PRESENTATION TO Iowa Municipal Finance Officers Association

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Clementine Gibson
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1 PRESENTATION TO Iowa Municipal Finance Officers Association October 18, 2018 Jake Holmes Education & Outreach Jason Hohn Licensing Karen Freund Administrative Actions 1

https://abd.iowa.gov For licensing information please use the GREEN How To Get a License button.

2 For licensing information please use the GREEN How To Get a License button. To search for licenses, find a license status, or log into elicensing use the GREEN Log into elicensing or Search Public Records button. The Licensing Laws & Requirements drop down under the Licensing tab will bring you to a general information page explaining the following: Applying for License/Permit Applicant Requirements Premises Requirements Ownership Information Personal Privilege Change of Ownership Additional License Privileges Sunday Sales Privilege Catering Privilege Sub Licenses/Permits Special Class A (Brew Pub) Outdoor Service Area Living Quarters Permit Updates License/Permit (Premises) Transfers Other Temporary (Special Event) Licenses/Permits 2

The License Classifications drop down under the Licensing tab will bring you to an information page explaining the following: On-Premises Licenses/Permits Class A Liquor License (LA) Class B Liquor

3 The License Classifications drop down under the Licensing tab will bring you to an information page explaining the following: On-Premises Licenses/Permits Class A Liquor License (LA) Class B Liquor License (LB) Class B Beer Permit (BB) Class C Liquor License (LC) Special Class C Liquor License (BW) Class D Liquor License (LD) Class C Native Distilled Spirits Liquor License (LCN) Class C Native Wine (WCN) Off-Premises Licenses/Permits Class E Liquor License (LE) Class C Beer Permit (BC) Class B Wine Permit (WB) Class B Native Wine Permit (WBN) Charity Beer, Spirits, and Wine Auction Permit (CP) Additional Privileges/Sub-Permits Outdoor Service Catering Living Quarters Sunday Sales Update Applications Transfer Application Additional Location Refund Application Ownership Update Application Manufacturing/Wholesaling/Importing Class A Beer Permit (BA) Class A Beer Permit (Native) (BAN) Special Class A Beer Permit (Brew Pub) Brewer s Certificate of Compliance (CB) Class A Wine Permit (WA) Class A Wine Permit (Native) (WAN) Vintner s Certificate of Compliance (CV) Class A Native Distilled Spirits License (ND) Manufacturer s License (CM) Distiller s Certificate of Compliance (CD) Broker s Permit (SP) Shipper/Carrier Wine Direct Shippers License (DS) Alcohol Carrier License (AC) The License/Permit Fees drop down under the Licensing tab will bring you to a general information page outlining the fees for all licenses, permits, and certificates. 3

The Downloadable Materials drop down under the Education tab will bring you to a page with great resources including the following: The Alcoholic Beverages

undergo a further review of: The laws and rules pertaining to eligibility to hold an alcohol license or permit The balance of power at the state and local level

4 The Downloadable Materials drop down under the Education tab will bring you to a page with great resources including the following: The Alcoholic Beverages Division, in partnership with local law enforcement, local authorities, community leaders, public health, alcohol prevention experts, and industry experts, will undergo a further review of: The laws and rules pertaining to eligibility to hold an alcohol license or permit The balance of power at the state and local level to approve or deny alcohol licenses and permits Civil administrative penalties Licensing Reform Fee structures for licenses/permits The administrative appeal process 4

5 Licensing Reform Login Screen 5

B Wine Permit Off-premises consumption of native and nonnative wine Living Quarters Excludes living quarters from licensed premises Do not

6 Special Class A Beer Permit (Brew Pub) Manufacture beer at the retail level No self distribution Brewer s notice (TTB) submitted to ABD Signed copy $10,000 surety bond submitted to ABD Catering Privilege Class B Native Wine Permit Off-premises consumption of native wine Class B Wine Permit Off-premises consumption of native and nonnative wine Living Quarters Excludes living quarters from licensed premises Do not include on sketch Outdoor Service Must be permanent outdoor service area Sunday Sales Required if selling/serving alcoholic beverages on Sunday 6

Applicant name Corporation, LLC, General Partnership (Trade Name), Sole Proprietor, Municipality Applicant name must match Secretary of State if registered or trade name filing with County Recorder

7 Applicant name Corporation, LLC, General Partnership (Trade Name), Sole Proprietor, Municipality Applicant name must match Secretary of State if registered or trade name filing with County Recorder Address of premises Address where alcohol is being sold/served Address line 2 can be used if address has a suite number Sole proprietor is one owner General partnership must get a trade name filing through the County Recorder s office Must register with Secretary of State Limited partnership, privately held corporation, publicly traded corporation, limited liability company Municipality must be associated with the city or county Corporate ID Number is the business number taken from the Secretary of State website Federal Employer ID Number is the EIN number (tax identification number) 7

Address should be home address Owners with 10% or more interest must be listed and all officers and directors regardless of ownership interest Officers and

rights Proof of probation parole satisfied Court costs paid Must list all violations except traffic violations that are not alcohol related (Even if charge

8 Address should be home address Owners with 10% or more interest must be listed and all officers and directors regardless of ownership interest Officers and directors may be listed as 0% ownership Applicant must click ADD button to SAVE each owner/officer before moving on to the next page Felons Restoration of rights Proof of probation parole satisfied Court costs paid Must list all violations except traffic violations that are not alcohol related (Even if charge was dismissed or expunged) ABD is checking Iowa Courts Online for violations on new applications and new owners/officers on ownership update applications 8

insurance carrier Applicant must choose correct carrier If correct carrier is not selected, the insurance carrier won t be

9 Must click the ADD button to save each violation before moving on to next page Local authority City, county, state Applicant must choose correct local authority in order for the local authority to see application First Western is the default dramshop insurance carrier Applicant must choose correct carrier If correct carrier is not selected, the insurance carrier won t be able to see the application Once application is submitted, applicant must contact ABD with correct carrier if it needs to be changed 9

Must have two separate restrooms A restroom waiver must be applied through the Iowa Department of Inspections and Appeals if premises does not have two separate restrooms Premises must have tables

10 Must have two separate restrooms A restroom waiver must be applied through the Iowa Department of Inspections and Appeals if premises does not have two separate restrooms Premises must have tables and chairs (seating) to accommodate 25 people Other businesses accessible from the interior of premises Answer should be NO unless there is another business within the premises that sells alcoholic beverages Owner s signature must match one of the names listed on the ownership screen Tentative effective date is the effective date of the license/permit Effective date should allow for delivery of product If application is replacing an existing license/permit, effective date might have to be changed. Dram shop insurance will have to be re-endorsed if applicable 10

Applicant enters bank information, license/permit fees are EFT d Must print notary form before clicking FINISH Notary form submitted to local authority Pop-up blockers might prevent notary

company representatives (underwriters) from insurance carrier Logs into application and inputs policy information Premises information is auto-filled from applicant page Policy dates must

11 Applicant enters bank information, license/permit fees are EFT d Must print notary form before clicking FINISH Notary form submitted to local authority Pop-up blockers might prevent notary form from printing Notary form is available on ABD website under Insurance & Licensing Forms Application moves to next applicable status once submitted Pending dramshop status Authorized company representatives (underwriters) from insurance carrier Logs into application and inputs policy information Premises information is auto-filled from applicant page Policy dates must match effective date of application Agents/brokers don t endorse dramshop certificates online After dramshop certificate has been endorsed, status changes to submitted to local authority 11

Pending bond status Signed copy of surety bond is required when applicable ABD needs a copy of the bond ABD reviews bond for accuracy and inputs bond number Once bond is entered, status on

12 Pending bond status Signed copy of surety bond is required when applicable ABD needs a copy of the bond ABD reviews bond for accuracy and inputs bond number Once bond is entered, status on application changes to submitted to local authority License information Local authority approves or denies license/permit application and permanent outdoor service Checklist Must collect sketch of licensed premises and signed notarized statement Must collect a copy of lease, final sales contract, or deed Purchase agreements will not be accepted Local authority must validate that premises address is correct and zoned properly If applicant is a general partnership, local authority must collect trade name filing It is up to local authorities to have inspections and background checks done. This is not a requirement by ABD. Some local authorities don t do inspections or background checks. Local authority must approve or deny an application. Once local authority approves or denies application, application is in approved or denied by local authority status 12

Status Checking the status of an application Pending dramshop - waiting for dramshop endorsement Pending bond - waiting for bond

13 When certain changes have to be made to an application, ABD has to change the status in order for the change Adding violations Adding owners/officers Dramshop re-endorsement due to applicant name, premises address, and/or effective date change License Status Checking the status of an application Pending dramshop - waiting for dramshop endorsement Pending bond - waiting for bond information Submitted to local authority - waiting for local authority review Approved by local authority - waiting for ABD review 13

Pending License/Permit Applications Click on VIEW to view the entire application Click on PRINT to print or view a summarized version of the application Ownership Updates When ownership is changing

14 Pending License/Permit Applications Click on VIEW to view the entire application Click on PRINT to print or view a summarized version of the application Ownership Updates When ownership is changing on an existing license/permit If the new owner is purchasing the LLC or corporation from the existing licensee/permittee, an ownership update application needs to be submitted. If a new owner is not purchasing the existing licensee/permittee s LLC or corporation, a new application needs to be applied for with the new owners LLC or corporation. Applicant must register their new LLC or corporation with the Iowa Secretary of State. If a licensee/permittee is operating as a sole proprietor, and a new owner is taking over the existing license/permit, a new application must be submitted. A sole proprietor is for a single person as the applicant. The spouse of the applicant must be listed on the application with 0% ownership. Licenses/permits that operate as sole proprietorships are not transferable. When ownership is changing on a general partnership, contact the Division to see if a new application needs to be applied for. (Uncommon) 14

15 Outdoor Service Areas Discernable area (fenced, barricaded, etc.) Check with local authority for any ordinances Only products permitted by license may be served Beer Garden Joe s Bar License/Permit Transfers Temporary Transfers Only within local authority jurisdiction 24 hours minimum No selling or serving at original location Only products permitted by license may be served at new location Permanent Transfers 15

Premises Update Premises update is submitted to local authority when adding or removing a portion of the premises not including the outdoor service area Input dates of premises change and describe

16 Premises Update Premises update is submitted to local authority when adding or removing a portion of the premises not including the outdoor service area Input dates of premises change and describe how premises is changing New sketch must be given to local authority showing area added or removed This could be temporary or permanent This separates two licensed premises at same location for a special event Premises Update Local authority approves or denies premises update - does not have to go through city council or board of supervisors Must collect sketch 16

17 Catering Privilege A Catering Privilege may only be added to a 12- month class B or C liquor license. Allows licensee to act as an agent of a private social host for the purpose of providing and serving alcoholic beverages at private social gatherings in a private place. The licensee must serve food with the alcoholic beverages. All food and beverages must be served without cost to the guests. Neither the licensee nor the social host may ask guests to make donations in payment for food or alcoholic beverages Improper License Denials Limiting the number of licenses There is no limit upon the number of liquor control licenses, retail wine permits, or retail beer permits which may be approved for issuance by local authorities. Iowa Code section Sales to Minor Set by Statute Inability to link responsibility to license holder (Number of calls for service to PD) 17

18 Common Reasons For License Denials Good Moral Character Is not a US citizen if applying as sole proprietor. Deleted corporations with Iowa Secretary of State City Ordinance violations Failure to meet zoning requirements Misrepresentation on an application Felony conviction of one of the owners Summary Suspensions Immediate Suspension Prevent or avoid immediate danger to public health, safety and welfare. Licensee has due process rights, however, no selling or serving until final disposition of the matter. 18

19 Questions? Contact Information 19

20 THANK YOU 20

INFORMATION AND INSTRUCTION FOR NONRESIDENT SELLER S PERMIT, NONRESIDENT BREWER S PERMIT, AND NONRESIDENT MANUFACTURER S LICENSE

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