Human Services, Substance Abuse and Mental Health

Rule R523-23

On-Premise Alcohol Training and Education Seminar Rules of Administration

Notice of Proposed Rule

(Amendment)

DAR File No.: 35223
Filed: 09/06/2011 09:44:14 AM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The purpose of this amendment is to add fraud prevention measures for the providers.

Summary of the rule or change:

The division has received input regarding the potential for fraud in the On-Premise Retailer Training and Seminar certification process. As a result, the division has sought out input from a steering committee and is now amending this rule to include requirements for fraud prevention measures.

State statutory or constitutional authorization for this rule:

• Section 62A-15-401
• Subsection 62A-15-105(5)
• Section 63G-4-203

Anticipated cost or savings to:

the state budget:

There will not be any cost or savings to state budget. This is because the fraud prevention measures being added to the rule on impact those who conduct the trainings. The state agencies do not conduct the trainings, therefore, no state agency will incur a cost.

local governments:

There will be minimal cost to local governments for them to program some changes into their trainings. It is anticipated that these minimal costs will be passed to the customer in the form of a minimally increased cost to take the classes.

small businesses:

There will be minimal cost to small businesses for them to program some changes into their trainings. It is anticipated that these minimal costs will be passed to the customer in the form of a minimally increased cost to take the classes.

persons other than small businesses, businesses, or local governmental entities:

There will be minimal cost to other persons for them to program some changes into their trainings. It is anticipated that these minimal costs will be passed to the customer in the form of a minimally increased cost to take the classes.

Compliance costs for affected persons:

There will be minimal cost to affected persons for them to program some changes into their trainings. It is anticipated that these minimal costs will be passed to the customer in the form of a minimally increased cost to take the classes.

Comments by the department head on the fiscal impact the rule may have on businesses:

The change to this rule will have a minimal fiscal impact on businesses that will ultimately be passed to the customer. The benefits of the change to increase fraud prevention outweigh any minimal costs that will be incurred.

Palmer DePaulis, Executive Director

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Human Services
Substance Abuse and Mental Health
195 N 1950 W
SALT LAKE CITY, UT 84116

Direct questions regarding this rule to:

• Julene Jones at the above address, by phone at 801-538-4521, by FAX at 801-538-3942, or by Internet E-mail at jhjones@utah.gov
• 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 raywinger@utah.gov

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:

10/31/2011

This rule may become effective on:

11/07/2011

Authorized by:

Lana Stohl, Director

R523. Human Services, Substance Abuse and Mental Health.

R523-23. On-Premise Alcohol Training and Education Seminar Rules of Administration.

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[, expiration date and test results indicating pass or fail,] 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 [f]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.

 

R523-23-6. Division Responsibilities.

The Division shall maintain the [list]database of servers who have completed the seminar[ and make this information available to the public for compliance reviews].

 

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 [classroom] 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 [f]or transportation service;

(iii) accommodations for the night; and

(iv) telephone the police.

 

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) can show adequate facilities, instructional equipment and materials, personnel, and financial resources to provide a successful program for the length of time the license is in effect; and

] ([e]d) will establish and maintain course completion records.

(2) All online training courses shall be provided on a secure website.

 

R523-23-10. Grounds [F]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.

 

R523-23-13. 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: [ September 10, 2009 ] 2011

Notice of Continuation: June 22, 2007

Authorizing, and Implemented or Interpreted Law: 62A-15-105(5); 62A-15-401