(Consolidated up to 4/2005)

ALBERTA REGULATION 143/96

Gaming and Liquor Act

GAMING AND LIQUOR REGULATION

Table of Contents

                1       Interpretation

Part 1
General Provisions

Division 1
Application Requirements

                2       Application

                3       Advertisement and consultation

                4       Objections

                5       Requirements for individuals

                6       Requirements for corporations

                7       Requirements for partnerships

                8       Refusal of licence or registration

Division 2
Background Checks

                9       Definition

             9.1       Authority of Commission to conduct background checks

              10       Records check

              11       Contravention of Act and regulations

              12       Prior cancellation or refusal

              13       Detriment to gaming or liquor activities

           13.1       Board’s power under s92(2)(a) of Act

Division 3
Facilities and Premises

              14       Right to occupy facility or premises

              15       Requirements for facilities and premises

Division 4
Offences and Conditions

              16       Designation of offences

              17       Conditions on registrations

Part 2
Gaming and Provincial Lotteries

Licences

              19       Gaming licences

              20       Eligibility of gaming licence applicants

           20.1       Deferred payment of licence fees

              21       Accounting

              22       Facility licences

              23       Eligibility of facility licence applicants

Registration

              24       Exclusions from gaming worker

              25       Registration of gaming workers

              26       Eligibility of gaming workers

              27       Additional classes of registration

General

              28       Fees and deposits re background checks

              29       Term

              30       Automatic cancellation on sale, assignment or transfer

           30.1       Automatic cancellation on change in control

           30.2       Change in ownership but not control

           30.3       Change in financial interest

              31       Licence cancellation on dispossession of business

              32       Death of licensee

              33       Posting of licences

           34.1       Persons not permitted in licensed facilities

           34.2       Self-exclusion programs

Part 3
Liquor

Division 1
Liquor Licences

Class A Liquor Licences

              35       Class A liquor licence

              36       Licensed premises

              37       Hotel

Class B Liquor Licences

              38       Class B liquor licence

              39       Licensed premises

              40       Sales tied to events

              41       Stadium bylaws

Class C Liquor Licences

              42       Class C liquor licence

              43       Licensed premises

              44       Canteen

              45       Institution

              46       Travellers’ lounge

Class D Liquor Licences

              47       Class D liquor licence

              49       Selling liquor related products

              50       Other business operations

              51       General merchandise liquor store licence

              52       Containers

              53       Restriction on sales

              54       Delivery service licence

Class E Liquor Licences

              55       Class E liquor licence

              56       Brew pub licence

              57       Sale or provision of brew pub beer

              58       Standards and labelling

Duty Free Store Licences

              59       Duty free store licence

              60       Customs Act (Canada)

              61       Containers

Special Event Licences

              62       Special event licence

              63       Off sales

              64       Food fair and trade show

              65       Conditions on special event licences

Special Requirements for Liquor Licences

              66       Liquor servings

              67       Food service

           67.1       Wine brought by patron

              68       Dispensing, serving and mixing liquor

              69       Caterer extension

              70       Areas added to licensed premises

              71       Application fee

              72       Eligibility of liquor supplier and liquor agency

Division 2
Registration

              73       Classes of registration

              74       Requirements

Division 3
General

              75       Term

              76       Automatic cancellation on sale, assignment or transfer

           76.1       Cancellation on change in control

           76.2       Change in ownership but not control

              77       Licence cancellation on dispossession of business

              78       Death of licensee

              79       Posting of licences

Division 4
Prohibited Relationships

              80       Definitions

              81       Liquor suppliers and agencies

              82       Liquor licensees

              83       Exception - financial interests

              84       Exception ‑ certain manufacturers

              85       Exception - promotions

Division 5
Miscellaneous

              86       Definition of liquor

              87       Connection with liquor suppliers

           87.1       Transportation of liquor

              88       Homemade wine, cider and beer

              89       Importation from other provinces

              90       Importation from other countries

           91.1       Removal of liquor from licensed premises

              92       Hours of liquor sale and consumption

              93       Persons authorized to be in licensed premises

              94       Minors in licensed premises

              95       Games, entertainment and dancing

              96       Medicine

              97       Private office

              98       Religious ceremonies and sacraments

              99       Warehouse

            100       Liquor sale authorization

Part 4
Repeal, Commencement and Expiry

            103       Expiry

Schedules

Interpretation

1(1)   In this Regulation,

                                 (a)    “bingo event” means a bingo game or a series of bingo games;

                                 (b)    “canteen” means premises where liquor is sold for consumption in the premises and that are under the direction of

                                           (i)    the Canadian Forces, for the use of military personnel and their guests,

                                          (ii)    a police service, for the use of members and their guests, or

                                         (iii)    a federal or provincial correctional training facility, for the use of correctional personnel and their guests;

                                 (c)    “club” means any non-profit association or organization that

                                           (i)    is incorporated, continued or registered under the laws of Alberta or Canada,

                                          (ii)    has not fewer than 50 members unless otherwise approved by the board, and

                                         (iii)    has a constitution or by-laws satisfactory to the board;

                                 (d)    “convention centre” means a facility designed and used for the holding of conventions, meetings, receptions, trade shows, conferences and other events;

                                 (e)    “financial interest” includes any direct, indirect or contingent interest

                                           (i)    whether as owner, partial or otherwise, of an interest, beneficial owner, owner of shares or owner through trusteeship, investment or otherwise,

                                          (ii)    in management, whether by management agreement, partnership agreement or other agreement, or

                                         (iii)    because of having loaned or advanced or caused to be loaned or advanced money or any thing of value, with or without security;

                                  (f)    “hotel” means an integrated facility established primarily for the purpose of providing lodging, food and beverage services to the travelling public and that provides one or more related services, such as room service or telephone and laundry services;

                                 (g)    “institution” means

                                           (i)    a post‑secondary educational institution, or

                                          (ii)    a residential facility for adults, hospital, sanatorium or nursing home;

                                 (h)    “linked bingo” means a bingo game played by participants at different locations in which the locations are linked by a communication system;

                              (h.1)    “prize bond” means a bond of a class that gives the holder of the bond a chance to win prizes that are payable by the bond issuer from the proceeds of investing the principal of that class of bond;

                                  (i)    “provide”, in respect of liquor, means to provide on any basis other than by sale;

                                  (j)    “public conveyance” includes commercial aircraft, trains and buses, other than local transit, and water excursion craft licensed to operate in Alberta;

                                 (k)    “race track” means a facility used primarily for horse racing regulated under the Horse Racing Alberta Act;

                                  (l)    “recreational facility” means a facility where members of the public may engage in recreational activities throughout the year or on a seasonal basis;

                             (l.01)    “relationship of interdependence” means a relationship of interdependence as defined in the Adult Interdependent Relationships Act;

                               (l.1)    “relative”, in respect of one individual, means any other individual who is connected to that individual

                                           (i)    by blood relationship,

                                          (ii)    by marriage,

                                       (ii.1)    by virtue of an adult interdependent relationship, or

                                         (iii)    by adoption;

                                (m)    “sports stadium” means a stadium, arena or other facility built for the primary purpose of staging sporting events;

                                 (n)    “theatre” means a facility where members of the public may watch the performance of theatrical, musical or other entertainment;

                                 (o)    “travellers’ lounge” means a room restricted to passengers waiting to board a public conveyance.

(2)  For the purposes of this Regulation, a corporation is controlled by a person if

                                 (a)    securities of the corporation to which are attached more than 50% of the votes that may be cast to elect directors of the corporation are controlled, other than by way of security only, directly or indirectly by the person, and the votes attached to those securities are sufficient, if exercised, to elect a majority of the directors of the corporation, or

                                 (b)    the person has in relation to the corporation any direct or indirect influence which, if exercised, would result in control in fact of the corporation.

(3)  For the purpose of this Regulation, a corporation is affiliated with another corporation if

                                 (a)    one of the corporations controls the other, or

                                 (b)    both of the corporations are controlled by the same person or group of persons.

(4)  Repealed AR 122/2003 s2.

(5)  For the purposes of the Act and this Regulation, a reference to an applicant for a licence or for registration, a licensee or a registrant

                                 (a)    that is a partnership includes each partner,

                                 (b)    that is a corporation includes the officers and directors of the corporation, or

                                 (c)    that is the volunteer executive of a bingo association as defined in section 23 includes each member of the executive.

(6)  For the purposes of the Act and this Regulation, a reference to an applicant’s employees, a licensee’s employees or a registrant’s employees means

                                 (a)    in the case of an application, licence or registration relating to a facility or premises, the manager of the facility or premises and the spouse of the manager or a person with whom the manager is living in a relationship of interdependence, and

                                 (b)    the person holding a position or performing duties or functions specified by the board in the business of the applicant, licensee or registrant and the spouse of that person or a person with whom that person is living in a relationship of interdependence.

(7)  For the purposes of the Act and this Regulation, a reference to an applicant’s associates, a licensee’s associates or a registrant’s associates means

                                 (a)    any person that has a financial interest in the applicant, licensee or registrant, in the applicant’s business, the licensee’s business or the registrant’s business or in the facility or premises to which the application, licence or registration relates and the spouse of the person or a person with whom the person is living in a relationship of interdependence,

                                 (b)    if the applicant, licensee or registrant is an individual or a partnership in which one or more of the partners is an individual,

                                           (i)    the spouse of the individual or a person with whom the individual is living in a relationship of interdependence,

                                          (ii)    any relative of the individual and of the spouse or person referred to in subclause (i) if the relative resides with the individual, spouse or person,

                                         (iii)    any corporation controlled by the individual,

                                         (iv)    an officer or director of, and any person with a financial interest in, a corporation controlled by the individual, and the spouse of the officer, director or person or a person with whom the officer, director or person is living in a relationship of interdependence, and

                                          (v)    any corporation that is affiliated with the corporation referred to in subclause (iv), the affiliated corporation’s officers and directors and any person having a financial interest in the affiliated corporation, and the spouse of the officer, director or person or a person with whom the officer, director or person is living in a relationship of interdependence,

                                     and

                                 (c)    if the applicant, licensee or registrant is a corporation or a partnership in which one or more of the partners is a corporation,

                                           (i)    an officer or director of the corporation,

                                          (ii)    the spouse of the officer or director of the corporation or a person with whom the officer or director is living in a relationship of interdependence,

                                         (iii)    any relative of the officer or director referred to in subclause (i) and any relative of the spouse or of a person referred to in subclause (ii), if the relative resides with the officer, director, spouse or person,

                                         (iv)    any corporation affiliated with the applicant, licensee or registrant,

                                          (v)    an officer or director of an affiliated corporation and the spouse of the officer or director of an affiliated corporation or a person with whom the officer or director is living in a relationship of interdependence, and

                                         (vi)    any person who has a financial interest in the affiliated corporation and the spouse of the person or a person with whom the person is living in a relationship of interdependence.

AR 143/96 s1;87/99;131/2002;122/2003

Part 1
General Provisions

Division 1
Application Requirements

Application

2(1)  An applicant for a licence or registration must submit to the Commission

                                 (a)    an application on a form established by the Commission,

                                 (b)    any information, affidavits and documents required by the Commission or board that relate to the application,

                                 (c)    the fees specified in Schedule 1, and

                                 (d)    any deposit required by or under section 28.

(2)  The information, affidavits and documents required under subsection (1)(b) may include the following consents, to be signed by the applicant:

                                 (a)    a consent to disclosure to the board or the Commission by a person referred to in the consent of information about the applicant, to determine the eligibility of the applicant to hold a licence or to be registered;

                                 (b)    a consent to disclosure by the board or the Commission to a person referred to in the consent of information provided by the applicant, to determine the accuracy of the information.

AR 143/96 s2;253/97;131/2002

Advertisement and consultation

3(1)  The Commission may require an applicant for a licence or registration

                                 (a)    to advertise the application in the community where the licence or registration would have effect, or

                                 (b)    to consult with residents of the community in which the licence or registration would have effect for the purpose of obtaining public response to the application,

in accordance with the directions of the Commission.

(2)  The Commission may notify a community in which a new licence or registration would have effect of the applicant’s application.

(3)  In this section, “community” means a geographical area determined in accordance with the policies of the Commission.

AR 143/96 s3;131/2002

Objections

4(1)   Any person may submit to the board an objection to an application for a licence or registration.

(2)  If an objection is received by the board, the board must consider it and advise the person who filed the objection of the board’s decision on the application.

AR 143/96 s4;131/2002

Requirements for individuals

5(1)  No individual is eligible for a licence or to be registered unless the individual is an adult.

(2)  No individual is eligible for a licence or to be registered unless the individual is a Canadian citizen or lawfully admitted to Canada for permanent residence.

AR 143/96 s5;131/2002

Requirements for corporations

6   No corporation is eligible for a licence or to be registered unless the corporation is incorporated or continued by or under the Business Corporations Act, Companies Act or Societies Act or any other enactment or is registered under Part 21 of the Business Corporations Act or Part 9 of the Companies Act.

Requirements for partnerships

7(1)   No partnership is eligible for a licence or to be registered, unless the partners meet the requirements of section 5 or 6, as the case may be.

(2)  The board may not issue a licence to or register a partnership unless the partnership is registered under the Partnership Act.

AR 143/96 s7;131/2002

Refusal of licence or registration

8(1)  The board may refuse to issue a licence to an applicant or to register an applicant if, in the board’s opinion,

                                 (a)    the applicant has misled the board or has provided inaccurate or incomplete information to the board,

                                 (b)    the community in which the licence or registration would have effect does not support the issuance of the licence or the registration, or

                                 (c)    at the time of the application, there are fees under section 28 remaining unpaid by the applicant.

(2)  Where the board refuses to issue a facility licence because the community in which the licence would have effect does not support the issuance of the licence, the board may, for a period of 2 years following that decision, refuse to issue any facility licence in that community.

AR 143/96 s8;131/2002

Division 2
Background Checks

Definition

9   In this Division and in section 28, “background check” means an inquiry or investigation, including a records check, conducted by the Commission to enable the Commission to determine the eligibility of an applicant, licensee or a registrant to hold a licence or be registered or to continue to hold a licence or be registered, and includes but is not limited to an inquiry or investigation relating to the honesty and integrity, financial history and competence of any of the following:

                                 (a)    the applicant;

                                 (b)    the licensee;

                                 (c)    the registrant;

                                 (d)    the employees and associates of the applicant, the licensee or the registrant;

                                 (e)    any person with connections to the applicant, the licensee or the registrant.

AR 143/96 s9;131/2002;122/2003

Authority of Commission to conduct background checks

9.1   The Commission may conduct any background check that it considers necessary or appropriate.

AR 131/2002 s9

Records check

10(1)   The board may refuse to issue a licence to an applicant or to register an applicant if the applicant, any of the applicant’s employees or associates or any other person with connections to the applicant fail to pass a records check.

(2)  A person does not pass a records check if the person

                                 (a)    has within the 5 years prior to the submission of the application been charged with or convicted of

                                           (i)    an offence under the Criminal Code (Canada), the Excise Act (Canada), the Food and Drugs Act (Canada) or the Controlled Drugs and Substances Act (Canada), or

                                          (ii)    an offence under a foreign Act or regulation that, in the board’s opinion, is substantially similar to an offence referred to in subclause (i),

                                 (b)    has at any time been charged with or convicted of

                                           (i)    an offence under the Criminal Code (Canada), the Excise Act (Canada), the Food and Drugs Act (Canada) or the Controlled Drugs and Substances Act (Canada), or

                                          (ii)    an offence under a foreign Act or regulation that, in the board’s opinion, is substantially similar to an offence referred to in subclause (i),

                                          if in the board’s opinion the offence is sufficiently serious that it may detract from the integrity with which gaming activities or provincial lotteries are to be conducted in Alberta or may be detrimental to the orderly or lawful conduct of activities authorized by a liquor licence or a registration relating to liquor, or

                                 (c)    has within the 5 years prior to the submission of the application been serving a term of imprisonment of 3 years or more.

AR 143/96 s10;131/2002;122/2003

Contravention of Act and regulations

11   The board may refuse to issue a licence to an applicant or to register an applicant if the board is satisfied that the applicant, any of the applicant’s employees or associates or any other person with connections to the applicant has within the 5 years prior to the submission of the application contravened

                                 (a)    the Act or regulations under the Act,

                                 (b)    a predecessor of the Act or regulations under a predecessor of the Act, or

                                 (c)    a condition imposed on a licence or registration issued or made under the Act or a predecessor of the Act.

AR 143/96 s11;122/2003

Prior cancellation or refusal

12(1)  In this section, “foreign licence or registration” means a licence or registration issued or made under the laws of a jurisdiction other than Alberta that, in the board’s opinion, is similar to a licence or registration under the Act.

(2)  The board may refuse to issue a licence to an applicant or to register an applicant if, within the 5 years prior to the submission of the application, a licence or registration issued or made under the Act or a predecessor of the Act or a foreign licence or registration of the applicant, any of the applicant’s employees or associates or any other person with connections to the applicant has been cancelled or suspended.

(3)  The board may refuse to issue a licence to an applicant or to register an applicant if, within the 5 years prior to the submission of the application, the applicant, any of the applicant’s employees or any of the applicant’s associates has been refused a foreign licence or registration.

AR 143/96 s12;131/2002;122/2003

Detriment to gaming or liquor activities

13   The board may refuse to issue a licence to an applicant or to register an applicant if the board is satisfied that the applicant, any of the applicant’s employees or associates or any other person with connections to the applicant

                                 (a)    is a person who has not acted or may not act in accordance with the law, with honesty and integrity or in the public interest, having regard to the past conduct of the person,

                                 (b)    would be a detriment to the integrity or lawful conduct of gaming activities or provincial lotteries,

                                 (c)    is a person whose background, reputation and associations may result in adverse publicity for the gaming industry in Alberta, or

                                 (d)    would be a detriment to the lawful manufacture, import, purchase, sale, provision, transport, possession, storage, use or consumption of liquor.

AR 143/96 s13;131/2002

Board’s power under s92(2)(a) of Act

13.1(1)  When considering under section 92(1) of the Act whether a licensee or registrant has become ineligible to continue to hold a licence or to be registered, the board may take into account any of the matters in this Division relating to an applicant’s initial eligibility to be issued a licence or to be registered, and the board may, subject to subsection (2),  cancel a licence or registration under section 92(2)(a) of the Act for any reason that would justify the board’s refusing to issue a licence or register an applicant under this Division.

(2)  If the ineligibility referred to in subsection (1) is caused by a charge being laid under the Act or a federal Act specified in section 10(2), the board may not cancel a licence or registration until after the Commission has completed an investigation of the matter.

AR 131/2002 s13

Division 3
Facilities and Premises

Right to occupy facility or premises

14