COMMONWEALTH OF KENTUCKY DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL 1003 Twilight Trail Frankfort, Kentucky 40601-8400 502-564-4850 phone 502-564-1442 fax http://abc.ky.gov INSTRUCTIONS FOR BASIC APPLICATION Abbreviated Application Process for Companies Eligible under the Master File System BASIC REQUIREMENTS TO APPLY FOR A KENTUCKY ALCOHOL LICENSE(S) UNDER A MASTER BUSINESS FILE a. You must be a business or corporation with more than two licensed premises in Kentucky. b. You must be at least 21 years of age. c. You must be a Ky. resident for the past year unless you apply as a corporation, LLC or Ltd. partnership. d. You must be a U.S. citizen unless you apply as a corporation, LLC or partnership. e. Individuals, owner, partners, officers, directors or interested parties may not apply if they have been convicted of any felony within the past five years; or convicted of any alcohol or controlled substance related misdemeanor in past two years. LOCAL APPROVAL PROCESS Usually there are local license requirements and fees that you must meet in addition to this state application. The longer your state application sits in the local office pending approval, the longer it will take the state ABC to process your application. Your state license will not be considered by the State Administrator until the Department receives local ABC approval on the application. Visit our website for a list of the Local Administrators in your area at http://abc.ky.gov/. TIME TO PROCESS APPLICATIONS How to Apply It will take the Department of ABC approximately 60-90 days to process your application. If you withdraw your license application or your license application is not issued for any reason, you must submit a written request for a refund. The Department will retain $50 of your application fee for processing costs. STEP 1 STEP 2 Now that your company is participating in the abbreviated Master File Corporate application process, you must meet the statutory requirements AND have officially requested your corporation file to be identified as a Master File with the Department. Once the Department has placed your businesses records into the Master File system, your key corporate identifiers when communicating with the Department are your LICENSEE NAME and FEDERAL EIN #. Each specific license premises located within the state will also have and retain its own Kentucky Department of Alcoholic Beverages (State ABC) license number. The site specific license number should be utilized when referencing a specific licensed premises. As a reminder. since your company is participating under the Master File system your collective annual licensing renewals for all licensed premises in Kentucky will be handled as a batch renewal unless specifically requested otherwise. What the annual batch 1
renewal means is that regardless of the county location in which the license premises is located within the state, all of your licenses will renew at the exact same time and calendar month each year unless specifically requested otherwise. The batch renewal date is always the last day of August. STEP 3 For each licensed premises you must advertise your intention to apply for an ABC license(s) one time in a newspaper of general circulation in the area where the premises to be licensed is located. An officer of the newspaper must complete the affidavit of publication, which may be found on our website under the Licensing tab. The completed affidavit and clipping must be attached to your application. Applicants for a Transporter License, Air Transporter License, Special Industrial Alcohol License, Malt Beverage Storage License, Distilled Spirits/Wine Storage License and Bottling House Storage License are NOT required to advertise the intention to apply referenced above. STEP 4 In the basic application answer all applicable sections and questions and have the form notarized. Incomplete or deficient applications will delay processing and your application will be returned. All privately owned corporations or limited liability companies (LLC) must update all owners if any change in ownership has occurred since your initial license application maintained on file as the businesses Master File. If changes or revisions in ownership have occurred, you must complete Section (C) of this basic application. If there no changes in ownership, skip Section (C). All ownership in the business to be licensed whether a sole proprietor, publically held corporation, privately held corporation or limited liability company, must comply with the prohibition of interlocking interests between licensees. (See, 804 KAR 4:015 and KRS 243.110). STEP 5 Attach a certified check, cashier s check, money order or credit card payable to: Kentucky State Treasurer for your application fee(s). See, Section (E) 18 of this application to determine the appropriate amount due based on license type. WE MAY NOT ACCEPT CASH BY MAIL OR HAND DELIVERY!!!!!!! If applying for both a NQ Retail Malt Beverage Package License ($210) AND a NQ-4 Retail Malt Beverage Drink License ($210) the fees for both are not doubled. The secondary malt beverage (beer) license is discounted to $50. Your total licensing application fee for these two licenses will be $260. STEP 6 All applicants are responsible for providing a recent copy (no more than 6 months old) of a statewide police criminal background check from all states where you have resided in the past (5) years. If the backgrounds on file in the business Master File are more than 6 months old, you must obtain and resubmit new backgrounds to your Master File with this application. On our website under Licensing you will find instructions on how to obtain a statewide criminal background check. For Kentucky dial (800) 928-6381 or go to http://www.courts.ky.gov. If backgrounds ARE required to update your Master File: If a privately owned corporation or limited liability company (LLC), you must submit backgrounds on all primary officers and any owner holding more than 10% ownership. If a publically traded corporation, you must submit backgrounds on each of the top three highest ranking officers of the corporation. If the corporation is owned in full or in part by a Trust, the Trustee of the Trust must provide the required criminal background check. 2
If the corporation or LLC is owned in part or in full by another corporation (multi- level corporate ownership structure), you must provide criminal backgrounds on the top three highest ranking officers of that corporation or LLC. Note: Applicants for a Transporter License, Air Transporter License or Special Industrial Alcohol License are exempt and NOT required to submit criminal backgrounds referenced above. STEP 7 If you are the owner of the real estate where the proposed premises are located, please attach a copy of a valid deed on file with the County Clerk s Office. If you are not the owner of the real estate where the proposed premises are located, please provide a copy of a current, active and fully executed lease. The deed, lease or sub-lease must be made to the same name the license as is being applied under. (Land contracts are not acceptable). Not Applicable for Transporter Licenses. If you are not the owner of the real estate where the proposed premises are to be located and have obtained possession rights to the real estate premises by a sub-lease, you must attach a copy of the original lease between the owner of the real estate and the original tenant showing the previous tenant or leasee has the right to sub- lease the real estate premises and has done so in compliance with provisions set forth in the original lease document. STEP 8 STEP 9 STEP 10 STEP 11 STEP 12 Attach all other required documentation for the license type(s) you are applying for, such as: fire marshal certificate of seating capacity for restaurants, etc The application will reference all documentation required for specific license types that you need to provide. If you are applying for either a Producer, Wholesaler, or Distributor license type, you have the option to purchase a one (1) or two (2) year(s) licensing period. Please select your choice on the application in Section (E) and other applicable sections for your license type(s). Once you have fully completed the application, file one copy with the local ABC and one with this Department. Once local approval has been granted, make arrangement for that approval to be forwarded to this office. The requirement of local approval is not applicable for all license types. Please determine the applicable license type(s) for which you wish to apply by reviewing the options in Section (E) of the application. You must complete the required sections of the application as well as licensing requirements that are based upon the license type(s) you are applying for. Select/identify the applicable license type(s) for which you are applying. See below what sections of the application you must complete. Not all sections of the application are required to be completed for your submission. Read the required sections of the application that MUST be completed to update the Master File for your new license premises being requested. Quota Retail Package License (distilled spirits/wine). You must complete all fields and questions in Sections A, B (only provide Federal EIN # in E, F, H, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. Quota Retail Package License (distilled spirits/wine) AND a NQ- Malt Beverage Retail Package License (beer). You must E, F, H, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. 3
Quota Retail Drink License (distilled spirits/wine). You must E, F, G, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. Quota Retail Drink License (distilled spirits/wine) AND a NQ-4 Malt Beverage Retail Drink License (beer). You must on record in the master file), D (questions 4, 5, 8, 9, 10, 13, 15, 16 and 17 only), E, F, G, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. NQ-1 Retail Drink License (NQ-1). You must complete all fields and File), D (questions 4, 5, 8, 9, 10, 13, 15, 16 and 17 only), E, F, I (question 34 not required documents, retained in your Master File), BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. Please be aware that a NQ-1 License covers sales of liquor, wine and malt beverages (beer) by the drink only. The qualifying business types that may hold a NQ-1 license are limited only to a: convention center, horse track, automobile race track, commercial airline system or commercial rail system. A NQ-1 license is a combination alcoholic beverage license. It authorizes the holder the retail sale of distilled spirits, wine and malt beverages (beer) by the drink. NQ-2 Retail Drink License (NQ-2). You must complete all fields and File), D (questions 4, 5, 8, 9, 10, 13, 15, 16 and 17 only), E, F, J (question 42 if applicable is not required, documents retained in your Master File), BB, the APPLICATION AFFIDAVIT and Section AA if applicable. Please be aware that a NQ-2 License covers sales of liquor, wine and malt beverages (beer) by the drink only. The qualifying business types that may hold a NQ-2 license are limited only to a: restaurant, motel/hotel, airport or riverboat. A NQ-2 License is a combination alcoholic beverage license. It authorizes the holder the retail sale of distilled spirits, wine and malt beverages (beer) by the drink if qualifying OR wine and malt beverages (beer) only. If your qualifying business is a restaurant, you must be able to seat 100 patrons at tables to obtain a NQ-2 for distilled spirits (liquor), wine and malt beverages (beer). If your restaurant cannot accommodate on a permanent basis 100 patrons seated at tables, then your restaurant must seat 50 patrons at tables on a permanent basis to sell wine and malt beverages (beer) only. NQ-3 Retail Drink License (NQ-3). You must complete all fields and File), D (questions 4, 5, 8, 9, 10, 13, 15, 16 and 17 only), E, F, K (If a private club you do not have to resubmit your corporate charter. Documents are retained in your Master File), BB, the APPLICATION AFFIDAVIT, and Section AA, if applicable. Please be aware that a NQ-3 license covers the sale of liquor, wine and malt beverages (beer) by the drink only. 4
The qualifying business types that may hold a NQ-3 license are limited only to: private club or railroad (dining car) or Pullman Car Company. A NQ-3 license is a combination alcoholic beverage license. It authorizes the holder the sale of distilled spirits, wine and malt beverages (beer). NQ-4 Retail Malt Beverage Drink License (beer) (NQ-4). You must complete all fields and questions in Sections A, B (only provide Federal EIN # in E, F, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. NQ Retail Malt Beverage Package License (beer). You must E, F, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. NQ Retail Malt Beverage Package License AND a NQ-4 Retail Malt Beverage Drink License. You must complete all fields and File), D (questions 4, 5, 8, 9, 10, 13, 15, 16 and 17 only), E, F, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. Limited Restaurant License. You must complete all fields and questions in Sections A, B (only provide Federal EIN # in this section and skip all other tax fields if tax numbers are the same as those on record in the Master File), D (questions 4, 5, 8, 9, 10, 13, 15, 16 and 17 only), E, F, L, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. Please be aware that a Limited Restaurant License covers the sale of liquor, wine and malt beverages (beer) by the drink only. Limited Golf Course License. You must complete all fields and questions in Sections A, B (only provide Federal EIN # in this section and skip all other tax fields if tax numbers are the same as those on record in the Master File), D (questions 4, 5, 8, 9, 10, 13, 15, 16 and 17 only), E, F, M, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. Please be aware that a Limited Golf Course License covers the sale of liquor, wine and malt beverages (beer) by the drink only. Distributor or Wholesaler or Small Farm Winery Wholesaler License. You must complete all fields and questions in Sections A, B (only provide Federal EIN # in this section and skip all other tax fields if tax numbers are the same as those on record in the Master File), D (questions 4, 5, 8, 9, 10, 13, 15, 16 and 17 only), E, F, V (question 93 is not required), BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. You must obtain and provide your Federal Basic Permit. You must complete the Kentucky Department of Alcoholic Beverage Control ABC 714 Malt beverage brand registration or the ABC 715 Distilled spirits and wine brand registration form and register all brands from all producers with which you hold the required contractual agreements. The required ABC 714 or ABC 715 brand registration form can be obtained at www.abc.ky.gov under the Licensing section located in Miscellaneous Forms or by contacting the Department at 502-564-4850. 5
If you are applying for a Small Farm Winery Wholesaler License, approval by a local ABC Administrator is NOT required on this application. Malt Beverage Storage License. You must complete all fields and File), D (questions 4, 5, 8, 9, 10, 13, 15, 16 and 17 only), E, F, X, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. The qualifying business types that may hold a Malt Beverage Storage License are limited only to: a licensed Kentucky distributor, brewer or retailer. Distilled Spirits/Wine Storage License OR Bottling House License. You must complete all fields and questions in Sections A, B (only provide Federal EIN # in this section and skip all other tax fields if tax numbers are the same as those on record in the Master File), D (questions 4, 5, 8, 9, 10, 13, 15, 16 and 17 only), E, F, X, BB, the APPLICATION AFFIDAVIT, and Section AA if applicable. Other important application requirements: Please be advised that part of the application process will involve a Kentucky Department of Alcoholic Beverage Control Enforcement Officer performing an on-site inspection of the real estate premises to be licensed and complete an interview. It is important that you or your legally authorized representative be present at any field inspection. An Enforcement Officer will not be assigned to your application until your application is complete and the Department has started processing the application. The Enforcement Officer will contact you at the number(s) which you provide on the application to schedule the site inspection and conduct the interview at the proposed premises. The Enforcement Officer s inspection report must be completed and submitted back to the Department before final consideration of your application will occur. Please be advised that if the officer performs the on-site inspection and the proposed premises are not ready, or has pending construction or installations, a final or second on-site inspection will be required. If you have a professional floor plan or blueprint depicting the interior layout of the new premises to be licensed, please provide a copy to the Enforcement Officer at the time of the site inspection. Please be sure to check your application before filing and verify that all required application steps for a particular alcohol license have been taken to ensure all sections of the application have been fully completed and that all required documentation for your license has been properly attached. Again, if local ABC approval is required, please be sure you have applied with your local ABC office where the premises to be licensed is located. You are now ready to submit your application. Please allow a minimum of 60-90 days processing time for COMPLETE applications received. If you submit an incomplete application it will be returned and will delay your processing time. Do not plan any openings, soft openings, attempt to place orders or purchase alcoholic beverages until your State ABC license has been issued. If you have any questions or need assistance, please contact our office or visit our web site at www.abc.ky.gov/. FRANKFORT: Dept. of Alcoholic Beverage Control http://abc.ky.gov/ 1003 Twilight Trail, Frankfort, KY 40601-8400 (502) 564-4850 phone (502) 564-1442 fax 6