Utah State Bulletin, January 15, 2012, Vol. 2012, No. 2

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NOTICES OF PROPOSED RULES DAR File No. 35588compliance officer(s) shall notify management of the licensee orpermittee when verbal warnings are given.(ii) Second occurrence of the same type of minorviolation: a written investigation report from law enforcement ordepartment compliance officer(s) shall be forwarded to thedepartment. The penalty shall range from a $100 to $500 fine forthe licensee or permittee, and a letter of admonishment to a $25 finefor the officer, employee or agent.(iii) Third occurrence of the same type of minorviolation: a one to five day suspension of the license or permit andemployment of the officer, employee or agent, and/or a $200 to$500 fine for the licensee or permittee and up to a $50 fine for theofficer, employee or agent.(iv) More than three occurrences of the same type ofminor violation: a six day suspension to revocation of the license orpermit and a six to ten day suspension of the employment of theofficer, employee or agent, and/or a $500 to $25,000 fine for thelicensee or permittee and up to a $75 fine for the officer, employeeor agent.(v) If more than one violation is charged during the sameinvestigation, the penalty shall be the sum of the days of suspensionand/or the monetary penalties for each of the charges in theirrespective categories. If other minor violations are discoveredduring the same investigation, a verbal warning shall be given foreach violation on a first occurrence. If the same type of violation isreported more than once during the same investigation, theviolations shall be charged as a single occurrence.(b) Moderate Violations. Violations of this categorydemonstrate a general disregard for the laws or rules. Although thegravity of the acts are not viewed in the same light as in the seriousand grave categories, they are still sufficient cause for action.Penalty range: Written investigation report from law enforcementor department compliance officer(s) shall be forwarded to thedepartment on the first occurrence. The penalty shall range from aletter of admonishment to revocation of the license or permit and/orup to a $25,000 fine.(i) First occurrence involving a moderate violation: awritten investigation report from law enforcement or departmentcompliance officer(s) shall be forwarded to the department. Thepenalty shall range from a letter of admonishment to a $1000 finefor the licensee or permittee, and a letter of admonishment to a $50fine for the officer, employee or agent.(ii) Second occurrence of the same type of moderateviolation: a three to ten day suspension of the license or permit anda three to ten day suspension of the employment of the officer,employee or agent, and/or a $500 to $1000 fine for the licensee orpermittee and up to a $75 fine for the officer, employee or agent.(iii) Third occurrence of the same type of moderateviolation: a ten to 20 day suspension of the license or permit and aten to 20 day suspension of the employment of the officer,employee or agent, and/or a $1000 to $2000 fine for the licensee orpermittee and up to a $100 fine for the officer, employee or agent.(iv) More than three occurrences of the same type ofmoderate violation: a 15 day suspension to revocation of thelicense or permit and a 15 to 30 day suspension of the employmentof the officer, employee or agent, and/or a $2000 to $25,000 fine forthe licensee or permittee and up to a $150 fine for the officer,employee or agent.(v) If more than one violation is charged during the sameinvestigation, the penalty shall be the sum of the days of suspensionand/or the sum of the monetary penalties for each of the charges intheir respective categories.(vi) If the same type of violation is reported more thanonce during the same investigation, the violations shall be chargedas a single occurrence.(c) Serious Violations. Violations of this categorydirectly or indirectly affect or potentially affect the public safety,health and welfare, or may involve minors. Penalty range: Writteninvestigation report from law enforcement or departmentcompliance officer(s) shall be forwarded to the department on thefirst occurrence. The penalty shall range from a five day suspensionto revocation of the license or permit and/or up to a $25,000 fine.(i) First occurrence involving a serious violation: writteninvestigation report from law enforcement or departmentcompliance officer(s) shall be forwarded to the department. Thepenalty shall range from a five to 30 day suspension of the licenseor permit and a five to 30 day suspension of the employment of theofficer, employee or agent, and/or a $500 to $3000 fine for thelicensee or permittee and up to a $100 fine for the officer, employeeor agent.(ii) Second occurrence of the same type of seriousviolation: a ten to 90 day suspension of the license or permit and aten to 90 day suspension of the employment of the officer,employee or agent, and/or a $1000 to $9000 fine for the licensee orpermittee and up to a $150 fine for the officer, employee or agent.(iii) More than two occurrences of the same type ofserious violation: a 15 day suspension to revocation of the licenseor permit and a 15 to 120 day suspension of the employment of theofficer, employee or agent, and/or a $9000 to $25,000 fine for thelicensee or permittee and up to a $500 fine for the officer, employeeor agent.(iv) If more than one violation is charged during the sameinvestigation, the penalty shall be the sum of the days of suspensionand/or the sum of the monetary penalties for each of the charges intheir respective categories.(v) If the same type of violation is reported more thanonce during the same investigation, the violations shall be chargedas a single occurrence.(d) Grave Violations. Violations of this category pose orpotentially pose, a grave risk to public safety, health and welfare, ormay involve lewd acts prohibited by title 32B, fraud, deceit, willfulconcealment or misrepresentation of the facts, exclusion ofcompetitors' products, unlawful tied house trade practices,commercial bribery, interfering or refusing to cooperate withauthorized officials in the discharge of their duties, unlawfulimportations, or industry supplying liquor to persons other than thedepartment and military installations. Penalty range: Writteninvestigation report from law enforcement or departmentcompliance officer(s) shall be forwarded to the department on thefirst occurrence. The penalty shall range from a ten day suspensionto revocation of the license or permit and/or up to a $25,000 fine.(i) First occurrence involving a grave violation: writteninvestigation report from law enforcement or departmentcompliance officer(s) shall be forwarded to the department. Thepenalty shall range from a ten day suspension to revocation of thelicense or permit and a 10 to 120 day suspension of the employment22 UTAH STATE BULLETIN, January 15, 2012, Vol. 2012, No. 2
DAR File No. 35588NOTICES OF PROPOSED RULESof the officer, employee or agent, and/or a $1000 to $25,000 fine tothe licensee or permittee and up to a $300 fine for the officer,employee or agent.(ii) More than one occurrence of the same type of graveviolation: a fifteen day suspension to revocation of the license orpermit, and a 15 to 180 day suspension of the employment of theofficer, employee or agent and/or a $3000 to $25,000 fine for thelicensee or permittee and up to a $500 fine for the officer, employeeor agent.(iii) If more than one violation is charged during the sameinvestigation, the penalty shall be the sum of the days of suspensionand/or the sum of the monetary penalties for each of the charges intheir respective categories.(iv) If the same type of violation is reported more thanonce during the same investigation, the violations shall be chargedas a single occurrence.(e) The following table summarizes the penalty rangescontained in this section of the rule for licensees and permittees.TABLEViolation Warning Fine Suspension RevokeDegree and Verbal/Written $ Amount No. of Days LicenseFrequencyMinor1st X X2nd 100 to 5003rd 200 to 500 1 to 5Over 3 500 to 25,000 6 to XModerate1st X to 1,0002nd 500 to 1,000 3 to 103rd 1,000 to 2,000 10 to 20Over 3 2,000 to 25,000 15 to XSerious1st 500 to 3,000 5 to 302nd 1,000 to 9,000 10 to 90Over 2 9,000 to 25,000 15 to XGrave1st 1,000 to 25,000 10 to XOver 1 3,000 to 25,000 15 to X(f) The following table summarizes the penalty rangescontained in this section of the rule for officers, employees oragents of licensees and permittees.TABLEViolation Warning Fine SuspensionDegree and Verbal/Written $ Amount No. of DaysFrequencyMinor1st X X2nd X to 253rd to 50 1 to 5Over 3 to 75 6 to 10Moderate1st X to 502nd to 75 3 to 103rd to 100 10 to 20Over 3 to 150 15 to 30Serious1st to 100 5 to 302nd to 150 10 to 90Over 2 to 500 15 to 120Grave1st to 300 10 to 120Over 1 to 500 15 to 180(5) Aggravating and Mitigating Circumstances. Thecommission and presiding officers may adjust penalties withinpenalty ranges based upon aggravating or mitigating circumstances.(a) Examples of mitigating circumstances are:(i) no prior violation history;(ii) good faith effort to prevent a violation;(iii) existence of written policies governing employeeconduct;(iv) extraordinary cooperation in the violationinvestigation that shows the licensee or permittee and the officer,employee or agent of the licensee or permittee acceptsresponsibility; and(v) there was no evidence that the investigation wasbased on complaints received or on observed misconduct of others,but was based solely on the investigating authority creating theopportunity for a violation.(b) Examples of aggravating circumstances are:(i) prior warnings about compliance problems;(ii) prior violation history;(iii) lack of written policies governing employee conduct;(iv) multiple violations during the course of theinvestigation;(v) efforts to conceal a violation;(vi) intentional nature of the violation;(vii) the violation involved more than one patron oremployee;(viii) the violation involved a minor and, if so, the age ofthe minor; and(ix) whether the violation resulted in injury or death.(6) Violation Grid. Any proposed substantive change tothe violation grid that would establish or adjust the degree ofseriousness of a violation shall require rulemaking in compliancewith title 63G-3, the Utah Administrative Rulemaking Act. Aviolation grid describing each violation of the alcoholic beveragecontrol laws, the statutory and rule reference, and the degree ofseriousness of each violation is available for public inspection in thedepartment's administrative office. A copy will be provided uponrequest at reproduction cost. It is entitled "Alcoholic BeverageControl Commission Violation Grid" [(May 2010 edition)](January2012 edition) and is incorporated by reference as part of this rule.KEY: alcoholic beveragesDate of Enactment or Last Substantive Amendment: [October1, 2011]2012Notice of Continuation: May 10, 2011Authorizing, and Implemented or Interpreted Law: 32B-2-201(10); 32B-2-202; 32B-3-203(3)(c); 32B-1-305; 32B-1-306;32B-1-307; 32B-1-607; 32B-1-304(1)(a); 32B-6-702; 32B-6-805(3); 32B-9-204(4); 32B-4-414(1)(b) and (c)UTAH STATE BULLETIN, January 15, 2012, Vol. 2012, No. 2 23
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Utah State Bulletin, January 15, 2012, Vol. 2012, No. 2

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