LQR-06-16-00003-P Alcohol Training and Awareness Program (ATAP) Application Processes and Program Requirements

2/10/16 N.Y. St. Reg. LQR-06-16-00003-P

NEW YORK STATE REGISTER

VOLUME XXXVIII, ISSUE 6

February 10, 2016

RULE MAKING ACTIVITIES

STATE LIQUOR AUTHORITY

PROPOSED RULE MAKING

NO HEARING(S) SCHEDULED

 

I.D No. LQR-06-16-00003-P

Alcohol Training and Awareness Program (ATAP) Application Processes and Program Requirements

PURSUANT TO THE PROVISIONS OF THE State Administrative Procedure Act, NOTICE is hereby given of the following proposed rule:

Proposed Action:

This is a consensus rule making to add Part 106 to Title 9 NYCRR.

Statutory authority:

Alcoholic Beverage Code Law, section 18(10)

Subject:

Alcohol Training and Awareness Program (ATAP) application processes and program requirements.

Purpose:

To enact statutorily required Alcohol Training and Awareness Program (ATAP) application processes and program requirements.

Text of proposed rule:

Title 9, Subtitle B, of the Official Compilation of Codes, Rules and Regulations of the State of New York (NYCRR), is hereby amended to include new Part 106.

Part 106 – Alcohol Training and Awareness Program

§ 106.1 Applicability of rule

This part shall apply to all Alcohol Training Awareness Program (“ATAP”) school Certificates of Approval and student Certificates of Completion issued pursuant to the Alcoholic Beverage Control Law.

§ 106.2 Filing of applications for ATAP School Certificates of Approval

An application for an ATAP School Certificate of Approval must be made on a form designated by the Authority and contain such information as shall be required by the Authority, including but not limited to all proposed course curriculum materials. Each ATAP school applicant shall designate an individual to act as a Director, and the Director shall be responsible for filing the Application for ATAP School Certificate of Approval, administration of approved ATAP school curriculum, issuance of student Certificates of Completion, and maintaining all of the ATAP school records, as required by the Alcoholic Beverage Control Law and this part. Completed applications for ATAP School Certificates of Approval, program materials, and the statutorily required application fee as set forth in the Alcoholic Beverage Control Law must be forwarded to “New York State Liquor Authority, Alcohol Training Awareness Program, 80 South Swan Street, Suite 900, Albany, NY 12210.” (Application fees must be in the form of a certified check or money order, and made payable to the “New York State Liquor Authority.”)

§ 106.3 Minimum curriculum requirements for ATAP schools

Prior to approval of any classroom ATAP school Certificate of Approval, the Director of the proposed classroom school, or such employee as may be appointed by the Director, shall provide the Authority with copies of all written materials associated with the course, and shall perform a mock classroom presentation of proposed course curriculum materials for Authority staff (or in the case of online based classes shall provide Authority staff with electronic access to a complete proposed class for review.)

All applications for ATAP School Certificates of Approval must contain the following minimum curriculum requirements:

(a) The licensee’s and server’s responsibility to not sell, deliver or give alcohol to any person under 21 years of age, or to any person who appears visibly intoxicated;

(b) The licensee’s and server’s responsibility to reasonably supervise the licensed premises;

(c) The licensee’s and server’s right to refuse any sale of alcoholic beverages to any underage person, intoxicated person, or person without proper written evidence of age;

(d) The licensee’s and server’s responsibility to establish that any delivery of alcoholic beverages was made in a reasonable reliance upon written evidence of age;

(e) Information regarding those forms of identification which may legally be accepted as written evidence of age including key features of each form of identification;

(f) Information regarding detection techniques through which false and fraudulent forms of identification may be discovered;

(g) Information regarding the devices and manuals which may be used to aid in the detection of false and fraudulent written evidence of age, and information with regard to the manner in which such devices and manuals may be obtained;

(h) For on-premises licensees, the licensee’s and server’s responsibility to not allow redelivery to any person under 21 years of age, or to any person who appears visibly intoxicated;

(i) Information regarding criminal liability and penalties for the crime of Unlawfully Dealing with a Child (New York Penal Law Sec. 260.20);

(j) Information regarding civil liabilities, general liabilities, responsibility and general obligations relative to sale of alcoholic beverages (New York General Obligations Law Sections 11-100 and 11-101); and

(k) First hand accounts from the public, illustrating the consequences of the failure of licensees and/or servers to operate in a safe, legal and responsible manner.

§ 106.4 Scheduled session notification requirements for approved classroom ATAP schools

All approved classroom ATAP schools must provide the Authority with a minimum of 14 days prior notification in advance of all classroom sessions utilizing a form and containing such information as shall be designated by the Authority.

§ 106.5 Recordkeeping requirements for ATAP schools

At the conclusion of each classroom session for approved classroom ATAP schools, the Director or such employee as shall be designated by the Director, shall provide each student that has successfully completed the approved classroom ATAP curriculum with a Student Certificate of Completion on a form designated by the Authority. Within seven days after any ATAP school has held a session of an approved ATAP program (whether classroom or online), the school must transmit to the Authority a roster of all students who successfully completed said class, in a format as directed by the Authority. Within seven days after the completion of a session of any approved ATAP school (whether classroom or online), the school must transmit to each person who has successfully completed the approved ATAP curriculum a Certificate of Completion in a format as directed by the Authority.

(a) Approved classroom ATAP schools are required to maintain the following records at the school’s business office, and shall be available for inspection by an employee of the Authority during business hours:

(1) A complete copy of the ATAP school’s application to the Authority for a Certificate of Approval, together with copies of all items submitted in support thereof; and

(2) A list of all classroom teachers, which list shall contain with respect to each such teacher, the full name, residence address, residence telephone number, work address, work telephone number, and such other and additional information as the authority may require; and

(3) A folder for each classroom teacher, containing that teacher’s employment application and all other documentary information considered by the school in employing the teacher to give a session of the approved ATAP program; and

(4) Copies of all approved “Scheduled Session” forms sent by the ATAP school to the Authority, which may be disposed of after having been maintained for a minimum of three years; and

(5) Copies of all student Certificates of Completion following each session of an approved ATAP program, which may be securely disposed of after having been maintained for a minimum of three years.

(b) Approved online ATAP schools are required to maintain the following records at the school’s business office, and shall make same available for inspection by an employee of the Authority upon request:

(1) A complete copy of the ATAP school’s application to the Authority for a Certificate of Approval, together with copies of all materials submitted in support thereof; and

(2) Copies of all Certificates of Completion following each session of the approved online ATAP program, which may be securely disposed of after having been maintained for a minimum of three years.

§ 106.6 Renewal of ATAP School Certificates of Approval

The Authority shall prescribe the form and manner of issuance of renewal applications for ATAP Certificates of Approval, which in all cases shall include an affidavit signed by the school’s Director reporting on changes in any information included in the school’s original application for an ATAP School Certificate of Approval. Each application for renewal shall include the statutorily required application fee as set forth in the Alcoholic Beverage Control Law and must be forwarded to “New York State Liquor Authority, Alcohol Training Awareness Program, 80 South Swan Street, Suite 900, Albany, NY 12210.” (Application fees must be in the form of a certified check or money order, and made payable to the “New York State Liquor Authority.”)

§ 106.7 Student Certificates of Completion

The Authority shall prescribe the form and manner of issuance of ATAP student Certificates of Completion, which shall be deemed expired three years after the date of the classroom or online ATAP session for which they were granted.

§ 106.8 Disapproval and Requests for Reconsideration

In the event that any application or renewal application pursuant to this Part is disapproved by the Authority, the applicant may seek reconsideration of the determination by the Members of the Authority. Requests for reconsideration must be submitted in writing to: Secretary to the Authority, 80 South Swan Street, Suite 900, Albany, NY 12210-8002. Such requests shall then be reviewed by a Member of the Authority and the determination by the Member of the Authority thereon shall be considered a final determination of the Authority.

§ 106.9 Hearings

ATAP School Certificates of Approval may be revoked by the Authority for failure to adhere to the Authority’s rules and regulations. Revocation hearings arising under this Part shall be conducted pursuant to Parts 53 and 54 of the Authority’s rules and regulations (9 N.Y.C.R.R. Parts 53 and 54.)

Text of proposed rule and any required statements and analyses may be obtained from:

Paul Karamanol, Senior Attorney, State Liquor Authority, 80 South Swan Street, Suite 900, Albany, NY 12210, [phone], email: [e-mail]

Data, views or arguments may be submitted to:

Same as above.

Public comment will be received until:

45 days after publication of this notice.

Consensus Rule Making Determination

This statement is being submitted pursuant to subparagraph (i) of paragraph (b) of subdivision (1) of section 202 of the State Administrative Procedure Act and in support of the New York State Liquor Authority’s (“Authority”) Notice of Proposed Rulemaking seeking to add new Part 106 of Title 9, Subtitle B, of the Official Compilation of Codes, Rules and Regulations of the State of New York (N.Y.C.R.R.)

It is apparent from the nature and purpose of this proposed rule that no person is likely to object to its adoption as written as it would merely implement or conform to non-discretionary statutory provisions under the Alcoholic Beverage Control Law (“ABCL”), and is otherwise non-controversial in nature. Part 106.1 sets forth filing applicability of the new part to all Alcohol Training Awareness Program (“ATAP”) school Certificates of Approval and student Certificates of Completion issued pursuant to the ABCL. Part 106.2 sets forth ATAP school application processes. Part 106.3 establishes minimum curriculum requirements for ATAP school applicants as required by the ABCL and merely restates policies that the SLA has long utilized and has been posted online for several years without industry objection. Part 106.4 sets forth the 14 day minimum notification for approved ATAP classroom sessions that the SLA has long utilized and has been posted online for several years without industry objection. Part 106.5 sets forth recordkeeping requirements for ATAP schools that the SLA has long utilized and has been posted online for several years without industry objection. Part 106.6 sets forth renewal processes for ATAP school Certificates of Approval that the SLA has long utilized and has been posted online for several years without industry objection. Part 106.7 establishes SLA authority for issuance of standard student Certificates of Completion by every ATAP school, as has long been SLA policy and has been posted online for several years without industry objection. Part 106.8 establishes administrative reconsideration request procedures for denied applicants and renewal applicants under this part. Part 106.9 sets forth revocation hearing procedures as required by ABCL Sec. 18(10).

Consistent with the definition of “consensus rule” as set forth in section 102(11) of the State Administrative Procedure Act, the Authority has determined that this proposal would merely implement or conform to non-discretionary statutory provisions under the Alcoholic Beverage Control Law (“ABCL”), and is otherwise non-controversial in nature and, therefore, no person is likely to object to its adoption as written.

Job Impact Statement

The proposed new Part 106 of Title 9, Subtitle B, of the Official Compilation of Codes, Rules and Regulations of the State of New York (9 N.Y.C.R.R. 106) would implement or conform to non-discretionary statutory provisions under the Alcoholic Beverage Control Law (ABCL), and is otherwise non-controversial in nature. New Part 106 would merely codify via regulation statutory policies contained in the ABCL that the Authority has been implementing for years without industry objection. As a result, and because it is evident from the nature of the proposed new Part 106 that it will have no substantial impact on any private or public sector jobs or employment opportunities in New York, no further steps were needed to ascertain negative impacts to job opportunities and none were taken by the Authority. Accordingly, a full Job Impact Statement is not required for the proposed new Part 106 and none has been prepared.