarily submits to the Act, these Rules, and the jurisdiction, authority and discretion of the Commission.

(10) Procedures for Application Forms - Disqualification from Application Process. Requests for Application Forms will not be considered if they are:

(a) untimely,

(b) improperly filled out, or

(c) submitted or attempted to be submitted by any means other than electronically as provided herein.

Request for Application Forms that are untimely (i.e., submitted before the window opens or after the window closes), improperly filled out, or improperly submitted, will not receive an application form and therefore will not be considered for licensure in the offering. The Commission or its representatives may, in their discretion, contact an Applicant to seek clarification of information provided on the Request for Application Form, but the absence of contact from the Commission to an Applicant, or the Commission's not providing an Application Form when that form was untimely requested, not properly filled out, or improperly submitted, shall not constitute a breach of due process or permit the Applicant a right of appeal under the Act, these Rules or any provision of the Alabama Administrative Procedure Act, § 41-22-1, et seq., Code of Ala. 1975, (as amended) ("AAPA").

(11) Procedures for Filing Applications - Issuance of Application Forms - Timing. As to the initial offering, properly requested Application forms shall issue on Monday, October 24, 2022, or at 4:00 p.m. Central Time on the seventh day from the closing of the window for requesting applications, whichever is later. For subsequent offerings, issuance of application forms shall occur on the date provided in the Offering Announcement.

(12) Procedure for Filing Applications -Form of Application. Applications for licenses under the Act and this Chapter shall be filed with the Commission electronically at the AMCC website and shall be in accordance with the instructions accompanying the electronic application form. The Commission shall not consider any Application, or any part thereof, that has not been filed as provided in this paragraph or that fails to follow the format prescribed by the electronic application form. Notwithstanding anything herein to the contrary, the "filing" of an application as described in these Rules shall not mean that the application is "submitted" pursuant to § 20-2A-56(d), Code of Ala. 1975, (as amended); as provided in Rule 538-X-3-.07, an application is "submitted" such that the 60 days for determining whether to award a license begins to run only when the Commission accepts and approves the application for submission (including any amended applications, proposed corrections or extraordinary circumstances corrections), along with applications filed by other Applicants of a particular category in the same offering.

(13) Procedure for Filing Application - Time for Filing Application. After receiving an Application Form from the Commission, an Applicant may continue the application process by filing an application in the form specified in Rule 538-3-.05, within the window for filing provided in the Application Form provided to the Applicant. For the initial offering, the window for filing an Application shall begin at 10:00 a.m., CDT, October 31, 2022, or on the seventh day following the Commission's issuance of application forms, whichever is later. The window for filing an original application shall remain open for no less than 30 days. With respect to the initial offering, all original applications (including all exhibits to be attached thereto) must be filed on or before 4:00 p.m., CST, on December 30, 2022, or sixty days from the date the window opens to file applications, whichever is later.

(14) See Ala. Admin. Code 538-X-3-.20 for supplemental rules governing specified pending applications.

Ala. Admin. Code r. 538-X-3-.04

Adopted by Alabama Administrative Monthly Volume XL, Issue No. 11, August 31, 2022, eff. 10/15/2022.

Amended by Alabama Administrative Monthly Volume XLII, Issue No. 03, December 29, 2023, eff. 2/12/2024.

Author: William H. Webster; Mark D. Wilkerson

Statutory Authority:Code of Ala. 1975, §§ 20-2A-22, as amended.