AC4C Compliance Presentation
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AC4C Compliance Presentation

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December 13, 2011 AC4C Fall Retreat compliance presentation.

December 13, 2011 AC4C Fall Retreat compliance presentation.

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  • January 2011 compliance program started
  • When police powers are needed.
  • When officers go in to do a compliance check these are the things that they look for – point out the most common violations and that this is also posted online.
  • Refer to Licensees or License holder at least for a few reasons before using “you or your”
  • ABD and enforcement officials do not need a warrant to enter upon a licensed premises where alcoholic beverages are stored, served or sold during normal business hours to inspect for any violations.
  • Must be displayed on premises within public view.
  • Explain – beer and wine can be consumed on unlicensed premises but spirits cannot.
  • Summarize the exception portion -
  • Margarita machines where the alcohol is added in the machine – must be destroyed at the end of the night.
  • Last bullet – looking for bottles that are reused and have the 5 cent Iowa refund sticker on them.
  • Ages 18 is in the instance of open containers 16 year olds can sell products to go but cannot open the container or serve an open container (mixed drink, open beer, empty cocktail glass that had a drink in it, etc.)
  • Classc – bars, restaurants
  • Baseball diamonds – ad’s are not facing outwards towards the general public but face inside the baseball diamond. Outdoor service areas face inwards and cannot be displayed outwards to be viewed from outside the premises. (from driving by on the street or walking by on the sidewalk)
  • This was something that was previously allowable under the law, but it was not clearly defined.
  • . Our website is a great resource & we want to take some time to go show you some items that may benefit you when doing research, conducting surveys, or learning about what is going on at the Division. On the right in the News will be current press releases, publications or items that have been added to the website. Events: Are upcoming holidays or changes to the order schedule, we also post outreach events here - It’s a good idea to visit the homepage periodically to see what new items have been added
  • * Need to link over to the website and walk through the search process*

AC4C Compliance Presentation AC4C Compliance Presentation Presentation Transcript

  • ALCOHOL COMPLIANCE PRESENTATION Terry E. Branstad, GovernorStephen Larson, Administrator Kim Reynolds, LT. Governor
  • Topics of Discussion Alcoholic Beverages Division (ABD) compliance goals Violations of Iowa Code chapter 123 Reporting violations of Iowa Code chapter 123 to the ABD Helpful resources and tools to use for alcohol compliance Contact Information Q&A
  • Definitions Class “E” Licensee - For grocery stores, liquor stores, convenience stores, etc. Allows commercial establishments to sell liquor for off-premises consumption in original unopened containers Class “C” Liquor License - For taverns, bars, restaurants, etc. Allows commercial establishments to sell liquor, wine, beer and wine coolers for on- premises consumption. Also allows carry-out sales of beer and wine coolers in original unopened containers View slide
  • ABD Compliance Department Goals Provide a comprehensive compliance program to enforce the liquor laws of Iowa Code chapter 123 through education, voluntary compliance, and punitive regulations. Open a two-way communication channel with our partners to provide training, resources, assistance, and education regarding alcohol compliance. View slide
  • How Does an Investigation Begin?Complaints come through several avenues Complaint from public Law Enforcement Complaint to ABD Routine Compliance Checks Routine Audits
  • ABD Complaint to Law Enforcement Sample letter that goes to local law enforcement when assistance on an investigation is needed.
  • Top Liquor ViolationsTop three violations that are currently taking place in Iowa Infusing No records on licensed premises Keg registration violationsReasons a Licensee can lose their liquor license Delinquent Sales taxes Deleted corporations with Iowa Secretary of State No Dram shop insurance Sale to Minor – multiple offenses Misrepresentation on an application Felony conviction of one of the owners Imminent danger to public safety
  • Right to Enter Premises 123.30(1)(b) No licensee‟s premises shall have interior access to livings quarters without the living quarters privilege As a condition of issuance of a liquor license or beer or wine permit, the applicant must give consent to enforcement officials to enter upon the premises where alcoholic beverages are stored, served, or sold without a warrant during normal business hours of the licensee or permittee to inspect for violations of Iowa Code chapter 123 or ordinances and regulations that cities and boards of supervisors may adopt.
  • Right to Enter Premises 123.30(1)(b) All persons who enter upon a licensed premises to conduct an inspection shall present appropriate identification to the owner of the establishment or the person who appears to be in charge of the establishment prior to commencing an inspection, however this provision does not apply to undercover criminal investigations conducted by peace officers.
  • Liquor License
  • Consumption, Off-Licensed Premises 123.46oA person may not be intoxicated, or simulate intoxication in a public placeo A person shall not use or consume spirits, wine, or beer upon public streets or highwayso Beer and wine may be consumed or dispensed in an unlicensed premises or other public place, as long as a city ordinance does not prohibito A person shall not use or consume spirits in any public place except a premises covered by a liquor control license
  • Keep Record of Daily Gross Receipts 123.33o License/permit holders are required to keep the daily gross receipts of their business  alcohol purchase receipts and invoiceso ABD recommends the retention of records for a reasonable and customary time period (ABD has advised our customers that 3 years would be reasonable)o Use to confirm the licensee/permittee is following 3- tier system
  • Keep Records 123.138Records of beer purchases o Wholesalers required to keep records of the amount of beer sold and to whom it was sold o Retailers are required to keep records of beer purchases documenting date, who it was purchased from, and the amountKeg registration stickers required o Any retailer selling keg beer is required to purchase record booklets and stickers from ABD and apply a keg identification sticker to every keg sold to a consumer. They must also ensure the registration is filled out correctly  Name and address of purchaser  Drivers license #, non operator‟s id card #, or military id # (must contain a picture and signature)  Records kept for 90 days on the licensed premises
  • Illegal Purchase of Beer and Wine for Resale 123.142 & 123.181 All retailers holding a liquor license/beer permit are required to purchase their beer from an Iowa licensed wholesaler (123.142) o Bars, restaurants, grocery stores, liquor stores, gas stations, etc. All retailers holding a wine permit are required to purchase their wine from an Iowa licensed wholesaler (123.181) o Exception: A Class “E” liquor license holder may sell one case of wine per brand per day to retailers each day• All retailers holding a class “E” liquor license must purchase hard liquor from ABD. All retailers must purchase hard liquor from a Class “E” liquor licensees.
  • After Hours Sales/Consumption 123.49(2)(b) After hours activities o No alcohol can be sold, served, consumed, or given away after 2:00am o If the business offers other legal services, such as food, they may stay open to provide those services
  • Spirits in Container Other Than Original 123.49(2)(d) Infusing is currently the hot trend o Mixing spirits and other ingredients (fruits, vegetables, spices, etc.) and letting them ferment for days to then be resold as a flavored „infused‟ product All spirits are required to remain in their original container o Exception: Drinks made for immediate consumption o Examples: Bloody Mary, Margarita, etc.
  • Refilling Bottles 123.49(2)(e) Licensees/permittees are not allowed to do the following: o Refill or marry bottles - pouring two bottles of one product into the same bottle o Adulterate, add substances, or change in anyway the contents of the original package of spirits, wine, or beer o Can not have possession of any adulterated substance or reused package.
  • Selling on Credit 123.49(2)(c) Alcohol can‟t be sold on credit o Customer may run a tab while at the establishment, but must close and pay for the entire tab at the end of that business day, or before leaving the premises Officer may confiscate the tabs, or make copies of the tabs for evidence. Officers will then file a report with ABD for further review.
  • Employing a Person Under 18 123.49(2)(f) Must be 18 years of age or older to be a bartender, server and „busboy‟ of any alcoholic beverages. Must be 16 years of age to sell alcoholic beverages to-go (off-premises sales)
  • Allowing Persons to Bring Alcoholic Beverages Onto Premises 123.49(2)(g) • Spirits can not be brought into a licensed premises except by a licensee and their employees and only products purchased from a Class “E” licensee. • Beer and wine can be brought onto a licensed or unlicensed premises with the permission of the owner.
  • Alcohol Sold to Go 123.30(3) Class “E” liquor license holders is the only classification that can sell spirits to go. Class “C” liquor license holders selling alcohol by the drink to consume on the premises, can not sell spirits to go. Carryout beer is an automatic privilege with this classification• Wine may be sold to go with an additional privilege added to the establishments license
  • Brand Name or Logo Advertising Outside Premises 123.51 Spirits, beer, and wine brand/logo advertising is allowed on the inside of the premises Inside the premises includes outdoor services areas where advertisements are not displayed to the public. Signage posted inside the premises that can be seen through the window is allowable
  • Bootlegging 123.59• Selling alcohol without a license• Expired license• Selling/serving outdoors without outdoor service area privilege• Bringing spirits, wine, or beer across the state border to sell in your licensed establishment. o Looking for Iowa refund stickers
  • Licensing Process Licensee completes an online application If applicable – Dram shop company validates insurance Local authority approves or denies electronic application after city council or board of supervisors has approved or denied Iowa Alcoholic Beverages Division (ABD) approves or denies license
  • What‟s New in Alcohol Compliance New Legislation o Home delivery of alcoholic beverages by retailers o C-store licenses & Class “E” licensees with separate liquor rooms
  • Home Delivery of Alcoholic Beverages by Retailers 123.46A The following conditions must be met for home delivery of alcoholic beverages: o Retailer must be licensed to sell for off premise consumption o The payment of the spirits, wine, or beer must take place on the licensed premises at the time of the order o Alcohol delivered to a person must be for personal consumption and not for resale o Deliveries shall be made to only persons 21 years of age or older o Deliveries shall not be made to people who are intoxicated o Delivery hours are 6am-10pm Monday-Saturday and 8am- 10pm Sunday o Deliveries must be made by the licensee or their employees, not by a third party
  • Home Delivery of Alcoholic Beverages by Retailers 123.46A Continued…… o Deliveries shall be made in a vehicle owned, leased, or under the control of the licensee/permitee o Delivery person must be 21 years of age or older o Valid proof of the recipient‟s identity and age shall be verified at the time of the delivery, and obtain a signature of the recipient. o Licensee/permitee shall maintain records of deliveries showing the quantity delivered, recipients name and address, and the signature of the recipient of the alcohol. The records shall be maintained on the licensed premises for a 3 year period.
  • C-Store License and Class “E” license with Separate Premises C-store license or convenience stores licensed to sell spirits o New license will allow convenience stores and gas stations to sell spirits without requiring a separate room o Spirits can be stored throughout the entire premises and sold for consumption off the premises Class “E” liquor licenses at gas stations and convenience stores with separate spirits room o Must have a “separate premises” or room bound on all four sides from ceiling to floor with solid walls or windows o Must have a separate cash register o All spirits sales must take place in this room
  • IowaABD.com Homepage http://www.IowaABD.com/
  • eLicensing
  • License Searchhttps://elicensing.iowaabd.com/LicenseSearch.aspx
  • eLicensing Search
  • eLicensing Search Screen 2
  • eLicensing Search
  • License Classificationshttp://www.iowaabd.com/alcohol/licensees/licensing/licenses
  • Educationhttp://www.IowaABD.com/education
  • Contact InformationFor any questions on regulation please contact the licensing department at 1-866-469-2223 option 1 Or email licensing@IowaABD.com Annie Adamovicz – Administrative Hearing Officer 515.281.7426 Adamovicz@IowaABD.com Karen Freund – Director of Regulatory Affairs 515.281.7414 Freund@IowaABD.com
  • Contact Information Shannon Pogones- Education Outreach Coordinator 515.281.3426 Pogones@IowaABD.com