Instructions for ABC Responsible Vendor Program Filing Additional and duplicate instructions can also be found in your trainee book and your trainer's kit and are described in detail on your CD-R PowerPoint data disk.
You must fill out a Responsible Vendor Program Change of Provider Form. This form can be found in the forms section of your trainee or trainer's books. If you have more than one store, each store must be transferred on a separate form and each license number must be transferred on a separate form. ALL ABC license numbers must be included (beer, wine, liquor), and the forms mailed or faxed to the ABC at the address listed below. The Course provider approval number is the course number, 117-01/02 Off Premise or 117-03/04 On Premise. You must maintain the records at your establishment. There is NO CHARGE to transfer provider if you are currently certified.
Application for Certification
You must complete in full, including the questionnaire. The Application forms can be found in the forms section of both books. This form must contain all information. Each license number (beer, wine, liquor) must be listed on a separate form and the ABC requires a fee of $35.00 for each license certified. The $35.00 RVP fee can be added to your license cost thereafter, make sure to renew annually. This form MUST be notarized. Mail the completed form(s) with a check for $35.00 per license (all license payments may be on the same check) to the ABC address listed below. Do not send your completed/scored tests to the ABC or PAST keep them on file.
Report of Training Form (to be used every time you train an employee)
This form is the Report of Server/Seller/Manager Training and can be found in the forms section of both books. One of these forms must be filled out per license number (beer, wine, liquor for each store) each time you train, please print. Make sure to include all information including the course I.D. numbers. You will not be certified without the proper I.D. numbers. Course I.D. numbers for all P.A.S.T., Professional Alcohol Seller's Training courses are listed below. For initial training a copy of this form must be mailed to the ABC and a copy kept in file. For additional training just keep a copy in file. DO NOT mail additional new trainees to the ABC. Do not send your completed/scored tests to the ABC or PAST keep them on file.
P.A.S.T. course I.D. number 117
Required Files and Filing
You must have 4 files in your management office in Alabama.
(1)One file is for your completed/corrected tests.
(2)One file is for the tests of ex-employees (keep for 3 years).
(3)One file is for your semi-annual updates which are found in the forms section of both books. Remember to conduct documented Semi-Annual updates every 6 months in March/April and September/October.
(4)One file is for copies of forms sent to the ABC.
Also make sure to keep your wholesale alcohol receipts on file for inspection for 3 years.
Make sure to have completed federal I-9 forms on all employees. I-9's are required by federal law.
Alabama ABC Board
Responsible Vendor Program
P.O. Box 1151
Montgomery, Al. 36101
Alabama state law requires that training be provided on a face-to-face basis. This means that as the trainer of this course, you must present the material to the employee(s). Allowing employees to simply read the material and take the test is a violation of law and grounds for decertification of the beverage license(s) from the Responsible Vendor Program.
ALL new hire training classes should be entered into the ABC web-site below: Please do this at least 24 hours in advance of the class.
Or go to the Alabama ABC Web-Site use drop down at top (RVP) then (RVP Training Registration)
ATTENTION All Master Trainers and In House Trainers please take note. Per meeting with the ABC, these are some compliance, filing and violation concerns which were reviewed.
Do not under any circumstance use items not provided by PAST for PAST Responsible Vendor Training. These items include videos, PowerPoints or documentation that you or others may have created. These items are not ABC approved and are not authorized for PAST training. This will cause decertification or denial of certification by the ABC and can create serious problems in the event of a court case.
Do not have a licensee submit documentation for certification until ALL applicable employees are trained. This is grounds for denial of certification.
Make sure all employee training is completed and certification documentation is submitted to the ABC within 90 days of the Train the Trainer date or certification will be denied.
Make sure to use the correct ABC license(s) number(s) on the forms (as explained on our PowerPoint). Do not use a city license number or other license number. This will cause denial.
Make sure the Application for Certification is notarized and filled out correctly. This is explained in the class and on the PowerPoint. If filed incorrectly, certification will be denied and documentation will have to be redone and resubmitted.
Make sure all signage is correct as covered in the class. Do not use other sizes or change the wording in any way.
Remember the annual fee for certification is $35 per license (alcohol type) designation.
If the licensee has had a DRAM shop charge, an underage sales conviction within 1 year or 2 ABC citations within the last few years certification will probably be denied.
Do not short cut the class. If the ABC finds that a trainer is short cutting the class, that trainer will be disallowed to train and certification will be denied.
Remember this is a voluntary State class. We are aware that some municipalities are requiring ABC RVP training. However, this is not a local municipal class but a State ABC program and must be done per ABC standards.
Call or e-mail George with questions: 256-509-7610/256-895-0403
(1) To be certified, a vendor shall: (a) Possess a current retail alcoholic beverage license or a transfer application for such license; (b) Submit a sworn Application for Certification as Responsible Vendor and any other required documentation; (c) Provide an approved course of instruction for servers, sellers, and managers. Licensees utilizing any course of instruction developed but not administered by personnel of a private course provider shall notify the ABC Board of training dates in sufficient time that compliance specialists may attend training prior to application, and at such other times as requested by the ABC Board. (d) Pay the appropriate surcharge; (e) Comply with the provisions of the Act as follows:
1. Servers, sellers, and managers shall have completed the required course of instruction and shall have passed the applicable examination at the time the vendor applies for certification. Initial training shall have occurred within ninety (90) days prior to applying for certification. Servers, sellers or managers employed during application processing, or after the date of certification, shall complete the applicable course of instruction and pass the examination within 30 days after commencing employment.
2. Servers, sellers and managers shall acknowledge in writing the written policy established by each vendor assuring legal alcoholic beverage sales and outlining company policy and procedures for disciplining employees who violate beverage laws or use and/or possess controlled substances on the licensed premises.
3. Responsible vendors shall display signs on the licensed premises informing customers of the vendor's policy against serving or selling alcoholic beverages to underage persons and/or intoxicated customers. These signs must measure no less than 8 inches by 13 inches with type sufficiently large to be easily read, and be placed at customer entrance(s) of the licensed premises or at cash registers and on or near the area where alcoholic beverages are displayed or dispensed. All signs shall be situated in areas easily viewed by the public.
4. Responsible vendors are required to maintain records of the acknowledgments and training of their servers, sellers and managers. These records shall be maintained within the State of Alabama. Responsible vendors shall provide to the ABC Board the name of their employee or agent who is the custodian of the responsible vendor's records and the location of the records; however, the responsible vendor shall ultimately be responsible for the maintenance of such records.
5. Responsible vendors shall have a copy of program certification constantly and conspicuously displayed on the licensed premise at all times. (2) An entity owning more than one license shall file separate applications for each of its licenses, pay the appropriate surcharge and otherwise meet the requirements of the Act for each of its licensed premises. The vendor shall notify the ABC Board in writing of any change in the application information.
20-X-12-.06 Maintaining Certification (1) To maintain certification, responsible vendors shall comply with the provisions of the Act, other applicable laws of the State of Alabama, and Rules and Regulations of the ABC Board. (2) Subsequent to certification: (a) Responsible vendors shall require new or transferred sellers, servers, and managers to complete the course of instruction and pass the appropriate examination within 30 days of commencing employment. Responsible vendors who allow new or transferred employees to sell, serve or manage before training should strive to do so under the direct supervision of a trained seller, server or manager. (b) Responsible vendors should strive to incorporate materials relating to controlled substances in their course of instruction. (c) Responsible vendors shall require each server, seller and manager to attend meetings semi-annually, or more frequently as deemed appropriate. A register with names and social security numbers of all employees who attend the meeting, the date of each meeting, the person conducting the meeting, and the subjects covered shall be maintained by the responsible vendor or agent thereof. (d) If there is loss of certification through lack of renewal, decertification, or other circumstance, the licensee shall be required to retrain all servers, sellers and managers prior to submitting application to again be certified. (3) A responsible vendor or agent thereof shall maintain and make available for inspection employment and/or Responsible Vendor Program records which are sufficiently detailed, accurate, and in such manner that the ABC Board may determine compliance with the Act. The Responsible Vendor Program records shall be maintained within the State of Alabama. In the event of a violation, it is the responsibility of the licensee to provide to the Responsible Vendor Program Division proof of date of hire and/or date of transfer. Acceptable proof of date of hire is a copy of an I-9, Employment Eligibility Verification Form, or a copy of an NH-1, Rev. 7/97, State of Alabama, Industrial Relations New Hire Form. Acceptable proof of date of transfer is a copy of official company time card, time sheets, or a change of work status form. In the absence of the above, a sworn and notarized statement by the company representative responsible for such transfers may be accepted. Responsible vendors shall maintain a file for servers, sellers, and/or managers which shall include: (a) The employee's dates of employment. (b) The employee's social security number. (c) The employees acknowledgment concerning the vendor's written policy assuring legal alcoholic beverage sales, and outlining company policy and procedures for disciplining employees who violate beverage laws or use and/or possess controlled substances on the licensed premises. (d) The employee's course of instruction records with examination results and date of completion. (e) The name of the entity and individual providing the course of instruction and examination to the responsible vendor's employees. (f) Documentation of participation in semiannual meetings. (g) Documentation of employee review of examination questions answered incorrectly. The documentation shall be initialed by the employee. (4) Training of new or transferred sellers, servers and managers shall occur within 30 days of commencing employment or transfer. Responsible Vendors shall submit to the ABC Board, immediately subsequent to training, a completed Report of Server, Seller, or Manager Training form. This documentation is considered official upon receipt in-hand by the Responsible Vendor Program Division. This report shall include: (a) The alcoholic beverage license number and the trade name appearing on the license. (b) The full name, social security number and date of birth of each server, seller, and manager who successfully completes the appropriate course of instruction. (c) The date each employee completes the course of instruction and the date hired or placed in a server, seller or manager position. (d) The name of the individual providing the appropriate course of instruction to the employees. (5) Any social security number disclosed under this regulation shall be used for the purpose of investigation or verification by the ABC Board and shall not be a matter of public record.
20-X-12-.07 Minimum Training For Employees (1) Servers, Sellers and managers shall complete an approved course of instruction/examination dealing with alcoholic beverage consumption on the premises. (2) The passing grade on an examination relating to the course of instruction shall be 80%. (3) Each responsible vendor shall ensure that no individual subverts or attempts to subvert the integrity of such training/examination.
20-X-12-.09 Course of Instruction (1)Courses and examinations shall comply with and maintain minimum requirements as specified in the Act and the Course of Instruction and Examination Guidelines as established by the ABC Board. Courses shall be submitted for approval to the ABC Board in typewritten form before being used for training purposes. Copyright violations and/or plagiarism of another course are grounds for disapproval. The ABC Board reserves the right to withdraw approval of a course. Course content shall be reviewed at least annually by the ABC Board. (2)Notwithstanding any contractual agreements between licensees and private course providers, ultimate responsibility for compliance with program requirements, deadlines or dates shall remain that of the licensee. (3)The format of the course of instruction shall include face-to-face training and question and answer opportunities. (4)A course of instruction shall include but not be limited to: (a) Current statutory authority covering the sale or service of alcoholic beverages. (b) Identification of and dealings with persons prohibited from purchasing or consuming alcoholic beverages. (c) The effects of alcohol consumption. (d) The vendor's specific policies and procedures for ensuring compliance with all regulations and laws. (e) The potential liability of sales or service contrary to the provisions of law and suggested methods of risk reduction. (f) Methods of supervision of servers or sellers. (g) Documentation and on-site requirements of the Responsible Vendor Program. (5)Satisfactory completion of each course of instruction shall be demonstrated by achieving a passing grade of 80% or higher. Incorrect examination questions shall be reviewed and initialed by the employee with the correct answer(s) being provided and discussed. An examination may be repeated once in order to attain a satisfactory score of 80%, after which time retraining shall be necessary. (6)All examinations shall be in writing unless the responsible vendor, or their agent, determines an oral examination is necessary. Examinations given to disabled or illiterate persons may be oral. Oral examinations must be documented as to the reasons therefore and signed by both trainee and examiner. (7)Licensees with multiple locations may train all of their employees at one time and place, provided all local ordinances, local restrictions, and other unique situations of each licensed location are included in the training. (a) A licensee may choose to document the training of employees for all locations with a single Report of Server, Seller, or Manager Training form. This form must be designated as a corporate training form and will be held in the Responsible Vendor Program Division in a corporate file. Licensees using this method of reporting shall initially provide memos on corporate letterhead for each certified license number that will direct the verification of training to the corporate file. (b) Licensees holding multiple licenses for any licensed premises and who train employees to work under each license may document training under the primary license number, provided memos on corporate letterhead are provided to the Responsible Vendor Program Division for each certified license number that will direct the verification of training to the primary license number.
20-X-12-.10 Integrity of Examinations. (1) No individual shall subvert or attempt to subvert the examination process. (2) Any licensee or agent thereof who subverts or attempts to subvert the examination process shall subject the licensee's certification to denial or decertification. (3) Any examinee who subverts or attempts to subvert the examination process shall have his score declared invalid for one year from the date of such misconduct. The examinee may thereafter, upon retraining, retake the examination. (4) Conduct which subverts or attempts to subvert the examination process shall include, but not be limited to: (a) Removing from the examination room any of the examination materials. (b) Reproducing or reconstructing any portion of the examination. (c) Aiding, by any means, in the reproduction or reconstruction of any portion of the examination. (d) Distributing, receiving, or having unauthorized possession of examination materials. (e) Communicating with any other examinee during the administration of the examination. (f) Copying answers from another examinee or permitting one's answers to be copied by another examinee. (g) Having possession of any book, notes, written or printed materials of any kind except those materials distributed at the examination site by the vendor or his agent. (h) Impersonating an examinee or having an impersonator take the examination.
20-X-12-.11 Denial, Decertification and Non-Compliance (1) A responsible vendor whose certification is denied or revoked may request, in writing, a hearing before the ABC Board. (2) Certification may be denied or revoked for any of the following reasons: (a) Violation of any provision of the Act. (b) Violation of any appropriate statutory authority or law resulting in administrative sanctions. (c) Attempting to obtain or obtaining certification by means of fraud, misrepresentation, or concealment of material facts. (3) Thereafter, a minimum of 90 days shall expire before any new certification application shall be considered. The ABC Board may establish guidelines for reinstatement. All employees shall be retrained in an ABC Board approved course. (4) Certified responsible vendors found to be out of compliance may be required to comply within a specified time, retrain, or to undertake other corrective actions at the discretion of the ABC Board. (5) Decertification of a licensee may be recommended by the Responsible Vendor Program staff to a Mitigation-Decertification Committee. Final decisions of such committee may be appealed to the ABC Board.
20-X-12-.14 Cancellation of Certification. (1) Certification shall be automatically voided upon the transfer, cancellation, nonrenewal, or revocation of the ABC Board license. Suspension of an ABC Board license may be grounds for cancellation of Program certification. (2) A responsible vendor may request cancellation of certification at any time by requesting the same in writing from the ABC Board. However, voluntary cancellation shall be denied when the ABC Board has notified the responsible vendor that decertification proceedings have been or will be brought against the licensee.
We are getting calls from licensees requesting (8X13) WE I.D. signs. You must have two posted. Two were sent to you with your first order and a extra copy is in the back flap of your "Trainer's Kit". You may make as many copies as you like. Please have these signs posted. If you need a copy e-mail me at firstname.lastname@example.org and I will attach one and return it to you. Also make sure you have your MOD/Person in Charge sign posted and your Amount of Alcohol in a Drink sign if you sell liquor On Premise. Remember to do Semi-Annual updates every six months and train new employees with a new "Trainee Book/Test" within 30 days of employment. These are all requirements of the Responsible Vendor Program. NOTICE: The ABC is checking.
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