NEW YORK STATE LIQUOR AUTHORITY

NEW YORK STATE LIQUOR AUTHORITY LICENSEE TRAINING ZONE 2 ENFORCEMENT

The SLA and You • State Liquor Authority • Licensee • Servers

NEW YORK STATE LIQUOR AUTHORITY COMISSIONER CHAIRMAN COMISSIONER CHIEF EXECUTIVE OFFICER SECRETARY’S OFFICE LICENSING BUREAU HEARINGBUREAU ENFORCMENT LEGAL ADMINISTRATION WHOLESALE

Types of Licenses • On-PremisesTavern, Restaurant, Restaurant-Brewer, On-premises license (bars), Eating Beer, Restaurant Wine, Summer, Winter, Hotel License, Club, Catering, Add Bar Licenses. • Off-Premises Grocery, Liquor Stores, Drug Stores, Wholesale, Wholesale with retail privileges WGK

... said license shall be enclosed in a suitable wood or metal frame having a clear glass space and a substantial wood or metal back so that the whole of said license may be seen therein, and shall be posted up and at all times displayed in a conspicuous place in the room where such business is carried on, so that all persons visiting such place may readily see the same. License Display Section 114.6 WGK

GOVERNMENT WARNING: ACCORDING TO THE SURGEON GENERAL, WOMEN SHOULD NOT DRINK ALCOHOLIC BEVERAGES DURING PREGNANCY BECAUSE OF THE RISK OF BIRTH DEFECTS.

WARNING No person shall sell or give away any alcoholic beverages to: 1. any person under the age of twenty-one years; or 2. Any visibly intoxicated person. IT IS A VIOLATION PUNISHABLE UNDER LAW FOR ANY PERSON UNDER THE AGE OF TWENTY-ONE TO PRESENT ANY WRITTEN EVIDENCE OF AGE WHICH IS FALSE, FRAUDULENT OR NOT ACTUALLY HIS OWN FOR THE PURPOSE OF ATTEMPTING TO PURCHASE ANY ALCOHOLIC BEVERAGE. SLA Form 110-006 (10/89)

Inspection Section 106.15 All retail licensed premises shall be subject to inspection by any peace officer, acting pursuant to his special duties, or police officer and by the duly authorized representatives of the Liquor Authority, or the appropriate board during the hours when the said premises are open for the transaction of business. WGK

Section 105.23 (EFFECTIVE MAY 29, 2002) • All premises licensed under fifty-four (retail off-premises beer), fifty-four-a (retail off-premises beer and wine products), sixty-three (retail off-premises liquor), seventy-nine (retail off-premises wine) of this chapter shall be subject to inspection by any peace officer described in subdivision four of section 2.10 of the criminal procedure law acting pursuant to his special duties, or police officer or any duly authorized representative of the state liquor authority, during the hours when the said premises are open for the transaction of business.

Suffer or Permit To suffer and permit means to be aware of an activity and to let it happen. • Note: licenses have a strict obligation to supervise premises so that violations of law do not occur. There are two types of awareness: • Actual knowledge of the activity. • Constructive awareness, he should have known because the activity was open and notorious. WGK

SIX QUESTIONS TO ASK TO DETERMINE SUFFERING AND PERMITTING 1) How did licensee or person in charge suffer or permit the activity? 2) When (time element) did parties enter the premises ? When did they leave? How long did dispute last? 3) Where (location element) did activity occur? Was it possible for licensee or person in charge to see or hear the activity? 4) Why did the activity occur? 5) What did the licensee or person in charge do to prevent the activity or to supervise the premises? 6) What did the licensee or person in charge do after he became aware of the activity? WGK

Section 106.6Disorderly Premises No person licensed to sell alcoholic beverages shall suffer or permit any gambling on the licensed premises, or suffer or permit such premises to become disorderly. Disorder includes but is not limited to: • Prostitution • Noise • Fights, brawls or other occurrences • Obscene, indecent and lewd entertainment • use of indecent, vile and vulgar language by patrons or employees • Illicit drug activity. WGK

Revocation for Cause Section 118 - Any license or permit issued pursuant to this chapter may be revoked, canceled, suspended, and or subjected to the imposition of a civil penalty for cause. - As used in this section, the term “for cause” shall also include the existence of a sustained and continuing pattern of noise, disturbance, misconduct, or disorder on or about the licensed premises, related to the operation of the premises or the conduct of its patrons, which adversely affects the health, welfare or safety of the inhabitants of the area in which such licensed premises are located. WGK

Section 106.6 – 105.22Gambling • “No person licensed to sell alcoholic beverages shall suffer or permit any gambling on the licensed premises....” • Gambling under the ABC Law includes social/casual gambling, e.g.... cards, dice, video games, sports pools or any other form of gambling. Gambling is interpreted literally: Customers betting on pools, video games that pay off in cash or free games, customers playing liars poker, and any other form of gambling or betting. • Such gambling if participated in by the licensee, may also constitute improper conduct (53.1-n of the Rules, which is not an arrestable offense.) WGK

Section 105.22 ABC Law • No person licensed to sell alcoholic beverages at retail for off-premises consumption, shall suffer or permit any gambling, or offer any gambling on the licensed premises, or suffer or permit illicit drug activity on the licensed premises. WGK

STORAGE OF ALCOHOLIC BEVERAGES IN UNLICENSED AREAS. SECTION 96.1 No alcoholic beverage shall be stored or kept in or upon any premises which shall not be duly licensed as provided for in this chapter, provided, however, that the liquor authority may issue a permit in such form as prescribed by its rules, for the storage of alcoholic beverages in other than licensed premises.

STORAGE OF UNAUTHORIZED ALCOHOL ON A LICENSED PREMISES SECTION 108 No licensee except the holder of a brewer’s or distiller’s license or a winery license shall Keep or permit to be kept or consumed on the licensed premises any alcoholic beverage except the alcoholic beverage which he is permitted to sell under the terms of the license issued to him.

Stand-upBar section 100.4 Section 100.4 states only one bar, counter or contrivance shall be permitted in any licensed premises, except that not more than two additional bars, counters or contrivance may be permitted by the SLA for good cause shown to it, and upon the payment to it of a fee, for each additional bar. A stand-bar as defined by the SLA as a bar counter, contrivance where the patron/customer orders, obtains and or is served an alcoholic beverage.

Temporary Portable BarSection 100.4 states temporary portable bars, counters or contrivances shall be permitted in a ballroom, meeting room or private dining room on the licensed premises of a hotel, restaurant or club during such time as a said ballroom, meeting room or private dining room is used for a private dinner, entertainment, meeting or similar affair to which members of the general public are not admitted. Service Bar Service bar/s may be approved by the SLA without payment of an additional fee. Service bar differs from a Stand–up (drinking bar) in that a customer shall not order, obtain, be served or delivered an alcoholic beverage directly at this bar. Service bar is for waiter/waitress use only in connection with the preparation of drinks for patrons seated at tables or standing in other parts of the licensed premises.

Alterations To Licensed Premises Substantial Alterations: Any major enlargement, reduction or material change affecting the character of the premises which differs from information, premises description and diagram/s submitted and approved by the SLA at the time of licensing and/or construction costs in excess of $10,000. These preceding alterations require the filing of an alteration application and receiving approval from the Authority prior to commencing work. Minor Alterations:Alterations less than $10,000, excluding professional fees, and does not materially affect the character of the premises or the prior physical structure. An alteration application must be filed prior to commencing work. Cosmetic Changes/Replacement/Maintenance: There are a wide range of renovations (i.e. Painting, decorating, installation or replacement of electrical, plumbing, refrigeration, air conditioning, etc.) which do not require notification or filing of an alteration application with the Authority.

Section 111. A license issued to any person for any licensed premises shall not be transferable to any other person or to any other premises or to any other part of the building containing the licensed premises except in the discretion of the Authority. This section of law applies to any licensee who, without receiving prior approval from the Authority, expands their premises by using an area outside the building, constructing and using an outside deck, placing tables/chairs outside (i.e. café) for customer use, allowing the customer to leave the premises with alcoholic beverages to be consumed in any outside area.

Unlawfully Dealing with a Child 2nd PL Section 260.21 • A person is guilty of unlawfully dealing with a child in the second degree when: • Being an owner, lessee, manager or employee of a place where alcoholic beverages are sold or given away, he permits a child less than sixteen years old to enter or remain in such place unless: • a) The child is accompanied by his parent, guardian or an adult authorized by a parent or guardian; or • b) The entertainment or activity is being conducted for the benefit or under the auspices of a non-profit school, church or other educational or religious institution; or • c) Otherwise permitted by law to do so; or • d) The establishment is closed to the public for a specified period of time to conduct an activity or entertainment, during which the child is in or remains in such establishment, and no alcoholic beverages are sold, served, given away or consumed at such establishment during such period. The state liquor authority shall be notified in writing by the licensee of such establishment, of the intended closing of such establishment, to conduct any such activity or entertainment, not less than ten days prior to any such closing; This is a Class A Misdemeanor.

Section 65Prohibited Sales No person shall sell, deliver, or give away or cause or permit or procure to be sold, delivered or given away any alcoholic beverages to: 1 Any person, actually or apparently, under the age of twenty-one year. WGK

Unlawfully Dealing with a child 1st.PL Sec. 260.20 A person is guilty of unlawfully dealing with a child in the first degree when: 2. He gives or sells or causes to be given or sold any alcoholic beverage…to a person less than 21 years old; except that this section does not apply to the parent or guardian of such a person or if such person is enrolled in a curriculum licensed or registered by the state education department, where the tasting or imbibing of alcoholic beverages is required in courses that are part of the required curriculum provided that such alcoholic beverages are given only for instructional purposes during classes conducted pursuant to such curriculum. This is a class A misdemeanor.

65-a. Procuring Alcoholic Beverages for Persons Under the Age of Twenty-One Years. Any person who misrepresents the age of a person under the age of twenty-one years for the purpose of inducing the sale of any alcoholic beverage, as defined in the alcoholic beverage control law, to such person, is guilty of an offense and upon conviction thereof shall be punished by a fine of not more than two hundred dollars, or by imprisonment for not more than five days, or by both such fine and imprisonment.

Section 170.10 PLForgery in the second degree • A person is guilty of forgery in the second degree when, with intent to defraud, deceive or injure another, he falsely makes, completes or alters a written instrument which is or purports to be, or which is calculated to become or to represent if completed: • 3.a written instrument officially issued or created by a public office, public servant, or governmental instrumentality • forgery in the second degree is a class D Felony

Section 170.25 P.L.Criminal possession of a forged instrument in the second degree • A person is guilty of criminal possession of a forged instrument in the second degree when, with knowledge that it is forged and with intent to defraud, deceive, or injure another, he utters or possesses any forged instrument of a kind specified in section 170.10. • Criminal possession of a forged instrument in the second degree is a class D Felony

Section 190.23 P.L.False Personation • A person is guilty of false personation when after being informed of the consequences of such act, he or she knowingly misrepresents his or her actual name, date of birth or address to a police officer or peace officer with intent to prevent such police officer or peace officer from ascertaining such information. • False personation is a class B misdemeanor

Section 190.25 P.L.Criminal impersonation in the second degree • A person is guilty of criminal impersonation in the second degree when he: • 1.Impersonates another and does an act in such assumed character with intent to obtain a benefit or to injure or defraud another • criminal impersonation in the second degree is a class A misdemeanor

Section 65-cUnlawful possession of alcoholic beverage with the intent to consume by persons under the age of twenty-one years. • No person under the age of 21 years shall possess any alcoholic beverage, as defined in this chapter, with the intent to consume such beverage. • A person under the age of 21 may possess any alcoholic beverage with the intent to consume if provided by his parent, or as part of a legitimate course of study in a recognized school of higher learning. WGK

Section 65-b 1(b) No licensee, or agent or employee of such licensee shall accept as written evidence of age by any such person for the purchase of alcoholic beverages any documentation other than ( i ) a valid driver’s license or non-drivers identification card issued by the commissioner of motor vehicles, the federal government, and United States territory, commonwealth, or possession, the District of Columbia, a state government within the United States, or a provincial government of the dominion of Canada, or ( ii ) a valid passport issued by the United States government or other country, or ( iii ) an identification card issued by the armed forces of the United States. WGK

Checking ID’s • Under 35? • Check for any raised surfaces. • If suspicious ask for additional identification. • Check D.O.B carefully. • Check Face and ID picture twice. • Look for official stamps, logos, or security seals • Beware of Fuzzy Print on front or back. • Verbally question/challenge subject on ID information.

Section 65Prohibited Sales No person shall sell, deliver, or give away or cause or permit or procure to be sold, delivered or given away any alcoholic beverages to: • Any person, actually or apparently, under the age of twenty-one years. • Any visibly intoxicated person. • Any habitual drunkard known to be such to the person authorized to dispense any alcoholic beverages. WGK

Employment of a FELON Section 102.2 No person holding any license hereunder other than a license to sell an alcoholic beverage at retail for off-premises consumption, shall knowingly employ in connection with their business in any capacity whatsoever, any person, who has been convicted of a felony, or any of the following offenses, who has not subsequent to such conviction received an executive pardon removing any civil disabilities incurred thereby, a certificate of good conduct or other relief from disabilities provided by law, or the written approval of the State Liquor Authority permitting such employment . WGK

Unlicensed security guard89-g.1 (General Business Law) • Security guards must be registered and licensed with the NYS Department of State • 2 Types of Security Guards • Individual – licensee must register with NYS and the security guard must register and be licensed by the NYS Department of State • Outside Licensed Security Firm (ex. Burns or Pinkerton) – licensee does not have to register with NYS • Definition of Security Guard: • A person described in general business law, section 89-f (6) is a security guard if he or she principally performs the activity of prevention, deterrence, control, or enforcement. • Prevention: protecting person/property from harm, theft, and other unlawful activity • Deterrence: observing, detecting, and reporting unlawful or unauthorized activity • Control: controlling by street or other patrol service, access to property, including employee personnel, visitors, vehicles, and traffic • Enforcement: enforcing security policies, rules, regulations, and procedures

Section 100.2(a)Employment of minor No retailer shall employ, or permit to be employed, or shall suffer to work, on any premises licensed for retail sale hereunder, any person under the age of eighteen years, as a hostess, waitress, waiter, or in any other capacity where the duties of such person require or permit such person to sell, dispense or handle alcoholic beverages; except that: 1. any person under the age of eighteen years and employed by any person holding a grocery store beer license shall be permitted to handle and deliver beer for such licensee and 2. any person under the age of eighteen employed as a cashier by a person holding a grocery store beer license shall be permitted to record and receive payment for beer sales when in the presence of and under the direct supervision of a person eighteen years of age or over. 3. Any person under the age of eighteen years employed as a dishwasher, busboy, or other such position as to which handling of containers which may have held alcoholic beverages is necessary shall be permitted to do so under the direct supervision of a person of legal age to purchase alcoholic beverages in the state. WGK

Section 100.2 (b) No retailer shall permit or suffer to appear as an entertainer, on any premises licensed for retail sale hereunder, any person under the age of eighteen years. Failure to restrain such a person from so appearing shall be deemed to constitute permission. (NOTE: a minor may entertain with consent and special permit issued by the Authority) WGK

Section 128Certain officials not to be interested in manufacture or sale of alcoholic beverages • 1. Except as otherwise provided in section 128-a it shall be unlawful for any police commissioner, police inspector, captain, sergeant, roundsman, patrolman or other police official or subordinate of any police department in the state, to be either directly or indirectly interested in the manufacture or sale of alcoholic beverages, or to offer for sale, or recommend to any licensee any alcoholic beverages. • No elective village officer shall be subject to the limitations set forth in subdivision one of this section unless such elective village officer shall be assigned duties directly relating to the operation or management of the police department. • This section is a misdemeanor against the police officer, not the licensee • Section 128-a allows employment of police officers in off premises licenses, and there are provisions for employment of police in sports arenas..

Section 106.5Consumption & sale after hours • No alcoholic beverage shall be sold, offered for sale or given away upon any premises licensed to sell alcoholic beverages at retail for on-premiseconsumption during the following hours: Sunday from 4:00 AM to Noon. On any other day between 4:00 AM and 8:00 AM. WGK

No premises licensed to sell liquor and/or wine for off-premises consumption shall be permitted to remain open: (a) on any other day between Midnight and 8:00 AM. (b) on Sunday before 12:00pm and after 9:00pm. Section 105.14 Prohibited Hours -Liquor Stores WGK

Section 105-aSale of Beer at retail on Sunday • No person, firm or corporation holding any license or permit issued under this chapter shall sell, offer for sale or give away beer at retail on Sunday between 3:00 AM and 8:00 AM. WGK

SECTION 117-a UNLIMIITED DRINK OFFERINGS PROHIBITED 1. No licensee, acting individually or in conjunction with one or more licensees, shall: a. offer, sell, serve, or deliver to any person or persons an unlimited number of drinks during any set period of time for a fixed price. b. allow a person, agent, party organizer, or promoter, as such terms shall be defined by the authority in rule and regulation, to offer, sell, serve, or deliver to any person or persons an unlimited number of drinks during any set period of time for a fixed price c. advertise, promote, or charge a price for drinks that in the judgement of the Authority creates an offering of alcoholic beverages in violation of the purpose and intent of this section, or which in the judgement of the Authority is an attempt to circumvent the intent and purpose of this section, such as offerings of free drinks, or multiple drinks for free or for the price of a single drink, or for such a minor amount that in the judgement of the Authority the pricing would constitute an attempt to circumvent the intent and purposes of this section. 2. As used in this section, licensee means and includes the licensee, and any employees, or agents of such licensee. 3. With respect to an individual licensee, this section shall not apply to private functions not opened to the public, such as weddings, banquets, or receptions, or other similar functions, or to a package of food and beverages priced at one hundred dollars or more per person. 4. The Authority shall investigate any documented allegation of a violation of this section upon complaint by any person. 5. The Authority shall promulgate rules and regulations necessary to implement the provisions of this section.

Books and Records Each licensee for On/Off premises consumption shall keep and maintain upon the licensed premises, adequate books and records of all transactions involving the business transacted by such licensee. For Vendors - section 104-a For Off-premises - section 105-15 For On-premises - section 106-12

SECTION 110.4 INFORMATION TO BE REQUESTED IN APPLICATION FOR LICENSE OR PERMITS If there be any change, after the filing of the application or the granting of license, in any of the facts required to be set forth in such application, a supplemental statement giving notice of such change, cost and source of money involved in the change, duly verified, shall be filed with the Authority within 10 days after such change.

Section 100.1 Sale without appropriate license • No person shall manufacture for sale or sell at wholesale or retail any alcoholic beverage within the state without obtaining the appropriate license therefore required by this chapter. WGK

“SALE” - means any transfer, exchange or barter in any manner or by any means whatsoever for a consideration, and includes and means all sales made by any person, of any alcoholic beverage and or a warehouse receipt pertaining thereto. “To Sell” - includes to solicit or receive an order for, to keep or expose for sale and to keep with intent to sell and shall include the delivery of any alcoholic beverage in the state. “Traffic in” - includes to manufacture and sell any alcoholic beverage at wholesale or retail. DEFINITIONS WGK

Penalties - at the discretion of the Board • Advise letter - advise licensee of potential violation • Letter of Warning - Adjudicated guilty, appropriate penalty is a warning, loss of good record. • Bond Claim & Civil penalty - licensee can be fined a $1,000 bond claim and $10,000 civil penalty in addition to other penalties imposed. • Suspension - Adjudicated guilty, temporary loss of license privilege - business can remain open, but can not sell or permit consumption of alcoholic beverages. • Emergency Summary Suspension - special conditions warranting immediate cessation of license privilege pending hearing. WGK

Penalties - at the discretion of the Board • Cancellation - Adjudicated guilty, loss of license privilege without prejudice • Revocation - loss of license privilege with prejudice, all licenses held are revoked, licensee can not re-apply for two years. • Revocation & Proscription - in addition to above the location is proscribed from having a license for two years. • Non-renewal & recall - license renewal denied, and/or certificate recalled after issuance. WGK

NEW YORK STATE LIQUOR AUTHORITY