licensing investigations table of contents subject page no ... · iv. financial ... before the...

i July 18, 2005

LICENSING INVESTIGATIONS

Table of Contents

Subject Page No. POLICY AND INTRODUCTION ...............................................................................P 24.1 PROCEDURES ..............................................................................................................P 24.1 I. Preliminary Review of Application Package.............................................P 24.1

A. Completeness and Accuracy .................................................................P 24.1 B. Transferor’s File ...................................................................................P 24.2 C. Licensing Investigation Status Report ..................................................P 24.2 D. Applicant Notification ..........................................................................P 24.3 E. Legality of the Entity ............................................................................P 24.3

II. Report Format, Packaging and Review .....................................................P 24.3

A. Report Format .......................................................................................P 24.3 B. When Narrative Reporting Required ....................................................P 24.8 C. Report Packaging and Routing .............................................................P 24.9

III. Moral Character ......................................................................................... P 24.11

A. Exceptions to Moral Character Investigation ...................................... P 24.11 B. Disqualifying Circumstances ............................................................... P 24.11 C. Criminal History and Rehabilitation.................................................... P 24.12 D. Licensed History .................................................................................. P 24.14 E. Employment (Rule 62)......................................................................... P 24.14 F. Tied House Restrictions (Section 25500, et seq.)................................ P 24.14 G. Married Persons (Rule 58) ................................................................... P 24.15 H. Minors (L 174.2).................................................................................. P 24.15 I. Sole Proprietors under Rule 55.1 CCR................................................ P 24.16 J. Narrative Reporting on Moral Character ............................................. P 24.16

IV. Financial ...................................................................................................... P 24.17

A. When to Conduct a Financial Investigation......................................... P 24.17 B. How to Conduct a Financial Investigation .......................................... P 24.17

V. Premises (Including Surrounding Area)................................................... P 24.18

A. Premises Description and Operation.................................................... P 24.18 B. Licensed History ................................................................................. P 24.18 C. Section 23789 - Consideration Points.................................................. P 24.19 D. Rule 61.4 – Residences ........................................................................ P 24.19

Subject Page No.

July 18, 2005 ii

E. Zoning and Conditional Use Permits..................................................P 24.20 F. Section 23958.4 - Undue Concentration ............................................P 24.20 G. Law Enforcement Contact ..................................................................P 24.21 H. Tenancy - Rule 60(m) .........................................................................P 24.21 I. Non-Retail...........................................................................................P 24.21 J. Narrative Reporting on Premises ........................................................P 24.21

VI. Conditions ...................................................................................................P 24.21

VII. Protests and Denials...................................................................................P 24.22

A. Protests................................................................................................P 24.22 B. Denials ................................................................................................P 24.22 C. Maps....................................................................................................P 24.23

LIST OF ILLUSTRATIONS ......................................................................................P 24.24

P 24.1 July 18, 2005

LICENSING INVESTIGATIONS POLICY Before the issuance of any license, the Department must make a thorough and complete investigation of (a) the applicant's qualifications to hold a license including moral character, background, financing, and (b) the proposed premises, its location, condition, equipment, and general suitability to become licensed. The Department's licensing mandate is imposed by Article XX, Section 22, of the State Constitution and Section 23958, among others, of the ABC Act. It is the Department's goal to meet this mandate and to foster the economic growth of the State, while ensuring the peace, welfare and morals of the surrounding community. Licensing investigations are to be conducted thoroughly, yet efficiently, with the least amount of delay for each application. INTRODUCTION This procedure explains how to prepare a Report on Application for License (Form ABC-220). The ABC-220 consists of a Face Sheet (Items 1-27) (Illustration No. 10), and additional narrative sections that include Moral Character, Premises, and Financial Investigation (Illustration No. 11a – 11g). ABC-220 reports are discoverable under Section 11507.6 of the Government Code. In most routine licensing situations full narrative reporting in each area of investigation is not required. See ABC-220 Continuation Sheets for shortcuts in reporting. For non-retail reports and investigations, refer also to P 90. PROCEDURES

I. PRELIMINARY REVIEW OF APPLICATION PACKAGE

Upon receiving a licensing assignment, the Licensing Representative (LR) or Investigator (INV) should:

A. Completeness and Accuracy Immediately check all documents for completeness and accuracy as to applicable

statutes and rules (e.g. S24073, etc.) Pay special attention to Forms ABC-211, ABC-227, ABC-211-A, ABC-211-SIG and Form ABC-207-A, C or D (ensure that the correct publication form was given to the applicant). Do not assume that everything on the application is accurate. There may be errors in spelling, incomplete names, addresses, or other clerical errors. There may also be misstatements made by the applicant(s), either by honest error or deliberate

July 18, 2005 P 24.2

falsification. Review Section 23958.4 worksheet, Form ABC-245 (Illustration No. 5), for accuracy. Also, review the file copy of the Form ABC-279 (Illustration No. 1), Application Checklist, which was given to the applicant at time of filing the application, and Form ABC-279-A (Illustration No. 2), Investigator Checklist.

It is important that you find and correct any discrepancies in the initial application process early to avoid delays and/or costs for the applicant. If there is an error on Form ABC-211, which is generated in CABIN, such as the name or address, the error will be repeated on all other CABIN-generated documents. Discuss any discrepancies with your supervisor immediately for resolution.

B. Transferor’s File Review the transferor's file or file(s) related to the premises:

1. For conditions on the license that may need to be carried forward or

attached to a new license 2. For pending disciplinary action that may delay or prevent transfer and for

continuing law enforcement problems 3. To compare ABC-257's for discrepancies in premises size; i.e. reduction or

expansion. If the application is a person to person transfer compare the new Form ABC-257 content with the one in the transferor's file. Note any differences, and consider the impact they may have upon the pending application.

4. To check the status of the transferor's license. When the transferring license

is active at another premises, confirm the transfer date by telephone or in writing to ensure that the old location is ready to cease licensed operation.

5. To verify the accuracy of the information on the ABC-220 face sheet. C. Licensing Investigation Status Report Depending on which form your office uses, initiate CABIN Form ABC-229

(Illustration No. 4) or Form ABC-229-A (Illustration No. 3), Licensing Investigation Status Report. One of these forms must be completed for every licensing investigation. They are used to (a) plan and track the investigation, (b) provide the supervisor with the status of pending applications, and (c) keep your notes for writing your report.

1. Either attach the ABC-229-A to the inside front cover of the work file, or

keep the ABC-229 updated in CABIN. When the licensing investigation is completed, either a printout of the final CABIN ABC-229 or the completed ABC-229-A must be placed permanently in the applicant/licensee's file.

2. Determine what rules and laws may apply to this application (refer to P 1).

P 24.3 July 18, 2005

D. Applicant Notification Notify the applicant of any items needed. Document the contact on Form ABC-

229-A or Form ABC-229 in CABIN. Keep copies of any letters you send to the applicant in your working file.

E. Legality of the Entity The Department licenses a number of different entities including sole

proprietorships, partnerships, limited partnerships, limited liability companies and corporations. You must verify the legality of the entity. The laws and rules that apply to various entities are listed in P 1. Also review P 30, which discusses the different entities in depth. Review all related forms and documents pertaining to the applicant entity to ensure the entity is legitimate and, if a foreign entity it is authorized to do business in California (this includes out of state US entities, as well as foreign off-shore entities).

II. REPORT FORMAT, PACKAGING AND REVIEW A. Report Format

Although the ABC-220 Face Sheet (Illustration No. 10) is always required, the amount of reporting necessary on Moral Character, Financing and Premises will vary depending upon the type of transaction involved. The chart in Section B shows when full reporting is required, and when a short cut can be done:

1. ABC-220 Face Sheet

At the time of application, as much information as possible is entered on Form ABC-220 face sheet from CABIN entries made by support staff. The following explains the information that goes in each of the numbered boxes. Form ABC-220 reports shall be completed using Departmental computers and associated software:

1. Pending File Number — This is generated by CABIN. 2. Division — This is generated by CABIN. 3. District/Branch — This is generated by CABIN.

4. Date — Enter the date the report is completed and ready to submit to a

supervisor for final approval. (In some cases, reports may be submitted to the supervisor for a pre-approval, pending receipt of final document(s) such as a signed Form ABC-226 from the escrow holder.)

5. Applicant Name(s) — This is generated by CABIN.

July 18, 2005 P 24.4

6 and 7. Mailing Address — Where mail is regularly delivered to a licensee's premises, we should discourage the use of a separate mailing address (this becomes public information). Enter the address of the premises and enter the word "Same." A separate mailing address may be used when a temporary mailing address is needed prior to the opening of the premises and will not be used after the mailing of the license; check the "Temp" box. Also, seasonal licensees, multiple outlet licensees, and other persons having a need for separate mailing addresses may use them; check the "Perm" box.

8. DBA — This is generated by CABIN.

9. Census Tract — The number of the census tract for the premises. This information should be verified by the investigator or licensing representative.

10. Premises Address — This is generated by CABIN.

11. Geographical Code (Geo Code) — This is generated by CABIN.

Refer to Form ABC-79, Geographical Codes, to verify the accuracy. It is critical that the Geo Code be correct. Geo Code numbers end in double zeros (00) for all unincorporated areas. If the question on Form ABC-217 "Is premises inside city limits" is answered "No", then the geographical code must end in 00.

12. Licenses Applied For — This is generated by CABIN.

13. Transaction Type — This is generated by CABIN.

Example: Original, Premises Transfer, Double Transfer, or Adding Partner.

14. Temporary Permit Issued — Enter yes or no, and the effective date, as

to whether a temporary permit has been issued to the transferee. See also: P 62 and Section 24045.5 B&P Code regarding temporary permits. If the temporary permit is issued at the time of filing the application, it is generated by CABIN.

15. Licenses Already Held — Show "None," except when the identical

applicant already holds another license at this address. In the latter case, insert the license number.

16. Effective Date/Estimated Completion Date:

If application is under Section 24044, enter "Sec. 24044."

P 24.5 July 18, 2005

If license is to be issued on a definite date, so designate. If license is to be issued on normal issuance date, enter "Issuance."

If application to transfer seasonal license is accepted during the closing period, date of issuance will be previously established opening date unless otherwise recommended.

17. Copies Mailed Date — Enter the date copies of Application Form

ABC-211 were mailed to local authorities as required by Section 23987. This date, known as "Copies Mailed Date" is obtained from the Form ABC-211, Application. If the Copies Mailed Date is changed, show the new date and explain under "Remarks."

18. Date Premises Posted — Enter the date the premises was posted per

Rule 109 CCR as shown on applicant's Affidavit of Posting, ABC-293. If premises are not properly posted at the time of inspection, have applicant re-post and use the new date. If the premises are posted properly but the posting notice is found not dated, the licensing representative or investigator will insert the current date. In both instances the licensing representative or investigator will so certify to the supervisor on Department letterhead, as follows:

I hereby certify, under penalty of perjury, that pursuant to the provision of Section 23985 of the Alcoholic Beverage Control Act and Rule 109 of the California Code of Regulations, I did insert_____(date)____ on the posting notice at the above premises. (Signed and dated)

A copy of this certification shall be forwarded to the applicant, transferor (if any), and Headquarters Licensing indicating that the 30 day posting period is to begin with the date inserted by the licensing representative or investigator on the posting notice.

19. Sec. 23985.5 Date — Enter the date the applicant sent the Form ABC-

207-E (Illustration No. 8) notices. If notices are not required, enter "N/A." If there is no real property within 500', write "none."

20. Date Premises Inspected — Insert the date of inspection or, if no

inspection required, enter "Waived."

21. Where Posted — Describe the location of the posting notice and the date shown on it. If inspection is waived, insert "Per ABC-293."

Example: Left of main entrance at eye level, dated 4-12-01.

22. Publication Date(s) — Show the date the notice was published (as

required by Section 23986). If three-time publication was required show all three dates.

July 18, 2005 P 24.6

23. Publisher Name — Show the name of the newspaper. 24. Transferor Name — This is generated by CABIN 25. Transferor's File Number — This is generated by CABIN. 26. Transferor Address — This is generated by CABIN.

27. Alien Verification — To be completed on all applications if the

applicant is a single natural person. Answer yes unless a denial for failure to provide documentation, in which case it will be "No." In all other cases, check N/A. When yes is marked, complete 28, 29 and 30 (refer to the Alcoholic Beverage License Eligibility Guide).

31. Pending Disciplinary Action Against Transferor — List any

disciplinary action against the transferor under the following circumstances:

a. Accusation pending at transferor' premises if this is a premises-

to-premises transfer.

b. Suspension/revocation to permit transfer provided the license is transferred within a certain period.

c. Stay order to permit transfer. d. Stayed suspension/revocation. Explain recommended

disposition. To prevent possible errors in transferring information, obtain the details of the disciplinary action from the Decision in file, and not from the Registration (Reg) slip in file. Be sure to check the transferor's file for accusations that have not yet received a registration number from Headquarters Hearing and Legal. Applications ready for issuance are not checked at Headquarters for pending accusations. Information requested under #31 must be provided by the District Office.

32. Transferor's License Originally Issued During Last 5 Years — Applies only to transfer of an on-sale or off-sale general license. "Originally issued" means the first time the license was issued as a priority license. Note that the time period for an original issuance is now 2 years; however, an inter-county transfer remains 5 years and the date would be when it was transferred intercounty.

P 24.7 July 18, 2005

33. Mail License to District Office —Enter "yes" only where unusual circumstances exist that require a final investigation/inspection check before delivery of the license. For example, if the premises was under construction and a final inspection is needed to ensure compliance with Section 23038.

34. Hearing Time —If the application matter is to be scheduled for

hearing, leave blank as the attorney reviewing the report will complete. If no hearing is to be held, enter "NA".

35. Former Licensee at These Premises — This is generated by CABIN.

36. License Number — This is generated by CABIN. 37. Attachments — Check the box(s) for any attachments. If an ABC-226

is involved, ABC-220 reports are not to be submitted to HQ Licensing until the completed and signed Form ABC-226 is received from the escrow holder. The box for "Other" may be used for documents such as stipulations, corrected recorded notices, etc. If you check the "Other" box, explain what you are attaching under Remarks.

38. Remarks — Include special instructions or explanations of unusual

factors including the following: a. Explain any changes in name or address from original ABC-211

that would not require withdrawal and re-application. b. Include priority number and number of available licenses, the

year of the drawing, and whether the license is original or intercounty; e.g., "This is priority (number) of (total number of licenses available) On/Off-Sale General Licenses issued in (year) for (name) County."

c. If this is an exchange, indicate, "There has been no exchange

since the last renewal period (Section 24072.2) for this license. d. If the license currently issued for the premises is conditional, and

those conditions no longer apply note reasons

39. Recommendation — The initial recommendation will be that of the licensing representative or investigator, who will recommend either approval, conditional approval or denial. A recommendation of "denial" should be underlined in red. Opinions, analyses, special notes, and the like should be included in a cover memorandum and not attached to the report or referred to in the report. A Statement of Issues listing the legal grounds for denial must be prepared by the

July 18, 2005 P 24.8

District Office. An original and two copies are to be attached to the Form ABC-220 report before it is sent to Division and Headquarters. a. Where approval is recommended under Section 24044, indicate

"Section 24044." b. If the license is to be issued and held under "Rule 64(b), indicate

"Approval Under Rule 64(b)". The supervisor's signature means that Form ABC-220 has been reviewed for completeness and compliance with all applicable statutes, rules and standards contained within this procedure. In those instances where the Licensing Supervisor does not concur with the LR or Investigator, the matter should be discussed with the LR or Investigator and the District Administrator. Where either the Licensing Supervisor or the District Administrator disagrees with the LR or Investigator and the matter is not resolved after discussion, the dissenting recommendation shall appear on the Form ABC-220 followed by the signature of the dissenting official and the notation "See my memorandum dated ______." The reasons for the dissent shall be set forth in a separate memorandum, which will be stapled to the package forwarded from District or Division to Headquarters. If Headquarters overrules a recommendation of Division on an application, Headquarters will telephone Division, followed by a memorandum explaining the reasons. Mark the "Yes" or "No" box following "For Division Review."

B. When Narrative Reporting Required

Narrative reporting is required in the following situations: Protests, denials, forced transfers (with financial report), moral character issues, and where additional information is requested to clarify a complex situation. NOTE: See P 53 for removal or modification of conditions in connection with a transfer. In cases involving factors that require reporting, only those areas involved will be covered in the ABC-220 report. The following chart describes the extent to which narrative reporting is required for different types of applications.

P 24.9 July 18, 2005

Type of Application

Posting Check and Premises Inspection Required?

Face Sheet Required?

Narrative Moral Character Report Required?

Narrative Financial Report Required?

Narrative Premises Report Required?

Original (including priority licenses)

Yes

Yes

No1

No2

No3

Person-to-Person Transfer

No5

Yes

No1

No5

No5

Premises-to-Premises Transfer

Yes

Yes

No1

No2

No3

Exchange

Yes

Yes

No1

No2

No3

Section 24071.1 or 24071.2 Transfer

No5

Yes

No1

No4

No5

Non-Retail License

Refer to P 90

Same as above

Same as above

Same as above

Same as above

C. REPORT PACKAGING AND ROUTING

1. Routine Forms ABC-220

These will be forwarded from District Offices direct to Headquarters Licensing for issuance.

Forms ABC-220 forwarded by District to Headquarters will mark the "no" next to "For Division Review." All routine non-retail ABC-220’s from District Offices shall be routed directly to Headquarters – Licensing Unit.

1 Unless application involves rehabilitation or denial 2 Unless unusual financial arrangements requiring further investigation 3 Unless protest or denial or any unusual circumstances requiring additional information; e.g., a Type 42 inside a type 40 premises; if the ABC-257 does not speak for itself. 4 No unless substantial changes to the premises such as remodeling or expansion that requires an explanation 5 No unless substantial changes to the premises such as remodeling or expansion that requires an explanation

July 18, 2005 P 24.10

2. Non-routine Forms ABC-220

Non-routine reports must be reviewed by the Division Office. Each District Administrator shall exercise extreme care in evaluating those cases that properly should be forwarded to Division for additional review. Branch Offices shall forward Forms ABC-220 to District for approval. The recommendation of the Deputy Division Chief must be made in every instance and, where appropriate, the recommendation sent to Headquarters. District shall attach copies of all pertinent supporting forms to non-routine Forms ABC-220. Non-routine Forms ABC-220 shall include: All denials. All protested applications. All intercounty transfers of on-sale general and off-sale general licenses and subsequent transfers of such licenses where the purchase price or consideration is restricted by Section 24070. All applications where unusual or questionable factors are involved concerning moral character All applications at a State operated or privately operated institution of higher learning, State Park, State Beach, or State owned fairgrounds.

All applications with request for removal/modification of conditions, under situations outlined in P-53. Any unusual or sensitive application or any application where the District Administrator or District Supervisor determines a need for a second level of review. NOTE: For applications on Indian Tribal lands consult your division office for guidance.

3. Packaging Order

See Illustration No. 12 for packaging order. This will be used to standardize the order of forms within district office files. This also describes the order of the complete ABC-220 package to be sent to the appropriate Division Office or Headquarters, whichever is appropriate.

P 24.11 July 18, 2005

III. MORAL CHARACTER In this portion of the investigation the LR or INV must determine if the applicant has

the personal qualifications to hold an alcoholic beverage license. Therefore, the LR or INV must make a thorough investigation into the applicant's background, using all lawfully available information. This will determine whether the applicant is of good moral character and would be an acceptable licensee.

Refer to the qualification matrix in P 30 to determine, as a minimum, what natural persons must be qualified in connection with the licensing investigation.

A. Exceptions to Investigation on Moral Character

Investigation of moral character is not required in the following situations:

1. P 12 licensees unless, in the case of a corporate, limited liability company or

limited partnership licensee, there has been a change in the structure that requires reporting (notification to the Department under Sections 23405, 23405.1 , 23405.2, or a reporting condition) and the change was not previously reported.

2. Remaining partners in dropping partner applications, or of remaining stockholders in dropping stockholder applications, remaining members in limited liability companies or remaining limited partners in limited partnerships.

B. Disqualifying Circumstances

The following general circumstances would disqualify an applicant from obtaining an ABC license (each circumstance is discussed in detail in the subsequent paragraphs):

• Criminal history is legally disqualifying. See L Manual, Sec. 23958 denials. • Licensed history; e.g., previous revocation of ABC license due to disorderly

operation of premises or individual misconduct. • Employment conflict; e.g., ABC employee or police officer (Rule 62 CCR).

• Tied-house restriction (Refer to P 90 for discussion of tied-house situations). • Spouse status regarding criminal conviction history or employment conflict

(Rule 58 CCR and Rule 62 CCR). • Applicant is under 21 years of age (Refer to L Manual, Sec. 23958, denials).

July 18, 2005 P 24.12

• Sole proprietors who fail to provide alien verification documentation.

In any circumstance where a denial is contemplated, the matter should be carefully reviewed with your supervisor.

C. Criminal History and Rehabilitation

The ABC-208-A, Personal Affidavit, serves as a starting point resource as it requires information for the above disqualifying circumstances.

If the information pertaining to criminal history, employment or age is deliberately omitted or is false, then the applicant may be disqualified due to the misrepresentation of a material fact in connection with the application. (Note: Past administrative law decisions have held that an omitted offense must, in and of itself, be disqualifying, i.e. a recent felony conviction involving moral turpitude would be disqualifying, but failure to disclose a recent traffic infraction would not). Criminal conviction history may be grounds for disqualification. There is no set criteria for determining this issue. Each case must be considered on its own merits. When a conviction has occurred, the type of crime and any rehabilitation factors influence the applicant's qualifications. (See also: L Manual, Sections 23958 regarding denials, and Section 24200 regarding crimes involving moral turpitude). The following sources of information will assist in the investigation of an applicant's moral character:

1. CORI (Criminal Offender Record Information) return (state fingerprint

check) - Will reveal convictions in California. If the CORI return has been received, compare with Form ABC-208-A and evaluate any discrepancies or omissions.

If the CORI return has not been received, an application should not be delayed on that basis alone if the applicant has not listed any arrests/convictions on Form ABC-208-A that appear to be disqualifying.

2. FBI return (federal fingerprint check) - Will reveal a person's convictions

outside of California.

3. CABIN check for ABC history - Will reveal a person's current or past ABC licensing and disciplinary action going back to 1994.

4. Allied law enforcement agency - Will reveal intelligence information or pending investigations. Any information obtained which appears to be of a disqualifying nature must ultimately be presented (proved) at hearing in order to sustain an application denial.

P 24.13 July 18, 2005

5. Other regulatory licensing agencies - Will reveal a record of applicant's history. For example: Department of Motor Vehicles, Lottery Commission, Board of Equalization, Employment Development Department, etc. In most cases, the Department has reciprocal agreements with allied state agencies to coordinate the exchange of confidential information. Such requests for information should be coordinated with your supervisor.

After discussion with your supervisor, if you determine there are grounds for denial, prepare a report listing all circumstances and obtain certified documentary proof to establish the issues of denial; e.g., certified copies of a court docket showing conviction and sentencing. A report from the arresting agency is necessary only when the details of the arrest would assist in the evaluation of the seriousness of the act. Any report on the applicant's criminal history should include a description of the crime(s) involved, the outcome of the court proceeding (refer to certified court docket) and the applicant's explanation of the crime(s) committed. It is a good idea to interview the applicant and, if possible, obtain an ABC-147, Affidavit of Witness, from the applicant. In those cases where a disqualifying crime involving moral turpitude under the circumstances has been committed, but either no conviction has occurred, or a plea bargain resulted in a guilty plea to a lesser included offense which would not be disqualifying, a denial may still be pursued if the commission of the crime can be proven at an administrative hearing. These situations should be carefully discussed you’re your supervisor. Refer to L Manual, Sec. 24200 for discussion of moral turpitude. Rehabilitation: If it appears rehabilitation of the applicant can be shown, the situation should be thoroughly discussed with your supervisor. The applicant should be notified that the department may need letters of rehabilitation. These letters should be submitted to the department by persons who know the applicant. Letters should come from persons other than family members of the applicant (e.g. religious leaders, friends or business persons and leaders in the community). The letters should include the following in regards to the applicant:

1. How long the person has known the applicant and under what

circumstances. 2. Why the person feels the applicant would qualify as a licensee. This

should include what the person knows about the applicant's status in the community.

3. Name, address and phone number of person submitting the letter (testimonial).

July 18, 2005 P 24.14

Some letters received may require additional information and further contact with the person(s) submitting the letter may be needed. All letters received should be noted in the report by generally describing their contents as well as detailing any further follow up contacts that were made with the person(s) submitting the letters. Original letters should be made a part of the applicant's permanent file. The local law enforcement agency where the applicant premises is located should also be contacted. They should be advised of the details of the application. Only the law enforcement agency's official position regarding the applicant should be noted in the report. If the agency has information (intelligence) reflecting upon an applicant's moral character, it can only be used if it can be presented by that agency at an administrative hearing. You should conclude your report by making a statement that the applicant has been rehabilitated or the applicant has not provided substantial information/documents to verify rehabilitation has been established.

D. Licensed History

Describe the previous licensed history of the applicant, if any. Include denials based on grounds relating to the applicant or to the previous premises that the applicant was licensed at within the past five years. For example:

Not currently licensed. Previously Type 41 licensed from 12/07/95 to 9/15/02. No record of disciplinary action within the past five years.

A more extensive licensed history will be required only when it is pertinent to the investigation. For example, continuous history of denials resulting from protests and/or continuous history of disciplinary action, etc.

E. Employment

Rule 62 prohibits some peace officers and other public officers from holding a license. Refer to the Rule for more information, and also the L Manual under Rule 62.

F. Tied-House Restrictions

All corporations, limited partnerships and limited liability company applicants must submit a Form ABC-140, Certification re: Tied House Restrictions. Only the applicant entity is required to submit the form. Parent companies, subsidiaries, etc. do not need to submit the form. Form ABC-140, however, provides that the applicant has exercised due diligence and has checked with parent companies, and subsidiaries to ensure no tied-house conflicts exist.

P 24.15 July 18, 2005

California is a three-tier distribution state. The three tiers are: (a) manufacturers (distillers, wineries and brewers), (b) distributors/suppliers (wholesalers), and (c) retailers. "Tied house" refers to a practice in this country prior to prohibition and still occurring in England today, where a bar or public house is tied to the products of a particular manufacturer either because the manufacturer owns the house or the house is under contract to carry only a particular manufacturer's products. For example, a customer who liked Watney's would go to a Watney's house, while a Bass aficionado would go to a Bass House.

The term "tied house laws” refers to the broad statutory scheme regulating the marketing of alcoholic beverages and the ownership of licensed operations. The policy rationale for these laws is to promote the state's interest in an orderly market, to prohibit vertical integration and dominance by a single producer in the marketplace, to prohibit commercial bribery and predatory marketing practices and to discourage and/or prevent the intemperate use of alcoholic beverages. There are numerous tied-house exceptions, which begin at Section 25500 et seq. of the ABC Act. Any potential tied-house conflicts should be discussed with your supervisor.

G. Married Persons (Rule 58)

Refer to the natural person Qualification Matrix contained in P-30, as a guide as to when the qualification of a spouse is necessary.

H. Minors

For the purpose of alcoholic beverage licensing, "minor" means any person under twenty-one (21) years of age.

Minors may not be licensed. Minor spouses, however, must have the qualifications of a licensee and, except for age, meet the requirements of Rule 58 CCR. ABC Form 208-A, Personal History Affidavit and fingerprints will be obtained on minor spouses. It is the Department's position that Rule 58 CCR is not meant to deny licensure to a married person merely because his/her spouse is under twenty-one (21) years of age. See L Manual under Rule 58, and Section 23958. NOTE: Limited exceptions apply in the case of a minor who holds less than 10% ownership interest in a corporation, limited partnership or limited liability company, or in situations where ownership interests, 10% or greater, are held through issuance to the guardian or trustee of the minor person (See L Manual, L 174.2).

July 18, 2005 P 24.16

I. Sole proprietors under R55.1 CCR

Refer to the rule and the alien verification manual for documentation that is necessary. Note that this applies only in the case of a sole natural person applicant/licensee.

J. Narrative Reporting on Moral Character

When full moral character reporting is required on a sole proprietorship or a general partnership, the report should include the individual(s) name(s) and date(s) of birth. This report should describe the relationship of the applicants, their licensed history and arrest/conviction records.

Rule 58 issues should also be discussed in this portion of the report. If the spouse does not appear as an applicant, comment fully as to compliance with Rule 58. If the arrest record or licensed history is extensive or needs explaining, then the report should be expanded to explain the unusual situation and how the spouse has been rehabilitated. Full moral character reporting is required on a corporation, limited partnership or limited liability company, only if there is something disqualifying about the entity or those individuals who must be qualified. The report on moral character should commence with a discussion on what the entity is; when it was formed; licensing history and the following where applicable:

(1) Corporations: copy of articles of incorporation (certified by the Secretary of

State or authorization for a foreign corporation [outside of California] to do business in California) showing when and where formed. Additional information includes the licensing history, type of stock issuance authorized, corporate minutes showing the election of officers and directors, if it is engaged in other businesses, a summary of the activities (the most recent annual report, if available, will normally suffice. Closely held corporations usually do not issue annual reports. Refer to P-30).

(2) Limited partnerships: when and where formed, licensing history, copy of limited partnership agreement which lists the number of general and limited partners, and number of limited partners owning 10% or more of the capital or profits of the limited partnership, and either a copy of the Certificate of Limited Partnership, Form LP-1 filed with the Secretary of State for all California(domestic) limited partnerships or Form LP-5 filed for all out of state(foreign) limited partnerships. Refer to P-30.

(3) Limited liability companies: when and where formed, licensed history, copy of articles of organization filed with the Secretary of State, using form LLC-1 for California (domestic) LLC's or form LLC-5 for out of state (foreign) LLC's which outline the organization and conduct of business affairs of the

P 24.17 July 18, 2005

LLC, copy of the operating agreement if in writing (LLC operating agreements may be oral). If there is no written operating agreement, the information submitted by the LLC at time of application on ABC Form 256-LLC will be used to determine who will be qualified as part of the moral character investigation. In addition, refer to the Qualification Matrix in P-30 for further guidance. All moral character related forms should be compared with supporting documents. For example, compare the ABC-243, Corporate Questionnaire, with the Articles of Incorporation, etc.

In those situations where ownership interest of the applicant entity spreads horizontally to other entities, a diagram depicting the inter-relationships of the interlocking entities should be included as an attachment to the report. See sample of horizontal ownership model in P 30.

IV. FINANCIAL

A complete financial investigation may be conducted to ensure that the applicant is the true owner and that there are no unqualified person(s) who have a financial interest in the business or license.

A. When to Conduct a Financial Investigation

During any point in an investigation, if you determine the applicant is not the true party in interest or that another person appears to have an ownership interest, discuss the information with your supervisor for a course of action.

B. How to Conduct a Financial Investigation

Before conducting a financial investigation, review and follow the provisions of P-14.

The following are some techniques to use when conducting a financial investigation:

a. Review financial affidavits to determine if the sources and listed amounts

required to go into business appear reasonable b. Request verification of source of cash needed for the transaction c. Obtain written affidavits from applicant early on for any discrepancies

found d. Examine all financial documents for any names not listed as applicant e. Request the applicant to produce copies of bank account signature cards f. Obtain written verification of loans from lenders and check collateral or

security for loans.

July 18, 2005 P 24.18

g. Check patterns and sources of deposits, if funds withdrawn from or held by a bank.

h. Compare figures on submitted financial documents to figures listed in partnership or lease agreements.

i. When reasonable to further verify source of funds, request that the applicant produce tax return records.

j. Confirm withdrawals with banks, sale of property with real estate companies, and terms of notes with the note holder(s).

Priority Licenses. You need not give a summary or breakdown of the consideration involved in any transaction except priority licenses being transferred within the two-year period or inter-county transfers within the five-year period.

V. PREMISES You must determine if (a) the premises is suitable for the type of license and business

to be conducted, and (b) the surrounding area will not be adversely affected. To determine this, the following areas are to be investigated:

A. Premises Description/Operation

Designate in capital letters "PREMISES REPORT" which follows immediately after the "MORAL CHARACTER" section. The report should commence with a two or three word description of the type of business to be conducted and a word picture of the area, e.g.:

Beer tavern, pool hall, supermarket, neighborhood grocery, located in a business, commercial, residential, industrial area, etc.

Identify the boundaries of the premises and confirm that the premises coincides with the ABC-257, Diagram of Licensed Premises, front and back. Determine the proposed operation of the premises; i.e., restaurant, bar, convenience store, liquor store, supermarket; where it is located (strip mall, freestanding, 20th floor, etc.); and the make up of the area surrounding the premises (e.g., mixed business-residential, light manufacturing, entertainment area, etc.). If a restaurant, check the food operation, kitchen facilities, and if the premises complies with Sections 23038 and 23787. Section 23038 mandates compliance with local Health Department requirements. If a Type 42, 48 or 61 license, confirm the premises complies with Rule 107 (Minor Warning Signs).

B. Licensed History

Evaluate all known previous history of the premises location, including any previous disciplinary action. Complete and exact historical data will be required

P 24.19 July 18, 2005

only when it is pertinent to the investigation. In most cases, the licensed history of the premises may be described in a general manner and disciplinary action listed that occurred within the past five years. For example: "Currently Type 41 licensed and intermittently 41 or 40 licensed since 1984. No record of any disciplinary action within the past five years."

C. Consideration Points - Section 23789 (Illustration No. 7)

Identify any schools, churches, public playgrounds, hospitals or nonprofit youth facilities that would be adversely affected by license issuance. Note distances involved, separation factors, and contacts made with persons representing the consideration point. The Licensing Representative or Investigator shall contact the principal person of each consideration point within the prescribed radius distance when a protest has been filed. (See L 136-140.) Form ABC-205 may be used to provide notice to consideration points of the proposed operation. Whenever possible, it is desirable to personally deliver the forms to persons in authority at any consideration point. If personal contact is not possible, a copy of Form ABC-205 may be left at or mailed to a consideration point.

D. Residences and Rule 61.4

Rule 61.4 (Illustration No. 6) says, in essence, that no original issuance of a retail license or premises-to-premises transfer of a retail license shall be approved if the premises or its parking lot are located within 100 feet of a residence. Identify all residences within 100 feet, and note separation factors and distance. Conclude if the operation of the premises will adversely affect the peace, quiet and enjoyment of their property by the residents. Investigate and report on whether residences outside of Rule 61.4 distances will be adversely affected. (See L 139, L 140.) Where Rule 61.4 applies, the affected residents shall be notified of the pending application within the first 10 days of the application period. All residents within 100 feet of the proposed premises should be mailed a copy of Form ABC-205 completed in detail if personal contact has not been made. An attempt to personally contact residents will be made in cases of protested applications or denials. If personal contact is not possible in these situations, a copy of Form ABC-205 may be left at each residence or mailed to each residence if mailing is the most effective means of communication. In all cases, delivery or mailing of Form ABC-205 to Rule 61.4 residents shall be noted in the Form ABC-220 report with a brief statement of the resident's

July 18, 2005 P 24.20

response, if any, to the application and a description of the separation factors involved. In cases where one or more Rule 61.4 residents express concern about issuance of the license but do not want to file an official protest, a letter should be submitted by the applicant to establish how operation of the premises will not interfere with the enjoyment of their property by the nearby residents. If necessary, conditions shall be developed and agreed to by the applicant and attached, along with a copy of the letter, to the Form ABC-220 report when it is submitted. Note: Nothing in this procedure requires that a resident object to the issuance of the license in order to invoke interference, if the LR or investigator determines that non-interference cannot be established.

E. Zoning and Conditional Use Permits

1. For premises not actively licensed, or where a lesser license now exists, check the Zoning Affidavit (ABC-255 [Illustration No. 9]) carefully for the application, and report on ZONING. Report on any zoning conflict and any required conditional use permit (CUP).

2. Conditions should not be imposed to address restrictions in the CUP unless they

are related to other specific ABC rules or statutes e.g. Rule 61.4 or consideration points, etc. Those restrictions that relate to aesthetic or other requirements that do not relate to the direct operation of the licensed premises should not be imposed e.g. outdoor landscaping, the planting of trees, etc. Also, conditions should not be imposed to cover matters of law such as a requirement that the licensee not sell to minors, etc.

F. Undue Concentration - Section 23958.4

In general, "undue concentration" (sometimes referred to as over-concentration) of licenses means that the applicant premises is located in an area that has a high crime rate OR an excessive number of licenses compared to population.

1. In the case of retail applications for original or premises-to-premises

transfers at premises not currently licensed or when the premises have not operated within the past 90 days under the same numerical type license, a paragraph headed 23958.4 B&P should report information regarding undue concentration, if the premises is located in a census tract that is over concentrated or in a high crime area.

2. If the applicant or governing body has issued a letter determining that public

convenience or necessity (PCN) would be served by issuance of the license, a comment should be made to that effect on the appropriate ABC-220 report.

P 24.21 July 18, 2005

3. When PCN applies, but the local governing body does not make a determination within the 90 days specified in Section 23958.4, then the Department will make the determination after the applicant shows that public convenience or necessity would be met. The burden is initially on the applicant, but the final determination will be made by the Department.

G. Law Enforcement Contact

Even though the Department has already officially notified the law enforcement agency that an application has been made by a copy of Form ABC-211 having been mailed to the agency, direct contact is often necessary or desirable to obtain information regarding problem areas or applicant qualifications. Most police or sheriff agencies have a designated liaison officer or deputy to deal with ABC matters. That liaison person may be aware of issues that may have an effect on whether or not the license should be issued. Investigate and report on any law enforcement contact made regarding the applicant or premises. Summarize official comments or concerns expressed by the agency involved and the date(s) of contact. Remember, your licensing report is subject to discovery. Identify the official contacted by name, rank, job description and whether he or she is a designated contact person for ABC-related matters.

H. Tenancy

A detailed investigation of the applicant's right of possession is to be made only when suspicion exists concerning false ownership, tied-house restrictions, pledging of the license as security for a loan or the fulfillment of any other agreement, or for other good causes; e.g., original priority license, etc.

It will generally be presumed that an applicant who is able to post premises in compliance with Section 23985 has a right to possession and control of the premises.

I. Non-Retail Investigations

Review P 90, Non-Retail Licensing for specific license type requirements and reporting. Review Form ABC-257-NR from the applicant. Investigate and report on whether premises are equipped to perform proposed functions.

J. Narrative Reporting on Premises

See ABC-220 Continuation Sheets for shortcuts in reporting. The previous paragraphs give details for reporting when a full narrative is required. This is generally only when there is a problem issue in one of these areas, or a protest or denial based upon one of these areas e.g. R61.4, consideration points, zoning, etc.

July 18, 2005 P 24.22

VI. Conditions

The Department may place reasonable conditions on a license when the proposed condition appears to alleviate objections to the premises operation to assure non-interference. NOTE: Conditional restriction requested by local governing bodies in order to approve their PCN should only be used if there are other issues that are addressed (see paragraph E above). The current policy of the Department is not to accept conditional approvals of PCN from local governing bodies. Reasonable conditions may restrict the hours of sale of alcohol, limit advertising, prohibit entertainment, restrict the type of alcohol sold, or the personal conduct of the applicant/licensee. The use of conditions is an effective tool to resolve issues of difference between the applicant and protestants. At the same time, they protect the peace and tranquility of the area surrounding the proposed operation. The most common license conditions are located on District Servers.

VII. Protests and Denials

A. Protests

For information on protests, see P 23.

The report of investigation should clearly identify the issues of protests, list the findings after investigation, and comment on whether the protest issues have merit. The recommendation as to approval or denial of license issuance must be supported by the facts listed in the report. If the application is protested, a separate paragraph PROTEST INFORMATION should give details about the protestant(s) and the reason(s) for protest. The facts developed during the investigation concerning the protest(s) should be thoroughly explained and summarized by a CONCLUSIONS paragraph that indicates whether or not the application should be approved with or without conditions or denied and the reasons for the recommendation. The licensing representative or investigator will prepare a factual report complete as to all essential matters set forth in the protest as well as usual matters covered in an investigative report. Special emphasis must be placed upon and comment made on all factors contained in the protest. No recommendation is to be made in the body of the 220 report as to whether or not the protest should be rejected; this will be covered in a separate memo.

P 24.23 July 18, 2005

B. Denials

For information on denials, see L162-174.8 and P-22.

The Department shall deny any application for a license or for a transfer of a license if either the applicant or the premises do not qualify for a license.

If the application is to be denied, a separate paragraph explaining the denial should recite the grounds and reasons for denial of the application including all facts developed during the investigation. A separate Statement of Issues listing the legal grounds for denial must be prepared by the District Office. An original and two copies are to be attached to the Form ABC-220 report before it is sent to Division and Headquarters. When the applicant fails or refuses to produce documents needed to complete the investigation, send a Notice to Produce or Denial of Application to the applicant. The notice should be sent Certified Mail (see P 22).

C. Maps

When there is a protest or recommendation of denial because of location, the Form ABC-220 report, including those copies sent to Headquarters Licensing and Division should be accompanied by a detailed map or drawing of the surrounding area (within a 1,000 foot radius of the premises) together with Form ABC-257. Maps or drawings may also be required to accompany Form ABC-220 when unusual circumstances exist and it would enhance the narrative report. The map or drawing should be the same size as the Form ABC-220 report, drawn to approximate scale and all copies be properly color-coded (i.e., residential-green; business-red; hospital-yellow; church-purple; schools-blue; parks and playgrounds-brown; vacant-uncolored; blue and red to indicate applicant premises; other premises are red with blue number indicating license type). In cases when the matter goes to hearing, Legal may require additional maps for presentation at hearings.

July 18, 2005 P 24.24

LIST OF ILLUSTRATIONS No. Form No. Title 1 ABC-279 Application Checklist (pre-application package) 2 ABC-279-A Investigation Checklist (completed at the time of filing

the application) 3 ABC-229-A Licensing Investigation Status Report 4 ABC-229 Licensing Investigation Status Report (CABIN version) 5 ABC-245 Information and Instructions re: Section 23958.4 (Undue

concentration; public convenience or necessity) 6 ABC-247 Statement re: Residences (Rule 61.4) 7 ABC-251 Statement re: Consideration Points 8 ABC-207-E and F Notice of Intention to Engage in the Sale of Alcoholic

Beverages (500’ Notice) and Declaration of Service by Mail (Section 23985.5), ABC-528, Instruction Sheet

9 ABC-255 Zoning Affidavit 10 ABC-220 Report on Application for License (face sheet) 11 ABC-220 Continuation Sheets (Short cuts listed with comments) a ABC-220-S (Short form to be used when other below listed

continuation sheets do not apply to the report) b ABC-220-PR (Priority license application)

c ABC-220-PD (Protest and Denial)

d ABC-220-P (Protest)

e ABC-220-MR (Moral character Rehabilitation)

f ABC-220-MD (Moral character denial)

g ABC-220-F (Full report, generally to be used for training purposes) 12 ABC-220 Packaging Order

Department of Alcoholic Beverage Control

APPLICATION CHECKLIST

DATE:

PREPARED BY:

For an appointment to file your license application, please call:PART 1 - Applicant and Fee Information:

APPLICANT ENTITY: ORIGINAL OR TRANSFER FEE $

ANNUAL FEE $

PREMISES: TEMPORARY PERMIT FEE $

OTHER FEES $

LICENSE TYPE: FILE NUMBER: STATE FINGERPRINTS @ $39.00 EACH =

TRANSACTION TYPE: FEDERAL FINGERPRINTS @ $24.00 EACH =

ESTIMATED TOTAL:

PART 2 - Items Needed are Checked Below:

Payment of Fees - Personal/business/cashier's check or money order; no cash please. Blank check is advisable.

ABC-211-SIG, Application Signature Sheet ("Sign On") - Signature page for applicants who are unable to appear at the ABCdistrict office to sign the application Form ABC-211. Signatures must be notarized.

ABC-211-A, License Transfer Request ("Sign Off") - Signatures must be notarized or witnessed by an ABC employee.Includes separate instruction page.

ABC-217, Application Questionnaire - Signatures must be notarized or witnessed by an ABC employee. See form instructions.

ABC-227, Notice of Intended Transfer (Section 24073 or 24074) - Required for transfers. Obtain the blank form from ABC oryour escrow company. Must be recorded and certified. See form instructions.

ABC-227-A, Notice of Intended Transfer (Section 24071.1 or 24071.2) - Required on transfers of 50% or more involvingcorporations, limited partnerships, and limited liability companies. Must be recorded and certified. See form instructions.

State-issued identification, driver's license or passport for person(s) appearing at ABC to sign application.

ABC-69, Statement of Citizenship, Alien and Immigration Status and supporting document (e.g., certified copy of birth certificate or passport; see List A and B) - Required if you are applying as sole owner (includes U.S. citizens, U.S. Nationals and Aliens).

ABC-208-A/B, Individual Personal Affidavit/Individual Financial Affidavit - Must be completed by(a) sole owners; (b) each general partner; (c) persons holding 10% or more of the capital or stock of a corporation, limited liabilitycompany, or limited partnership; and (d) spouses. Signatures must be notarized or witnessed by an ABC employee.

ABC-253, Supplemental Diagram - Drawing of the real property you own or otherwise control. An exterior view of thepremises and surrounding area, including cross streets.

ABC-257 (or ABC-257-NR for non-retail), Licensed Premises Diagram/Planned Operation - Drawing of your floor plan, includingoverall dimensions and patios to be licensed, and description of proposed operation.

ABC-279 (10/04) 1 of 3 P 24 Illustration No. 1.1

State of CaliforniaARNOLD SCHWARZENEGGER, Governor

www.abc.ca.gov

Instructions to Applicant:

Please submit all checked items at the time you file your application. When completing forms, print in ink or type.


APPLICATION CHECKLIST (Cont.)

ABC-255, Zoning Affidavit - Contact your city or county planning department for information to complete the form.

Copy of Conditional Use Permit - Or receipt showing that CUP application has been submitted. Obtain from your city or county planning department.

ABC-245, Information and Instructions re: Section 23958.4 (Public Convenience or Necessity).

ABC-247, Statement re: Residences (Rule 61.4, Residences Within 100 feet).

ABC-251, Statement re: Consideration Points (Schools, Hospital, Churches, Public Playgrounds, Parks and Youth Facilities).

Certified Copy of Court Order: Appointing Bankruptcy Trustee Approving Transfer Appointing Receiver

Trust Agreement

Certified Copy of Death Certificate Letters Testamentary or Letters of Administration.

Power of Attorney.

ABC-243, Corporate Questionnaire

Copy of Articles of Incorporation.

Copy of Certificate of Qualification - Required for out-of-state corporations. Obtain from Secretary of State, BusinessPrograms Division, (916) 653-2318.

ABC-140, Certification re Chapter 15 Tied-House Restrictions - Required for corporations, limited partnerships and limitedliability companies. For applicant entity only (not its parents, related entities, or individuals).

ABC-527, Instructions to Corporate Applicant and Licensees. Information only; please read.

ABC-256, Limited Partnership Questionnaire

Copy of Form LP-1, Certificate of Limited Partnership - Obtain from Secretary of State, (916) 653-3365.

Copy of Form LP-5, Application for Registration as Foreign Limited Partnership (endorsement file stamped by Secretary ofState) - Required for out-of-state limited partnerships.

Copy of Limited Partnership Agreement and any amendments (LP-2, Amendment to Certificate of Limited Partnership).


ABC-523, Limited Partnership Applications - Information only; please read.


Copy of Minutes Showing the Election of Current Officers and Directors or corporate secretary's Certificate of Incumbency.

Copy of Stock Register or Copies of Stock Certificates that are issued and next sequential blank/unissued certificate. (Copies of certificates may be required if stock register is questionable.)


APPLICATION CHECKLIST (Cont.)

ABC-256-LLC, Limited Liability Company Questionnaire

Copy of Form LLC-1, Articles of Organization - Obtain from Secretary of State, (916) 653-3365.

Copy of Form LLC-5, Application for Registration as Foreign Limited Liability Company (endorsement file stamped bySecretary of State) - For out-of-state limited liability companies.


Copy of written Operating Agreement and any amendments, if any (if Designated LLC Manager, Managing Member orDesignated Officer to sign on behalf of all parties, that person/company must be listed in the agreement).

ABC-283, Information Concerning Temporary Permit - Information only; please read.

Copy of Menu. Food Lessee Agreement.

Copy of By-laws for Club.

Non-retail applicant: Contact Tax and Trade Bureau National Revenue Center, to find out if a Federal BasicPermit is needed (no need to furnish copy of it to ABC). National Revenue Center, 550 Main St., Cincinnati, OH 45202-3263. Phone: (800) 398-2282; email: [email protected]; website: www.ttb.gov/alcohol/permits.htm.

Non-retail applicant: Contact ABC Headquarters, (916) 419-2571, concerning the need for: Malt Beverage Price Schedule(ABC-701), Territorial Agreements, Label Approval Application (ABC-412), Certificate of Compliance (ABC-578 and ABC-410),and Out-of-State Distilled Spirits Shipper's Certificate (ABC-413 and ABC-414).

Non-retail applicant: Contact the Board of Equalization, Excise Tax Division, concerning surety bond, (916) 327-4208(Required for all non-retail licenses except Type 06, 08, 14, 16, 17, 27 and 29).

Retail applicant: Contact the Tax and Trade Bureau National Revenue Center, (800) 937-8864, about the SpecialTax Registration; ATF-5630.5, Annual Special Tax Registration and Return; ATF-5170.2, Liquor Laws and Regulations for RetailDealers.

You may need to provide verification (proof) of the source of your funds (e.g., bank statements, savings passbooks, loan papers, real estate papers, financial statement, gift/loan letters, etc.).

Visit www.calgold.ca.gov. CalGOLD provides businesses with informationon permits and other requirements at all levels of government.



INVESTIGATION CHECKLIST

DATE:

FILE NUMBER:

Instructions to Applicant: TYPE:

licensing representative at .

Post your premises with Form ABC-207, Public Notice. . . (white poster), or ABC-207-B, Public Notice. . . (yellow poster). Your

30-day statutory waiting period begins when you post the notice. Make sure to date the notice.

ABC-293, Affidavit of Posting - Sign, date and return.

ABC-207-A, Notice of Application - Publish one time in a newspaper of general circulation in the city where the licensed premiseswill be located. If none, publish in a newspaper of general circulation in the city nearest the premises.

ABC-207-C, Notice of Application to Sell Alcoholic Beverages - Publish once a week for three consecutive weeks. Publish in a newspaper of general circulation in the city where the licensed premise will be located. If none, publish in a newspaper of general circulation in the city nearest the premises.

ABC-207-D, Notice of Application for Change in Ownership of Alcoholic Beverage License - Publish one time in a newspaper of general circulation in the city where the licensed premises will be located. If none, publish in a newspaper of generalcirculation in the city nearest the premises.

ABC-528, Instructions to Applicants. . . Section 23985.5, 500' law.

ABC-207-E, Notice of Intention to Engage in the Sale of Alcoholic Beverages - Mail to certain addresses within 500' of thepremises. Follow instructions on Form ABC-528.

ABC-207-F, Declaration of Service by Mail (Section 23985.5, 500' law). Complete, sign, date and return with a copy of the ABC-207-E.

Copy of Conditional Use Permit - Obtain from your city or county planning department.

Verification (proof) of Funds (e.g., bank statements, savings passbooks, loan papers, real estate papers, financial statement, gift/loan letters, etc.).

ABC-208-A/B, Individual Personal/Financial Affidavit - The following person(s) must complete the form:

Live Scan (fingerprints) for the following person(s) - Please provide second copy of BCII 8016 signed by Live Scan operator:

Re-record and provide certified copy of ABC-227 or ABC-227-A, Notice of Intended Transfer, to include corrections:

ABC-282, Declaration re Temporary Permit - Required if applicant is not available to sign Form ABC-280, Temporary Retail Permit.

ABC-279-A (4/04) 1 of 2 P 24 Illustration No. 2


www.abc.ca.gov

Thank you for filing your application. The items needed for our investigation are checked below. Please furnish them to this office as soon as possible to avoid delays or denial of your application. When completing forms, print in ink or type. For questions or help, please call and ask to speak with your assigned investigator or


INVESTIGATION CHECKLIST (Cont.)

ABC-283, Information Concerning Temporary Permit - Information only; please read.

Copy of Menu Food Lessee Agreement

Agreement: Manager Franchise

Non-retail applicant: Contact Bureau of Alcohol, Tobacco and Firearms National Revenue Center, to find out if a Federal BasicPermit is needed (no need to furnish copy of it to ABC). ATF National Revenue Center, 550 Main St., Cincinnati, OH 45202-3263. Phone: (800) 398-2282; email: [email protected]; website: www.atf/treas.gov/alcohol/permits/htm.

Non-retail applicant: Contact ABC Headquarters, (916) 263-6844, concerning the need for: Malt Beverage Price Schedule(ABC-701), Territorial Agreements, Label Approval Application (ABC-412), Certificate of Compliance (ABC-578 and ABC-410),and Out-of-State Distilled Spirits Shipper's Certificate (ABC-413 and ABC-414).

Non-retail applicants, except Type 06, 08, 14, 16, 17, 27 and 29, will be contacted directly by the Board of Equalization, ExciseTax Division concerning security deposit and registration requirements for excise tax due on alcoholic beverages.

Retail applicant: Contact the Bureau of Alcohol, Tobacco and Firearms Distribution Center, (800) 937-8864, about the SpecialTax Registration; ATF-5630.5, Annual Special Tax Registration and Return; ATF-5170.2, Liquor Laws and Regulations for RetailDealers.

Petition for Conditional License.

ABC-203, Acknowledgment of ABC Laws, Rules or Regulations.

Rule 60(j) or (l) affidavit.

ABC-226, Statement re Consideration Deposited in Escrow - Date mailed to escrowholder:

Escrowholder must sign and mail to ABC.

You may need to provide verification (proof) of the source of your funds (e.g., bank statements, savings passbooks, loan papers,

real estate papers, financial statement, gift/loan letters, etc.).

ABC-279-A (4/04) 2 of 2 P 24 Illustration No. 2

Department of Alcoholic Beverage ControlLICENSING INVESTIGATION STATUS REPORT

State of California

ABC-229-A (9/02)P 24 Illustration No.3

Check the appropriate box(es) f each item FILENUMBER COPIESMAILEDDATE

(received, complete or N/A).APPLICANT(S) CENSUS TRACT NO.. !GEO CODE

DOING BUSINESS AS CONTACT NAME (First. last) CONTACTTELEPHONE NUMBER

PREMISES ADDRESS PREMISES TELEPHONE NUMBER

TRANSACTION TYPE TEMPORARY PERMIT EFFECTIVE DATE TEMPORARY PERMIT EXPIRATIQN DATE

APPLICATION INFORMATION REMARKS

RECEIVED COMPLETE NIA

ABC-211ABC-211-SIGABC-211-AReview Transferor's FileABC-207-E and ABC-207-FABC-231 Cancel or SurrenderAffidavit of Posting (293)Conditions

Pending Disciplinary ActionZoningCUPP-22 Letter Sent

MORAL CHARACTERRECEIVEDCOMPLETE NIA

Personal Affidavit(s) (208-A)CII Retum(s)Proof of Live Scan

Limited Partnership Information

Corporate Information

Limited Liability Company InformationPrior Licensing Information (237)Alien Verification (69)

PREMISES SPECIALINFOIPROBLEMS

RECEIVEDCOMPLETE NIA oNnn-RlObil o Fiduciary o Manager oFood LesseeDiagram of Premises (257/257-NR)

Supplemental Diagram (253) nRATC. P m.t_,.,.. .... er I .Premises Checked

Posting CheckedConsideration Points - 23789

23038 CompliancePC&N 23958.4

Rule 61.4

Menu

TenancyProtest Received YES VERIFIED N/A

FINANCIAL

RECEIVED COMPLETE N/A

J:!corded Notice (227/227-A)Certification (226) Submitted ADVISEMENTS

EscrowInstructions [}Rule 27 ORule 107 025612.5 023038Sourceof FundsApplicationQuestionnaire(217) o23790.5(d)Individual Financial Affidavit (208-8)

State of California Department of Alcoholic Beverage Control

LICENSINGINVESTIGATIONSTATUSREPORTFirst Owner:Premises:

License Number:

Copies Mailed Date:Census Tract:DBA:

Temporary No. & Eff:Type of Transaction:

ABC-229 06/00

P 24 Illustration No.4

I APPLICATION INFORMATION IApplication (211) Complete I Event: DATEASSIGNEDTO LR Date: 07/08/05

Review Transferor's File Summary:

. Surrender (231)Affivdavit of Publication

Affidavit of Posting (293)Conditions

Pending Disciplinary ActionZoningCLPP-22 Letter Sent

I PERSONALHISTORY INFORMATION

Personal Affidavit( s) (208-A)CII Returns-Alien VerificationLimited Partnership InformationLimited Liabilty Co. InformationCorporate InformationCorporate Questionaire (243)Prior Licensing Information

I PREMISESINFORMATION

Diagram of Premises (257)Posting & Premises CheckedConsideration PointsRule 10723038 Food Service23958.4 Undue ConcentrationRule 61.4Protest ReceivedPCN Letter

I FINANCIAL INFORMATION

Recorded Notice (227/227 A/227B)

Certification (226) SubmittedEscrow InstructionsSource of Funds

Financial Affidavit (217)

Individual Financial Affidavit (208-B)

I COMMENTS/SPECIAL PROBLEMS:


INFORMATION AND INSTRUCTIONS -SECTION 23958.4 B&P

PART 1 - TO BE COMPLETED BY ABC1. APPLICANT'S NAME

2. PREMISES ADDRESS (Street number and name, city, zip code) 3. LICENSE TYPE

4. TYPE OF BUSINESS

Full Service Restaurant Hofbrau/Cafeteria Cocktail Lounge Private Club

Deli or Specialty Restaurant Comedy Club Night Club Veterans Club

Cafe/Coffee Shop Brew Pub Tavern: Beer Fraternal Club

Bed & Breakfast: Theater Tavern: Beer & Wine Wine Tasting Room

Wine only All

Supermarket Membership Store Service Station Swap Meet/Flea Market

Liquor Store Department Store Convenience Market Drive-in Dairy

Drug/Variety Store Florist/Gift Shop Convenience Market w/Gasoline

Other - describe:5. COUNTY POPULATION 6. TOTAL NUMBER OF LICENSES IN COUNTY 7. RATIO OF LICENSES TO POPULATION IN COUNTY

On-Sale Off-Sale On-Sale Off-Sale8. CENSUS TRACT NUMBER 9. NO. OF LICENSES ALLOWED IN CENSUS TRACT 10. NO. OF LICENSES EXISTING IN CENSUS TRACT

On-Sale Off-Sale On-Sale Off-Sale11. IS THE ABOVE CENSUS TRACT OVERCONCENTRATED WITH LICENSES? (i.e., does the ratio of licenses to population in the census tract exceed the ratio of licenses to population for the entire county

Yes, the number of existing licenses exceeds the number allowed

No, the number of existing licenses is lower than the number allowed12. DOES LAW ENFORCEMENT AGENCY MAINTAIN CRIME STATISTICS?

Yes (Go to Item #13) No (Go to Item #20)13. CRIME REPORTING DISTRICT NUMBER 14. TOTAL NUMBER OF REPORTING DISTRICTS 15. TOTAL NUMBER OF OFFENSES IN ALL REPORTING DISTRICTS

16. AVERAGE NO. OF OFFENSES PER DISTRICT 17. 120% OF AVERAGE NUMBER OF OFFENSES 18. TOTAL NUMBER OF OFFENSES IN REPORTING DISTRICT

19. IS THE PREMISES LOCATED IN A HIGH CRIME REPORTING DISTRICT? (i.e., has a 20% greater number of reported crimes than the average number of reported crimes as determined from all crime reporting districts within the jurisdiction of the local law enforcement agency)

Yes, the total number of offenses in the reporting district equals or exceeds the total number in item #17

No, the total number of offenses in the reporting district is lower than the total number in item #1720. CHECK THE BOX THAT APPLIES (check only one box)

Governing Body/Designated Subordinate Name:

FOR DEPARTMENT USE ONLYPREPARED BY (Name of Department Employee)

ABC-245 (12/03) P 24 Illustration No. 5.1


a. If "No " is checked in both item #11 and item #19, Section 23958.4 B&P does not apply to this application, and no additional information will be needed on this issue. Advise the applicant to bring this completed form to ABC when filing the application.

b. If "Yes " is checked in either item #11 or item #19, and the applicant is applying for a non-retail license, a retail bona fide public eating place license, a retail license issued for a hotel, motel or other lodging establishment as defined in Section 25503.16(b) B&P, or a retail license issued in conjuction with a beer manufacturer's license, or winegrower's license, advise the applicant to complete Section 2 and bring the completed form to ABC when filing the application or as soon as possible thereafter.

c. If "Yes " is checked in either item #11 or item #19, and the applicant is applying for an off-sale beer and wine license, an off-sale general license, an on-sale beer license, an on-sale beer and wine (public premises) license, or an on-sale general (public premises) license, advise the applicant to take this form to the local governing body, or its designated subordinate officer or body to have them complete Section 3 . The completed form will need to be provided to ABC in order to process the application.

This form is to be used for all applications for original issuance or premises to premises transfer of licenses.Part 1 is to be completed by an ABC employee, given to applicant with pre-application package, with copy retained in holding file or applicant's district file.Part 2 is to be completed by the applicant, and returned to ABC.Part 3 is to be completed by the local governing body or its designated subordinate officer or body, and returned to

Instructions•

••

PART 2 - TO BE COMPLETED BY THE APPLICANT (If box #20b is checked)

22. APPLICANT SIGNATURE 23. DATE SIGNED

PART 3 - TO BE COMPLETED BY LOCAL OFFICIALS (If box #20c is checked)

24. WILL PUBLIC CONVENIENCE OR NECESSITY BE SERVED BY ISSUANCE OF THIS ALCOHOLIC BEVERAGE LICENSE?

Yes No See Attached (i.e., letter, resolution, etc.)

25. ADDITIONAL COMMENTS, IF DESIRED (may include reasons for approval or denial of public convenience or necessity):

26. CITY/COUNTY OFFICIAL NAME 27. CITY/COUNTY OFFICIAL TITLE 28. CITY/COUNTY OFFICIAL PHONE NUMBER

29. CITY/COUNTY OFFICIAL SIGNATURE 30. DATE SIGNED

ABC-245 REVERSE (12/03) P 24 Illustration No. 5.2

The applicant named on the reverse is applying for a license to sell alcoholic beverages at a premises where undue concentration exists (i.e., an over-concentration of licenses and/or a higher than average crime rate as defined in Section 23958.4 of the Business and Professions Code). Sections 23958 and 23958.4 of the Business and Professions Code requires the Department to deny the application unless the local governing body of the area in which the applicant premises are located, or its designated subordinate officer or body, determines within 90 days of notification of a completed application that public convenience or necessity would be served by the issuance.Please complete items #24 to #30 below and certify or affix an official seal, or attach a copy of the Council or Board resolution or a signed letter on official letterhead stating whether or not the issuance of the applied for license would serve as a public convenience or necessity.

21. Based on the information on the reverse, the Department may approve your application if you can show that public convenience or necessity would be served by the issuance of the license. Please describe below the reasons why issuance of another license is justified inthis area. You may attach a separate sheet or additional documention, if desired. Do not proceed to Part 3.

Department of Alcoholic Beverage Control STATEMENT RE: RESIDENCES (Rule 61.4)

State of California ARNOLD SCHWARZENEGGER, Governor

Applicant: Please complete left side of form, then sign. List addresses of all residences within 100 feet of your proposed premises. If there are none, write “None.” Measure all distances by direct line from the closest edge of the residential structure to the closest edge of your structure or parking lot, whichever is closer. Your “parking lot” includes any area that is maintained for the benefit of your patrons or operated in conjunction with your premises. Continue on reverse if needed.

1. APPLICANT NAME

2. PREMISES ADDRESS (Street number and name, city, zip code)

3. RESIDENCES WITHIN 100’ DEPARTMENT USE ONLY

LTR PERS DATE DISTANCE SEPARATION FACTORS

1.

ft. NAME


2.

ft. NAME


3.

ft. NAME


4.

ft. NAME


5.

ft. NAME


6.

ft. NAME


7.

ft. NAME


8.

ft. NAME

NON-INTERFERENCE (For Department Use Only)

I acknowledge that any false, misleading or omitted information required in this statement may constitute grounds for denial of application for the license, or if the license is issued in reliance upon information in this statement which is offered, false or misleading, then such misinformation or omission will constitute grounds for revocation of the license so issued.

4. APPLICANT SIGNATURE DATE SIGNED

ABC-247 (12/03) P 24 Illustration No. 6.1

INFORMATION AND INSTRUCTIONS Rule 61.4, Chapter 1, Title 4, California Code of Regulations states:

No original issuance of a retail license or premises-to-premises transfer of a retail license shall be approved for premises at which either of the following conditions exist: (a) The premises are located within 100 feet of a residence. (b) The parking lot or parking area which is maintained for the benefit of patrons of the premises, or operated in conjunction with the premises, is located within 100 feet of a residence. Where the parking lot is maintained for the benefit of patrons of multiple businesses in the vicinity of the premises, the parking area considered for the purpose of this rule shall be determined by the area necessary to comply with the off-street parking requirements as mandated by the local ordinance, or if there are no local requirements for off-street parking, then the area which would reasonably be necessary to accommodate the anticipated parking needs of the premises, taking into consideration the type business and operation contemplated. Distances provided for in this rule shall be measured by airline from the closest edge of any residential structure to the closest edge of the premises or the closest edge of the parking lot or parking area, as defined herein above, whichever distance is shorter. This rule does not apply where the premises have been licensed and operated with the same type license within 90 days of the application. Notwithstanding the provisions of this rule, the department may issue an original retail license or transfer a retail license premises-to-premises where the applicant establishes the operation of the business would not interfere with the quiet enjoyment of the property by residents.

A residence is defined as a place where people actually live, such as a single family home, condo, residential hotel or motel, or mobile home. A determination must be made as to whether or not your proposed premises is located in an area as described above. In order to make such determination, it will be necessary for you to complete the front of this form, to be submitted at the time you file a formal application. If you can establish that your business will not disturb the residents, your license may be issued subject to appropriate conditions. ABC-247 (12/03) REVERSE P 24 Illustration No. 6.2

Department of Alcoholic Beverage Control STATEMENT RE: CONSIDERATION POINTS

State of California ARNOLD SCHWARZENEGGER, Governor

Applicant: Please complete left side of form, then sign. List the names and addresses of all schools, churches, hospitals, public playgrounds, parks, and youth facilities located within 600 feet of your proposed premises. Measure all distances by direct line from the closest edge of the facility structure to the closest edge of your structure. Continue on reverse if needed.

1. APPLICANT NAME

2. PREMISES ADDRESS (Street number and name, city, zip code)

3. FACILITY NAME/ADDRESS DEPARTMENT USE ONLY LTR PERS DATE DISTANCE SEPARATION FACTORS

1.

FT. NAME

LTR PERS DATE

2.

FT. NAME

LTR PERS DATE

3.

FT. NAME

LTR PERS DATE

4.

FT. NAME

LTR PERS DATE

5.

FT. NAME

LTR PERS DATE

6.

FT. NAME

LTR PERS DATE

7.

FT. NAME

LTR PERS DATE

8.

FT. NAME

LTR PERS DATE

9.

FT. NAME

I acknowledge that any false, misleading or omitted information required in this statement may constitute grounds for denial of the application for the license, or, if the license is issued in reliance upon information in this statement which is omitted, false or misleading, then such misinformation or omission will constitute grounds for revocation of the license so issued. 4. APPLICANT SIGNATURE DATE SIGNED

ABC-251 (12/03) P 24 Illustration No. 7

Department of Alcoholic Beverage Control State of California

NOTICE OF INTENTION TO ENGAGE IN THE SALE OF ALCOHOLIC BEVERAGESABC-207-E (9/05)

To the Resident or Owner of Real Property Within a 500' Radius:

The applicant(s) for an alcoholic beverage license must mail this notice to every resident of real property

within a 500 foot radius of the premises (Section 23985.5 of the Business and Professions Code). The

applicant must mail this notice within 15 days of posting the premises. Any protest against the issuance of

the license(s) must be received at any office of the Department of Alcoholic Beverage Control (ABC) or

Departmental Headquarters within 30 days of the date the premises are posted, or within 30 days of the

mailing of this notification, whichever is later. To obtain a copy of the protest form, ABC-510-A, please contact

your local ABC office or go online to www.abc.ca.gov.

Date of Mailing: Date Premises Posted:

The below-named applicant(s) has applied for a license to sell alcoholic beverages at:

Type of license(s) applied for:

The name(s) of the applicant(s) is/are:

The dba (doing business as) is (if known):

Further information regarding this application or filing a protest may be obtained at:


address

city, state, zip

phone number

Non-English speaking residents/owners, please see reverse for information. (Spanish)

Non-English speaking residents/owners, please see reverse for information. (Chinese))

Non-English speaking residents/owners, please see reverse for information. (Korean)

Non-English speaking residents/owners, please see reverse for information. (Vietnamese)

Non-English speaking residents/owners, please see reverse for information. (Arabic)Department of Alcoholic Beverage Control State of California

NOTICE OF INTENTION TO ENGAGE IN THE SALE OF ALCOHOLIC BEVERAGESABC-207-E (9/05) Reverse



















address

city, state, zip

phone number








(Korean)

Cö da ân/sôû höõu chuû na øo kho âng no ùi tie áng Anh, xin xem ma ët sau ñeå bie át chi tie át. (Vietnamese)

/ .(Arabic)


















address

city, state, zip

phone number








Los residentes o dueños que no hablen inglés por favor vean al reverso para mayor información.


















address

city, state, zip

phone number








/)23985.5 .( .

/(Alcoholic Beverage Control).

.ABC-510-Awww.abc.ca.gov .

.

(Nhöõng) ngöôøi ñang xin gia áy phe ùp baùn thöùc uoáng coù röôïu pha ûi göûi thoâng baùo na øy cho moãi cö daân ta ïi caùc ba átñoäng saûn to ïa la ïc trong phaïm vi baùn kính 500 feet töø nôi ba ùn (Ñoa ïn 23985.5 Boä Lua ät Thöông Nghieäp vaøNghe à Nghie äp). Ñöông ñôn pha ûi göûi tho âng baùo na øy trong voøng 15 nga øy sau khi coâng bo á ñòa ñie åm. Baát cöùtröôøng hôïp naøo phaûn ñoái vieäc caáp (caùc) giaáy pheùp ñeàu phaûi no äp cho ba át cöù vaên phoøng naøo cuûa Bo ä KieåmSoaùt Thöùc Uoáng Coù Röôïu (ABC) hoaëc Truï Sôû cuûa Boä trong vo øng 30 ngaøy sau ngaøy coâng boá ñòa ñieåm, hoa ëctrong vo øng 30 ngaøy sau khi göûi thoâng baùo naøy, tuøy theo tröôøng hôïp na øo xaûy ra sau. Muoán xin ma ãu pha ûn ñoái,ABC-510-A, xin lie ân la ïc vôùi vaên phoøng ABC ta ïi ñòa phöông quy ù vò hoaëc tre ân ma ïng taïi www.abc.ca.gov.Xin lie ân la ïc vôùi vaên phoøng ABC ghi ôû cuoái ma ãu naøy ne áu quy ù vò caàn ñöôïc giu ùp.

500

( 23985.5 ) 15

30 30

( ) (ABC)

ABC-510-A ABC www.abc.ca.gov

ABC

El solicitante de una licencia para bebidas alcohólicas debe enviar este aviso por correo a todos los residentes de bie-nes inmuebles en un radio de 500 pies del establecimiento (Sección 23985.5 del Código de Negocios y Profesiones). El solicitante debe enviar este aviso antes de 15 días a partir del registro del establecimiento. Toda protesta en contra de la expedición de la(s) licencia(s) debe ser recibida en cualquier oficina del Departamento de Control de Bebidas Alcohólicas (ABC) o en la Oficina Central del Departamento hasta 30 días a partir del registro del establecimiento o hasta 30 días a partir de haber enviado por correo esta notificación, la que sea fecha posterior. Para obtener un formu-lario de protesta, ABC-510-A, favor de comunicarse a la oficina del ABC de su localidad o conéctese por Internet en www.abc.ca.gov. Si requiere ayuda, haga el favor de comunicarse a la oficina del ABC que se menciona en la parte inferior de este formulario.


DECLARATION OF SERVICE BYMAILABC 207F (1/02)

Complete this form. attach the original Form ABC-207E and return to ABC office listed below. Refer toInstructions. Form ABC-528. for more information.

ABC District Office:

Department of Alcoholic Beverage Control28 Civic Center Plaza, Room 369Santa Ana, CA 92701(714) 558-4101

Applicant(s) Name(s):

Premises Address:

I, , do hereby declare that on , I served by mail upon each_ resident of real property _owner of real property within a 500-foot radius of the above-designated premises, by depositing in the United States Mail. with postage fully prepaid. a sealedenvelope containing a true copy of the Notice of Intention to Engage in the Sale of AlcoholicBeverages (ABC-207E). a copy of which is attached hereto, giving the name(s) of ~he applicant(s), thetype(s) of license(s) applied for, the address of the premises where the business is to be conducted,addressed to the resident/occupant for each of the following addresses (If more space is needed. usereverse or attach a separate sheet): .

ADDRESS CITY ZIP CODE

DContinued on reverseor on attachment

I declare under the penalty of perjury that the foregoing is true and correct.

Executed at , California, this . dayof

(Signature)

P 24 Illustration No. 8.3-'

Department of Alcoholic Beverage ControlINSTRUCTIONS TO APPLICANTS RE:SECTION 23985.5 B&P CODE


To the Applicant:

Section 23985.5 of the Business and Professions Code requires that you mail notice of your ABClicense application to every resident and, in some cases, to every owner of real property) within a500-foot radius of your proposed premises. Form ABC-207-E is the notice. You must mail thenotice as soon as possible to avoid a delay in your license application. A delay could resultbecause the 30-day protest period begins when you post your premises or mail the notice,whichever is later.

Please follow these steps:

Step 1: Measure - Measure the 500-foot radius by straight line from the closest exteriorwallof yourpremisesto the otherstructure(s).Youmayuse a scaledgeographicaltractmapmaintainedby the cityor countyfor determiningthe airlinedistance.

Step2: Gather Names and Addresses -Gather the addresses of all residents of realproperty within the 500-foot radius. Also gather names of property owners within the 500-radius ifyour localjurisdiction will provide, free of charge, a list of the names andaddresses of the real property owners.

Step 3: Mail the Form ABC-207-E Notice - Photocopy Form ABC-207-E as needed. Puteach in an envelope with proper postage, address, and mail to the residents and, ifapplicable, property owners within a 500-radius.

Step 4: Complete Form ABC-207-F, Declaration of Service By Mail- Complete FormABC-207-F. Attach Form ABC-207-E. Return both to the ABC District Office as soon aspossible.

Business and Professions (B&P) Code

23985.5.500 foot notification. (a) Notwithstanding any other provision of this article, in any instanceaffecting the issuance of any retail license at a premises that is not currently licensed or for a differentretail license, the department shall require that the applicant mail notification of the application to everyresident and owner of real property within a 500-foot radius of the premises for which the licenseis to be issued.(b) The department shall require the applicant to provide notification to the owners of real property, asrequired in subdivision (a), only if the localjurisdiction in which the license is to be issued provides, freeof charge, a list of the names and addresses of the owners to the applicant.(c) For the notification required by subdivision (a), the department shall develop bilingual notices inEnglish and Spanish. The notice shall include information on how to obtain the notice information in aminimum of three of the predominant languages other than English or ~panish in the state, according tothe most recent United States decennial or special census information.

24013. Protests. (a) Protests may be filed at any office of the department at any time within 30 days fromthe first date of posting the notice of intention to engage in the sale of alcoholic beverages at thepremises, or within 30 days of the mailing of the notification pursuant to Section-23985.5, whichever islater. . .

I "Real property" is defined as land and anything growing on, attached to, or erected on it. Real property does notinclude anything that may be severed without injury to the land.2As a courtesy, the department provides the notice not only in English and Spanish, but also Korean, Chinese,Vietnamese and Arabic. All six languages are contained on one form (Form ABC-207-E).ABC-528 (12/03)

P 24 Illustration No. 8.4


ZONING AFFIDAVIT

1. APPLICANT(S) NAME (Last, first, middle)

2. PREMISES ADDRESS (Street number and name, city, zip code) 3. PARCEL NUMBER OF PROPERTY (Obtain fromCounty Assessor's Office)

4. TYPE OF LICENSE APPLIED FOR 5. UPGRADE OF LICENSED PRIVILEGES 6. CURRENT LICENSE TYPE AT THIS LOCATION, IF ANY

Yes No7. TYPE OF BUSINESS (i.e., restaurant, mini-mart, gas station, etc.) 8. ARE THE PREMISES INSIDE THE CITY LIMITS?

Yes No

9. HOW ARE APPLICANT PREMISES ZONED? STATE TYPE (i.e., "C" commercial, "R" residential, etc.)

10. DOES ZONING PERMIT INTENDED USE? 11. IS A CONDITIONAL USE PERMIT (C.U.P.) NEEDED? 12. IF YES, DATE YOU FILED APPLICATION FOR C.U.P. (If yes, please attach copy of receipt or C.U.P.)

Yes No Yes No13. NAME OF PLANNER CONTACTED AT PLANNING DEPARTMENT 14. PLANNER'S PHONE NUMBER

15. APPLICANT'S SIGNATURE (One signature will suffice) 16. DATE SIGNED

FOR DEPARTMENT USE ONLYIF APPROVED, EFFECTIVE DATE FILE NUMBER

C.U.P. ApprovedDATE DENIED

C.U.P. Denied

GENERAL INFORMATION

ABC-255 (12/03)

P 24 Illustration No. 9


Under the penalty of perjury, I declare the information in this affidavit is true to the best of my knowledge.

•Section 23790 of the Business and Professions Code says that ABC�may not issue a retail license contrary to a valid zoning ordinance. This form will help us determine whether your proposed business is properly zoned for alcoholic beverage sales.

•A conditional use permit (CUP) (Item 11) is a special zoning permit granted after an individual review of proposed land-use has been made. CUP's are used in situations where the proposed use may create hardships or hazards to neighbors and other community members who are likely to be affected by the proposed use. The ABC district office will not make a final recommendation on your license application until after the local CUP review process has been completed. If the local government denies the CUP, ABC must deny your license application.

23790. Zoning ordinances. No retail license shall be issued for any premises which are located in any territory where the exercise of the rights and privileges conferred by the license is contrary to a valid zoning ordinance of any county or city.

Premises which had been used in the exercise of those rights and privileges at a time prior to the effective date of the zoning ordinance may continue operation under the following conditions:(a) The premises retain the same type of retail liquor license within a license classification.(b) The licensed premises are operated continuously without substantial change in mode or character of operation.For purposes of this subdivision, a break in continuous operation does not include:(1) A closure for not more than 30 days for purposes of repair, if that repair does not change the nature of the licensed premises and does not increase the square footage of the business used for the sale of alcoholic beverages.(2) The closure for restoration of premises rendered totally or partially inaccessible by an act of God or a toxic accident, if the restoration does not increase the square footage of the business used for the sale of alcoholic beverages.

For answers to Questions 9 - 14, contact your local city OR county planning department (if inside the city limits, contact city planning; if outside, contact county planning.

Instructions to the Applicant: Complete Items 1 - 14. Sign and date the form and submit it to ABC.

State of California Department of Alcoholic Beverage Control

REPORT ON APPLICATION FOR LICENSE1. PENDING NUMBER

2. DIVISION 3. DISTRICT/BRANCH 4. DATE

5. APPLICANT NAME(S)

6. MAILING ADDRESS (Street number and name, city, zip code) (If different from premises address) 7.Temp Perm

8. DBA 9. CENSUS TRACT

10. PREMISES ADDRESS (Street number and name, city, zip code) 11. GEOGRAPHICAL CODE

12. LICENSES APPLIED FOR 13. TRANSACTION TYPE (If intercounty transfer, show transferor's county)

14. TEMPORARY PERMIT ISSUED 15. LICENSES ALREADY HELD 16. EFFECTIVE DATE/ESTIMATED COMPLETION DATENo Yes Effective

17. COPIES MAILED DATE 18. DATE PREMISES POSTED 19. 23985.5 DATE 20. DATE PREMISES INSPECTED

21. WHERE POSTED

22. PUBLICATION DATE 23. PUBLISHER NAME

24. TRANSFEROR NAME 25. TRANSFEROR LICENSE NUMBER

26. TRANSFEROR ADDRESS (If Prem-to-Prem or Double Transfer)

27. ALIEN VERIFICATION 28. DATE CLEARED 29. FORM NUMBER/NOTATION 30. LIMITED VERIFICATION DATENo Yes N/A

31. PENDING DISCIPLINARY ACTION AGAINST TRANSFEROR

32. TRANSFEROR'S LICENSE ORIGINALLY ISSUED DURING LAST 5 YEARS 33. MAIL LICENSE TO DISTRICT OFFICE 34. HEARING TIMENo Yes N/A If yes, date Yes No

35. FORMER LICENSEE AT THESE PREMISES 36. LICENSE NUMBER

37. ATTACHMENTSConditions ABC-256 ABC-226 ABC-231 ABC-243 ABC-253 ABC-257 Other

38. REMARKS

39. RECOMMENDATION INVESTIGATOR/LICENSING REPRESENTATIVE DATE

SUPERVISOR DATE

RECOMMENDATION DISTRICT ADMINISTRATOR DATE DIVISION REVIEW

No YesRECOMMENDATION ASSISTANT DIRECTOR DATE

SEE REVERSE FOR REPORT: 1. MORAL CHARACTER 2. PREMISES 3. FINANCING

ABC-220 (5/01) P 24 Illustration No. 10

ABC-220-S (12/02)

PREMISES: See attached ABC 257 for premises information. Does the premises comply with the following: Section 23038: N/A Yes No Rule 27: N/A Yes No Rule 107: N/A Yes No LICENSED HISTORY: SECTION 23790 (Zoning): Premises complies with local zoning requirements: Yes No Conditional use permit (CUP) required: Yes No SECTION 23789 (Consideration Points): Exist: Yes No N/A Objections received: Yes No SECTION 23958.4 (Undue Concentration/High-Crime Area): N/A Crime statistics maintained: Yes No Premises located in a high-crime reporting district: Yes No Premises located in an overconcentrated census tract: Yes No N/A Public convenience or necessity: Governing Body

Applicant Law enforcement contacted: Yes No Objections received: Yes No RULE 61.4 (Residents Within 100'): Exist: Yes No N/A If yes, has non-interference been established: Yes No Objections received: Yes No WHOLESALE INFORMATION (if reporting on a non-retail application):

ADDITIONAL INFORMATION:

All supporting documents are located in the district file. Supervisor Review District Administrator Review P 24 Illustration No. 11a

ABC-220-PR (3/03)

PREMISES: See attached ABC 257 for premises information. Does the premises comply with the following: Section 23038: N/A Yes No Rule 27: N/A Yes No Rule 107: N/A Yes No LICENSED HISTORY: SECTION 23790 (Zoning): Premises complies with local zoning requirements: Yes No Conditional use permit (CUP) required: Yes No SECTION 23789 (Consideration Points): Exist: Yes No N/A Objections received: Yes No SECTION 23958.4 (Undue Concentration/High-Crime Area): N/A Crime statistics maintained: Yes No Premises located in a high-crime reporting district: Yes No Premises located in an overconcentrated census tract: Yes No N/A Public convenience or necessity: Governing Body

Applicant Law enforcement contacted: Yes No Objections received: Yes No RULE 61.4 (Residents Within 100'): Exist: Yes No N/A If yes, has non-interference been established: Yes No Objections received: Yes No PRIORITY INFORMATION ONLY: Residency (P-71.2) Yes No Exempt (P-12) N/A Source of funds: Complies with (P-24.17) Yes No Tenancy: Deed/Lease to cover 2 years: Yes No ADDITIONAL INFORMATION: All supporting documents are located in the district file. Supervisor Review District Administrator Review P 24 Illustration No. 11b

ABC-220-PD (12/02)

Premises: Licensed History: Section 23790 (Zoning): Premises complies with local zoning requirements: Yes No Conditional use permit required: Yes No Section 23789 (Consideration Points): Number of consideration points located within 600' of the location: Address Proximity/Separation Contact/Results Section 23958.4 (Undue Concentration/High-Crime Area): Census Tract Information: Census tract: Population: Number of licenses allowed: Number of existing licenses: Crime Statistics: Jurisdiction of able/unable to provide statistical data. Crime reporting district: Total number of reporting districts: Total number of offenses: Average number of offenses per district: 120% of average number of offenses: Total offenses in district: P 24 Illustration No. 11c

ABC-220-PD (12/02)

Location is within a high-crime reporting district: Yes No Law Enforcement Contact: Public Convenience and Necessity: Investigation of Public Convenience and Necessity: Rule 61.4 (Residents Within 100') Address Proximity/Separation Contact/Results Non-Interference: Protest Information: Date application filed: Number of verified protests received: The protestants are as follows: Protest Issues/Grounds: Investigation of Protest Issues/Grounds: Grounds for Denial: P 24 Illustration No. 11c (Reverse)

ABC-220-P (12/02)

Premises: Licensed History: Section 23790 (Zoning): Premises complies with local zoning requirements: Yes No Conditional use permit required: Yes No Section 23789 (Consideration Points): Number of consideration points located within 600' of the location: Address Proximity/Separation Contact/Results Section 23958.4 (Undue Concentration/High-Crime Area): Census Tract Information: Census tract: Population: Number of licenses allowed: Number of existing licenses: Crime Statistics: Jurisdiction of able/unable to provide statistical data. Crime reporting district: Total number of reporting districts: Total number of offenses: Average number of offenses per district: 120% of average number of offenses: Total offenses in district: P 24 Illustration No. 11d Location is within a high-crime reporting district: Yes No

ABC-220-P (12/02)

Law Enforcement Contact: Public Convenience and Necessity: Investigation of Public Convenience and Necessity: Rule 61.4 (Residents Within 100') Address Proximity/Separation Contact/Results Non-Interference: Protest Information: Date application filed: Number of verified protests received: The protestants are as follows: Protest Issues/Grounds: Investigation of Protest Issues/Grounds: Conclusion: P 24 Illustration No. 11d (Reverse)

ABC-220-MR (12/02)

Moral Character Investigation: Rehabilitation: Premises: Licensed History: Section 23790 (Zoning): Premises complies with local zoning requirements: Yes No Conditional use permit required: Yes No Section 23789 (Consideration Points): Number of consideration points located within 600' of the location: Address Proximity/Separation Contact/Results Section 23958.4 (Undue Concentration/High-Crime Area): Census Tract Information: Census tract: Population: Number of licenses allowed: Number of existing licenses: Crime Statistics: Jurisdiction of able/unable to provide statistical data. Crime reporting district: Total number of reporting districts: Total number of offenses: Average number of offenses per district: P 24 Illustration No. 11e

ABC-220-MR (12/02)

120% of average number of offenses: Total offenses in district: Location is within a high-crime reporting district: Yes No Law Enforcement Contact: Public Convenience and Necessity: Investigation of Public Convenience and Necessity: Rule 61.4 (Residents Within 100') Address Proximity/Separation Contact/Results Non-Interference: P 24 Illustration No. 11e (Reverse)

ABC-220-MD (12/02)

Moral Character Investigation: Premises: Licensed History: Section 23790 (Zoning): Premises complies with local zoning requirements: Yes No Conditional use permit required: Yes No Section 23789 (Consideration Points): Number of consideration points located within 600' of the location: Address Proximity/Separation Contact/Results Section 23958.4 (Undue Concentration/High-Crime Area): Census Tract Information: Census tract: Population: Number of licenses allowed: Number of existing licenses: Crime Statistics: Jurisdiction of able/unable to provide statistical data. Crime reporting district: Total number of reporting districts: Total number of offenses: Average number of offenses per district: 120% of average number of offenses: P 24 Illustration No. 11f

ABC-220-MD (12/02)

Total offenses in district: Location is within a high-crime reporting district: Yes No Law Enforcement Contact: Public Convenience and Necessity: Investigation of Public Convenience and Necessity: Rule 61.4 (Residents Within 100') Address Proximity/Separation Contact/Results Non-Interference: Grounds for Denial: P 24 Illustration No. 11f (Reverse)

ABC-220-F (12/02)

Moral Character Investigation: Premises: Licensed History: Section 23790 (Zoning): Premises complies with local zoning requirements: Yes No Conditional use permit required: Yes No Section 23789 (Consideration Points): Number of consideration points located within 600' of the location: Address Proximity/Separation Contact/Results Section 23958.4 (Undue Concentration/High-Crime Area): Census Tract Information: Census tract: Population: Number of licenses allowed: Number of existing licenses: Crime Statistics: Jurisdiction of able/unable to provide statistical data. Crime reporting district: Total number of reporting districts: Total number of offenses: Average number of offenses per district: 120% of average number of offenses: P 24 Illustration No. 11g

ABC-220-F (12/02)

Total offenses in district: Location is within a high-crime reporting district: Yes No Law Enforcement Contact: Public Convenience and Necessity: Investigation of Public Convenience and Necessity: Rule 61.4 (Residents Within 100') Address Proximity/Separation Contact/Results Non-Interference: Financial Information: Tenancy: Lessor: Lessee: Terms: P 24 Illustration No. 11g (Reverse)

P 24 Illustration No. 12

ABC-220 PACKAGING ORDER DISTRICT • 220 copy • Prior 220(s) reports containing pertinent information copy • Statement of Issues copy • Area Sketch (color coded) • Conditions copy • Temp copy • 217 (Application Questionnaire) • 293 (Affidavit of Posting) • 207-E & -F (500’ Mailing) • 257 (Diagram of Property) • 253 (Supplemental Diagram) • Publication • 140 (Tied House) – APPLICANT ONLY • 256-LP or 256-LLC or 243 • Articles of Incorporation/LLC-1/LP-1 or LP-5 • Minutes electing Current Officer & Directors, LLC

Operating Agreement or LP Agreement and any amendments – MOST RECENT FIRST

• Stock Certificates – All Issued PLUS 1 • 208-A & -B (Individual Personal/Financial Affidavit):

Alpha order for individual (spouse only – follows applicant); in order listed on 243/256 for Corps, LP and LLC (behind the corresponding entity)

• Alien Verification documents (sole owner only – behind 208-A & -B)

• CII & related documents: live scan print verification form

• 255 (Zoning) • CUP (when needed) copy • 251 (Consideration Points) • ABC-245 (23958.4 Worksheet) • 247 (61.4) • 226 copy • 227 (Recorded Notice) • 64(b) letters copy • Escrow – if needed • Lease/Grant Deed – PRIORITY LICENSE • Franchise/Concession Agreement • Protests (HQ letter in front of each corresponding protest

– in order of Protestants listed on 220) • P-22 letter • Miscellaneous Correspondence • Acknowledgment • Menu • 229/229-A (Licensing Investigation Status Report) • Receipt • 211 (Application) • 211-SIG (Sign Off) • 211-A (Sign On)

HEADQUARTERS • 220 • Statement of Issues (Original and 3 copies) • Area Sketch (uncolored OK) copy • 257 & 253 copy • 64(b) letters • 140 copy • 243/256 – all entities involved copy • Conditions • 226 • 226 copy • Conditions copy • 231 (Original and 1 copy) if #37 on 220 is checked SOUTHERN DIVISION/LEGAL (for protests and denials in So. Div. Offices only) • 220 copy • Statement of Issues copy • Area Sketch (color coded) • 257/253 copy • Conditions copy • 243/256 copy • Protests and copy of HQ letter accepting • All Exhibits to be used at hearing • Other documents pertinent to recommendation DIVISION REVIEW REQUIRED • All Non-Retail (Southern office only) • 64(b) issuance requested • Moral Character – Rehabilitation • Forced transfers • Denials • Protests • Unique 220’s as determined by DA

Any documents/correspondence relating to or supporting a specific item above should be placed behind that item. All documents are originals unless shown as copy.

licensing investigations table of contents subject page no ... · iv. financial ... before the...

Documents