DAR File No. 39881
This rule was published in the November 15, 2015, issue (Vol. 2015, No. 22) of the Utah State Bulletin.
Human Services, Substance Abuse and Mental Health
Rule R523-23
On-Premise Alcohol Training and Education Seminar Rules of Administration
Notice of Proposed Rule
(Repeal)
DAR File No.: 39881
Filed: 10/27/2015 01:43:21 PM
RULE ANALYSIS
Purpose of the rule or reason for the change:
Repeal this rule due to the division's comprehensive reorganization of its rules. (DAR NOTE: The proposed new rule is Rule R523-12 under DAR No. 39882 in this issue, November 15, 2015, of the Bulletin.)
Summary of the rule or change:
This rule provided guidance on: 1) certification of providers; 2) approval of the seminar curriculum; 3) the ongoing activities of providers; and 4) the process for approval, denial, suspension, and revocation of provider certification.
State statutory or constitutional authorization for this rule:
- Section 62A-15-401
- Section 62A-15-105
Anticipated cost or savings to:
the state budget:
None--This rule will be replaced by a new rule, R523-12, that has been renumbered to coincide with the division's comprehensive reorganization of its rules.
local governments:
None--This rule will be replaced by a new rule, R523-12, that has been renumbered to coincide with the division's comprehensive reorganization of its rules.
small businesses:
None--This rule will be replaced by a new rule, R523-12, that has been renumbered to coincide with the division's comprehensive reorganization of its rules.
persons other than small businesses, businesses, or local governmental entities:
None--This rule will be replaced by a new rule, R523-12, that has been renumbered to coincide with the division's comprehensive reorganization of its rules.
Compliance costs for affected persons:
None--This rule will be replaced by a new rule, R523-12, that has been renumbered to coincide with the division's comprehensive reorganization of its rules.
Comments by the department head on the fiscal impact the rule may have on businesses:
There is not a fiscal impact on businesses because this rule will be replaced by a new rule, R523-12, that has been renumbered to coincide with the division's comprehensive reorganization of its rules.
Ann Silverberg Williamson, Executive Director
The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:
Human ServicesSubstance Abuse and Mental Health
195 N 1950 W
SALT LAKE CITY, UT 84116
Direct questions regarding this rule to:
- Julene Robbins at the above address, by phone at 801-538-4521, by FAX at 801-538-3942, or by Internet E-mail at [email protected]
- L Ray Winger at the above address, by phone at 801-538-4319, by FAX at 801-538-9892, or by Internet E-mail at [email protected]
Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:
12/15/2015
This rule may become effective on:
12/22/2015
Authorized by:
Doug Thomas, Director
RULE TEXT
R523. Human Services, Substance Abuse and Mental Health.
[R523-23. On-Premise Alcohol Training and Education Seminar
Rules of Administration.
R523-23-1. Authority, Intent, and Scope.
(1) These rules are adopted under the authority of
Section 62A-15-401 authorizing the Division of Substance Abuse
and Mental Health to administer the Alcohol Training and
Education Seminar Program.
(2) The intent of statute and rules is to require every
person to complete the seminar who sells or furnishes alcoholic
beverages to the public for on premise consumption in the scope
of the person's employment.
(3) These rules include:
(a) certification of providers;
(b) approval of the Seminar curriculum;
(c) the ongoing activities of providers; and
(d) the process for approval, denial, suspension and
revocation of provider certification.
R523-23-2. Definitions.
(1) "Approved Curriculum" means a
provider's curriculum which has been approved by the Division
in accordance with these rules.
(2) "Certification" means written approval from
the Division stating a person or company has met the requirements
to become a seminar provider.
(3) "Director" means the Director of the
Division of Substance Abuse and Mental Health.
(4) "Division" means the Division of Substance
Abuse and Mental Health.
(5) "Manager" means a person chosen or
appointed to manage, direct, or administer the operations at the
premises of a licensee. A manager may also be a
supervisor.
(6) "On-premise consumption" means the
consumption of alcoholic products by a person within any
building, enclosure, room, or designated area which has been
legally licensed to allow consumption of alcohol.
(7) "Seminar" means the Alcohol Training and
Education Seminar.
(8) "Server" is an employee who actually makes
available, serves to, or provides a drink or drinks to a customer
for consumption on the premises of the licensee.
(9) "Supervisor" means an employee who, under
the direction of a manager as defined above if the business
establishment employees a manager, or under the direction of the
owner or president of the corporation if no manager is hired,
directs or has the responsibility to direct, transfer, or assign
duties to employees who actually provide alcoholic beverages to
customers on the premises of the licensee.
R523-23-3. Provider Certification Application Procedure.
(1) A provider seeking first-time certification shall
make application to the Division at least 30 days prior to the
first scheduled seminar date. A provider seeking recertification
to administer the seminar shall make application to the Division
at least 30 days prior to expiration of the current
certification.
(2) Any seminar conducted by a noncertified provider is
void and shall not meet the server training requirements
authorized under Section 62A-15-401.
(3) All application forms shall be reviewed by the
Division. The Division shall determine if the application is
complete and in compliance with Section 62A-15-401 and these
rules. If the Division approves the application, the curriculum
and determines the provider has met all other requirements, the
Division shall certify the provider.
(4) Within 30 days after the Division has taken action,
the Division shall officially notify the applicant of the action
taken: denial, approval, or request for further information.
Notification of the action taken shall be forwarded in writing to
the applicant.
(5) If an application requires additional information of
corrective action, a provider may continue to conduct seminars
for 30 days from the date of notification. If the provider has
not resolved the action required with the Division by that date,
the provider is no longer certified to provide the seminar and
must cease until all actions are approved by the
Division.
R523-23-4. Provider Responsibilities.
(1) For each person completing the seminar, the provider
shall electronically submit to the Division the name, last four
digits of the person's social security number, the date the
person completed the training, and the required fee, within 30
days of the completion of the seminar.
(2) Each person who has completed the seminar and passed
the provider-administered and Division-approved examination shall
be approved as a server for a period which begins at the
completion of the seminar and expires three years from this date.
Recertification requires the server to complete a new seminar
every three years.
(3) The provider shall issue a certification card to the
server. The card shall contain at least the name of the server
and the expiration date. The provider shall be responsible for
issuing any duplicates or lost cards.
(4) The Provider shall implement at least three of the
following measures to prevent fraud:
(a) Authentication that the an individual accurately
identifies the individual as taking the online course or
test;
(b) Measures to ensure that an individual taking the
online course or test is focused on training material throughout
the entire training period;
(c) Measures to track the actual time an individual
taking the online course or test is actively engaged
online;
(d) A seminar provider to provide technical support, such
as requiring a telephone number, email, or other method of
communication that allows an individual taking the online course
or test to receive assistance if the individual is unable to
participate online because of technical difficulties;
(e) A test to meet quality standards, including
randomization of test questions and maximum time limits to take a
test;
(f) A seminar provider to have a system to reduce fraud
as to who completes an online course or test, such as requiring a
distinct online certificate with information printed on the
certificate that identifies the person taking the online course
or test, or requiring measures to inhibit duplication of a
certificate;
(g) Measures to allow an individual taking an online
course or test to provide an evaluation of the online course or
test;
(h) A seminar provider to track the Internet protocol
address or similar electronic location of an individual who takes
an online course or test;
(i) An individual who takes an online course or test to
use an e-signature; or
(j) A seminar provider to invalidate a certificate if the
seminar provider learns that the certificate does not accurately
reflect the individual who took the online course or
test.
R523-23-5. Server Responsibilities.
A server is required within 30 days of employment to pass
the Seminar.
R523-23-6. Division Responsibilities.
The Division shall maintain the database of servers who
have completed the seminar.
R523-23-7. Approved Curriculum.
(1) Each provider must have a curriculum approved by the
Division. This curriculum must provide at least three hours of
instruction both for original certification and for any and all
recertifications. The contents of an approved curriculum shall
include the following components:
(a) Alcohol as a drug and its effect on the body and
behavior:
(i) facts about alcohol;
(ii) what alcohol is; and
(iii) alcohol's path through the body.
(b) Factors influencing the effect of alcohol
including:
(i) food and digestive factors;
(ii) weight, physical fitness and gender
factors;
(iii) psychological factors;
(iv) tolerance; and
(v) alcohol used in combination with other
drugs.
(c) Recognizing drinking levels:
(i) explanation of behavioral signs and indications of
impairment;
(ii) classification of behavioral signs; and
(iii) defining intoxication.
(d) Recognizing the problem drinker and techniques for
servers to help control consumption:
(i) use of classification system;
(ii) use of alcohol facts;
(iii) continuity of service; and
(iv) drink counting.
(e) Overview of state alcohol laws:
(i) Utah liquor distribution and control;
(ii) legal age;
(iii) prohibited sales;
(iv) third party liability and the Dram Shop
Law;
(v) legal definition of intoxication; and
(vi) legal responsibilities of servers.
(f) Techniques for dealing with the problem customer
including rehearsal and practice of these techniques.
(g) Intervention techniques:
(i) slowing down service;
(ii) offering food or nonalcoholic beverages;
(iii) serving water with drinks;
(iv) not encouraging reorders; and
(v) cutting off service.
(h) Establishing house rules for regulating alcoholic
beverages:
(i) management and co-workers' support; and
(ii) dealing with minors; and
(i) Alternative means of transportation and getting the
customer home safely:
(i) ask customer to arrange alternative
transportation;
(ii) call a taxi or transportation service;
(iii) accommodations for the night; and
(iv) telephone the police.
R523-23-8. Examination.
The examination shall include questions concerning
alcohol as a drug and its effect on the body and behavior,
recognizing and dealing with the problem drinker, Utah alcohol
laws, terminating service, and alternative means of
transportation to get the customer safely home. The portion of
the exam concerning Utah's alcohol laws shall be uniform
questions approved by the Department of Alcoholic Beverage
Control or as updated and approved by the Division.
R523-23-9. Alcohol Training and Education Seminar Provider
Standards.
(1) The Division may certify an applicant who has a
program course that:
(a) does not have a history of liquor law violations or
any convictions showing disregard for laws related to being a
responsible liquor provider;
(b) identifies all program instructors and instructor
trainers and certifies in writing that they have been trained to
present the course material and that they have not been convicted
of a felony or of any violation of the laws or ordinances
concerning alcoholic beverages, within the last five
years;
(c) agrees to notify the Division in writing of any
changes in instructors and submit the assurances called for in
Subsection R523-23-9(1)(b) for all new instructors;
(d) will establish and maintain course completion
records.
(2) All online training courses shall be provided on a
secure website.
R523-23-10. Grounds for Denial, Corrective Action,
Suspension, and Revocation.
(1) The Division may deny, suspend or revoke
certification if:
(a) the provider or applicant violates these rules, as
provided in Section 62A-15-401; or
(b) the applicant fails to correctly complete all
required steps of the application process as determined by these
rules or other rules or statutes referenced in these rules;
or
(c) a provider whose certification has been previously
denied, suspended or revoked has reapplied without taking the
previously required corrective action.
R523-23-11. Corrective Action.
(1) If the Division becomes aware that a provider is in
violation of these rules or other rules or statutes referenced in
these rules:
(a) within 30 days after becoming aware of the violation,
the Division shall identify in writing the specific areas in
which the provider is not in compliance and send written notice
to the provider; and
(b) within 30 days of notification of noncompliance, the
provider shall submit a written plan for achieving compliance.
The provider may be granted an extension.
R523-23-12. Suspension and Revocation.
(1) The Director or designee may suspend the
certification of a provider as follows:
(a) When a provider fails to respond in writing to areas
of noncompliance identified in writing by the Division within the
defined period. The defined period is 30-days plus any extensions
granted by the Division.
(b) When a provider fails to take corrective action as
agreed upon in its written response to the Division.
(c) When a provider fails to allow the Division access to
information or records necessary to determine the provider's
compliance under these rules and referenced rules and
statutes.
(2) The Director or designee may revoke certification of
a provider as follows:
(a) A provider or its authorized instructors continue to
provide the seminar while the provider is under a suspended
certification.
(b) A provider fails to comply with corrective action
while under a suspension.
(c) A program has committed a second violation which
constitutes grounds for suspension when a previous violation
resulted in a suspension during the last 24 months.
R523-23-13. Procedure for Denial, Suspension, or
Revocation.
(1) If the Division has grounds for action under these
rules, referenced rules, or as required by law, and intends to
deny, suspend or revoke certification of a provider, the steps
governing the action are as follows:
(a) The Division shall notify the applicant or provider
by personal service or by certified mail, return receipt
requested, of the action to be taken. The notice shall contain
reasons for the action, to include all statutory or rule
violations, and a date when the action shall become
effective.
(b) The provider may request an informal hearing with the
Director within ten calendar days. The request shall be in
writing. Within ten days following the close of the hearing, the
Director or designee shall inform the provider or applicant in
writing as required under Section 63G-4-203. The provider may
appeal to the Department of Human Services Office of
Administrative Hearing as provided for under Section
63G-4-203.
KEY: substance abuse, server training, on-premise
Date of Enactment or Last Substantive Amendment: March 9,
2012
Notice of Continuation: June 18, 2012
Authorizing, and Implemented or Interpreted Law:
62A-15-105(5); 62A-15-401]
Additional Information
More information about a Notice of Proposed Rule is available online.
The Portable Document Format (PDF) version of the Bulletin is the official version. The PDF version of this issue is available at https://rules.utah.gov/publicat/bull-pdf/2015/b20151115.pdf. The HTML edition of the Bulletin is a convenience copy. Any discrepancy between the PDF version and HTML version is resolved in favor of the PDF version.
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For questions regarding the content or application of this rule, please contact Julene Robbins at the above address, by phone at 801-538-4521, by FAX at 801-538-3942, or by Internet E-mail at [email protected]; L Ray Winger at the above address, by phone at 801-538-4319, by FAX at 801-538-9892, or by Internet E-mail at [email protected]. For questions about the rulemaking process, please contact the Division of Administrative Rules.