Title 4. Department of Alcoholic Beverage Control Proposed Regulations

Text of modified proposed adopted language.

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ARTICLE 25
Responsible Beverage Service Training Program

Authority cited: Sections 25680-25686, Business and Professions Code.

§160. Responsible Beverage Service Training Program.

(a) The department adopts these regulations in compliance with Business and ProfessionsCode § 25681 with the intent to ensure effective responsible beverage service training forservers and their managers to curb harm of the overuse of alcohol in California communities.

(b) Definitions for use in this article and in interpreting and enforcing Business andProfessions code §§ 25680-25686.

(1) “ABC” means the Department of Alcoholic Beverage Control.

(2) “ABC on-premises license” means an ABC license that grants the privilege to servealcoholic beverages to patrons who then consume them within the licensed premises.

(3) “ABC on-premises licensee” means the owner of an ABC on-premises license

(4) “ABC licensed premises” means a location where an ABC on-premises licensee usesthe privileges granted by an ABC on-premises license.

(5) “Accreditation agency” means a business entity the department has given theauthority to approve RBS training courses and training providers according to the standards of the RBSTPA and this article.

(6) “Alcohol server certification exam” means an exam given to alcohol servers afterthey complete an RBS training course to test the alcohol server’s knowledge of the requiredcurriculum.

(7) “Initial employment” means the date an employee signs an employment contract oremployee tax and identification documents, whichever is sooner.

(8) “Interactivity element” means a portion of an RBS training course that reasonablyrequires alcohol servers to be engaged in the training, demonstrate their knowledge of thecurriculum, and develop an understanding of how to apply course material to their employment.

(9) “Manages or supervises” means any person who trains, directly hires, or overseesalcohol servers at an ABC licensed premises, or any person who trains alcohol servers how toperform the service of alcohol for consumption for an ABC on-premises licensee makes policy oroperational decisions dictating how alcohol service is performed at an ABC licensed premises,including but not limited to, when to check identification or when to refuse service to a patron.This definition specifically excludes an employee or contractor of another separate ABC licenseewho is training alcohol servers for marketing or distribution purposes.

(10) “Onsite” for the purposes of Business and Professions Code § 25682(c) means beingengaged and directly overseeing the service of alcohol for consumption by any persons on behalfof the nonprofit organization licensee. This includes, but is not limited to, creating and impartingresponsible beverage service policies to the other persons serving alcoholic beverages forconsumption at the event.

(11) “Online certification system” means an electronic online database maintained by thedepartment that alcohol servers, training providers, ABC on-premises licensees, law enforcementagencies, and the department will use to establish the validity of issued alcohol servercertifications.

(12) “Owners and officers” include any owner, director, or officer of a business entity thathas at least a ten percent interest or control of a business entity.

(13) “RBS” means responsible beverage service.

(14) “RBS trainer” means an owner, contractor, or employee of a training provider thatdelivers an RBS training course to alcohol servers either in-person or online.

(15) “Serving alcoholic beverages for consumption” means performing any of thefollowing actions by an alcohol server as an employee or contractor of an ABC on-premiseslicensee when interacting with a patron of the ABC licensed premises: (A) checking patronidentification, (B) taking patron alcoholic beverage orders, (C) pouring alcoholic beverages forpatrons, or (D) delivering alcoholic beverages to patrons.

§161. Responsible Beverage Service Training Course General Requirements

(a) Training providers shall present, at a minimum, the topics and information containedin California Code of Regulations Title 4 §§162 -166 to alcohol servers in their RBS trainingcourse.

(b) Interactivity elements must occur, at a minimum, during an RBS training courseportion for each of the five major curriculum topics in Business and Professions Code §25680(c).

(c) A training provider shall provide handouts, electronic files, or transcripts detailing itsRBS training course content to aid alcohol servers in refreshing their knowledge after theycomplete an approved RBS training course.

(d) None of the curriculum topics described in California Code of Regulations Title 4 §§162 -166 shall be interpreted as imposing new or changing existing requirements onlicensees, but instead only define course content requirements for RBS training courses.

§162. Curriculum requirements for the social impact of alcohol.

(a) The general positive impact of alcohol sales on the community.

(b) The general negative impact of alcohol sales on the community.

(c) Specific costs to the community for overuse of alcohol:

(1) Alcohol related crimes:

(A) Driving under the influence;

(B) Domestic violence; and

(C) Assault, including sexual assault.

(2) Increased calls to first responders:

(A) Emergency medical transporters;

(B) Law enforcement; and

(C) Fire departments.

(3) Neighborhood quality of life:

(A) Noise;

(B) Litter;

(C) Crime; and

(D) Public indecency.

(4) Public health risks:

(A) Binge drinking;

(B) Alcoholism;

(C) Diseases, including cancer and cirrhosis; and

(D) Alcohol poisoning and death.

(d) The alcohol server’s responsibility to the community as the gatekeepers of personsobtaining alcohol in public establishments.

§163. Curriculum requirements for the impact of alcohol on the body.

(a) Physiology of alcohol on the human body.

(1) Alcohol’s path through the human body:

(A) No digestion needed in alcohol absorption;

(B) Alcohol is absorbed into the bloodstream after consuming;

(C) Some consumed alcohol is absorbed through the stomach lining; and

(D) Most consumed alcohol is absorbed quickly through the small intestine.

(2) How the human body processes alcohol:

(A) Most alcohol must be processed by the liver to remove it from the body;

(B) The liver metabolizes approximately one alcoholic drink equivalent or standard sizeddrink per hour;

(C) The liver does not speed up metabolization when the bloodstream has excessivealcohol; and

(D) Alcohol in the blood stream causes intoxication.

(3) Common myths about sobering up.

(4) Alcohol’s effect on the human body:

(A) Alcohol depresses the central nervous systems’ functions, including judgment,inhibitions, and reaction times;

(B) Alcohol depletes the body’s fluids and causes thirst and dehydration; and

(C) The liver normally maintains the body’s blood-sugar levels, but when alcohol ispresent the liver ceases normal functions to metabolize the alcohol from the bloodstream.

(b) Alcohol-impaired driving:

(1) Slows reaction times;

(2) Reduced or decreased vision;

(3) Impaired judgment; and

(4) Reduction in concentration and coordination.

(c) Blood Alcohol Concentration (BAC) levels and associated symptomologies:

(1) The definition of intoxication by alcohol; and

(2) Intoxication can occur in as little as one alcoholic drink equivalent or standard drink.

(d) Potential signs of intoxication.

(1) Physical reactions:

(A) Slurred and varied speech;

(B) Slow and deliberate movement;

(C) Decreased alertness; and

(D) Loss of coordination while sitting or standing.

(2) Physical appearance:

(A) Red or watery eyes;

(B) Sweating;

(C) Droopy eyelids;

(D) Face appearing flushed or red;

(E) Disheveled clothing;

(F) Lack of eye focus; and

(G) An odor of alcohol.

(3) Lowering of inhibitions:

(A) Overly friendly;

(B) Use of foul language;

(C) Increased volume of speech; and

(D) Increased rate of alcohol consumption.

(4) Loss of judgment:

(A) Complaints about the strength of the alcoholic beverages being served;

(B) Carelessness with money;

(C) Increasingly argumentative; and

(D) Makes irrational statements.

(e) Factors affecting the severity of intoxication.

(1) Amount and speed of consumption of alcohol:

(A) Food in the stomach can slow the rate of intoxication; and

(B) The higher the amount of alcohol consumed the more alcohol is found in the bloodstream.

(2) Drinking alcohol rapidly, like binge drinking, can quickly lead to higher levels ofintoxication.

(3) Tolerance to alcohol, drugs, and other toxic substances can build up over time as thehuman body adapts:

(A) Varies from person to person;

(B) Increased tolerance lessens the effects of alcohol on the central nervous system; and

(C) A person with high tolerance can hide effects of intoxication while still beingimpaired.

(4) Medications or recreational and illegal drugs can have very harmful effects whenmixed with alcohol:

(A) Medications, and recreational and illegal drugs, can themselves impair the humanbody in similar ways to alcohol intoxication; and

(B) Combining alcohol with medications or recreational and illegal drugs can lead to sideeffects from discomfort to death.

(5) Altitude can make alcohol intoxication nearly twice as potent on the human body.

§164. Curriculum requirements for state laws and regulations relating to alcoholicbeverage control, including laws and regulations related to driving under the influence.

(a) Information contained in Business and Professions Code § 25682.

(b) Information contained in Title 4 California Code of Regulations § 160(b).

(c) Information contained in Business and Professions Code § 25683.

(d) Information contained in Business and Professions Code § 25684.

(e) Categories of crimes in California:

(1) Definition of and penalties for infractions in California;

(2) Definition of and penalties for misdemeanors in California; and

(3) Definition of and penalties for felonies in California.

(f) Types of liability for licensees, their employees, and their contractors.

(1) Criminal liability:

(A) Committing a criminal act; and

(B) Penalties include monetary fines, community service, and jail time.

(2) Administrative liability:

(A) Action against the license;

(B) The purpose of penalties is not punishment, but to deter licensee’s using licenseprivileges in ways contrary to law and that puts the community’s health, safety, and welfareat risk; and

(C) Penalties include the suspension of license privileges, the imposition of conditions,and revocation of a license.

(3) Civil liability:

(A) Information contained in Business and Professions Code § 25602.1;

(B) General negligence and reckless conduct; and

(C) Monetary liability includes payments to victims who bring civil lawsuits.

(g) Laws related to the service of alcohol for consumption:

(1) Information contained in Business and Professions Code § 25658(a), (c), (d);

(2) Information contained in Business and Professions Code § 25665;

(3) Information contained in Business and Professions Code § 25602(a);

(4) Information contained in Penal Code § 647(f);

(5) Information contained in Business and Professions Code § 25663(a), (c);

(6) Information contained in Business and Professions Code § 24200.5(a);

(7) Information contained in Vehicle Code § 23152(a), (b), (g);

(8) Information contained in Business and Professions Code §§ 25631-25632;

(9) Information contained in Health and Safety Code § 11362.3(a)(1)-(3), (b)(2), (b)(4),and (c);

(10) Information contained in Business and Professions Code § 25621.5; and

(11) Information contained in California Code of Regulations Title 17 § 40300.

(h) Regulation of alcoholic beverages.

(1) Alcohol-related laws are enforced by state and local law enforcement agencies.

(2) Role of the department:

(A) The department licenses businesses to sell alcohol;

(B) ABC agents are sworn peace officers;

(C) Definition of a sworn peace officer in California; and

(D) Information about the Target Responsibility for Alcohol Connected Emergencies(T.R.A.C.E.) protocol.

(i) Role of local law enforcement officers:

(1) Local law enforcement is required to enforce alcohol laws; and

(2) Local law enforcement officers are required to send the department all arrest reportsand calls for service at ABC licensed locations.

(3) Inspection rights and peace officer authority:

(A) Any sworn peace officer, whether in uniform or in plain clothes, has the right to visitand inspect any licensed premises at any time during business hours;

(B) The right to inspect is not dependent on probable cause or obtaining a warrant;

(C) The right to inspect extends to the bar, back bar, store room, office, closed or lockedcabinets, safes, kitchen, or any other area within the licensed premises;

(D) Interfering in any way with a peace officer’s right to inspect is grounds for arrest andlicense revocation; and

(E) The ABC agent’s right to inspect also extends to licensee records required to be keptunder Business and Professions Code Division 9.

(j) Local jurisdictions may have additional laws, ordinances, or provisions that apply toan ABC licensed location in their area in addition to the statewide laws.

§165. Curriculum requirements for intervention techniques to prevent the service or saleof alcoholic beverages to underage persons or intoxicated patrons.

(a) Checking identification (ID) of patrons prior to serving alcohol.

(1) Twenty-one is the minimum age for a person to legally purchase or consume alcoholicbeverages in California.

(2) If prior to serving alcohol an alcohol server diligently inspects a patron’s ID andreasonably concludes it is legally acceptable (even if it turns out to be a fake ID), and theappearance of the minor indicates the minor could be twenty-one years of age or older, thealcohol server has a defense to a charge of selling to a minor.

(b) Characteristics of a legally acceptable ID:

(1) Issued by a government agency;

(2) Contains the name, date of birth, photograph, and physical description of the IDholder; and

(3) A valid expiration date.

(c) Legally acceptable ID’s including the information found in Business and ProfessionsCode § 25660:

(1) State issued driver’s licenses and identification cards;

(2) Military ID’s, even without a physical description of the ID holder; and

(3) Government issued passports, even without a physical description of the ID holder.

(d) Unacceptable ID’s:

(1) Expired ID;

(2) School or Work ID;

(3) Obviously altered ID;

(4) ID belonging to someone else; and

(5) Interim or temporary state issued driver licenses.

(e) Elements of a valid California Real ID.

(f) Elements of a valid California Federal Non-Compliant ID.

(g) Indicators of a false ID:

(1) Photograph appears raised or altered;

(2) Thickness of the card, too thick or too thin;

(3) Lumps, bumps, or creases on the surface of the card;

(4) The card can be peeled apart;

(5) Alterations of the birthdate; and

(6) Signature written in ink.

(h) Techniques for checking ID:

(1) Physically hold the ID;

(2) Look at the front and back of the ID;

(3) Compare the photograph to the ID holder;

(4) Compare the physical description to the ID holder;

(5) Verify the information on the card by asking questions of the ID holder;

(6) Compare the signature on the ID to a fresh signature given by the ID holder; and

(7) Check for security features visible by UV light or flashlight.

(i) The alcohol server’s right to refuse service of alcoholic beverages, informationcontained in Business and Professions Code § 25659.

(j) Avoiding service to obviously intoxicated patrons:

(1) Use effective listening and visual cues to determine when patrons have becomeobviously intoxicated; and

(2) Do not advocate for continued drinking when one patron attempts to buy a beveragefor another patron who no longer wants a beverage.

(k) When to refuse service:

(1) If a patron’s ID is invalid;

(2) If the patron becomes belligerent;

(3) If a patron is obviously intoxicated either by alcohol, medication, or recreational orillegal drugs;

(4) If a patron requests service outside the hours of operation; and

(5) If a server has any doubts about any of the preceding factors.

(l) Techniques for an alcohol server refusing service to a patron:

(1) Be courteous but firm in telling patrons they can no longer be served;

(2) Be quiet and discrete;

(3) Be assertive in the decision to stop alcoholic beverage service;

(4) Focus on statements about the alcohol server’s duty and liability not to serve;

(5) Do not bargain with the patron;

(6) The server should inform managers and co-workers of the decision, identity of theperson, and reasons the person should no longer be served alcohol;

(7) Inform other members of the patron’s group, if any; and

(8) Offer a glass of water, non-alcoholic beverage, or food item.

(m) Identifying persons under the influence of medication or recreational or illegal drugs.

(1) Depressants:

(A) Define what a depressant is;

(B) Identify common depressants; and

(C) Identify signs of a patron being under the influence of a depressant.

(2) Stimulant:

(A) Define what a stimulant is;

(B) Identify common stimulants; and

(C) Identify signs of a patron being under the influence of a stimulant.

(3) Hallucinogenic (psychedelics):

(A) Define what a hallucinogenic is;

(B) Identify common types of hallucinogenic; and

(C) Identify signs of a patron being under the influence of a hallucinogenic.

§166. Curriculum requirements for the development of management policies that supportthe prevention of service or sale of alcoholic beverages to underage persons or intoxicatedpatrons.

(a) ABC Licensee’s duty to ensure policies are created to guide employees in the serviceof alcoholic beverages for consumption in their licensed premises according to legal standards:

(1) If an administrative violation occurs on the licensed premises, the license for thatpremises is at risk for administrative penalties;

(2) Information contained in Title 4 California Code of Regulations § 144;

(3) Explanation of aggravating and mitigating factors upon administrative penalties; and

(4) Information contained in Business and Professions Code § 23095(a)-(c).

(b) Benefits for an ABC on-premises licensee of having policies in place for the service ofalcoholic beverages for consumption to the public:

(1) Policies ensure uniformity of responsible business practices;

(2) Policies ensure an ABC licensed premises is a safe and comfortable space for patronsand employees; and

(3) Policies reduce the risk of criminal, civil, and administrative liability for the ABClicensee, its agents, and its employees.

(4) Effective policies increase profitability of the ABC licensed premises.

(c) Guidelines for the effective development of policies for the service of alcoholicbeverages for consumption to the public:

(1) Develop policies to enforce objectives like preventing alcohol service to minors andoverly-intoxicated persons;

(2) Develop policies to comply with all state and local laws pertaining to the ABC onpremises licensed premises; and

(3) Develop strategies for instructing and reinforcing policy implementation bymanagement and employees.

(d) Guidelines for the effective use of policies for the service of alcoholic beverages forconsumption to the public:

(1) Written policies should be clear and specific;

(2) Policies should be reviewed for relevance and accuracy, especially if there are frequentincidents of violence or illegal activity requiring peace officer assistance;

(3) Policies need to be taught and enforced with each employee; and

(4) Policies should be reinforced through regular training and meetings with employees.

(e) Critical RBS policy elements:

(1) Stopping alcoholic beverage service to a patron;

(2) Encouraging intoxicated patrons travel home safely;

(3) Handling patrons who arrive already intoxicated;

(4) Handling potentially violent situations;

(5) Handling illegal activities;

(6) Dealing with underage patrons;

(7) How and when to check a patron’s identification;

(8) Handling emergency situations;

(9) Implementing an incident log;

(10) Prohibiting employees consuming alcohol while working; and

(11) Prohibiting promotions that encourage intemperate consumption of alcoholicbeverages or unlawful discrimination:

(A) Two for one drink specials;

(B) Ladies nights; and

(C) All you can drink or ‘bottomless’ alcoholic drink specials.

(f) Use of an incident log for the following incidents for employee communication:

(1) When alcoholic beverage service was stopped for a patron;

(2) When alternate transportation has been arranged for a patron;

(3) Any seizure of an identification;

(4) A patron becoming ill due to over consumption of alcohol;

(5) Any injury, medical treatment, or hospitalization of a person on the ABC licensedpremises;

(6) Any illegal or violent incidents occurring on the ABC licensed premises; and

(7) Any calls for law enforcement assistance or other contact with peace officers.

(g) Interacting with law enforcement:

(1) ABC licensees, their employees, and their agents are expected to cooperate with allsworn peace officers, including ABC agents and local law enforcement;

(2) Frequent calls for law enforcement assistance at an ABC – licensed premises can begrounds for an administrative action to suspend or revoke the license; and

(3) Policy changes to avoid frequent need for law enforcement assistance could includehiring more employees, closing earlier, hiring security guards, changing the type of musicplayed, and increasing lighting on the premises.

(h) Discrimination against classifications of individuals included in California Civil Code § 51.6 at an ABC licensed premises is prohibited:

(1) Information contained in Business and Professions Code § 125.6; and

(2) Prohibition includes discrimination by drink specials.

(i) Hiring practices for alcohol servers:

(1) To pour and serve an alcoholic beverage, an employee must be 21 years or older;

(2) If incidental to food service, an employee who is at least 18 years old may serve analcoholic beverage, but not pour;

(3) ABC on-premises licensees must independently confirm any employed or contractedalcohol server is certified under Business and Professions Code § 25682 (b)(1); and

(4) ABC on-premises licensees’ employment and payroll records shall be kept for fouryears and made available for inspection by ABC agents upon request.

(j) Good hospitality policies for the service of alcoholic beverage for consumption bypatrons at an ABC licensed premises:

(1) Offer or serve a glass of water with the service of alcohol;

(2) Serve one beverage per patron at a time;

(3) Slow beverage service if needed;

(4) Do not serve a beverage to anyone who does not want one;

(5) Offer alternative non-alcoholic beverages;

(6) Offer food promotions;

(7) Offer promotions for designated drivers;

(8) Advise managers and coworkers when ceasing service to a patron; and

(9) Encourage all patrons have a safe ride to their next destination.

(k) Monitoring patrons’ alcoholic-beverage intake:

(1) The standard beverage size for all poured alcoholic beverages are generally as follows:

(1) The alcoholic drink equivalent, or standard drink, is a specific measure of 14 g/0.6 fl.oz. of alcohol per serving. The following are average sizes by type of alcohol and theiraverage alcohol by volume.

(A) 12 oz. beer or cooler, about 5% alcohol by volume;

(B) 8 to 9 oz. malt liquor, including some beers greater than 7% alcohol by volume;

(C) 5 oz. table wine, 12% alcohol by volume; and

(D) 1.5 oz. 80 proof-distilled spirit, 40% alcohol by volume;

(2) Use measuring devices to ensure standard drink sizes or alcoholic drink equivalents are used for all types of alcoholic beverages. The size of an alcoholic drink equivalent isdependent upon the alcoholic beverage’s alcohol by volume or ABV;

(3) Mixed beverages may have multiple servings within one drink; and

(4) Using correct pours ensures profitability of the business and helps the alcohol servercalculate how much a patron has consumed to comply with other policies against servingobviously intoxicated persons patrons.

(b) Policies for monitoring common behavior of minors seeking alcohol service:

(1) One patron ordering alcoholic beverages for a large group that may include one ormore minors;

(2) Making excuses for not having an identification; and

(3) Finding secluded locations in the licensed premises where employees cannot monitortheir activity.

(c) Polices on the economics of quality hospitality service:

(1) Having multiple interactions with patrons to evaluate their moods and needs;

(2) Listening to patron complaints, compliments, and suggestions for improvement ofservice;

(3) Sharing feedback with management; and

(4) Recognizing that better service and patron engagement will help the establishment bemore popular and more productive.

§167. Accreditation Agencies Application and Standards.

(a) To seek approval to be an accreditation agency, a business entity must submit thefollowing information to the department:

(1) Legal entity name and DBA;

(2) Legal structure of the business entity;

(3) A business entity subject to registration with the California Secretary of State, mustprovide proof of that registration, including person designated for service of process and theircontact information;

(4) A list of owners and officers, their contact information, personal identificationinformation, and titles;

(5) Email contact information;

(6) Telephone contact information;

(7) Business address;

(8) Mailing address if different;

(9) A list of any arrests or convictions for crimes of moral turpitude by owners or officersof the business entity;

(10) An affidavit explaining in writing how the business entity, its owners, and officerscomply with the accreditation agency approval criteria;

(11) Descriptions of accreditation policies and procedures to approve training providersand RBS training courses using the standards in Business and Professions code § 25681(b) andCalifornia Code of Regulations Title 4 §168(b); and

(12) Fingerprints of all owners and officers;

(A) To be valid, each fingerprinting shall be verified by a governmental body such as anotary or through an electronic fingerprinting service such as Live Scan.

(B) The department is not responsible for the payment of any fees associated with thereview or validation of criminal history by fingerprint of any owner or officer; and

(13) The initial review fee set forth in this section, subsection (m)(1).

(b) Approval criteria for an accreditation agency:

(1) An accreditation agency, its owners and officers, director, employees, or agents shallnot have any ownership interest, directly or indirectly, in the business, property or license of anyABC licensee;

(2) An accreditation agency, its owners and officers, director, employees, or agents shallnot have any ownership interest, directly or indirectly, in the business or property of any trainingprovider;

(3) An accreditation agency, its owners, and officers shall not be RBS trainers.

(4) An accreditation agency shall have the ability to provide technical support to trainingproviders it accredits;

(5) An accreditation agency shall apply the same standards for approval of RBS trainingproviders and RBS training courses used by the department as set forth in Business andProfessions code § 25681(b) and California Code of Regulations Title 4 §168(b);

(6) An accreditation agency shall maintain strict data security protocols that protectdisclosure of private training provider information, including payment information, receivedduring its RBS training course approval process; and

(7) An accreditation agency’s owners and officers must not have been convicted of anycrimes of moral turpitude, as that term is applied to ABC license holders under Business andProfessions Code §24200(d).

(c) If the department needs more information or clarification to approve an accreditationagency application, the prospective accreditation agency will have 60 days to respond from thedate the department’s request is issued. If the prospective accreditation agency does not respondwithin the specified period, the application will be deemed abandoned and withdrawn. Theaccreditation agency’s response is considered received the day it is delivered to the departmenteither electronically, in person, or by mail.

(d) Accreditation agencies shall maintain current contact information with thedepartment. Any department communication is presumed received and notice requirements aredeemed effective if the communication is sent to the accreditation agency using the contactinformation on record.

(e) Accreditation agencies shall maintain current lists of all owners and officers andensure any changes to its owners and officers continue to comply with the accreditation agencyapproval criteria.

(f) When approving a training provider or RBS training course, an accreditation agencyshall use the policies and procedures to approve training providers and RBS training courses itsubmitted to the department under California Code of Regulations Title 4 §167(a)(11).

(g) An accreditation agency shall notify the department through the department’s onlinecertification system within five business days of any training provider accreditation given.

(h) An accreditation agency shall provide the department with a record of all informationthe accreditation agency received from the training provider during its approval process. Therecord must include the following documents; the RBS training course; handouts, electronicfiles, or transcripts; explanation and affidavit that the training provider complies with all trainingprovider approval criteria; written explanation of the interactivity elements in the RBS trainingcourse; written explanation of training provider’s compliance with the record keeping, customersupport, and security requirements; and the list of any arrests or convictions for crimes of moralturpitude by the individual, or owners or officers of the business entity.

(i) The record shall be submitted to the department in electronic formats through thedepartment’s online certification system.

(j) The department may deny, revoke, or suspend an accreditation agency approval if itfinds any of the following conduct by the accreditation agency:

(1) The accreditation agency does not meet the approval criteria;

(2) The accreditation agency application is incomplete;

(3) The accreditation agency misrepresented material facts in its application;

(4) The department is informed an owner or officer of the accreditation agency hascommitted a crime of moral turpitude, as that term is applied to ABC license holders underBusiness and Professions Code §24200(d);

(5) The accreditation agency fails to inform the department of a change in its owners orofficers.

(6) The accreditation agency perpetuates a fraud in approving training providers;

(7) The accreditation agency does not provide the department with requested recordsjustifying training provider approvals;

(8) The accreditation agency fails to notify the department of training provider approvals;or

(9) The accreditation agency does not follow the standards set forth in Business andProfessions code § 25681(b) and California Code of Regulations Title 4 §168(b) to approvetraining providers.

(k) The department authorization to be an accreditation agency grants the accreditationagency the due process rights accorded to ABC licensees under Business and Professions code §23009 but does not grant a license to the accreditation agency. If an accreditation agency wishesto challenge a department decision to deny, suspend, or revoke department authorization, it issubject to the processes, procedures, and due process rights of licensees under Business andProfessions Code Division 9 Chapters 6 – 8.

(l) The accreditation agency must renew its approval annually.

(1) Approvals expire at midnight on the last day of the month in which the approval wasgiven in the previous year.

(2) On or before the first day of the month preceding the month that the approvalexpires, the department shall notify the accreditation agency using the contact information on filewith the department.

(3) To seek renewal, the accreditation agency shall submit an itemized list of any changesit has made since its submission of its initial application, or last annual renewal, that modifieshow the accreditation agency approves training providers, approves RBS training courses, orcomplies with the accreditation agency approval criteria. The accreditation agency shall submitthe annual renewal fee set out in California Code of Regulations Title 4 § 167 (m)(2).

(4) The department shall review the submitted list of changes and renew the accreditationagency using the same approval standards as the initial review.

(5) If an approval expires pursuant to subsection (l)(1), the approval may still be renewedwithin 60 calendar days of the expiration following the process described in subsection (l)(3).For renewals submitted during this 60-day time period, the accreditation agency shall submitpayment of the annual renewal fee set out in California Code of Regulations Title 4 § 167 (m)(2),plus a penalty fee that shall be equal to 50 percent of the annual renewal fee.

(6) Unless otherwise terminated, or until renewed, an approval that is in effect during theexpiration month shall continue in effect through midnight of the 60th day following expirationof the approval pursuant to subsection (l)(1), at which time it is automatically cancelled.

(7) On or before the 10th day preceding the cancellation of the approval pursuant tosubsection (l)(6), the department shall notify the accreditation agency using the contactinformation on file with the department that its approval will be cancelled under California Codeof Regulations Title 4 § 167(l)(6).

(m) The following non-refundable fees are established to recover the reasonable costs of the department for review, approval, and renewal of the accreditation agency standards:

(1) Initial accreditation agency review fee of $1000.00; and

(2) Annual renewal fee of $250.00.

§168. Training provider application and standards.

(a) To seek departmental approval to be a training provider, an individual or businessentity must submit the following information to the department through its online certificationsystem to complete an application:

(1) Legal entity name and DBA;

(2) Legal structure of the business entity;

(3) A business entity subject to registration with the California Secretary of State mustprovide proof of that registration, including person(s) designated for service of process and theircontact information;

(4) A list of owners and officers, their contact information, personal identificationinformation, and titles;

(5) Email contact information;

(6) Telephone contact information;

(7) Business address;

(8) Mailing address, if different;

(9) A proposed RBS training course, consisting of an electronic program, electronic files,recordings, transcripts, or course outline to be approved by the department, and an itemized andtabulated record of how the proposed RBS training course complies with California Code ofRegulations Title 4 §§161-166;

(10) Written explanation of the interactivity elements to be used in its proposed RBStraining course required by California Code of Regulations Title 4 §161 (b);

(11) A copy of the handouts, electronic files, or transcripts detailing the RBS trainingcourse content provided to alcohol servers for their use after completing the RBS training courseas required by California Code of Regulations Title 4 §161 (c);

(12) Affidavit explaining how and attesting that the training provider complies with eachtraining provider approval criteria in subsection (b) of this section;

(13) A list of any arrests or convictions for crimes of moral turpitude by the owners orofficers of the business entity; and

(14) The initial review fee set forth in California Code of Regulations Title 4 § 168.3(l)(1).

(b) Approval criteria for training providers:

(1) A training provider must meet the background and expertise requirement in Businessand Professions Code § 25681 (b)(1)(A), meaning a training provider must have at least oneowner, employee, or consultant with degrees, work experience, or certifications in alcohol,training, hospitality, and psychology included in the creation of its RBS training course;

(2) A training provider’s proposed RBS training course(s) must comply with theminimum standard curriculum as set forth in California Code of Regulations Title 4 §§161-166herein and be approved by the department or an accreditation agency prior to its use.

(3) Training providers must comply with requirement in Business and Professions Code § 25681 (b)(1)(B) for keeping records of alcohol server certifications issued. Training providersmay use the department’s online certification system as a compliant record keeping program;

(4) Training providers must comply with the requirement in Business and ProfessionsCode § 25681 (b)(1)(C) to have the ability to give technical support required for alcohol serversto complete their RBS training course;

(5) Training providers must comply with the requirement in Business and ProfessionsCode § 25681 (b)(1)(D) for data security protocols for any collected alcohol server information,online payments, and alcohol server certification records kept outside the department’s onlinecertificate system; and

(6) Training providers’ owners and officers must not have been convicted of any crimesof moral turpitude, as that term is applied to ABC license holders under Business and ProfessionsCode §24200(d).

(c) If the department needs more information or clarification to approve a trainingprovider application, the prospective training provider will have 60 days to respond from the datethe department’s request is issued. If the prospective training provider does not respond in thespecified time period, the application will be deemed abandoned and withdrawn. The trainingprovider’s response is considered received the day it is delivered to ABC either electronically, inperson, or by mail.

§168.1. Registration of training providers approved by an accreditation agency.

(a) If a training provider and its RBS training course are approved through anaccreditation agency, the training provider does not need to pay any departmental fees for theinitial review of its RBS training course.

(b) If a training provider and its RBS training course is approved through an accreditationagency, the training provider must provide the following registration information to thedepartment after or concurrent with accreditation agency approval in order to operate under theirapproval:

(1) Legal entity name and DBA;

(2) Legal structure of the business entity;

(3) A business entity subject to registration with the California Secretary of State, mustprovide proof of that registration, including person designated for service of process and theircontact information;

(4) A list of owners and officers, their contact information, personal identificationinformation, and titles;

(5) Telephone contact information;

(6) Business Address; and

(7) Mailing Address if different.

(c) Training provider registration must be completed prior to beginning the fingerprintingprocess for all owners and officers required under California Code of Regulations Title 4 §168.2.

§168.2. Fingerprinting by the department for all training providers.

(a) After, or concurrent to, the approval of a training provider by either the department oran accreditation agency, the training provider must provide fingerprints of all its owners andofficers to the department. To be valid, each fingerprinting shall be verified by a governmentalbody such as a notary or through an electronic fingerprinting service such as Live Scan.

(b) The department must receive the results of the verified fingerprints of all owners andofficers prior to the training provider being placed upon the department’s approved trainingprovider list.

(c) The department is not responsible for the payment of any fees associated with thereview or validation of the criminal history of any owner or officer by fingerprint.

§ 168.3. Training provider review, modifications, and fees.

(a) A training provider shall maintain current contact information within thedepartment’s online certification system and notice from the department is deemed effective if itcontacts the training provider using the information on record.

(b) A training provider shall maintain current lists of its owners and officers and ensureany changes to its owners and officers continue to comply with the training provider approvalcriteria.

(c) A training provider must use one of its approved RBS training courses on file withthe department whenever providing RBS training to alcohol servers under the RBSTPA.

(d) A training provider must notify the department using the online certification systemwithin 24 hours of an alcohol server’s completion of an approved RBS training course. Uponreceiving this notification, the department will grant access to the alcohol server certificationexam to the alcohol server through the online certification system registration under CaliforniaCode of Regulations Title 4 § 170(b).

(e) The department shall review the effectiveness of all training provider RBS trainingcourses through analysis of data collected when administering alcohol server certification exams.The department shall make the alcohol server certification exam data pertaining to a trainingprovider’s students available to the training provider through the department’s onlinecertification system.

(f) The department may deny, revoke, or suspend a training provider approval if it findsany of the following conduct by the training provider:

(1) The training provider does not meet the approval standards in this section;

(2) The training provider application is incomplete;

(3) The training provider misrepresented material facts within its application;

(4) The department is informed an owner or officer of the training provider hascommitted a crime of moral turpitude, as that term is applied to ABC license holders underBusiness and Professions Code §24200(d).;

(5) The training provider fails to inform the department of a change in its owners andofficers;

(6) The training provider’s RBS training course does not follow the standards set forth inBusiness and Professions code § 25681(b) and California Code of Regulations Title 4 §168;

(7) The training provider is not teaching from its RBS training course submitted toon filewith the department pursuant to California Code of Regulations Title 4 § 168(a)(9)-(10), or theRBS training course it submitted to the accreditation agency submitted to the departmentpursuant to California Code of Regulations Title 4 § 167(h);

(8) The training provider fails to timely inform the department when an alcohol serverhas completed their RBS training course;

(9) The training provider fails to comply with a mandatory modification request from thedepartment as outlined in California Code of Regulations Title 4 § 168.3(f); or

(10) The training provider perpetuates a fraud within the department’s online certificationsystem.

(g) If the department requires a modification of all RBS training course materials due to achange in referenced law or the completion of a rulemaking action:

(1) The department shall notify the training provider in writing with a detailed list of themandatory changes;

(2) The training provider shall have 60 days from the date notice is sent by thedepartment to respond and provide an estimate of the length of time the training provider willneed to complete the modification;

(3) If the training provider does not respond to the department’s request within thespecified time, the training provider’s approval will be deemed withdrawn;

(4) The training provider shall modify their program within a reasonable time based onthe amount of mandatory changes required and submit a record of all changes to the existingprogram to the department for approval;

(5) The department shall review the training provider’s RBS training course without anyadditional fees for a mandatory modification;

(6) The department shall use the same standards of approval for any modification as withthe initial approval of an RBS training course; and

(7) The training provider shall not use the modified course until it has been approved bythe department.

(h) If a training provider chooses to modify its RBS training course without a legalrequirement to do so:

(1) The training provider shall seek approval from an accreditation agency, or thedepartment;

(2) The training provider will notify the department or accreditation agency in writingwith a detailed change log of all changes made to the RBS training that was submitted to thedepartment under California Code of Regulations Title 4 § 168(a)(9)-(10), or the RBS trainingcourse it submitted to the accreditation agency submitted to the department under CaliforniaCode of Regulations Title 4 § 167(h);

(3) The department after receiving a modification request from a training provider willdetermine if the modification constitutes a substantial change and notify the training provider ofits decision in writing;

(4) If the department finds the modification request constitutes a substantial change, therequest is subject to an initial review fee as itemized in California Code of Regulations Title 4 §168.3(l)(1).

(5) A substantial change is a modification to an approved RBS training course to theextent that the department must review most of the approved RBS training course to reapproveits suitability, including but not limited to, a 50 percent or greater change of submitted content ora new language translation;

(6) The department shall review a modification request for an RBS training coursewithout any additional fees, unless the department determines that the modification constitutes asubstantial change;

(7) The department or accreditation agency shall use the same standards of approval forany modification as with the initial approval of an RBS training course; and

(8) The training provider shall not use the modified course until it has been approved bythe department or an accreditation agency.

(i) If a training provider wishes to create a new RBS training course, either in format,presentation, language, or by a substantial change from its existing RBS training course:

(1) The training provider must provide an itemized and tabulated record demonstratingthat the proposed RBS training course complies with California Code of Regulations Title 4 §§162-166 to the department or an accreditation agency;

(2) If submitted to the department, the training provider must pay an additional RBStraining course initial approval fee set out in California Code of Regulations Title 4 § 168.3(l)(1)for review and approval of the proposed RBS training course; and

(3) The department and accreditation agency shall use the same standards for approval ofthe new RBS training course as if it was an initial training provider application.

(j) The department authorization to be a training provider grants the training provider thedue process rights as a licensee under Business and Professions code § 23009 but does not grantan ABC license to the training provider. If a training provider wishes to challenge a departmentdecision to deny, suspend, or revoke department authorization, it is subject to the processes,procedures, and due process rights of licensees under Business and Professions Code Division 9chapters 6 – 8.

(k) A training provider must renew its approval annually with the department or anaccreditation agency to ensure it continues to comply with the statutory and regulatory standardsof the RBSTPA and any mandatory content added to the curriculum requirements by thedepartment.

(1) Approvals expire at midnight on the last day of the month in which the approval wasgiven in the previous year.

(2) On or before the first day of the month preceding the month that the approval expires,the department shall notify the training provider using the contact information on file with thedepartment.

(3) To seek renewal, the training provider shall submit an itemized list of any changes ithas made since its submission of its initial application, or last annual renewal, that modifies howthe training provider complies with the training provider approval criteria.

(4) If seeking renewal from the department, the training provider shall submit the annualreview fee set out in California Code of Regulations Title 4 § 168.3 (l)(2) for each approved RBStraining course currently being used.

(5) The department or accreditation agency shall review the submitted list of changes andrenew the training provider using the same approval standards as the initial review.

(6) If an accreditation agency gives an approval, it is subject to the same reportingrequirements to the department under California Code of Regulations Title 4 § 167(g)-(i).

(7) If an approval expires pursuant to subsection (k)(1), the approval may still berenewed within 60 calendar days of the expiration following the process described in subsection (k)(3). For renewals submitted to the department during this 60-day period, the training providershall submit payment of the annual renewal fee set out in California Code of Regulations Title 4 § 168.3(l)(2), plus a penalty fee that shall be equal to 50 percent of the annual fee.

(8) Unless otherwise terminated, or until renewed, an approval that is in effect during theexpiration month continues in effect through midnight of the 60th day following expiration of theapproval pursuant to subsection (k)(1), at which time it is automatically cancelled.

(9) On or before the 10th day preceding the cancellation of the approval pursuant tosubsection (k)(8), the department shall notify the accreditation agency using the contactinformation on file with the department that its approval will be cancelled under California Codeof Regulations Title 4 § 168.3(k)(8)

(l) The following non-refundable fees are set to recover the reasonable costs of thedepartment for approval, oversight, and enforcement of the above training provider standards:

(1) RBS training course initial approval fee of $1000.00; and

(2) Annual renewal fee of $250.00 per approved RBS training course.

§169. ABC On-Premises Licensee Certification Record Requirements

(a) An ABC on-premises licensee can only establish the validity of its employees’alcohol server certifications within the department’s online certification system.

(b) An ABC on-premises licensee may maintain records of employee alcohol servercertifications, as required by Business and Professions code § 25682(b)(1), within thedepartment’s online certification system.

(c) An ABC on-premises licensee may request will receive automatic notifications fromthe online certification system for employed alcohol servers prior to their certificate’s expiration,but the department does not otherwise have a duty to notify licensees when an alcohol servercertification held by an ABC on-premises licensee’s employee or contractor is expiring. An ABC on-premises licensee may request to opt out of automatic notifications for their alcohol servers.

(d) An ABC on-premises licensee must ensure that a certified alcohol server is recertifiedprior to the expiration, or they will be subject to the prohibition found in Business andProfessions code § 25683.

(e) If an ABC on-premises licensee wishes to use the affirmative defense found inBusiness and Professions Code § 25682 (b)(2), the ABC on-premises licensee must provide tothe department:

(1) The date and records of the alcohol server’s initial employment; and

(2) Six preceding months of payroll records for all employees.

(f) The 60-day grace period for the affirmative defense found in Business andProfessions Code § 25682 (b)(2) applies only to the date of initial employment, and not foralcohol server certification renewals.

§170. Administration of the alcohol server certification exam database

(a) The department shall prepare the alcohol server certification examination using thetopics and information contained in California Code of Regulations Title 4 §§162 -166.

(b) Alcohol servers shall register with the department’s electronic certification systemprior to taking the alcohol server certification exam and provide the following information toestablish their alcohol-server profile:

(1) Legal name;

(2) Birthdate;

(3) Email;

(4) Zip code of current residence; and

(5) Personal identification information, which may be the last four digits or characters of any of the following: a state issued identification number, state issued driver’s license number, social security number, tax identification number, or employment identification number. The alcohol server is required to notify the department of which personal identification information is used to register.

(c) When registering with the department’s electronic certification system, alcohol servers shall pay a $3.00 non-refundable registration fee electronically through the department’s online certificate system to reimburse the department for the upkeep, enforcement, and record keeping within the online certificate system.

(d) The department shall administer the alcohol server certification exam only to alcohol servers who have completed an approved RBS training course from an approved training provider.

(e) The alcohol server certification exam will test alcohol servers on the topics and information outlined in §§162-166.

(f) Alcohol servers must answer at least 70% of questions on the alcohol server certification exam correctly in order to be issued an alcohol server certification by their training provider.

(g) Alcohol servers will have 30 days from their completion of an RBS training course or three attempts to successfully pass the alcohol server certification exam, whichever comes first.

(h) The department shall provide results of alcohol server certification exams to the training provider who provided the associated RBS training course. If the alcohol server has a passing score, the training provider shall issue the valid alcohol server certification as specified in Business and Professions Code § 25681(d).

(i) If an alcohol server fails to successfully pass the alcohol server certification exam within the above time limits or number of attempts, they shall complete an additional approved RBS training course prior to paying an additional $3.00 non-refundable registration fee to the department for another set of attempts at the alcohol server certification exam.

(j) Alcohol servers’ certification records will be kept within the department’s online certification system.

(k) The department shall notify an alcohol server ninety, sixty, and thirty days prior to their certification’s expiration date at the email address submitted to the department by the alcohol server.

(l) To renew an alcohol server certification, an alcohol server must complete an approved RBS training course, pass the alcohol server certification exam, and pay a $3.00 nonrefundable registration fee to the department in the same manner as for initial certification.

§171. Emergency decisions for accreditation agency or training provider misconduct.

(a) If an accreditation agency or a training provider is allowing alcohol servers to receive alcohol server certifications without completing an approved RBS training course, it is deemed to be an immediate danger to the public health, safety, and welfare that requires immediate action under Government code § 11460.30 due to the harm and cost of the overuse of alcohol to the community by untrained alcohol servers.

(b) To address an immediate danger to the public health, safety, and welfare that requires immediate action, the department may prepare a petition and hearing for emergency decision as specified under Government Code §§ 11460.40 and 11460.50.

§172. Hearing to determine accreditation agency or training provider misconduct.

(a) For any hearing regarding a revocation, suspension, or denial of an approval by the department for either an accreditation agency or a training provider, the department, in its exclusive discretion, shall consider scheduling the hearing at a time, including evening hours, and at a place convenient to all parties to a proceeding, including those witnesses required to be present, and the public affected.

(b) These hearings are otherwise controlled by Business and Professions Code § 24300 et seq.

§173. Penalty assessment for ABC licensee violation.

(a) The penalty guideline for an ABC licensee in violation of Business and Professions code § 25683 is a 10-day suspension.

(b) For an administrative penalty imposed upon an ABC licensee for violation of Business and Professions code § 25683, an administrative law judge may consider the following factors, among others, for either aggravation or mitigation:

(1) percentage of employees without a certification;

(2) the length of time one or more employees is employed without a certification; and

(3) any prior warnings given to the ABC licensee regarding alcohol server certification requirements under the RBSTPA.

(c) A suspension imposed for violation of Business and Professions code § 25683 is to be served consecutively, not concurrently, with other alcohol-service related offenses.