Preparing For Your Compliance Meeting

The Compliance Unit receives reports of alleged violations/infractions of Title 4 (Arizona liquor law) from the Investigations Division. The reports and evidence are reviewed by the compliance officer who determines which course of action will be taken by the Department of Liquor Licenses and Control (DLLC).

NOTE: Compliance cases and actions are reviewed and determined based on the content of the investigations report. The licensee has the right to request a compliance meeting to present evidence.

The licensee is then informed of one of four courses of action to be taken for his/her violation(s):

Warning Letter:

Issued when the compliance officer determines that a violation has occurred and the offense is best corrected by sending the licensee a Letter of Reprimand and Warning. The Letter of Reprimand and Warning informs the licensee that any additional infractions/violations of Title 4 will result in more direct action from DLLC.

Mail-in Consent:

Issued when the compliance officer determines that a violation with substantial evidence has occurred and is best corrected by imposing a fine, yet the violation does not require a compliance meeting to further discuss the violation. To complete the Mail-in Consent process, the licensee will receive two form letters from DLLC;

1. The first letter will clearly list all allegations being brought against the licensee including date and location of the voiolation, a brief summary of the investigation report, references to Title 4 Statute or Arizona Administrative Code Rule, and a description of the violation.
2. The second letter, the Consent Agreement, will inform the licensee of the fine(s) being imposed, the due date, accepted methods of payment, and the option to meet with a DLLC compliance officer.

Compliance Letter:

Issued when the compliance officer determines the alleged violation(s) are substantial and the licensee would benefit from an informal meeting to discuss the violations, surrounding circumstances and references to Title 4 Statute or Arizona Administrative Code Rule. During the compliance meeting, a course of action will be established which corrects current violations and helps the licensee prevent future violations.

Compliance Consent Agreement:

The Consent Agreement is drafted after a course of action is established during the compliance meeting. It reviews the details the violation(s), fine amounts and course of action that will be applied to resolve the matter including acceptable forms of payment and due dates.