LQ3321_CL1006_Packaged_licence_self-audit

CL1006

Packaged licence self-audit checklist

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Liquor & Gaming NSW GPO Box 7060, Sydney NSW 2001 | T 1300 024 720 | W liquorandgaming.nsw.gov.au

Liquor & Gaming NSW

Before you complete this checklist

What this checklist is for

It is a valuable tool you can use to help your venue comply

with all your obligations under liquor laws. It covers important

legislative requirements such as signage, advertising and

responsible service of alcohol (RSA). We recommend that you

use the checklist regularly to help monitor your compliance.

If you check ‘No’ for any of the questions asked, you may be

in breach of your obligations. Our compliance ocers use this

same checklist when they audit your licensed premises.

Why you need this checklist

The Secretary of the Department of Customer Service

(the Secretary), Liquor & Gaming NSW (L&GNSW) and the

Independent Liquor & Gaming Authority Board (the Authority) can

impose conditions on your licence. The Secretary can order you

to cease, vary or implement venue practices, order a late hour

entry declaration, ban undesirable products and promotions, and

require you to contribute and participate in a local liquor accord.

Denition

Unless otherwise specied, the terms ‘approved’, ‘authorised’,

‘an approval’ and ‘an authorisation’ relate to approvals and

authorisations from or by the Authority or an L&GNSW delegate.

Your licensed premises

Liquor licence number Licence name

LIQ

This checklist completed by

Full name

Role/title Date

DD / MM / YYYY

This checklist authorised by

Full name

Role/title Date

DD / MM / YYYY

How to purchase or download

signage and display material

specied in this checklist

bspg.com.au/ive-

liquorandgamingnsw

Download the CE0003 ‘Signage

and collateral order form’ at

liquorandgaming.nsw.gov.au

Print-at-home signage will be

available for download in the

‘Signs for your business’ section at

liquorandgaming.nsw.gov.au

Need more information?

liquorandgaming.nsw.gov.au

1300 024 720

Liquor operations

• Unless otherwise specied, this liquor operations checklist operates under the Liquor Act 2007 and Liquor

Regulation 2018.

• The rst column of this checklist refers to sections in the Liquor Act 2007 and regulations in the Liquor

Regulation 2018.

• If you check ‘No’ to any of the questions in this checklist, you may be in breach of your obligations and require

further inquiry.

Part 1 Primary purpose and licence conditions

ss. 30, 31

Is the venue’s principal activity ‘the sale or supply of liquor for

consumption away from the venue’? Yes No

ss. 11, 52,

53, 54

Does the venue comply with all conditions imposed on the liquor licence,

including any restrictions to the sale and supply of liquor? Yes No

ss. 9, 29

Is liquor sold and supplied only in the manner and at times as authorised

by the liquor licence? Yes No

ss. 12, 49

Does the venue trade only within the hours it is permitted to as per the

licence? Yes No

r. 44

Is a copy of the licence, licence-related authorisations and conditions

available at all times to sta members and security? Yes No

s. 107

Is the licence available for immediate inspection by police or a Liquor

& Gaming NSW inspector? Yes No

Part 2 Periodic licence fees and biennial return

r. 9

Has the venue paid the periodic licence fee due on 29 May of each

assessment year? Yes No

Part 3 Licensee control

s. 7

Does the person apparently in control of the venue have an authorisation? Yes No

s. 8

Does the licensee ensure liquor is only sold in the authorised area

of the venue? Yes No

ss. 92(1)

(a)66

If the licensee or approved managers intends to be absent from the venue

for more than 6 weeks, has an approval been provided authorising a

temporary manager to manage the venue? Yes No

s. 92(1)(d)

Does the licensee ensure that all instances of letting or sub-letting of any

part of the licensed premises have an approval? Yes No

s. 61,

66(1)

If the licensee has not been present at the venue for more than 28 days,

does the person in charge have an approval? Yes No

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Part 3 continued

s. 93

If the venue was not trading for a continuous period of more than 6 weeks,

was L&GNSW notied? Yes No

Part 4 Take-away sales

ss. 9,

29(3A)

Does the licensee have procedures and controls in place to prevent

liquor being sold or supplied after 11pm Monday to Saturday (if

authorised) and 10pm on Sundays? Yes No

Part 5 RSA training and competency card

rr.63(3)-

(5)

Does the licensee hold a current recognised RSA certication? Yes No

rr.63(1)-(2)

Do all sta involved in the sale and supply of liquor hold a current

recognised RSA certication? Yes No

rr.64(1)-(2)

Do all sta involved in security and crowd control hold a current

recognised RSA certication? Yes No

Has the licensee sighted each sta member’s current recognised RSA

certication? Yes No

r.63(1)

Does everyone involved in liquor promotions on the venue premises hold

a current recognised RSA certication? Yes No

r.75

Are all sta able to produce their current physical or digital RSA

competency card or interim certicate? Yes No

Has the licensee sighted each sta member’s physical or digital RSA

competency card or interim certicate? Yes No

For any sta working under an interim RSA certicate, is the interim

certicate still valid for work? Yes No

Part 6 Minimising intoxication

s. 73(1)

Are there procedures and controls in place to prevent intoxication,

indecent, violent or quarrelsome conduct in the venue? See the L&GNSW

GL4003 ‘Intoxication guidelines’ at liquorandgaming.nsw.gov.au. Yes No

Are there procedures and controls in place to detect intoxicated patrons

before they enter the venue? Yes No

s. 73(2)

Are there procedures and controls in place to prevent liquor being sold

or supplied to an intoxicated person? Yes No

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Part 7 Minors

s. 117(1),

(2)

Are there procedures and controls in place to prevent anyone under

the age of 18:

• From being sold or supplied liquor? Yes No

• From consuming or taking liquor away from the venue? Yes No

s. 117(8)

Are there procedures and controls in place to prevent a person from

obtaining liquor for a minor unless that person is the parent or guardian

of the minor? Yes No

s. 119

If the licensee allows a minor to sell, supply or serve liquor on the venue

premises, have they obtained an approval? Yes No

Part 8 Deterring crime

s. 74

Are there procedures and controls in place:

• That deter criminal activity in the venue, including the use/supply

of illicit drugs and tracking of stolen goods? Yes No

• To report actual or suspected criminal activity to police? Yes No

s. 74(3)

Are all sta members aware that any criminal activity including stolen

goods or prohibited plants/drugs in the venue is prohibited? Yes No

s. 74(4)

Are all sta aware of the venue’s procedures and controls that deter

criminal activity in the venue, including the use or supply of illicit drugs? Yes No

Part 9 Liquor self-exclusion

s. 76

Does the venue operate a voluntary liquor-self-exclusion scheme? Yes No

If requested, can sta properly inform patrons of the self-exclusion scheme? Yes No

s. 76(3)

Has the licensee accepted all requests from patrons wishing to self-

exclude from the venue? Yes No

Does the licensee ensure patrons know how the self-exclusion

scheme works? Yes No

Does the licensee publicise the self-exclusion scheme? Yes No

Part 10 Liquor promotion and advertising

s. 99

and r. 84

Are all the liquor promotions conducted in accordance with the

responsible service of alcohol (RSA)? Yes No

Does the licensee ensure that all liquor promotions or activities consider

the responsible service of alcohol principles? Yes No

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Part 10 continued

s. 99

and r. 84

Does the licensee ensure that all liquor promotions or advertisements

that involve discounting include the responsible consumption of

alcohol message? Yes No

r. 84(3)

Has the Secretary issued the licensee with a written notice under r. 50

concerning the inclusion of the responsible consumption of alcohol

message in any liquor promotion or advertising relating to the venue? Yes No

r. 84(4)

If Yes, has the licensee complied with the written notice? Yes No

ss. 102,

102A

Have all liquor promotions declared undesirable by the Secretary been

banned from promotion? Yes No

Has the Secretary issued a written notice to the licensee under s. 102

prohibiting liquor promotions deemed undesirable? Yes No

Has the licensee ensured that all sta members are informed and able

to comply with the s. 102 written notice? Yes No

Note: See the GL4001 ‘Liquor promotion guidelines’ at liquorandgaming.nsw.gov.au.

Part 11 Undesirable liquor products

s. 100

and r. 86

Have all liquor products declared undesirable by the Minister been banned

from sale? Yes No

s. 101

Has the Secretary issued a written notice to the licensee under s. 101

concerning the restriction or prohibition of the sale and supply of any

undesirable liquor product? Yes No

If Yes, has the licensee complied? Yes No

Have all sta members been informed of the s. 101 written notice? Yes No

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Part 12 Remote liquor sales that appears to be under the age of 25

s. 114

and r. 51

If the venue sells or supplies liquor via phone, fax, mail order or online,

is the liquor licence number displayed on the advertising material or

published information?

Yes No

Is the notice ‘No Alcohol can be sold or supplied to anyone under 18. It’s

against the law.’ prominently displayed on any website?

Yes No

Does the licensee require a prospective purchaser to provide identication

with date of birth to ensure the purchaser is not a minor?

Yes No

Does the licensee give a written instruction to the delivery person to

ensure that minors do not accept or take possession of liquor purchased

and delivered?

Yes No

Does the licensee ensure that liquor cannot be delivered to public

areas which are alcohol-free zones, alcohol prohibited areas or

restricted alcohol areas?

Yes No

Does the licensee ensure that a record is maintained of non-delivery

where the receiver was a minor or intoxicated person? Are records

maintained for at least 1 year?

Yes No

Have all delivery drivers undertaken mandatory responsible supply

training? Yes No

Does the licensee have processes in place to ensure that any liquor

advertised for same day delivery is not delivered after 11pm on a

Sunday and after midnight on any other day or before 5am?

Yes No

Part 13 Written direction

s. 75

If the Secretary has issued a written direction about any matter relating

to the venue, have the licensee and sta complied? Yes No

Part 14 Signage and resources

s. 95(1)

and r. 49

Is there a sign at the front of the venue which can be read by a person

from outside the premises?

Yes No

Does the sign include the venue name shown on the liquor licence, type

of licence and the licensee name shown on the licence?

Yes No

s. 95(2)

If the venue name has been altered, has the licensee obtained a written

approval?

Yes No

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Par t 14 continued

s. 127

and r. 50

Is Sign 1L (under 18s not to be served alcohol)

prominently displayed at the bar or, if no bar,

at or close to every public entrance?

Yes No

97 and

r. 55

If the venue has a breath analysis instrument,

is Sign 4L (breath testing) prominently displayed

close to it?

Yes No

114

and r. 32

If the venue sells liquor online, is Sign 1L (under

18s not to be served alcohol) or the following

notice prominently displayed on the site?

‘No alcohol can be sold or supplied to anyone

under 18. It’s against the law.’

Yes No

Note:

You may either purchase signs from L&GNSW, or print it out yourself. Please see the ‘Signs for your

business’ section at liquorandgaming.nsw.gov.au for the correct signs to be displayed.

If purchasing the signs from L&GNSW, some of these signs are available in durable UV-resistant hard plastic

and as decal stickers for placing on glass panels

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Bottle Shops - Is Sign 9L prominently displayed

on the premises and at, or close to every public

entrance?

Yes No

Supermarkets or general stores - Is Sign 3L

prominently displayed in areas dedicated to the

sale of liquor by retail in sealed containers?

Yes No

s. 123