DAR File No. 39883
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 R523-24
Off Premise Retailer (Clerk, Licensee and Manager) Alcohol Training and Education Seminar Rules of Administration
Notice of Proposed Rule
(Repeal)
DAR File No.: 39883
Filed: 10/27/2015 01:56:11 PM
RULE ANALYSIS
Purpose of the rule or reason for the change:
Repeal this rule due to the division's comprehensive reorganization of their rules. (DAR NOTE: The proposed new rule is Rule R523-13 under DAR No. 39884 in this issue, November 15, 2015, of the Bulletin.)
Summary of the rule or change:
None--This rule will be replaced by a new rule, R523-13, that has been renumbered to coincide with the division's comprehensive reorganization of its rules.
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, R523-13, 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, R523-13, 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, R523-13, 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, R523-13, 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, R523-13, 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, R523-13, 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 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
RULE TEXT
R523. Human Services, Substance Abuse and Mental Health.
[R523-24. Off Premise Retailer (Clerk, Licensee and Manager)
Alcohol Training and Education Seminar Rules of
Administration.
R523-24-1. 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 off premise consumption in the scope
of the person's employment with a general food store or
similar business.
(3) These rules include:
(a) curriculum content standards,
(b) seminar provider standards,
(c) provider certification process;
(d) the ongoing activities of providers, and
(e) the process for approval, denial, suspension and
revocation of provider certification.
R523-24-2. 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) "Provider" means an individual or company
who has had their curriculum approved and certified by the
Division.
(7) "Seminar" means the Off Premise Alcohol
Training and Education Seminar.
(8) "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 sell or furnish alcoholic
beverages to customers for off premise consumption.
(9) "Retail employee" (clerk or supervisor)
means any person employed by a general food store or similar
business and who is engaged in the sale of or directly supervises
the sale of beer to consumers for off premise
consumption.
R523-24-3. 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 non-certified provider
shall not meet the retailer 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 and 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, and
notification of the action taken shall be forwarded in writing to
the applicant. If an application for recertification requires
additional information or 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.
R523-24-4. 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 retail employee for a period which begins at the
completion of the seminar and expires five years from that
date.
(3) The provider shall issue a certification card to the
retail employee. The card shall contain at least the name of the
retail employee and the expiration date. The provider shall be
responsible for issuing any duplicates for 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) Provide technical support, such as 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) Issue 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) Track the internet protocol address or similar
electronic location of an individual who takes an online course
or test;
(i) Provide an individual who takes an online course or
test the opportunity to use an e-signature; or
R523-24-5. Retail Employee Responsibilities.
(1) A retail employee is required within 30 days of
employment by a general food store or similar business to
complete and pass the Seminar.
R523-24-6. Division Responsibilities.
The Division shall maintain the database of retail
employees who have completed the Seminar and make this
information available to the public.
R523-24-7. Approved Curriculum.
(1) Each provider must have a curriculum approved by the
Division. This curriculum must provide at least sixty minutes of
instruction both for original certification and for any and all
re-certifications. The contents of an approved curriculum shall
include the following components:
(a) alcohol as a drug;
(b) alcohol's effect on the body and behavior
including education on the effects of alcohol on the developing
youth brain, which information shall be provided by the
Division;
(c) recognizing the problem drinker or signs of
intoxication;
(d) statistics identifying the underage drinking problem,
which information provided by the Division;
(e) discussion of criminal and administrative penalties
for salesclerks and retail stores for selling beer to underage
and intoxicated persons;
(f) strategies commonly used by minors to gain access to
alcohol;
(g) process for checking ID, for example the FLAG system:
Feel Look, Ask, Give Back);
(h) policies and procedures to prevent beer purchases by
intoxicated individuals;
(i) techniques for declining a sale including rehearsal
and practice of these techniques using face-to-face role play;
and
(j) recognition of beverages containing alcohol including
examples of such beverages.
R523-24-8. Examination.
The examination shall include questions from each of the
curriculum components identified in Section R523-24-7. The
examination will be submitted for approval with the rest of the
provider application.
R523-24-9. Alcohol Training and Education Seminar Provider
Standards.
(1) The Division may certify a provider applicant
who:
(a) identifies all program instructors and instructor
trainers and certifies in writing that they:
(i) have been trained to present the course material,
and
(ii) that they have not been convicted of a felony or of
any violation of the laws or ordinances concerning alcoholic
beverages, within the past five years;
(b) agrees to notify the Division in writing of any
changes in instructors and submit the assurances called for in
Subsection R523-24-9(a) for all new instructors;
(c) Allow the Division to audit all online courses or
tests at any time the Division requests;
(d) agrees to invalidate a course completion certificate
if the seminar provider learns that the certificate does not
accurately reflect the individual who took the online course or
test;
(e) will establish and maintain course completion
records.
(2) All online training courses shall be provided on a
secure website.
R523-24-10. 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,
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 and has reapplied without correcting
the problem that resulted in the denial, suspension or
revocation.
R523-24-11. 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.
(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.
R523-24-12. 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
address 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.
R523-24-13. Procedure for Denial, Suspension, or
Revocation.
(1) If the Division has grounds for action under these
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, or the Director's designee, 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: off-premises, training, seminars, alcohol
Date of Enactment or Last Substantive Amendment: March 9,
2012
Notice of Continuation: July 13, 2011
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 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. For questions about the rulemaking process, please contact the Division of Administrative Rules.