Section R19-1-103. A.R.S. Title 4 Training Course: Minimum Stan- dards

A.      As authorized by A.R.S. § 4-112(G)(2), the Department estab- lishes the following minimum standards for an A.R.S. Title 4 training course.

1.        A provider of a training course shall ensure that course content, training materials, and examination provide cur- rent reference and practical application of statute and this Chapter for:

a.         Basic  liquor   law  applicable   to  an  on-sale  retail licensee,

b.        Management training applicable to an on-sale retail licensee,

c.         Basic   liquor  law  applicable  to  an  off-sale  retail licensee, and

d.        Management training applicable to an off-sale retail licensee;

2.        A provider of a Basic On-sale training course shall ensure that the course is a minimum of three hours, excluding sign-in and break times, and course content includes the following topics:

a.         General law regarding spirituous liquor.

i.         Review  of  requirements  for  licensees   and employees in Title 4 and this Chapter,

ii.        Role and function of the Arizona Department of Liquor Licenses and Control,

iii.      Potential   legal   risks   to    an   on-sale   retail licensee,

iv.       Potential legal risks to an employee of an on- sale retail licensee,

v.        Distinction between off-  and  on-sale  license privileges, and

vi.       Types and privileges of on-sale retail licenses,

b.        Law regarding a licensed premises.

i.         The licensed premises defined;

ii.        Entertainment within or on the licensed prem- ises, private parties, special  events,  or gam- bling;

iii.      Spirituous liquor brought onto or removed from the licensed premises; and

iv.       Extending or changing the licensed premises.

c.         Law regarding age.

i.         Selling spirituous liquor to persons of legal age;

ii.        When to require identification of legal age;

iii.      Recognizing acceptable forms of identification;

iv.       Recognizing invalid forms of identification;

v.        Documenting identification inspection by using an ID Log;

vi.       Underage individuals in a bar or restaurant at which spirituous liquor is served;

vii.     The Covert Underage Buyer Program; and

viii.    Refusing to sell spirituous liquor to an under- age individual using policy, procedure, and skill assessment;

d.        Law regarding intoxication.

i.         The effects of spirituous liquor and recognizing signs of obvious intoxication;

ii.        Responsibility for the safety of customers;

iii.      Service limitations of spirituous liquor at a licensed premises, special event, or sampling event;

iv.       Monitoring customer consumption and inter- vention techniques using skill assessment; and

v.        Refusing spirituous liquor service or sale to an intoxicated individual using policy, procedure, and skill assessment;

e.         Law  regarding  second-party  sales  of  spirituous liquor.

i.         Definition of second-party sale,

ii.        Licensee responsibilities regarding second- party sales,

iii.      Recognizing a second-party purchaser,

iv.       Preventing a second-party sale, and

v.        Refusing to sell to a second-party purchaser;

f.         Employee consumption of spirituous liquor;

g.        Law regarding legal hours of sale and payment for spirituous liquor at retail locations;

h.        Disorderly conduct and acts of violence.

i.         Defining disorderly conduct and acts of vio- lence;

ii.        Maintaining order on the licensed premises using policy, procedures, and skill assessment;

iii.      Locating forms and reporting requirements for an act of violence;

iv.       Repeated acts of violence; and

v.        Firearms on the licensed premises;

i.         Management of problem situations.

i.         Kinds of problem situations that may arise,

ii.        Recognizing a problem situation, and

iii.      Employee responsibilities in a problem situa- tion; and

j.         Course review.

i.         Summarize course content,

ii.        Administer to all participants the examination required under subsection (A)(10),

iii.      Have all participants complete the Course Eval- uation Form required under subsection (A)(9), and

iv.       Issue to qualifying participants the Certificate of Completion required under subsection (A)(11).

3.        A provider of a Management On-sale training course shall ensure that the course is a minimum of two hours, excluding sign-in and break times, is preceded by the Basic On-sale training course outlined in subsection (A)(2), and management content includes the following topics:

a.         Making changes to and deactivating a liquor license.

i.         Liquor license application requirements;

ii.        The “capable, qualified, and reliable” require- ments for licensure;

iii.      Definition of controlling person, types of own- ership, and ownership that is unlawful;

Department of Liquor Licenses and Control

iv.       Local government approval of liquor license application, including an application for a spe- cial event;

v.        Distinction   between    the   Director   and   the Board; and

vi.       License application protests, requirements, and procedure;

b.        Law enforcement regarding spirituous liquor.

i.         Routine liquor inspection of premises,

ii.        Common liquor law violations,

iii.      Compliance meetings and actions,

iv.       Office of Administrative Hearings,

v.        Grounds for suspension or revocation,

vi.       Administrative liability,

vii.     Criminal liability, and

viii.    Civil liability;

c.         Licensed premises.

i.         Diagramming   licensed   premises,   including hotel and motel locations;

ii.        Altering licensed premises;

iii.      Changing name of business;

iv.       Patio requirements; and

v.        Unlicensed locations;

d.        Liquor license.

i.         Posting the liquor license,

ii.        Required and optional signs,

iii.      Renewing license,

iv.       Recordkeeping requirements,

v.        Employee log, and

vi.       Change in active or nonuse status;

e.         Management requirements.

i.         Defining on-site manager, responsibilities, and completion of the required questionnaire;

ii.        Managing employee and customer safety;

iii.      Changing managers;

iv.       Changing agents;

v.        Restructure; and

vi.       Locating forms and required reporting;

f.         Spirituous liquor marketing.

i.         Coupons and rebates,

ii.        Happy hour,

iii.      Advertising and signage, and

iv.       Promotional and novelty items;

g.        General business practices.

i.         Sources of spirituous liquor;

ii.        Credit purchase of spirituous liquor;

iii.      Delivering,  shipping,  and   internet  selling  of spirituous liquor;

iv.       Off-premise storage of spirituous liquor;

v.        Wholesaler   and   retailer   relationship    and inducements;

vi.       Sampling events of spirituous liquor;

vii.     Special events and auction of spirituous liquor;

viii.    Wine and food clubs;

ix.       Cooperative purchase of spirituous liquor,

x.        Locking entrance to licensed premises and pri- vate parties,

xi.       Limiting service to and consumption of spiritu- ous liquor by employees, and

xii.     Owner service and consumption of spirituous liquor;

h.        Disorderly conduct and acts of violence. The infor- mation specified under subsection (A)(2)(h) and management responsibilities; and

i.         Course review. The activities specified under sub- section (A)(2)(j).

4.        A provider of a Basic Off-sale training course shall ensure that the course is a minimum of two hours, exclud- ing sign-in and break times, and course content includes the following topics:

a.         General law regarding spirituous liquor.

i.         The information specified under subsections (A)(2)(a)(i) and (ii),

ii.        Potential legal risks to an off-sale retail licensee,

iii.      Potential legal risks to an employee of an off- sale retail licensee, and

iv.       Types and privileges of off-sale retail licenses;

b.        Law regarding a licensed premises. The information specified under subsections (A)(2)(b)(i), (ii), and (iv);

c.         Law regarding age. The information specified under subsections (A)(2)(c)(i) through (v) and (vii) and (viii);

d.        Law regarding intoxication. The information speci- fied under subsections (A)(2)(d)(i) through (iii), and (v);

e.         Law regarding second-party sales of spirituous liquor. The information specified under subsections (A)(2)(e);

f.         Employee consumption of spirituous liquor.

g.        Law regarding legal hours of sale.

i.         Legal hours of sale in Arizona, and

ii.        Refusing an after-hour sale using skill assess- ment;

h.        Law regarding sale of broken packages and on- premises consumption.

i.         Definition of broken package and on-premises consumption,

ii.        Advising a customer of off-sale consumption restrictions using skill assessment,

iii.      Refusing to allow a customer to open or con- sume spirituous liquor on the licensed premises using skill assessment, and

iv.       Refusing to allow a customer to consume spiri- tuous liquor in parking area or property adja- cent to licensed premises using skill assessment;

i.         Disorderly conduct and acts of violence. The infor- mation specified under subsection (A)(2)(h);

j.         Management of problem situations. The information specified under subsections (A)(2)(i); and

k.        Course review. The activities specified under sub- section (A)(2)(j).

5.        A provider of a Management Off-sale training course shall ensure that the course is a minimum of two hours, excluding sign-in and break times, and is preceded by the Basic Off-sale training course outlined in subsection (A)(4), and management content includes the following topics:

a.         Making changes to and deactivating a liquor license. The information specified under subsection (A)(3)(a);

b.        Law enforcement regarding spirituous liquor. The information specified under subsection (A)(3)(b);

c.         Licensed premises. The information specified under subsection (A)(3)(c);

d.        Liquor license. The information specified under sub- section (A)(3)(d);

e.         Management requirements. The information speci- fied under subsection (A)(3)(e);

f.         Spirituous liquor marketing. The information speci- fied under subsections (A)(3)(f)(i), (iii), and (iv);

g.        General business practices.

i.         The information specified under subsections (A)(3)(g)(i) through (vii) and (ix) though (xii), and

ii.        Drive-through purchase of spirituous liquor;

h.        Disorderly conduct and acts of violence. The infor- mation specified under subsection (A)(2)(h) and management responsibilities; and

i.         Course review. The activities specified under sub- section (A)(2)(j).

6.        A provider of a Basic Off-sale with On-sale Privileges training course shall ensure that the course addresses the topics specified under subsections (A)(2) and (4).

7.        A provider of a Management Off-sale with On-sale Privi- leges training course shall ensure that the course addresses the topics specified under subsections (A)(3) and (5).

8.        A provider of a management training course shall ensure that a sign-in roster is completed and provides the follow- ing information:

a.         Name of the course provider,

b.        Date on which the course was conducted,

c.         Location at which the course was conducted,

d.        Name of individual who taught the course,

e.         Printed name and signature of each participant, and

f.         Form of identification accepted by the provider to verify each participant’s identity and the number and expiration date of the identification;

9.        The Department shall provide a training provider with a Course Evaluation Form that allows a course participant to evaluate the knowledge and competence of the course trainer and the quality of the course.

10.     A provider of a training course shall administer an objec- tive examination to measure each participant's comple- tion of the course.

11.     The Department shall provide a training provider with an authorized Certificate of Completion form to issue to each participant who attends the course in its entirety, takes the examination required under subsection (A)(10), and completes the Course Evaluation form required under subsection (A)(9). The Department shall ensure that the Certificate of Completion contains the following infor- mation:

a.         Name of the participant who completed the course,

b.        Date on which the course was attended,

c.         Notice that the Certificate of Completion expires three years from the date of issuance,

d.        Whether the completed course addressed on-sale or off-sale retail requirements or a combination of both,

e.         Whether the completed course addressed basic or management information or a combination of both,

f.         Name of individual who taught the training course, and

g.        Name of the course provider.

12.     A provider of a training course shall:

a.         Maintain for two years:

i.         A record of all Certificates of Completion issued under subsection (A)(11),

ii.        Course Evaluation Forms completed by partici- pants as required under subsection (A)(9),

iii.      Examination results for each course participant as required under subsection (A)(10), and

iv.       Course sign-in rosters required under subsec- tion (A)(8); and

b.        Submit to the Department by August 1 of each year, either by mail or electronically, an updated syllabus, examination, and other course materials for each training course provided. The provider shall ensure that the updated syllabus, course materials, and examination clearly indicate:

i.         Whether the course is on-sale, off-sale, or a combination of both;

ii.        Whether the course is basic or basic plus man- agement;

iii.      The name of each trainer authorized by the pro- vider to teach each course;

iv.       A list of individuals who are no longer autho- rized by the provider to teach its courses; and

v.        The name, daytime telephone number, and e- mail address of the person responsible for the course provider.

B.       Before providing a training course to participants, the provider of the training course shall apply to the Department for approval of the course content.

C.      The provider of an approved training course shall, upon request, make the following available to the Department:

1.        Record  of  the  Certificates  of  Completion  maintained under subsection (A)(11);

2.        All  current  training  course  syllabi,  course  materials, examinations, and Employee Information Forms;

3.        A copy of all materials provided to course participants;

4.        A copy of all teaching aids used in the training course; and

5.        A  copy  of  the  Course   Evaluations  Forms  completed under subsection (A)(9).

D.      The Department may, at any time, review an approved training course to determine that the course continues to meet the mini- mum standards specified in this Section. A provider shall inform the Department, upon request, of the date, time, and location of all scheduled training courses and allow the Department to audit the courses for:

1.        Compliance with this Section, and

2.        Quality and accuracy of the training course content.

E.       If the Department determines that a training course fails to meet the minimum standards specified in this Section, the Department shall give notice to the course provider regarding the areas of non-compliance, the steps required to be in com- pliance, and the date by which compliance must be achieved.

F.       If the Department determines that a provider who received notice under subsection (E) failed to achieve compliance by the date specified, the Department may take action to suspend or revoke approval of the training course.

G.      This Section is authorized by A.R.S. § 4-112(G)(2).

Historical Note

Former Rule 3; Former Section R4-15-03 renumbered as Section R4-15-103 without change effective October 8, 1982 (Supp. 82-5). Section repealed, new Section  adopted effective March 3, 1993 (Supp. 93-1). R19-1-103 recodified from R4-15-103 (Supp. 95-1). Amended effec- tive June 4, 1997, under an exemption from certain provi- sions of the Administrative Procedure Act pursuant to Laws 1996, Ch. 307, § 18 (Supp. 97-2). Section repealed by final rulemaking at 19 A.A.R. 1355, effective July 6, 2013 (Supp. 13-2). New Section made by final rulemak- ing at 19 A.A.R. 1338, effective July 6, 2013 (Supp. 13-

2).

Department of Liquor Licenses and Control