DAR File No. 39882

Human Services, Substance Abuse and Mental Health

Rule R523-12

On-Premise Alcohol Training and Education Seminar Rules of Administration

Notice of Proposed Rule

(New Rule)

DAR File No.: 39882
Filed: 10/27/2015 01:52:43 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

This new rule provides guidance on the training of on-premise alcohol servers, as well as the certification of those who provide this training. (DAR NOTE: The proposed repeal is of Rule R523-23 under DAR No. 39881 in this issue, November 15, 2015, of the Bulletin.)

Summary of the rule or change:

This rule provides guidance on: 1) provider certification application procedure; 2) provider responsibilities; 3) server responsibilities; 4) division responsibilities; 5) approved curriculum; 6) examination; 7) alcohol training and education seminar provider standards; 8) grounds for denial, corrective action, suspension, and revocation; 9) corrective action; 10) suspension and revocation; and 11) procedure for denial, suspension, or revocation.

State statutory or constitutional authorization for this rule:

• Section 63G-4-203
• Section 62A-15-401

Anticipated cost or savings to:

the state budget:

There is no aggregate anticipated cost or savings to the state budget because this rule replaces a repealed rule, R523-23, that was repealed in order to correct typographical errors, remove unnecessary text, and reorganize the numbering system of the division's rules.

local governments:

There is no aggregate anticipated cost or savings to local governments because this rule replaces a repealed rule, R523-23, that was repealed in order to correct typographical errors, remove unnecessary text, and reorganize the numbering system of the division's rules.

small businesses:

There is no aggregate anticipated cost or savings to small businesses because this rule replaces a repealed rule, R523-23, that was repealed in order to correct typographical errors, remove unnecessary text, and reorganize the numbering system of the division's rules.

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

There is no aggregate anticipated cost or savings to persons other than small businesses, businesses, or local government entities because this rule replaces a repealed rule, R523-23, that was repealed in order to correct typographical errors, remove unnecessary text, and reorganize the numbering system of the division's rules.

Compliance costs for affected persons:

There is no compliance cost for affected persons because this rule replaces a repealed rule, R523-23, that was repealed in order to correct typographical errors, remove unnecessary text, and reorganize the numbering system of the division's rules.

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

There is no fiscal impact to businesses because this rule replaces a repealed rule, R523-23, that was repealed in order to correct typographical errors, remove unnecessary text, and reorganize the numbering system of the division's 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 Services
Substance 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 jhjonesrobbins@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:

12/15/2015

This rule may become effective on:

12/22/2015

Authorized by:

Doug Thomas, Director

R523. Human Services, Substance Abuse and Mental Health.

R523-12. On-Premise Alcohol Training and Education Seminar Rules of Administration.

R523-12-1. Authority and Intent.

(1) This rule is adopted under the authority of Section 62A-15-401 authorizing the Division of Substance Abuse and Mental Health (Division) to administer the Alcohol Training and Education Seminar Program.

(2) The intent of this rule is to require every person who sells or furnishes alcoholic beverages to the public for on-premise consumption to complete a training seminar in the scope of the person's employment.

(3) This rule includes:

(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.

 

R523-12-2. 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, if the business establishment employs 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.

 

R523-12-3. 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.

 

R523-12-4. 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 accurately identifies the individual 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.

 

R523-12-5. Server Responsibilities.

A server is required within 30 days of employment to pass the Seminar.

 

R523-12-6. Division Responsibilities.

The Division shall maintain the database of servers who have completed the seminar.

 

R523-12-7. 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.

 

R523-12-8. 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.

 

R523-12-9. 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 R523-12-9(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.

 

R523-12-10. 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.

 

R523-12-11. 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.

 

R523-12-12. 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.

 

R523-12-13. 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: 2015

Authorizing, and Implemented or Interpreted Law: 62A-15-401; 63G-4-203