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Alcoholic Beverage Control, Division of

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Agency Web Site: https://www.sla.ny.gov/Link to External Website

Mission

The Division of Alcoholic Beverage Control operates under the direction of the State Liquor Authority (SLA), a three-member Board consisting of a Chairperson, who acts as the agency administrator, and two Commissioners, appointed by the Governor with the advice and consent of the Senate. The Division regulates and controls the manufacture, sale and distribution of alcoholic beverages within the State; issues licenses and permits to manufacturers, distributors, wholesalers and retailers; works with local law enforcement agencies and localities across the State to ensure compliance with the Alcoholic Beverage Control Law; and regulates trade and credit practices for the sale and distribution of alcoholic beverages.

Organization and Staffing

The agency is organized into three major business units: Administration, Licensing and Compliance. These units are under the direction of an Executive Team including the Chairman's Office, Office of Public Affairs, Licensing Bureau, Wholesale Bureau, Enforcement Bureau, Office of Counsel, Hearing Bureau, Secretary's Office and Internal Audit.

Budget Highlights

The FY 2020 Executive Budget recommends $48.7 million All Funds in appropriation ($13.3 million in General Fund and $35.4 million in Special Revenue Funds - Other), reflecting an All Funds increase of $35.4 million from FY 2019. The increase reflects creation of the Cannabis Management Program. This new appropriation will be available to any State agency for activities to support a comprehensive cannabis regulatory framework, including licensing, product and distribution of cannabis products in the adult-use, industrial, and medical cannabis markets.

The FY 2020 Executive Budget recommends a workforce of 120 FTEs, unchanged from FY 2019.

Program Highlights

Chairman’s Office

The Chair of the Authority is statutorily responsible and has sole authority for the administration of the State Liquor Authority/Division of Alcoholic Beverage Control. The Office coordinates daily agency operations, providing external support to a wide variety of public and licensed interests, as well as internal support to all agency program units.

Office of Public Affairs

The Office of Public Affairs fosters positive working relationships with federal, state and local legislators, community groups and their staffs. The Office engages in discussions in support of the SLA’s annual legislative program and, where appropriate, Governor’s Program Bills bearing on alcoholic beverage control policy. It also responds to media requests, distributes press releases, and coordinates press-related events and assists in the management of the content of the agency’s website.

Licensing Bureau

The Licensing Bureau coordinates statewide licensing policies, standards and initiatives, and ensures that all license or permit applicants meet the statutory requirements. Staff reviews all license and permit applications, and prepares detailed reports to ensure either the Licensing Board or the Authority Members are able to make a proper determination on each application. This program also handles brand registrations for all alcoholic beverages sold in New York State.

Wholesale Bureau

The SLA regulates the distribution and sale of alcoholic beverages through a tiered system of three independent components: manufacturers, wholesalers and retailers. The Wholesale Bureau provides ongoing assistance and guidance to the industry on trade practices and policy issues.

Enforcement Bureau

The Enforcement Bureau is responsible for investigating possible violations of the Alcoholic Beverage Control Law which are rules and regulations relating to the manufacturing, wholesale, retail, transportation, and storage of alcoholic beverages. This program works with law enforcement agencies and community groups across the state; performs undercover investigations; and conducts training for police departments, licensees, servers and other beverage industry members on alcohol related issues.

Hearing Bureau

The Hearing Bureau is comprised of part-time Administrative Law judges. This program conducts all disciplinary proceedings when licensees are charged with violations and holds hearings to review Licensing Board decisions denying licenses.

Secretary’s Office

This program is responsible for implementing all disciplinary determinations made by the Board; collecting civil penalties and bond payments; and maintaining the repository of agency documentation.

Internal Audit

Internal Audit consists of a shared Special Counsel for Ethics, Risk, and Compliance and Director of Internal Audit. Both positions are shared with the Department of Agriculture and Markets. The Special Counsel position is also shared with the Roosevelt Island Operating Corporation. This program works with the SLA’s employees on identifying risks and ensuring compliance in policies and procedures through evaluations and testing processes.

ALL FUNDS
APPROPRIATIONS
(dollars)
Category Available
FY 2019
Appropriations
Recommended
FY 2020
Change From
FY 2019
Reappropriations
Recommended
FY 2020
State Operations 13,313,000 48,675,000 35,362,000 0
Total 13,313,000 48,675,000 35,362,000 0

ALL FUND TYPES
PROJECTED LEVELS OF EMPLOYMENT BY PROGRAM
FILLED ANNUAL SALARIED POSITIONS
Program FY 2019
Estimated FTEs
03/31/19
FY 2020
Estimated FTEs
03/31/20
FTE Change
Administration
General Fund 15 15 0
Compliance
General Fund 49 49 0
Licensing and Wholesaler Services
General Fund 56 56 0
Total 120 120 0

STATE OPERATIONS
ALL FUNDS FINANCIAL REQUIREMENTS BY FUND TYPE
APPROPRIATIONS
(dollars)
Fund Type Available
FY 2019
Recommended
FY 2020
Change
General Fund 13,313,000 13,313,000 0
Special Revenue Funds - Other 0 35,362,000 35,362,000
Total 13,313,000 48,675,000 35,362,000

STATE OPERATIONS
ALL FUNDS FINANCIAL REQUIREMENTS BY PROGRAM
APPROPRIATIONS
(dollars)
Program Available
FY 2019
Recommended
FY 2020
Change
Administration
General Fund 3,846,000 3,846,000 0
Cannabis Management
Special Revenue Funds - Other 0 35,362,000 35,362,000
Compliance
General Fund 4,589,000 4,589,000 0
Licensing and Wholesaler Services
General Fund 4,878,000 4,878,000 0
Total 13,313,000 48,675,000 35,362,000

STATE OPERATIONS - GENERAL FUND
SUMMARY OF PERSONAL SERVICE APPROPRIATIONS AND CHANGES
FY 2020 RECOMMENDED
(dollars)
Program Total Personal Service Regular
(Annual Salaried)
Amount Change Amount Change
Administration 1,377,000 0 1,362,000 0
Compliance 4,044,000 0 3,529,000 0
Licensing and Wholesaler Services 2,895,000 0 2,694,000 0
Total 8,316,000 0 7,585,000 0
STATE OPERATIONS - GENERAL FUND
SUMMARY OF PERSONAL SERVICE APPROPRIATIONS AND CHANGES
FY 2020 RECOMMENDED CONTINUED
(dollars)
Program Temporary Service
(Nonannual Salaried)
Holiday/Overtime Pay
Amount Change Amount Change
Administration 5,000 0 10,000 0
Compliance 500,000 0 15,000 0
Licensing and Wholesaler Services 151,000 0 50,000 0
Total 656,000 0 75,000 0

STATE OPERATIONS - GENERAL FUND
SUMMARY OF NONPERSONAL SERVICE AND MAINTENANCE UNDISTRIBUTED
APPROPRIATIONS AND CHANGES
FY 2020 RECOMMENDED
(dollars)
Program Total Supplies and Materials
Amount Change Amount Change
Administration 2,469,000 0 176,000 0
Compliance 545,000 0 108,000 0
Licensing and Wholesaler Services 1,983,000 0 60,000 0
Total 4,997,000 0 344,000 0
STATE OPERATIONS - GENERAL FUND
SUMMARY OF NONPERSONAL SERVICE AND MAINTENANCE UNDISTRIBUTED
APPROPRIATIONS AND CHANGES
FY 2020 RECOMMENDED CONTINUED
(dollars)
Program Travel Contractual Services
Amount Change Amount Change
Administration 27,000 0 2,214,000 0
Compliance 32,000 0 232,000 0
Licensing and Wholesaler Services 20,000 0 1,848,000 0
Total 79,000 0 4,294,000 0
STATE OPERATIONS - GENERAL FUND
SUMMARY OF NONPERSONAL SERVICE AND MAINTENANCE UNDISTRIBUTED
APPROPRIATIONS AND CHANGES
FY 2020 RECOMMENDED CONTINUED
(dollars)
Program Equipment
Amount Change
Administration 52,000 0
Compliance 173,000 0
Licensing and Wholesaler Services 55,000 0
Total 280,000 0

STATE OPERATIONS - OTHER THAN GENERAL FUND
SUMMARY OF APPROPRIATIONS AND CHANGES
FY 2020 RECOMMENDED
(dollars)
Program Total Personal Service
Amount Change Amount Change
Cannabis Management 35,362,000 35,362,000 10,546,000 10,546,000
Total 35,362,000 35,362,000 10,546,000 10,546,000
STATE OPERATIONS - OTHER THAN GENERAL FUND
SUMMARY OF APPROPRIATIONS AND CHANGES
FY 2020 RECOMMENDED CONTINUED
(dollars)
Program Nonpersonal Service
Amount Change
Cannabis Management 24,816,000 24,816,000
Total 24,816,000 24,816,000

Note: Most recent estimates as of 1/15/2019

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