DAR File No. 28928

[ 09/01/2006 Bulletin Table of Contents / Bulletin Page ]

Human Services, Substance Abuse and Mental Health

R523-23

Alcohol Training and Education Seminar Rules of Administration

NOTICE OF PROPOSED RULE

DAR File No.: 28928
Filed: 08/15/2006, 01:55
Received by: NL

RULE ANALYSIS

Purpose of the rule or reason for the change:

With the merger of the State Divisions of Substance Abuse and Mental Health, it has become necessary to review the Division's rules for relevance and measure them against current practice. During a review of the "On-Premise Server Rule," the Division concluded that changes were needed to make the language of the rule reflect current practice and clarify expectations in a more directly stated manner.

Summary of the rule or change:

The overall numbering has been changed to match the preferred format. On-Premise has been added to the title of the rule to distinguish it from the new Off-Premise training seminar rule. Subsection R523-23-3(5) was added to further clarify activities that can take place if further information is required at the time a provider is being certified to conduct seminars. Subsection R523-23-4(2) has been modified to include clarification that no server can be recertified unless the server retakes the seminar every three years. Subsection R523-23-4(4) has been removed because all curriculums must be approved by the Division whether or not a portion of the information being provided is used in other states. The Division requires all servers, working in an establishment that sells alcohol for on-premise use, to take the complete seminar so Section R523-23-5 has been modified to reflect that practice. Subsection R523-23-7(1)(f) has been renumbered along with all items in this section and the expectation of practicing techniques for dealing with problem customers has been clarified to require face-to-face role play.

State statutory or constitutional authorization for this rule:

Section 62A-15-401

Anticipated cost or savings to:

the state budget:

These amendments have no impact on the cost to administer the rule, including the cost for staff and materials, than already exist at this time. Format and numbering modifications comprise the majority of changes in this rule. Content changes include language that strengthens training requirements and a clarification of time frames in which seminar providers are able to correct portions of their programs that do not meet Division standards. None of these requirements would increase the cost of managing this program through the Sate.

local governments:

There is no financial obligation for local governments as they neither regulate the serving of alcoholic beverages nor serve them.

other persons:

This rule already requires a fee for certification and common practice has included a fee for the seminar along with a cost to the employer of providing for an employees wages while in the seminar. Format and numbering modifications comprise the majority of changes in this rule. Content changes include language that strengthens training requirements and a clarification of time frames in which seminar providers are able to correct portions of their programs that do not meet Division standards, therefore, these amendments will not increase or decrease costs to others in the state. (Costs associated with this rule include: wages paid to employees for time spent in training; employers who do not have a training program, may need to pay a provider for training services that generally cost $25 per hour; and a fee paid by either the employer or employee to cover the cost of maintaining the Division's database and the printing cost for the certificate of completion and mailing.)

Compliance costs for affected persons:

This rule already requires a fee for certification and common practice has included a fee for the seminar along with a cost to the employer of providing for an employees wages while in the seminar. Format and numbering modifications comprise the majority of changes in this rule. Content changes include language that strengthens training requirements and a clarification of time frames in which seminar providers are able to correct portions of their programs that do not meet Division standards, therefore, these amendments will not increase or decrease costs to others in the state. (Costs associated with this rule include: wages paid to employees for time spent in training; employers who do not have a training program, may need to pay a provider for training services that generally cost $25 per hour; and a fee paid by either the employer or employee to cover the cost of maintaining the Division's database and the printing cost for the certificate of completion and mailing.)

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

After careful review, the Department of Human Services has determined that this rule will have no additional financial impact on businesses in the State of Utah beyond that which is already associated with this rule prior to the current changes. Lisa-Michele Church, Executive Director

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

Direct questions regarding this rule to:

Thom Dunford at the above address, by phone at 801-538-4519, by FAX at 801-538-9892, or by Internet E-mail at TDUNFORD@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:

10/02/2006

This rule may become effective on:

10/09/2006

Authorized by:

Mark I Payne, 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.](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.](2) The intent of statute and rules is to require every person to complete the [S]seminar who sells or furnishes alcoholic beverages to the public for on premise consumption in the scope of the person's employment.

[3.](3) These rules include:

[a.](a) certification of providers;

[b.](b) approval of the Seminar curriculum;

[c.](c) the ongoing activities of providers; and

[d.](d) the process for approval, denial, suspension and revocation of provider certification.

R523-23-2. Definitions.

[1.](1) "Approved Curriculum" means a provider's curriculum which has been approved by the Division in accordance with these rules.

[2.](2) "Certification" means written approval from the Division stating a person or company has met the requirements to become a seminar provider.

[3.](3) "Director" means the Director of the Division of Substance Abuse and Mental Health.

[4.](4) "Division" means the Division of Substance Abuse and Mental Health.

[5.](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.](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.](7) "Seminar" means the Alcohol Training and Education Seminar.

[8.](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.](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.](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.](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.](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.](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.](1) For each person completing the seminar, the provider shall submit to the Division the name, 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.](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.](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 for lost cards.[

4. If a provider certifies servers outside of Utah the provider shall also make available and administer the Utah alcohol laws portion of the examination to any server entering this state. The provider shall administer the examination upon request of the server. No server may be certified beyond the original three-year expiration date on the certification card without completing a new seminar.]

R523-23-5. Server Responsibilities.

[1. A server who has completed the seminar in another state by a provider who is certified in Utah shall not be required to complete the seminar if the current certification is in force. ]A server is required within 30 days of employment to pass the [portion of the examination which applies to Utah alcohol laws.]Seminar.

R523-23-6. Division Responsibilities.

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

R523-23-7. Approved Curriculum.

[1.](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.](a) Alcohol as a drug and its effect on the body and behavior[.]:

[b.](i) [F]facts about alcohol[.];

[c.](ii) [What is alcohol?]what alcohol is; and

[d.](iii) [A]alcohol's path through the body.

[e.](b) Factors influencing the effect of alcohol including:

(i) [F]food and digestive factors;

(ii) [W]weight, physical fitness and gender factors;

(iii) [P]psychological factors;

(iv) [T]tolerance; and

(v) [A]alcohol used in combination with other drugs.

[f.](c) Recognizing drinking levels:

(i) [E]explanation of behavioral signs and indications of impairment;

(ii) [C]classification of behavioral signs; and

(iii) [D]defining intoxication.

[g.](d) Recognizing the problem drinker and techniques for servers to help control consumption:

(i) [U]use of classification system;

(ii) [U]use of alcohol facts;

(iii) [C]continuity of service; and

(iv) [D]drink counting.

[h.](e) Overview of state alcohol laws:

(i) Utah liquor distribution and control;

(ii) [L]legal age;

(iii) [P]prohibited sales;

(iv) [T]third party liability and the Dram Shop Law;

(v) [L]legal definition of intoxication; and

(vi) [L]legal responsibilities of servers.

[i.](f) Techniques for dealing with the problem customer including rehearsal [or]and practice of these techniques[.] using face-to-face role play.

[j.](g) Intervention techniques:

(i) [S]slowing down service;

(ii) [O]offering food or nonalcoholic beverages;

(iii) [S]serving water with drinks;

(iv) [N]not encouraging reorders; and

(v) [C]cutting off service.

[k.](h) Establishing house rules for regulating alcoholic beverages:

(i) [M]management and co-workers' support; and

(ii) [D]dealing with minors; and

[l.](i) Alternative means of transportation and getting the customer home safely:

(i) [A]ask customer to arrange alternative transportation;

(ii) [C]call a taxi for transportation service;

(iii) [A]accommodations for the night; and

(iv) [T]telephone the police.

R523-23-8. Examination.

[1. ]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 [Commission]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:

a. Has a program course that:](1) The Division may certify an applicant who has a program course that:

[(i)](a) does not have a history of liquor law violations or any convictions showing disregard for laws related to being a responsible liquor provider;

[(ii)](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 [never]not been convicted of a felony or of any violation of the laws or ordinances concerning alcoholic beverages, [or involving moral turpitude]within the last five years;

[(iii)](c) agrees to notify the Division in writing of any changes in instructors and submit the [authorization]assurances called for in [item (2)]Subsection R523-23-9(1)(b) for all new instructors;

[(iv)](d) [C]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

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

R523-23-10. Grounds For Denial, Corrective Action, Suspension, and Revocation.

[1.](1) The Division may deny, suspend or revoke certification if:

[a.](a) the provider or applicant violates these rules, as provided in Section 62A-15-401[,]; or[:]

[b.](b) [If ]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.](c) [If ]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.](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.](a) [W]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.](b) [W]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.](1) The Director or designee may suspend the certification of a provider as follows:

[a.](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.](b) When a provider fails to take corrective action as agreed upon in its written response to the Division.

[c.](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.](2) The [d]Director or designee may revoke certification of a provider as follows:

[a.](a) A provider or its authorized instructors continue to provide the seminar while the provider is under a suspended certification.

[b.](b) A provider fails to comply with corrective action while under a suspension.

[c.](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.](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.](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.](b) The provider may request an informal hearing with the [d]Director within ten calendar days. The request shall be in writing. Within ten days following the close of the hearing, the Director shall inform the provider or applicant in writing as required under Section 63-46b-5. The provider may appeal to the Department of Human Services Office of Administrative Hearing as provided for under [UAPA]Section 63-46b-5.

KEY: substance abuse, server training

Date of Enactment or Last Substantive Amendment: [June 26, 2001]2006

Notice of Continuation: June 24, 2002

Authorizing, and Implemented or Interpreted Law: 62A-15-401

ADDITIONAL INFORMATION

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For questions regarding the content or application of this rule, please contact Thom Dunford at the above address, by phone at 801-538-4519, by FAX at 801-538-9892, or by Internet E-mail at TDUNFORD@utah.gov

For questions about the rulemaking process, please contact the Division of Administrative Rules (801-538-3764). Please Note: The Division of Administrative Rules is NOT able to answer questions about the content or application of these administrative rules.

[ 09/01/2006 Bulletin Table of Contents / Bulletin Page ]