Retail Operations Manual (11-20) - Oregon.gov

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RETAIL OPERATIONSMANUALPromoting Responsible Alcohol Sales and Service

RETAIL OPERATIONS MANUALAugust 2016 RevisionSECTIONSSection 1 . General InformationSection 2 . Appearance and MerchandisingSection 3 .Operations and Customer ServiceSection 4 . Sales and RevenueSection 5 . Inventory ManagementSection 6 . Emergency ProceduresSection 7 . Liquor Laws and RulesSection 8 .IndexSection 9 . ExhibitsPublished byOregon Liquor Control CommissionRetail Services Division9079 SE McLoughlin BoulevardPO Box 22297Portland, Oregon 97222First published in April 1979. Revisions: August 1979; May 1980; April 1983; August 1984; January 1986;September 1987; January 1997; November 2002; October 2009;September 2014; and August 2016.Retail Operation Manual/Revised August 20161

Retail Operation Manual/Revised August 20162

RETAIL OPERATIONS MANUALTABLE OF CONTENTSAugust 2016 RevisionSECTION 1 GENERAL INFORMATION .1-11-A. PURPOSE OF THE RETAIL OPERATIONS MANUAL . 1-31-B. OLCC PURPOSE AND FUNCTIONS . 1-41-C. THE DISTILLED SPIRITS PROGRAM . 1-5Wholesale Operations . 1-5Purchasing . 1-5Distribution Center. 1-5Retail Services . 1-5OLCC Phone/Fax Numbers & Addresses . 1-51-D. LIQUOR STORES AND LIQUOR AGENTS . 1-61. Types of Liquor Stores . 1-6Exclusive . 1-6Non-exclusive . 1-62. General Responsibilities of Liquor Agents . 1-63. Change of Legal Entity . 1-74. Insurance Requirements . 1-85. Evaluations and Appointments . 1-8a. Reappointment . 1-8b. Second Store Appointment . 1-86. Store Vacancies . 1-97. Resignation Buy-Out . 1-98. Temporary Agent. 1-109. Fixtures and Equipment Policy . 1-1010. Exclusive Liquor Store Lease Assumption Requirements . 1-11a. Non-Owner Occupied . 1-11b. Owner-Occupied . 1-1211. Establishing New Stores . 1-1212. Store Relocations . 1-12a. Site Evaluation . 1-12b. Floor Plan/Appearance . 1-1313. Memoranda and Bulletins . 1-1414. Release of Information . 1-1415. Public Disclosure . 1-1416. Leave of Absence. 1-141-E.1.2.3.STATE REGULATIONS . 1-15Prohibited Interests . 1-15Conflict of Interest . 1-15Gifts and Gratuities. 1-15Retail Operation Manual/Revised August 20163

4. Auctions, Raffles and Prizes . 1-165. Solicitations . 1-166. Distillery Representatives . 1-167. Drinking and Drugs on Duty . 1-178. Tastings . 1-179. Smoking . 1-1710. Bags . 1-1811. Oregon Bottle Bill . 1-181-F.1.2.3.4.FEDERAL REGULATIONS . 1-20TTB Regulations. 1-20Warning Label . 1-20Postal Regulations . 1-20Bioterrorism . 1-211-G. KEEPING PUBLIC RECORDS . 1-22SECTION 2 APPEARANCE AND MERCHANDISING .2-12-A. APPEARANCE AND MERCHANDISING OVERVIEW . 2-32-B.1.2.3.4.EXTERIOR APPEARANCE . 2-4Building Appearance . 2-4Exterior Signs . 2-4Parking and Landscape. 2-4Windows and Doors . 2-42-C.1.2.3.4.5.6.INTERIOR APPEARANCE . 2-5Surface Areas (Ceilings, Walls, Floors) . 2-5Shelving and Counters . 2-5Lighting . 2-5Sales Floor and Aisles. 2-6Stockroom and Office . 2-6Décor and Music . 2-62-D.1.2.3.4.5.6.STORE LAYOUT . 2-7Store Size . 2-7Fixtures . 2-7Category Arrangements . 2-8Related Items . 2-8Stockrooms . 2-8Store Remodels. 2-92-E. MERCHANDISE PRESENTATION . 2-101. Product Selection . 2-102. Shelf Management Standards . 2-11a. Category Placement . 2-11b. Product Placement . 2-11Retail Operation Manual/Revised August 20164

3. Displays . 2-124. Signs . 2-12a. Category Signs . 2-13b. Product Signs . 2-13c. Informational Signs . 2-135. Related Items . 2-13SECTION 3 OPERATIONS AND CUSTOMER SERVICE .3-13-A. STORE HOURS AND STORE CLOSURES . 3-31. Change in Hours or Days of Operation . 3-32. Store Closure . 3-33-B. VOLUNTARY SUNDAY / HOLIDAY OPERATION . 3-43-C. CUSTOMER SERVICE . 3-51. Product Availability . 3-52. Personnel Appearance . 3-53. Product Knowledge . 3-54. Minors in Liquor Stores . 3-65. Delivery . 3-66. Drive-Up Windows. 3-67. Cell Phones . 3-68. Animals . 3-69. Empty Boxes . 3-610. Customer Comment Cards . 3-611. Customer Complaints . 3-73-D. SHOPLIFTING . 3-81. Efforts to Prevent Shoplifting . 3-82. Apprehending Shoplifters . 3-93-E.1.2.3.ADVERTISING . 3-10Advertising by a Retail Sales Agent . 3-10Exterior Signs . 3-11Advertising in a Retail Liquor Store . 3-11a. Signs and Displays . 3-11b. Sweepstakes and Premiums . 3-12c. On-Packs . 3-123-F. BUSINESS LICENSE AND NAME . 3-131. Business License . 3-132. Business Name . 3-133-G. SUPPLIES PROVIDED BY OLCC . 3-141. In-Store Signs. 3-142. Price Labels . 3-14Retail Operation Manual/Revised August 20165

SECTION 4. SALES AND REVENUE .4-14-A.1.2.3.REGULATING LIQUOR SALES . 4-3Types of ID . 4-3Tips on Valid Identification . 4-6Refusing Illegal Sales . 4-7a. Minors . 4-7b. Visibly Intoxicated Persons. 4-84. Tips on Refusing Illegal Sales . 4-85. Penalties for Illegal Sales . 4-96. Non-Discrimination . 4-97. Customer Requests to Refuse Service . 4-98. Neighborhood Livability . 4-109. Training on Legal Sales of Alcohol . 4-10a. Required Training for Store Personnel . 4-10b. Enhanced Training Due to an Illegal Sale . 4-1110. Minor Decoy Program . 4-114-B. SECURITY POLICIES AND PROCEDURES . 4-131. Security Policies . 4-132. Fidelity Bond . 4-134-C. 190 PROOF PRODUCTS . 4-154-D.1.2.3.AGENTS COMPENSATION . 4-16Compensation . 4-16Payment Options . 4-17Earned Advance Option . 4-184-E.1.2.3.4.5.6.7.FINAL CONSUMER TRANSACTIONS . 4-19Sales to Final Consumers - Generally . 4-19Refunds and Exchanges . 4-20Cash Handling Procedures . 4-21Personal Check Acceptance . 4-21Returned Checks. 4-22Traveler’s Checks. 4-23Payment Card Industry Data Security Standards (PCI DSS) . 4-23a. Reporting . 4-24b. Information Security Policy . 4-25c. Bank Card Security Breach Response Plan . 4-268. Bank Card System . 4-27a. General Information . 4-27b. Prohibited Bank Card Transactions . 4-28c. Authorized Card Signatures. 4-29d. Suspicious Transactions/Code 10 Authorization . 4-29e. Card Recovery . 4-29f. Defective Cards . 4-29g. Processing a Return . 4-30Retail Operation Manual/Revised August 2016Updated October 20207

h. Batch Settlement . 4-30i. Retrieval Request . 4-30j. Chargebacks . 4-31k. Supplies . 4-31l. Bank Card Equipment . 4-31m. POS Systems With Integrated Bank Card Processing . 4-31n. Service Interruption . 4-31o. Data Security . 4-324-F. FULL ON-PREMISES SALES LICENSEE TRANSACTIONS. 4-331. Sales . 4-332. Acceptable Forms of Payment from a Licensee . 4-34a. Licensee Business Check . 4-34b. Automated Clearing House (ACH) Payments. 4-353. Refunds and Exchanges . 4-364. Delivery . 4-385. Prohibited Sales for Non-Exclusive Agents . 4-384-G. REVENUE DEPOSITS . 4-391. Cash/Check Deposit. 4-39a. Option One : Daily In-Person Bank Deposits . 4-39b. Option Two: Daily Electronic Fund Transfer Deposits . 4-40i. Prefunded Deposit Account . 4-40ii. EFT Setup . 4-412.3.4.5.Bank Card Deposits . 4-42Deposit Errors . 4-42Agent Returned Checks . 4-42Counterfeit Currency . 4-424-H. REVENUE TRACKING PAPERWORK . 4-431. Detail of Store Sales Report . 4-432. Store Sales Report . 4-434-I. DAILY LIQUOR SALES AND DAILY LIQUOR INVENTORY REPORTING . 4-45SECTION 5 INVENTORY MANAGEMENT .5-15-A.1.2.3.4.PRODUCT SELECTION AND PRICING . 5-3Product Listing and Delisting . 5-3Pricing and Monthly Specials . 5-3Pricing Information . 5-3Distribution Center Sales . 5-35-B. INVENTORY MANAGEMENT. 5-41. Inventory Goals . 5-42. POS File Maintenance . 5-4Retail Operation Manual/Revised August 2016Updated October 20208

5-C.1.2.3.4.5.6.ORDERINGS DISTILLED SPIRITS . 5-5Creating a Regular Order . 5-5Repacks - Ordering Less Than a Full Case . 5-5Submitting an Order . 5-6Verifying and Changing an Order . 5-7Will Calls . 5-7Special Order . 5-95-D. RECEIVING . 5-105-E. TRACKING INVENTORY . 5-121. Control Sheet Instructions . 5-122. Inventory Reports on OLAS . 5-145-F. INVENTORY SUBMISSION . 5-151. Submitting an Inventory . 5-152. Verifying and Changing an Inventory . 5-155-G. STOCK TRANSFERS . 5-165-H. CLAIMS FOR UNSALABLE LIQUOR . 5-191. Transportation Claims . 5-192. Breakage Claims . 5-20a. Store Breakage . 5-20b. Pilferage . 5-203. Distillery Claims . 5-205-I.1.2.3.4.5.AUDITS . 5-21Regular Audit. 5-21Final Audit . 5-23Adjusting Inventory After an Audit . 5-25Audit Payment/Shortages/Overages . 5-25Store Audit Report . 5-27SECTION 6 EMERGENCY PROCEDURES .6-16-A.1.2.3.EMERGENCY PROCEDURES . 6-3Robbery of Funds . 6-3After-Hours Burglary. 6-4Other Emergencies . 6-5SECTION 7 LIQUOR LAWS AND RULES .7-1Selected Oregon Revised Statutes . 7-3Selected Oregon Administrative Rules . 7-15SECTION 8 INDEX .8-1SECTION 9 EXHIBITS. 9-1Retail Operation Manual/Revised August 2016Updated October 20209

SECTION 1.GENERAL INFORMATIONRetail Operation Manual/Revised August 20161-1

Retail Operations Manual/Revised August 20161-2

1-A. PURPOSE OF THE RETAIL OPERATIONS MANUALThis manual helps explain the obligations of a retail sales agent pertaining to liquor lawsand regulations as well as the Retail Sales Agent Agreement (Exhibit 1-1).Agents of the Oregon Liquor Control Commission (OLCC or Commission) must obey alllaws and rules related to the sale of liquor and the operation of a liquor store. Agents arerequired to train store personnel thoroughly on the laws and rules. Legal entities mustdesignate a representative (agent representative) responsible for upholding all laws,rules, policies and procedures at a specified store

if there is any conflict between the Retail Operations Manual and the Retail Sales Agent Agreement, the Retail Sales Agent Agreement prevails over the Retail Operations Manual. The underlying intent of this manual, the policies herein, and the Retail Sales Agent Agreement is to support, augment and fulfill the OLCC's efforts as a regulatory body

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