Effect of a DUI Conviction on an
ABC License Holder
If the California Department of Alcoholic Beverage Control receives information of a
licensee's DUI conviction, factors which are taken into consideration include prior DUI
convictions, time frame between the priors, if the over indulgence of alcohol occurred at
the licensee's premises, as well as if the conviction was classified as a felony or
misdemeanor, and if an accident was involved that resulted in great bodily harm or death.
When a licensee is convicted of a misdemeanor DUI with no priors, no further action may
result from our department. On the other side, a licensee convicted of a felony DUI or
that has recent priors may be cause for disciplinary action against the ABC
license. Each case has to be looked at on an individual basis.
ABC Penalty Guidelines
PENALTY GUIDELINES
POLICY STATEMENT
It is the policy of this Department to impose administrative, non-punitive penalties in a
consistent and uniform manner with the goal of encouraging and reinforcing voluntary
compliance with the law.
PENALTY POLICY GUIDELINES
The California Constitution authorizes the Department, in its discretion, to suspend or
revoke any license to sell alcoholic beverages if it shall determine for good cause that the
continuance of such license would be contrary to the public welfare or morals. The
Department may use a range of progressive and proportional penalties. This range will
typically extend from Letters of Warning to Revocation. These guidelines contain a
schedule of penalties that the Department usually imposes for the first offense of the law
listed (except as otherwise indicated). These guidelines are not intended to be an
exhaustive, comprehensive or complete list of all bases upon which disciplinary action
may be taken against a license or licensee; nor are these guidelines intended to preclude,
prevent, or impede the seeking, recommendation, or imposition of discipline greater than
or less than those listed herein, in the proper exercise of the Department’s discretion.
Higher or lower penalties from this schedule may be recommended based on the facts of
individual cases where generally supported by aggravating or mitigating circumstances.
Aggravating factors may include, but are not limited to:
1. Prior disciplinary history
2. Prior warning letters
3. Licensee involvement
4. Premises located in high crime area
5. Lack of cooperation by licensee in investigation
6. Appearance and actual age of minor
7. Continuing course or pattern of conduct
Mitigating factors may include, but are not limited to:
1. Length of licensure at subject premises without prior discipline or problems
2. Positive action by licensee to correct problem
3. Documented training of licensee and employees
4. Cooperation by licensee in investigation 12/17/2003
PENALTY SCHEDULE
Note: For purposes of this schedule of penalties, “revocation” includes any period of
stayed revocation as well as outright revocation of the license.
Sales to minors - § 25658 B&P:
Sales of alcoholic beverages to person(s) under 21 15 day suspension
Permitting person(s) under 21 to consume 15 day suspension
Furnishing or causing to be furnished alcoholic
beverages to person(s) under 21
15 day suspension
2nd
violation of Section 25658 within 36 months 25 day suspension
3rd
violation of Section 25658 within 36 months Revocation
(Note: priors must be final – B & P § 25658.1)
Minor(s) on public premises – 25665 B&P 10 day suspension
Employment of minor(s) – 25663 B&P 10 day suspension
Unsupervised sales by person(s) under 18 – 25663(b) B&P 10 day suspension
Sales to obviously intoxicated person(s) – 25602 B&P 15 day suspension
2nd violation of 25602 within 3 years 25 day suspension
3rd violation of 25602 within 3 years 45 day suspension
to revocation
Sale and/or Consumption After Hours – 25631 & 25632 B&P:
By public 15 day suspension
By employees and friends only 10 day suspension
By employees only 5 day suspension
Illegal Solicitation of Alcoholic Beverages:
Violation of Section 24200.5(b) Revocation
Violation of Section 25657(a) Revocation
Violation of Section 25657(b) and Section 303a PC 30 day suspension to revocation
Employees accepting alcoholic drinks – Rule 143 CCR 15 day suspension
Refilling – 25176 & 25177 B&P Code:
With different brand 15 day suspension
With same brand 5 day suspension
Contaminated Bottles (insects, etc.) – 347b PC 5 day suspension
Substitution of Brands – 25609 & 23614 B&P 15 day suspension 12/17/2003
Club Licenses, Sale to Public – 23431 B&P 10 day suspension
Sale to Purchase Between Retailers – 23402 B&P 15 day suspension
Not Operating Bona Fide Eating Place – 23038 & 23396 B&P 10 day suspension
indefinite until
compliance
Licensee or Bartender Working In Premises While Intoxicated
-24200(a) B&P 30 day suspension
Licensee or Employee Resisting Arrest or Interfering With 35 day suspension
Investigation on The Premises – 24200(a) B&P & 148 PC to revocation
Licensee or Employee Not Permitting Inspection Of:
Premises – 25755 B&P 30 day suspension
Records – 25616 B&P 30 days and indefinite until
records produced
Alcoholic Beverage Not Permitted By License – 25607 & 23355 B&P:
Sale 15 day suspension
Possession 10 day suspension
Gambling – 24200(a) B&P and 330 PC:
Organized (bookmaking, football cards, etc.) 30 day suspension
Local (cards, dice, football & baseball pools, etc.) 10 day suspension
Electronic/video games (slot machines,
Poker, 21, etc.) – possession 15 day suspension
Electronic/video with payoffs 30 day suspension, with 15 days stayed for 2 years
Disorderly House, Prostitution, Lewd Conduct – 25601 B&P:
Occasional or isolated offenses 30 day suspension
Recurring/aggravated offenses Revocation
Nude Entertainers, etc. – Rule 143.2 & .3 30 day suspension
to revocation
Narcotics – B&P 24200.5 and H&S Violations:
Transactions on licensed premises Revocation
Paraphernalia, possession for sale Revocation,stayed for 3 years and a 20 day suspension 12/17/2003
Failure to correct objectionable conditions
-24200(e) and (f) B&P 30 day suspension
to revocation
Undisclosed Ownership – 23300 & 23355 B&P:
Hidden owner qualified 15 day suspension Indefinite until
ownership corrected
Hidden owner not qualified Revocation
Hidden owner-priority license Revocation
Commission of Crime Involving Moral Turpitude – 24200(a) B&P:
Committed on premises Revocation
Committed away from premises (petty theft/shoplifting) Revocation stayed 3yrs
Committed away from premises (other than petty theft) Revocation
Conviction of a crime involving moral turpitude – 24200(d) B&P Revocation
Violation Of Conditions – B&P 23804 15 day suspension with 5 days stayed
for one year
Rule 65 – Chapter 1, Title 4 of the CCR Revocation stayed for 180 days to
permit transfer or
reactivation of license
Rule 107 – Chapter 1, Title 4 of the CCR 5 day suspension
Rule 108 – Chapter 1, Title 4 of the CCR 5 day suspension to a
suspension equal to double the original suspension
Exceeding license privileges – 24200(a), 23300, 23355 B&P 5 day suspension
to revocation
PC 313.1 – Harmful matter 5 day suspension
Sale of alcoholic beverages while under suspension Double the original
suspension to revocation
Receiving Stolen Property – 24200(a) and 664 & 496 PC:
By license on premises Revocation
By employee on premises Revocation
stayed for 3 years,
and a 20 day suspension 12/17/2003
Food Stamp Violations – 24200(a) B&P:
Allowing purchases of alcoholic beverages 10 day suspension
Food stamp trafficking (i.e. purchasing stamps at discount):
By licensee Revocation
By employee, with premises involvement Revocation, stayed for one
year and a 20 day suspension.
Keg Registration violations 10 day suspension
Operating Condition Violations – Section 25612.5 B&P:
Subsections (c) (3), (4), (5), (6), (7), (10) 5 day suspension
Subsections (c) (1), (2), (8), (9) 10 day suspension
indefinite until
compliance
Misrepresenting Material Fact on Application – 24200(c) B&P Revocation
PETITION FOR OFFER IN COMPROMISE (“POIC”):
Business and Professions Code Section 23098 authorizes the Department may accept a
Petition for Offer in Compromise (“POIC”) in lieu of the service of a suspension of 15
days or less. For purposes of determining whether the Department may accept a POIC in
lieu of suspension, the total penalty imposed must be for 15 days or less, and shall not
include any period of stayed suspension that would result in the potential suspension
being for a period of greater than 15 days, nor can it include any period of stayed
revocation. In the event that the suspension is for a period of 15 days or less with some
portion thereof stayed, the POIC shall be calculated based upon the period of actual
suspension (not including the stayed portion). In such cases, if the stayed period of
suspension is later reimposed, the Department will generally not accept a POIC in lieu of
serving the reimposed period of suspension.
Abbreviation legend:
B&P California Business and Professions Code
PC California Penal Code
H&S California Health & Safety Code
CCR California Code of Regulations
POIC Payment of Offer in Compromise (B&P Sections 23095 & 23096) Title 4 California Code of Regulations,
Section 144. Penalty Guidelines
In reaching a decision on a disciplinary action under the Alcoholic Beverage Control Act
(Bus. and Prof. Code Sections 23000, et seq.), and the Administrative Procedures Act
(Govt. Code Sections 11400, et seq.), the Department shall consider the disciplinary
guidelines entitled “Penalty Guidelines” (dated 12/17/2003) which are hereby
incorporated by reference. Deviation from these guidelines is appropriate where the
Department in its sole discretion determines that the facts of the particular case warrant
such a deviation – such as where facts in aggravation or mitigation exist.
Note
Authority cited: Section 25750, Business and Professions Code; and Section 22,
Article XX, California Constitution. Reference: Section 23001, Business and
Professions Code; and Section 11425.50(e), Government Code.
History
1. New section filed 4-13-2004 as an emergency; operative 4-13-2004
(Register 2004, No. 16). A Certificate of Compliance must be transmitted
to OAL by 8-11-2004 or emergency language will be repealed by
operation of law on the following day. For prior history, see Register 68,
No. 46.
2. Certificate of Compliance as to 4-13-2004 order transmitted to OAL 8-11-
2004; disapproved by OAL and order of repeal and deletion filed 9-23-
2004 (Register 2004, No. 39).
3. New section filed 9-23-2004 as an emergency; operative 9-23-2004
(Register 2004, No. 39). A Certificate of Compliance must be transmitted
to OAL by 1-21-2005 or emergency language will be repealed by
operation of law on the following day.
4. Certificate of Compliance as to 9-23-2004 order, including amendment of
section, transmitted to OAL 11-18-2004 and filed 12-16-2004 (Register
2004, No. 51).