LT Course Handbook v1

Course
Handbook
Copyright Notice
Version: 1.1
Date modified: 6 December 2018
© State of New South Wales through Liquor & Gaming NSW 2018.
Liquor & Gaming NSW has provided this work to certain training organisations for the purpose of training
liquor licensees. Those training organisations may modify, update and use this work solely for that purpose.
All other users must contact Liquor & Gaming NSW for permission to use this work, except as permitted by
the Copyright Act 1968 (Cth).
This work is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0

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nd/4.0/legalcode.
Attribution: You must always provide credit to Liquor & Gaming NSW.
Non-Commercial: You must not use the material for commercial purposes.
No-Derivatives: You must not distribute modified versions of the work.
You may freely link to the publication on a NSW Government website.

Disclaimer
This work has been produced by Liquor & Gaming NSW to support learning by providing knowledge
requirements under NSW State liquor laws for employees in the sale or service of alcohol. The information
is current at the date of writing (stated above). You are reminded that the relevant laws and policies will
change over time, and that you must make your own enquiries before relying on information in this work.
This training course was developed by Liquor & Gaming NSW with the support of an industry working
group. The contributions of the following organisations are acknowledged:
 Australian Hotels Association

 Club Managers Association of Australia
 Clubs NSW
 Liquor Stores Association
 Restaurant & Catering Association
 NSW Police
 NSW Health
 Barrington Training Services
 Clear to Work
 Express Online Training
 Institute of Training and Further Education
 TAFE NSW
 Urban Global
 William Angliss Institute of TAFE
T Licensee Training – Course Handbook 2

Contents
Introduction ...................................................................................................................................... 7
Purpose of the training ..................................................................................................................... 8
Pre-requisites ................................................................................................................................... 8
Why do I need to complete Licensee training? ................................................................................ 9
Who is mandated to complete Licensee training? ............................................................................ 9
Module 1: Overview of liquor regulation in NSW ................................................. 13
1.1 Introduction ................................................................................................................... 13
1.2 Cost of alcohol related harms........................................................................................ 14
1.3 NSW regulatory authorities and other stakeholders in the liquor industry ..................... 16
1.4 NSW liquor laws ............................................................................................................ 19
1.4.1 Liquor Act 2007 .......................................................................................................... 20
1.4.2 Liquor Regulation 2018 ............................................................................................... 29
1.4.3 Prescribed precincts ................................................................................................... 34
1.5 Common law ................................................................................................................. 39
1.5.1 Duty of care ................................................................................................................ 39
1.5.2 Vicarious liability ......................................................................................................... 39
1.6 Other relevant legislation .............................................................................................. 41
1.6.1 Gaming Machines Act 2001 ........................................................................................ 41
1.6.2 Gaming and Liquor Administration Act 2007 ............................................................... 42
1.6.3 Security Industry Act 1997 .......................................................................................... 43
1.6.4 Anti-Discrimination Act 1977 ....................................................................................... 43
1.6.5 Commonwealth Privacy Act 1988 and Australian Privacy Principles ........................... 44
1.6.6 Australian Consumer Law ........................................................................................... 46
1.6.7 Registered Clubs Act 1976 ......................................................................................... 47
1.6.8 Industrial Relations Act 1996 ...................................................................................... 47
1.6.9 Smoke-Free Environment Act 2000 ............................................................................ 48
1.6.10 Surveillance Devices Act 2007.................................................................................... 49
1.6.11 Work Health and Safety Act 2011 ............................................................................... 50
1.6.12 Environment Planning and Assessment Act 1979 (EP&A) .......................................... 51
Module 2: Managing your liquor licence ............................................................... 53
2.1 Introduction ................................................................................................................... 53
2.2 Who can hold a licence? ............................................................................................... 53
2.3 Which licence is best for you? ....................................................................................... 54
2.3.1 Primary purpose test................................................................................................... 54
2.3.2 Common business activities and liquor licence types .................................................. 56
2.3.3 When is a liquor licence not required? ........................................................................ 56
2.4 Statutory licence conditions .......................................................................................... 58
2.5 Trading hours ................................................................................................................ 60

2.6 Liquor licence fees ........................................................................................................ 62
2.6.1 Annual liquor licence fees ........................................................................................... 62
2.6.2 Exemptions ................................................................................................................. 65
2.7 Applying for a licence .................................................................................................... 66
2.7.1 Licence application ..................................................................................................... 66
2.7.2 Community impact statement...................................................................................... 67
2.7.3 Licensed premises floor plans..................................................................................... 71
2.7.4 Additional licence requirements .................................................................................. 72
2.7.5 Assessment process................................................................................................... 73
2.8 Managing your licence .................................................................................................. 74
2.8.1 Making changes to your licence .................................................................................. 74
2.8.2 Transferring your licence ............................................................................................ 77
2.8.3 Moving your licence .................................................................................................... 77
2.8.4 Cancelling your licence ............................................................................................... 78
Module 3: Your responsibilities to manage alcohol related harms ................... 79
3.1 Introduction ................................................................................................................... 79
Part A: Planning and prevention ............................................................................ 79
3.2 Managing competencies ............................................................................................... 79
3.3 Advertising and promotions ........................................................................................... 81
3.4 Signage ......................................................................................................................... 83
3.5 Smoking areas .............................................................................................................. 84
3.6 Emergency plans .......................................................................................................... 85
Part B: Managing a situation .................................................................................. 86
3.7 Intoxication .................................................................................................................... 86
3.7.1 Intoxication laws ......................................................................................................... 86
3.7.2 Prevention of intoxication on licensed premises guidelines ......................................... 89
3.7.3 Monitoring liquor consumption .................................................................................... 90
3.7.4 Managing intoxicated customers................................................................................. 94
3.8 Anti-social behaviour ..................................................................................................... 97
3.8.1 Laws relating to anti-social behaviour ......................................................................... 97
3.8.2 Managing anti-social behaviour .................................................................................. 97
3.8.3 Outlaw motorcycle gangs............................................................................................ 98
3.9 Minors ........................................................................................................................... 98
3.9.1 Laws relating to minors ............................................................................................... 98
3.9.2 Monitoring and preventing underage drinking ........................................................... 101
3.9.3 Managing underage drinking .................................................................................... 102
3.9.4 Minors selling and supplying alcohol ......................................................................... 102
3.10 Strategies to manage alcohol related harms ............................................................... 103
3.10.1 Refusing entry .......................................................................................................... 104
3.10.2 Ejecting patrons from premises................................................................................. 105

3.10.3 Fail to quit ................................................................................................................. 106
3.10.4 Barring customers..................................................................................................... 107
3.10.5 Banning order ........................................................................................................... 109
3.10.6 Place restriction order ............................................................................................... 109
3.10.7 Self-exclusion ........................................................................................................... 110
3.10.8 Multi-venue strategies ............................................................................................... 110
Multi-venue exclusion ............................................................................................. 111
Multi-venue barring ................................................................................................. 111
Part C: Dealing with an incident .......................................................................... 111
3.11 Mandatory incident register requirements ................................................................... 111
3.12 Reporting a crime ........................................................................................................ 113
3.13 Preserving a crime scene ............................................................................................ 114
Module 4: Best practice strategies to prevent alcohol related harms ............. 116
4.1 Introduction ................................................................................................................. 116
4.2 Tools and templates .................................................................................................... 116
4.2.1 Risk management ..................................................................................................... 116
4.2.2 House policy ............................................................................................................. 117
4.2.3 Plan of management................................................................................................. 118
4.2.4 Self-audit checklists .................................................................................................. 120
4.2.5 Voluntary incident register ........................................................................................ 121
4.2.6 Voluntary signage ..................................................................................................... 121
4.3 Strategies to prevent specific issues ........................................................................... 124
4.3.1 Crowd control ........................................................................................................... 124
4.3.2 Security .................................................................................................................... 124
4.3.3 Amenities.................................................................................................................. 125
4.3.4 RSA best practice ..................................................................................................... 125
4.3.5 Customer behaviour ................................................................................................. 125
4.3.6 Noise ........................................................................................................................ 126
4.3.7 Complaints policy...................................................................................................... 126
4.3.8 Closing / finishing / disembarking .............................................................................. 127
4.3.9 Transport .................................................................................................................. 128
4.4 Working with your community ..................................................................................... 128
4.4.1 Build relationships with police, council and your community ..................................... 128
4.4.2 Liquor accords .......................................................................................................... 128
4.5 Building a culture of compliance.................................................................................. 131
Module 5: Compliance and enforcement ............................................................ 133
5.1 Introduction ................................................................................................................. 133
5.2 Compliance ................................................................................................................. 133
5.2.1 Compliance approach ............................................................................................... 133
5.2.2 Inspections ............................................................................................................... 135

5.3 Enforcement ................................................................................................................ 139
5.3.1 Escalating enforcement options ................................................................................ 139
5.3.3 Licence conditions .................................................................................................... 140
5.3.4 Short term closure order ........................................................................................... 140
5.3.5 Other disciplinary action............................................................................................ 141
5.3.6 Regulatory schemes ................................................................................................. 142
Violent venues scheme .......................................................................................... 142
Three strikes scheme ............................................................................................. 145
Minors sanction scheme ......................................................................................... 149
Licensee next steps............................................................................................... 151
Advanced Licensee training ................................................................................................. 151
Staying up to date ................................................................................................................ 152
Join a liquor accord.............................................................................................................. 152
Renew your competencies................................................................................................... 153
References.............................................................................................................. 154
Industry specific information guide .................................................................... 155
Hotel Licence ....................................................................................................................... 156
Club Licence ........................................................................................................................ 159
Packaged Liquor Licence..................................................................................................... 161
On Premises Licence ........................................................................................................... 164
Producer/Wholesaler Licence .............................................................................................. 167

Welcome to the Liquor & Gaming NSW Licensee training
The course is broken down into six sessions which mirror the course handbook modules. Below is
general guide to the expected timeframe for the course (which includes assessment completion).
Introduction
Session 1: Overview of liquor regulation in NSW
Session 2: Managing your liquor licence
Session 3: Your responsibilities to manage alcohol related harms
Session 4: Best practice strategies to prevent alcohol related harms
Session 5: Compliance and enforcement
Finalise assessments and next steps
Total course duration (excluding breaks) 6 hours

Information Sources
You have been granted or are applying for the right to hold a liquor licence in NSW. As a licensee,
approved manager or club secretary, you have significant responsibilities. This course is designed
to help you understand and carry out your legal responsibilities so you can reduce the risk of
alcohol related harms arising from your business activities.
While alcohol is widely consumed responsibly and safely, there are significant harmful effects from
alcohol abuse and misuse, with wide ranging impacts on individuals and our society as a whole. It
is important to ensure you are doing what you can to operate a safe and responsible business.
If you don’t exercise your legal responsibilities, you can be found to be non-compliant. Non-
compliance with the liquor laws can result in the suspension or cancellation of your licence and
you can be banned from holding a liquor licence or having a financial interest in a licence for a
significant period of time.
We want to make sure you have every chance to operate a successful business.
On completion of this course you should be able to manage the day to day requirements for a
compliant licensed venue to the benefit of your staff, customers and the wider community.
Specifically, this course will enable you to:
 understand the relevant liquor legislation and regulations that will impact you as a licensee
 know your responsibilities in managing your NSW liquor licence
 understand your responsibilities as a licensee to manage alcohol related harms in your
business
 implement best practice strategies for your business to improve operations
 understand the consequences of non-compliance and what that means for you as a
licensee
Before you complete this training, you will need to hold a valid NSW competency card or interim
certificate issued by a Liquor & Gaming NSW approved training provider in the following course:
 Provide responsible service of alcohol (RSA) (SITHFAB002) along with NSW specific
modules
Completing the RSA training package will provide you with foundational knowledge and sound
understanding of responsible service of alcohol provisions, including:
 key provisions of liquor laws and regulations

 understanding of public interest reasons for responsible service practices
 effects of alcohol and the factors that affect individual responses
 customers to whom sale or service must be refused and those who are at heightened risk
(minors, intoxicated persons etc.)
 responsible service practices for selling and serving alcohol

 standard drinks for different beverage types and acceptable measures of alcohol
 indicators of erratic drinking and ways of assessing intoxication (including assessing
customers affected by the consumption of illicit and other drugs)
 practical strategies to refuse service and refuse entry.
You are required to meet complex legislative requirements in relation to the sale, service and
supply of liquor in your business. While your RSA course will have provided you with a basic
understanding of this, your legislative responsibilities as a licensee go far beyond that, highlighting
the need for further training.
Additionally, if you work in a business that operates in potentially higher risk environments such as
those trading after midnight, you carry added responsibilities that require further tailored training.
The NSW government committed to the introduction of a tiered industry training framework to
strengthen and enhance liquor industry training standards by building on the existing RSA training.
Liquor & Gaming NSW has worked closely with industry peak bodies, NSW Police and select
registered training organisations to design this new training framework to ensure it meets your
training needs.
The Liquor Regulation 2018 introduced the tiered industry training framework which includes two
new levels of licensee training that are designed to support you in meeting your compliance
obligations and implementing strategies to improve your business operations while providing safe
and vibrant environments for your customers. These are:
 Licensee training, which is designed for licensees, approved managers and club
secretaries, and
 Advanced Licensee training, which is an additional course for licensees, approved
managers and club secretaries operating businesses in higher risk environments.
The Liquor Regulation 2018 requires all licence types classified as Tier 1 to complete Licensee
training.
 Tier 1 licences include:

- hotels, packaged liquor, clubs, small bars and on-premises licences, and
- licensee or business subject to a regulatory scheme or nominated by Liquor &
Gaming NSW or the Independent Liquor and Gaming Authority (the Authority).
In addition, licence types classified as Tier 2 must also complete the Advanced Licensee training.
 Tier 2 licences include:

- those authorised to trade after midnight on a regular basis or otherwise have
extended late-night trading hours authorisation on a regular basis
- certain on-premises business types, such as nightclubs (adult relaxation
entertainment) and karaoke bars, and

- licensee or business subject to a regulatory scheme or nominated by Liquor &
Tier 1 licences
Tier 1 licences include:
1. Hotel licences: enables alcohol to be sold to the public for consumption on and off the
premises. Subject to separate approval, it also enables gaming machines to be operated. A
hotel licence operates at all times under the primary purpose of selling alcohol to the public.
2. General bar licences: a limited type of hotel licence known as a general bar licence is also
available that allows alcohol to be sold for consumption on the premises, but does not allow
takeaway sales or gaming machines to be operated.
3. Club licences: allows registered clubs to sell alcohol to their members and guests for
consumption on and off the premises (venue). Although a registered club may contain a
’nightclub’, a standalone nightclub is a separate licence and should not be confused.
Gaming machines may also be operated, subject to separate approval. types of businesses
that use this licence include:
 RSL and services clubs
 bowling clubs
 leagues clubs
 golf clubs
4. Small bar licences: allows the sale of alcohol for consumption on the premises (venue) but
does not allow gaming machines or takeaway alcohol. This liquor licence allows for a
maximum of 100 patrons (over the age of 18) in your venue during trading hours.
5. Packaged liquor licences: allows alcohol to be sold through a bottle shop, home delivery,
mail order or the internet for consumption off the premises (venue). You may also conduct
tastings at your venue, with or without charge. types of businesses that use this licence
include:
 bottle shops and liquor stores
 general stores selling packaged liquor, and
 online shops with home delivery alcohol sales.
6. Producer/wholesaler licences: endorsed with a drink-on-premises authorisation
7. On-premises licences: allows the sale of alcohol for consumption on the premises (venue)
when another product or service (such as food or entertainment) is sold, supplied or
provided to customers. In most circumstances, an on-premises licence does not permit
takeaway alcohol sales. Alcohol sold under this licence must be consumed on the licensed
premises that relate to any of the following:
 airports
 adult relaxation entertainment venues
 karaoke bars
 public entertainment venues (other than a cinema)
 restaurants or cafés
 tertiary institutions, and
 vessels.
Other on-premises licences likely to be required to undertake this training include:

 caterers
 food and beverage outlets
 food halls
 public arenas, and
 sporting facilities.
8. Any licensee or business that is subject to a regulatory scheme or who has been nominated
by Liquor & Gaming NSW or the Independent Liquor and Gaming Authority (the Authority).
Tier 2 licences
Tier 2 licences include:
1. Businesses with any of the following licences that are authorised to trade after midnight
or authorised to have extended late-night trading hours on a regular basis:
 hotel licences
 general bar licences
 club licences
 producer/wholesaler licences endorsed with a drink on-premises authorisation
 on-premises licences that relate to any of the following:
- public entertainment venues (other than a cinema)
- restaurants or cafés (those with a primary service authorisation)
- tertiary institutions, and
- vessels
- caterers
Note for the following:
 small bar licence – with extended trading authorisation that authorises the sale or
supply of liquor on a regular basis between 2.00am and 5.00am.
2. Certain business types irrespective of whether they operate after midnight:

 nightclubs (adult relaxation entertainment): whose primary purpose is to provide
entertainment in a potentially higher risk environment due to the type and style of
entertainment offered and the extended trading hours that are available, and
 karaoke bars: whose primary purpose is to provide entertainment, often trade past
midnight and see peak trade after midnight.
3. Any licensee or venue subject to a regulatory scheme may be directed by Liquor &
4. Any licensee directed by Liquor & Gaming NSW or the Authority.
Information guides
As you progress through the course content, you will see boxes to provide further information, tips,
discussion points or highlight a key point to remember.

More information
Discussion
Tip
Remember!
Recap Sections
This training is aimed at licensees who have already completed the Provide Responsible Service
of Alcohol (RSA) training. To fully understand our obligations as a licensee, we might need a quick
reminder of the content that was covered in the RSA. To avoid referencing to a separate RSA
guide, we have included short RSA Recap sections where necessary throughout this course
handbook. These sections are highlighted in green (just like this section is) and are here for your
information only, they won’t be covered by the facilitator or within the presentation slides.
RSA recap
Let’s work together

The main objective of this training is to provide you with the tools and strategies to run a safe
and responsible liquor business. As the licensee, you are in charge of your business. We want
you to be great managers, to lead your staff and build a culture of compliance and this training
will provide you with a range of resources that you can apply to your business.
A brief overview of information has been provided to guide our discussions, but the main focus
of today is participation and engagement to encourage learning and new ideas.
You are encouraged to participate with the facilitation of information during this training. If you
have any ideas or examples of best practice in any area that you think will improve harm
minimisation or that you have used and have experienced good results with, share them!

Module 1: Overview of liquor regulation in NSW
1.1 Introduction
In NSW, you need a liquor licence to sell, serve or supply alcohol as part of your business
activity (or at an event). With more than 17,000 licensed venues currently operating in NSW,
licensees have an important role to play in the community in ensuring that their licensed venue
or event provides a safe environment for people to enjoy alcohol.
Harms can arise through irresponsible trading practices. When poor customer (or patron)
behaviour is left unchecked, it has the potential to escalate and can manifest into serious crime,
including brawls, affray, sexual assaults and property damage.
In general, community expectations are that licensees will act in a responsible manner and
ensure, as far as reasonably practicable, that appropriate standards of behaviour are adhered
to in and around their venue or event in order to minimise harm to individuals and the potential
for local area disturbances.
Licensed venues that are managed responsibly can actually benefit the wider community by:
 reducing alcohol-related crime and violence in the area,
 providing facilities for enjoyment, recreation, tourism, leisure and social activities, (such
as restaurants, convention centres, entertainment venues, resorts and hotels), and
 creating employment opportunities within the community.
Responsible service within licensed venues can also help to:
 reduce health implications for customers and encourage a more positive social
experience that is less likely to result in violence or injury
 improve the morale and safety of staff working within the venue by reducing the risk of
violence and disorderly behaviour (which in turn reduces staff turnover and benefits
productivity!), and
 improve the reputation and sustainability of the business by increasing customer appeal
and reducing legal costs and risk-based licence fees associated with poorly managed
businesses.
At the end of Module 1: Overview of liquor legislation in NSW, you will be able to:
 summarise the purpose for regulating the liquor industry

 identify the regulatory authorities and other stakeholders within the liquor industry
 outline the NSW liquor laws relevant to licensees
 outline other laws that may be relevant to licensees, and
 understand the purpose and requirements of prescribed precincts in NSW.

1.2 Cost of alcohol related harms
Alcohol consumption can have a serious effect on individuals. A significant number of potentially
fatal conditions, including various cancers, liver disease and major injury can attribute the cause
to alcohol.
Individuals can experience short-term and long-term effects of alcohol consumption.
 short-term impacts of alcohol refer to the risk of harm associated with drinking on a
single day, which include accidents, injury and violence, and
 long-term impacts refer to the health risks of drinking at harmful levels, which can be
compounded by the effects of smoking, poor diet and other drugs.
In the 2014 to 2015 period, there were more than 53,000 alcohol attributable injury
hospitalisations in NSW, representing approximately 1.9 per cent of all hospitalisations for
people aged 15 years and older.1
Data from the National Drug Research Institute shows that between 1992 and 2001, 31,133
Australians died as a result of high-risk alcohol use. The main causes of death were:
 liver cirrhosis
 road crash injury
 cancer, and
 suicide.2
The National Drug Strategy Household Survey 2016 found alcohol related fatalities extend
beyond those deaths which are directly attributable to alcohol. Mortality directly attributable to
alcohol has declined since the late 1990s recording a death rate of 5.1 per 100,000 persons in
2017, compared with 6.6 per 100,000 capita in 1997 3. In 2017 there were 4,186 deaths where
alcohol was mentioned as being a contributing factor to mortality.4
1
National Drug Strategy Household Survey 2016: detailed findings available at:
https://www.aihw.gov.au/reports/illicit-use-of-drugs/2016-ndshs-detailed/contents/summary [accessed 16 Nov
2016]; HealthStats NSW available at http://www.healthstats.NSW.gov.au/indicatorgroup/alcoholtopic [accessed 16
Nov 2018]; Audit Office of New South Wales: https://www.audit.NSW.gov.au/publications/performance-audit-
reports/2013-reports/cost-of-alcohol-abuse-to-the-NSW-government/cost-of-alcohol-abuse-to-the-NSW-
government [accessed 16 Nov 2016] and Liquor & Gaming NSW:
https://www.liquorandgaming.nsw.gov.au/working-in-the-industry/serving-alcohol-responsibly [accessed 16 Nov
2018].
2
National Drug Research Institute: Australian Alcohol Indicators,1990-2001, Patterns of alcohol use and related
harms for Australian states and territories available
at http://ndri.curtin.edu.au/ndri/media/documents/naip/naipaaifullreport.pdf [accessed 19 Nov 2018]
3
Australian Bureau of Statistics: Deaths Due to Harmful Alcohol Consumption in Australia: detailed findings at:
http://www.abs.gov.au/ausstats/abs@.nsf/Lookup/by%20Subject/3303.0~2017~Main%20Features~Deaths%20due
%20to%20harmful%20alcohol%20consumption%20in%20Australia~4 [accessed 19 Nov 2018];
NSW Health: New South Wales Population health surveys: detailed findings at:
https://www.health.NSW.gov.au/surveys/pages/default.aspx [accessed 16 Nov 2018]; Health Stats NSW:d etailed
findings at: http://www.healthstats.NSW.gov.au/indicator/beh_alcafdth [accessed 16 Nov 2018]; National Alcohol

Alcohol-induced deaths, standardised death rates, by sex, 1997-2017(a)(b)(c)(d)5
More people died from immediate alcohol misuse (such as road accidents) than long-term or
chronic alcohol problems (such as cancer), which reflects a pattern of drinking to intoxication. 15
The majority of deaths from immediate causes were among young people, particularly those
aged 15–29. Chronic effects were more common in those 45 years and older.6
In 2016, the NSW population health survey estimated that 27.8% of adults aged 16 years and
over (38.0% of men and 18.0% of women) consumed more than 4 standard drinks on a single
occasion in the last four weeks7.
Social implications
The misuse of alcohol can, not only can have a negative impact on individuals but also their
families and community.
Indicator: Bulletin No. 7: detailed findings at: https://ndri.curtin.edu.au/ndri/media/documents/naip/naip007.pdf

[accessed 16 Nov 2018]; National Alcohol Indicators: Alcohol-Caused Deaths and Hospitalisation in Australia,
1990-1997: detailed findings at: https://ndri.curtin.edu.au/ndri/media/documents/naip/naip001.pdf [accessed 16
Nov 2018]; Cancer Council WA: Alcohol causes nearly 6,000 Australian deaths in one year, cancer responsible for
one in three: detailed findings at: https://www.cancerwa.asn.au/articles/news-2018/alcohol-causes-nearly-6000-
australian-deaths-in-on/
4
ibid.
5
Ibid.
6
Ibid.
7
Ibid.

In monetary terms, the total costs to the Australian society as a result of alcohol-related
problems in 2010 was estimated to be $14.35 billion and covers costs to the criminal justice
system, health system, traffic accidents and reduced Australian productivity. 8
Misuse and abuse of alcohol puts unnecessary pressure on our local NSW Police departments
as they are forced to deal with the fallout caused by intoxicated persons, such as making
arrests, attending courts and processing extra paperwork.
Our health facilities, including hospitals and accident and emergency departments, have to treat
people who have been involved in incident resulting from excessive alcohol consumption, such
as assaults and road traffic accidents. Hospital staff and paramedics are also regularly
subjected to threats and violence from intoxicated people.
Resources are also required for publicly funded treatment agencies for alcohol and other drugs,
such as counselling and withdrawal management.
In 2016–17, 836 publicly-funded alcohol and other drug treatment services across Australia
provided just over 200,000 treatment episodes to an estimated 127,000 clients; the top drug
that led clients to seek treatment was alcohol (32% of all treatment episodes). 9
Misuse and abuse of alcohol also has a negative effect on our road authorities and local
councils who are responsible for maintaining public areas and roads, when they are damaged
or vandalised by intoxicated people or as a result of an alcohol-related incident.
1.3 NSW regulatory authorities and other stakeholders in

the liquor industry
Various authorities and organisations play a role in managing the liquor industry in NSW. In this
section, you will learn the roles and responsibilities of the NSW regulatory bodies and other key
stakeholders, and where you can go for support, guidance and resources.
NSW regulatory authorities include Liquor & Gaming NSW, the Independent Liquor & Gaming
Authority (the Authority) and the NSW Police.
Stakeholders include other government departments, industry bodies and associations, local
liquor accords and your community. As a licensee, it is important you understand:
8
Ibid.
9
Australian Institute of Health and Welfare: National Drug Strategy Household Survey 2016: detailed findings:
https://www.aihw.gov.au/reports/illicit-use-of-drugs/2016-ndshs-detailed/contents/summary [accessed 16 Nov
2018]; HealthStats NSW: 3 in 10 NSW adults drink alcohol at levels posing risk of long-term harm: detailed findings
at: http://www.healthstats.NSW.gov.au/indicatorgroup/alcoholtopic [accessed 16 Nov 2018]; Audit Office of New
South Wales: Cost of Alcohol Abuse to the NSW Government: detailed findings
at:https://www.audit.NSW.gov.au/publications/performance-audit-reports/2013-reports/cost-of-alcohol-abuse-to-
the-NSW-government/cost-of-alcohol-abuse-to-the-NSW-government [accessed 16 Nov 2018] and Liquor &
Gaming NSW: detailed findings at: https://www.liquorandgaming.nsw.gov.au/working-in-the-industry/serving-
alcohol-responsibly [accessed 16 Nov 2018].

 the role and responsibilities of each regulatory authority and other relevant stakeholders,
and
 where you can go to get support, guidance and resources.
RSA Recap – Liquor & Gaming NSW

Liquor & Gaming NSW is responsible for the regulation of liquor, wagering, gaming, casinos
and registered clubs in NSW. It sits within the NSW Department of Industry.
Liquor & Gaming NSW is responsible for compliance, enforcement and licensing functions, as
well as the provision of policy advice, program evaluation and executive support to the NSW
Government.
Liquor & Gaming NSW also provides administrative, review and secretariat support to the
Independent Liquor & Gaming Authority (the Authority).
In practical terms, Liquor & Gaming NSW is responsible for licence decision making, regulation
and enforcement of liquor laws across NSW, with the Authority determining the more complex
licence applications and any disciplinary action.
Liquor & Gaming NSW is the government department you will probably have the most
interaction with regarding your licence and day-to-day operations regarding liquor. Liquor &
Gaming NSW provide a range of services for licensees and individuals working in the liquor
industry including:
 decision making of licence applications (where delegated)
 deciding what conditions will apply to your licence (where delegated)
 administering the RSA and Licensee training framework
 managing the issue and renewal of competency cards
 working with NSW Police to investigate complaints about licensees and/or venues from
the community and police, including interviewing staff, licensees and reviewing or
seizing records
 working with NSW Police to enforce liquor laws in the community, and
 providing regular updates and education on licensing via their monthly newsletter and
industry engagement through local liquor accord groups.
RSA Recap – Independent Liquor & Gaming Authority (the Authority)

The Independent Liquor & Gaming Authority’s (the Authority) role is to promote fair and
transparent decision making under the Gaming and Liquor Administration Act 2007. The
Authority has functions under the NSW liquor laws relating to:
 determining contentious licensing proposals
 determining disciplinary action/s taken against licensees and others, and
 reviewing certain delegated decisions made on its behalf by Liquor & Gaming NSW.
In undertaking its statutory functions, the Authority must:
 ensure it is accessible and responsive to persons it deals with
 promote fair and transparent decision making
 deal with matters in an informal and expeditious manner, and
 promote public confidence in its decision making and the conduct of its members.

RSA Recap – NSW Police
Together with Liquor & Gaming NSW Inspectors, the NSW Police Force have primary
responsibility for enforcing the liquor laws in the community.
NSW Police also provide information that helps Liquor & Gaming NSW and the Authority to
make decisions on licensing applications. NSW Police can make complaints where licensed
premises are not operating lawfully or in the public interest. NSW Police have wide ranging
enforcement powers under the liquor laws. NSW Police can:
 issue penalty notices for breaches of the liquor laws
 prosecute a licensee, a staff member or a patron for breaches of the law
 take disciplinary action against a licensee on certain grounds prescribed by the liquor
laws
 impose short term closures of licensed venues to prevent serious liquor-related
problems escalating in a licensed venue, and
 investigate complaints about licensees and/or venues from the community and police,
including interviewing staff, licensees and reviewing or seizing records.
Local councils
There are many ways that local councils are involved in decisions about liquor licensing, both
through the planning system and the liquor regulation system.
When a venue selling, supplying or serving alcohol is established, local councils are the first
government agency to be made aware of this process. This is because a venue that is being
‘fitted out’ for the sale of alcohol or is changing its business to sell alcohol needs to firstly go
through the development application (DA) process which is overseen by local councils. As local
councils manage this process, they play a key role in determining whether the venue will benefit
the community or contribute to increased levels of alcohol-related harms.
Communities can provide comment on DAs as part of the community consultation process. A
sign at the premises and other consultation methods alert community members of such an
application.
When making decisions about approving venues for the sale of alcohol, under section 4.15 of
the Environment Planning and Assessment Act 1979, local councils must consider “…(b) the
likely impacts of that development, including environmental impacts on both the natural and built
environments, and social and economic impacts in the locality”.
When assessing the social impact of a proposed licensed premises or a variation to the
development consent conditions of an alcohol-related premises, it is very important that local
councils carefully consider and give due weight to the best available independent evidence and
its implications for the particular proposal. This includes assessing likely risks and the
cumulative impact of the additional licensed premise and/or associated trading conditions within
a precinct, particularly as it relates to preventing or reducing existing levels of harm and social
disadvantage.
Councils can then approve or decline an application or approve an application with various
conditions. Conditions can include limitations on trading.

As licensee, it will be important that you have a clear understanding of the development consent
that applies to your venue. Compliance with consent conditions is often tested by local council
officers and NSW Police.
Industry associations
There are several industry associations within the liquor industry. These peak bodies are groups
that represent a specific sector of the industry and who can provide you with support, guidance
and resources. The bodies typically work on providing members with:
 education, advice and support in the running of their business

 a central ‘voice’ for their sector in the media
 lobbying and consultations with government departments
 promoting the shared interests of the group
 meeting one-to-one with venue owners and operators on site to address local issues,
and
 helping source expert assistance where needed.
You may find it helpful to join an industry association that is relevant to your specific licence and
business type.
Community and local liquor accords
Working with the community is covered under section 4.4.1, and liquor accords are covered in
section 4.4.2.
1.4 NSW liquor laws

In NSW, the Liquor Act 2007 regulates and controls the sale and supply of alcohol and certain
aspects of the use of premises on which alcohol is sold or supplied.
Further information about sections of the Act that reference specific licence types is included in
the industry specific modules in attachment A.
Relationship between the Liquor Act 2007 and the Liquor Regulation 2018
The Liquor Act 2007 is a set of laws that has been passed by the NSW Parliament and provides
high level guidance on roles and responsibilities for the sale and supply of alcohol. The Liquor
Regulation 2018 is a subsidiary legislation and provides greater guidance on how the legal
provisions of the Liquor Act 2007 should be applied.
For example, the Liquor Regulation 2018 provides more specific detail on aspects of the Liquor
Act 2007 including Community Impact Statement (CIS) requirements, Responsible Service of
Alcohol (RSA) training and accreditation, management and control of licensed premises,
specific regulations relating to Kings Cross and the availability of free drinking water.
Regulations have the same statutory power and enforceability as their related Act.

In this section, we will work through the general obligations for licensees to ensure that you are
fully aware of your responsibilities under the Liquor Act 2007 and the Liquor Regulation 2018.
More information
You can find more information on licence-specific obligations under ‘Industry Specific
Information Guide’ at the end of this handbook.
Penalty amounts outlined in this section are for licensees who breach the laws and are
based on a system of penalty units which is a set amount of money used for each fine.
Unit values are reviewed annually, and the current penalty unit value in NSW can be
found in Liquor & Gaming NSW website, or use the link below if you are viewing this content
electronically
https://www.legislation.nsw.gov.au/#/view/act/2007/90
1.4.1 Liquor Act 2007

As a licensee, you must operate your business within the parameters of the Liquor Act 2007;
and to do so, you require a sound knowledge of the Act.
The objects of the Liquor Act 2007 are:
 to regulate and control the sale, supply and consumption of liquor in a way that is
consistent with the expectations, needs and aspirations of the community
 to facilitate the balanced development, in the public interest, of the liquor industry,
through a flexible and practical regulatory system with minimal formality and technicality,
and
 to contribute to the responsible development of related industries such as the live music,
entertainment, tourism and hospitality industries.
In order to secure the objects of this Act, each person who exercises functions under this Act
(including a licensee) is required to have due regard to the following:
a) the need to minimise harm associated with misuse and abuse of liquor (including harm
arising from violence and other anti-social behaviour)
b) the need to encourage responsible attitudes and practices towards the promotion, sale,
supply, service and consumption of liquor, and
c) the need to ensure that the sale, supply and consumption of liquor contributes to, and
does not detract from, the amenity of community life.

Remember!
Key sections of Liquor Act 2007 that cover your responsibilities and
liabilities as a licensee
Section 91 – You are responsible for the conduct of your business
As the licensee or an approved manager, you are in charge of your business and
therefore responsible at all times for the personal supervision and management of the
conduct of the business of the licensed premises under the licence under Section 91 of
the Liquor Act 2007.
This is a broad responsibility that requires you to undertake your business in a manner
that does not cause harm or detract from community life.
Section 149 – You are vicarious liable for your employees
As the licensee or an approved manager, you are liable for the acts of your employees or
any person acting on your behalf when selling and serving alcohol in your business.
Employees include a person engaged under a contract for services. This will include any
security personnel, crowd controllers or RSA marshals that you have engaged for your
business.
This means that you will be guilty of an offence and liable if any of your employees or
a person acting on your behalf sells or supplies alcohol on your licensed premises in
contravention of the Liquor Act 2007 or the Liquor Regulation 2018.
Relevant sections of the Liquor Act 2007 for you as a licensee
Part 2 of the Liquor Act 2007 outlines the principal offences relating to sale and supply of
liquor
Sections 7 and 8 prohibit the sale of liquor on unlicensed premises. If you, as a prospective
licensee, are already in control of, own or manage a premises that is not yet licensed, you are
responsible for ensuring that liquor is not sold on that premises by any person (unless the
person is authorised to do so by another licence).
Section 9 prohibits the sale or supply of liquor contrary to a licence. As a licensee (or an
employee or agent of a licensee), you must not sell or supply liquor (or cause or permit liquor to
be sold or supplied) in contravention of any of the conditions of your licence.
The maximum penalty for breaching each of these sections of the law is 100 penalty units,
imprisonment for 12 months, or both.
Part 3 of the Liquor Act 2007 outlines the provisions relating to liquor licences and includes
the following subdivisions
 Division 1 - preliminary
 Division 2 - hotel licences
 Division 3 - club licences
 Division 3A - small bar licences

 Division 4 - on-premises licences
 Division 5 - packaged liquor licences
 Division 6 - producer/wholesaler licences
 Division 7 - limited licences
In this section, we will cover the general provisions relating to licence conditions, and
Division 1 - preliminary, obligations relating to specific licences as outlined in divisions 2 to 7 are
covered in the licence-specific session.
Section 10 (Division 1) outlines the types of licences that are available in NSW (we will cover
the specific types and which is best for you in session 2).
Section 11 (Division 1) covers the general provisions of all licence conditions. A licence is
subject to:
(a) such conditions as may be imposed, or are taken to have been imposed, by the Authority
or the Secretary;
(b) such conditions as are imposed by the act or prescribed by the regulations; and
(c) such other conditions as are authorised to be imposed on the licence under the Act.
A licensee must comply with any and all conditions to which their licence is subject. The
maximum penalty for breaching this section is 100 penalty units, imprisonment for 12 months, or
both.
Section 11A (Division 1) outlines the special licence condition ‘6-hour closure period’ for all
licensed premises in relation to any licence granted on or after 30 October 2008.
Under this section, liquor must not be sold by retail on the licensed premises for a continuous
period of 6 hours during each consecutive period of 24 hours.
During the 6-hour closure period you, as the licensee, are not authorised to sell liquor by retail
for consumption either within, or away from the licensed premises, under your licence for that
premises.
Section 12 (Division 1) outlines the standard trading period for certain licensed premises, which
is:
i. for any day of the week other than a Sunday, the period from 5.00am to midnight, or
ii. for a Sunday, the period from 10.00am to 10.00pm
More information
You can visit the Liquor & Gaming NSW website for more information or use the link
below if you are viewing this information electronically.
https://www.liquorandgaming.nsw.gov.au/resources/licence-conditions
Part 4 of the Liquor Act 2007 covers licensing procedures (and related matters) and
includes the following subdivisions:
 Division 1 - licence applications and granting of licences

 Division 1A - temporary freeze on licences and other authorisations in prescribed
precincts
 Division 2 - miscellaneous provisions relating to licences and licence-related
authorisations
 Division 2A - periodic licence fees
 Division 3 - licence removals and transfers
 Division 4 - special provisions relating to corporate licensees
Section 54a (Division 2) outlines the requirements surrounding directions relating to ‘sale on
other premises’ authorisations. The Secretary of the Department of Industry may give a licensee
(or any employee or agent of such a licensee), a written direction that relates to the operation of
the authorisation (such as a direction that prohibits or restricts the sale of liquor und the
authorisation during certain times). As a licensee, you are responsible for ensuring all directions
are complied with. The maximum penalty for a breach of this section is 100 penalty units.
Section 55 (Division 2) outlines the requirement to provide information in relation to persons

interested in licensee’s business.
A person (other than the licensee or a financial institution) becomes interested in the business
carried out on licensed premises if they are someone who is entitled to receive:
 Any income (or any other financial benefit) derived from the business, or any other
financial benefit or disadvantage from the carrying on of the business, or
 Any rent, profit or other income in connection with the use or occupation of the premises
on which the business is to be carried on.
It is a condition of the licence that the licensee (or the interested person) provides the Authority
with specific details about the interested person within 28 days
Section 56 (Division 2) mandates that if the sale or supply of liquor is authorised after midnight
at least once a week on a regular basis, it is a condition of the licence that the licensee
maintains an incident register in the form approved by the Secretary.
As the licensee, you must ensure details of violent incidents and non-voluntary exclusions are
recorded in the incident register, as well as details of action taken in response to any such
incident.
The licensee must also:
 Make an incident register available for inspection if requested to do so by NSW Police or

Liquor & Gaming NSW Inspector and allow a police officer or Liquor & Gaming NSW
Inspector to take copies of, or remove a register from the premises, and
 Retain the information recorded in an incident register for at least 3 years.
Section 58 (Division 2) outlines requirements for courses of training and instruction for
applicants and licensees. As a licensee, you (or any employee or agent of yours) may be
required to undertake and satisfactorily complete courses of training or instruction as prescribed
by the Authority.
Part 5 of the Liquor Act 2007 outlines the provisions for the regulation and control of
licensed premises and includes the following subdivisions

 Division 1 - conduct on licensed premises
 Division 2 - exclusion of persons from licensed premises
 Division 3 - disturbance complaints
 Division 4 - closure orders
 Division 5 - late hour entry declarations
 Division 6 - general provisions relating to licensed premises
Section 73 (Division 1) outlines your responsibility in relation to the prevention of excessive

consumption of alcohol on licensed premises. You must not permit intoxication, or any indecent,
violent or quarrelsome conduct on the licensed premises.
If an intoxicated person is on licensed premises, you (and/or your employees or agents) must
take relevant steps, such as asking the intoxicated person to leave the premises, contacting the
police for assistance and refusing to serve the person any alcohol after becoming aware that
the person was intoxicated.
It is an offence for you (and your employees or agents) to sell or supply liquor to an intoxicated
person on the licensed premises.
The maximum penalty for a breach of this section is 100 penalty units.
More information
You can find the prevention of intoxication on licensed premises guidelines

developed by Liquor & Gaming NSW on their website or use the link below if you
are reviewing this information electronically:
https://www.liquorandgaming.nsw.gov.au/documents/gl/gl4002-prevention-of-
intoxication-on-licensed-premises-guidelines.pdf
Section 74 (Division 1) outlines your responsibility in relation to the sale of stolen goods and
possession, use or sale of drugs on licensed premises. You must not permit your licensed
premises to be used for the sale of any goods that the licensee suspects of being stolen, or any
substance that the licensee suspects of being a prohibited plant or a prohibited drug.
You (and your employees or agents) must also not permit the possession or use of any
substance that the licensee suspects of being a prohibited plant or a prohibited drug on the
licensed premises. The maximum penalty for a breach of this section is 100 penalty units.
Section 75 (Division 1) outlines requirements in relation to directions to licensees and staff of

licensed premises. The Secretary may give a licensee, or any employee or agent of a licensee,
a written direction concerning any matter relating to the licensed premises. A licensee,
employee or agent who, without reasonable excuse, fails to comply with a direction under this
section is guilty of an offence. The maximum penalty for a breach of this section is 100 penalty
units.
Section 76 (Division 2) outlines the provisions for self-exclusion of patrons from licensed
premises:
where a person (the participant) may request a licensee to enter into a self-exclusion
agreement.

If a request is made by a person to enter into a self-exclusion agreement, you (as the licensee)
must enter into the agreement (as long as the circumstances in which the request is made
comply with the circumstances specified in the form approved by the Authority, and you (and
your employees or agents) must comply with the terms of the agreement.
Section 77 (Division 2) - Non-voluntary exclusion of persons from licensed premises
2) An authorised person may refuse to admit to, or may turn out of, licensed premises any
person:
a) who is at the time intoxicated, violent, quarrelsome or disorderly, or
b) whose presence on the licensed premises renders the licensee liable to a penalty
under this act, or
c) who smokes, within the meaning of the Smoke-free Environment Act 2000, while on
any part of the licensed premises that is a smoke-free area within the meaning of that
act, or
d) who uses, or has in his or her possession, while on the premises any substance that
the authorised person suspects of being a prohibited plant or a prohibited drug, or
e) whom the authorised person, under the conditions of the licence or according to a
term (of the kind referred to in section 134 or 136d) of a liquor accord, is authorised
or required to refuse access to the licensed premises.
More details on Section 77 are covered in module 3.7.1 Intoxication laws.
Section 82 (Division 4) outlines the provisions for short-term closure of licensed premises:
where an authorised officer or the Authority may order the licensee to close the licensed
premises from a time specified in the order until a later specified time. You as a licensee must
comply with the order. The maximum penalty for failing to do so is 50 penalty units,
imprisonment for 6 months, or both.
Circumstances that might give rise to a short-term closure include where a serious breach of the
Liquor Act 2007 has occurred or is likely to occur, and that closure is necessary to prevent or
reduce a significant threat or risk to the public interest.
Section 84 (Division 4) outlines the provisions for long-term closure of licensed premise:
the Authority may order the licensee to close the licensed premises from a time specified in the
order until a later specified time. You as a licensee must comply with the order; the maximum
penalty for failing to do so is 250 penalty points for a corporation, and 50 penalty units,
imprisonment for 6 months, or both for an individual.
Section 86 (Division 4) outlines the provisions for breach of the peace:

the local court may order a licensee to close the licensed premises for a period of time if there
is, (or is likely to be) a breach of the peace. You as a licensee must comply with the order. The
maximum penalty for failing to do so is 50 penalty units, imprisonment for 6 months, or both.
Section 88 (Division 5) outlines the requirements for effect of late hour entry declaration:
as a licensee of a licensed premises to which a late hour entry declaration applies, you must not
permit patrons to enter the licensed premises during the time the declaration applies. The
maximum penalty for patrons to enter the licensed premises during the time of the declaration is
50 penalty units.
Section 91 (Division 6) outlines the responsibilities and liabilities in relation to licensed

premises:
as a licensee (or manager) of a licensed premises, you are responsible at all times for the

personal supervision and management of the conduct of the business of the licensed premises
under the licence.
Section 92 (Division 6) outlines the provisions for the control of business conducted on licensed
premises: as a licensee (or manager), you must not allow any person to have the personal
supervision and management of the licensed business under the licence for a period longer
than 6 continuous weeks except with the approval of the Authority. The maximum penalty for a
breach of this section is 50 penalty units.
Section 92(1) (b) (Division 6) prescribes that the licensee must not lease or sub-lease the right
to sell liquor on the licensed premises.
Section 93 (Division 6) outlines the provisions for the cessation of trade:

if your licensed premises cease trading during any continuous period of more than 6 weeks, you
as the licensee (or manager), must notify the Authority in writing that the premises have ceased
to trade. The maximum penalty for failing to do so is 50 penalty units.
Section 95 (Division 6) outlines the provisions for the name of a licensed premises:
as a licensee, it is your responsibility to ensure a sign is installed and maintained on the front of
the licensed premises that specifies the name of the licensed premises, the type of licence for
the premises, and any other particulars prescribed by the regulations. The maximum penalty for
failing to do so is 5 penalty units.
It is an offence for a licensee to alter the name of the licensed premises unless the Authority
has approved in writing of the proposed new name and endorsed the change of name on the
licence. The maximum penalty for breaching this section is 5 penalty units.
Section 97 (Division 6) outlines the provisions for breath analysis equipment:

as a licensee, you are guilty of an offence if you do not display the appropriate signage in close
proximity to the breath analysis instrument. The maximum penalty for failing to do so is 20
penalty units.
Part 6 of the Liquor Act 2007 outlines the provisions for miscellaneous offences and
regulatory controls and includes the following subdivisions
 Division 1 - general
 Division 1A - responsible service of alcohol training courses
 Division 2 - restricted alcohol areas
 Division 3 - repealed
 Division 4 - prescribed precincts
We will cover the requirements of divisions 1 to 3 within this section; Division 4 – prescribed
precincts will be covered in section 1.4.3 of this session (NSW prescribed precincts).
Section 100 (Division 1) outlines provisions for regulations may declare undesirable liquor
products:
where the regulations declare a specified liquor product (or class of liquor products) to be an
undesirable liquor product; you as a licensee must not sell or supply any such undesirable liquor
product. The maximum penalty for a breach of this section is 50 penalty units.

Section 101 (Division 1) prescribes that where the Secretary restricts or prohibits sale or supply
of a specific liquor product in writing, you as a licensee must comply with the notice. Failure to
do so can result in a maximum fine of 50 penalty units.
Section 102A (Division 1) prescribes that where the Secretary restricts or prohibits activities that
encourage misuse or abuse of liquor, you as a licensee must comply with the direction. A
licensee who, without reasonable excuse, fails to comply with a notice under this section is
guilty of an offence and may be fined 50 penalty units.
Section 107 (Division 1) outlines the requirement to produce the licence on licensed premises:
as a licensee, it is your responsibility to ensure that either yourself, or a responsible person is
able to produce the licence if requested to do so by a police officer or Liquor & Gaming NSW
Inspector while on the licensed premises. The maximum penalty for failing to do so is 5 penalty
units.
Section 108 (Division 1) prohibits the extension of credit for gambling: as a licensee, you must
not extend, or offer to extend, a cash advance or any other form of credit to another person for
the purpose of enabling the other person to gamble on the licensed premises. The maximum
penalty for a breach of this section is 100 penalty units.
Section 109 (Division 1) prohibits the misrepresentation or misdescription of credit transactions.

As a licensee, you must not describe or represent any credit transaction or cash advance as a
lawful payment for goods or services if the person intends to use the cash advance to gamble
on the licensed premises. The maximum penalty for a breach of this section is 100 penalty
units.
Section 110 (Division 1) prohibits a person from falsely indicating that premises are licensed or
that a person is authorised to sell or supply liquor. As a licensee, you could face a maximum
fine of 50 penalty units for a breach of this section.
Section 114 (Division 1) outlines the provisions for the sale of liquor through internet or by other
communication media. As a licensee who sells liquor by taking orders (over the telephone, by
facsimile or by mail order) you must display the licence number in any advertisement or
information published in writing or electronically in connection with such sales.
Licensees who sell liquor through an internet site must also ensure that the licence number is
prominently displayed on the site and in any advertisement or information published in writing or
electronically in connection with such sales. The maximum penalty for failing to do so is 20
penalty units.
Licensees who sell liquor by taking orders over the telephone, by facsimile, by mail order, or
through an internet site must require the prospective purchaser to supply their date of birth and
must give written instructions to the person responsible for delivery of the liquor, requiring that
the liquor be delivered:
 to the adult person who placed the order, or

 to another adult person at those premises on behalf of the person who placed the order,
or
 in accordance with the customer’s instructions if the delivery is made on a day after the
order is taken, or the sale made through an internet site.

Part 7 of the Liquor Act 2007 outlines the special provisions relating to minors and
includes the following subdivisions
 Division 1 - underage drinking

 Division 2 - minors on licensed premises
 Division 3 - other provisions relating to minors
 Division 4 - additional sanctions for selling liquor to minors on licensed premises
Section 117 (Division 1) outlines offences relating to sale or supply of liquor to minors: any
person, including a licensee, commits an offence if they sell or supply liquor to a minor on
licensed premises. Licensees must also not allow liquor to be sold or supplied to a minor on
licensed premises. The maximum penalty for breach of this section is 100 penalty units, 12
months’ imprisonment or both.
Section 119 (Division 1) prescribes that licensees are not to allow minors to sell or supply liquor
on licensed premises: a licensee must not cause or allow a minor to sell, supply or serve liquor
on the licensed premises except with the approval of the Authority. The maximum penalty for a
breach of this section is 50 penalty units.
Section 124 (Division 2) prescribes that licensees are not to allow minors to enter or remain in
certain licensed premises: a licensee commits an offence if a minor:
 enters a bar area of a hotel or club premises

 enters a part of a hotel to which a minor’s area authorisation is in force, but is not in the
company of a responsible adult
 enters a small bar during trading hours, or
 enters a licensed public entertainment venue, but is not in the company of a responsible
adult.
A licensee also commits an offence if a minor is in any of these venues under these
circumstances unless the minor is immediately removed from the area or premises concerned.
Section 4 (Division 1) Definitions prescribes that a ‘responsible adult’ is an adult who is:
 a parent, step-parent or guardian of the minor
 the minor’s spouse or de facto partner
 for the time being, standing in as the parent of the minor.
A person standing as a parent could include a relative such as grandparent, aunt/uncle or
person nominated to act as guardian.
Section 126 (Division 2) prescribes that minors must be refused entry to licensed premises: as a
licensee, you (and your employees and/or agents) must refuse suspected underage persons
entry to the premises unless they are able to produce an evidence of age document that may
reasonably be accepted, to prove they are above the age of 18 years. The maximum penalty for
a breach of this section is 50 penalty units.
Part 8 of the Liquor Act 2007 outlines the provisions for liquor accords. We will cover
information pertaining to liquor accords in sessions 3 and 5.

Section 136 (Division 1) prescribes that there is a requirement for licensees to contribute to
costs of implementing local liquor accord. The Secretary may give a direction to any licensee in
the area to which a local liquor accord applies (including any licensee in the area who is not a
party to the local liquor accord concerned) to contribute to the costs of promoting or giving effect
to the accord. The licensee is required to comply with any such direction under the law.
Part 9 of the Liquor Act 2007 outlines possible disciplinary action and does not include any
obligations or requirements for licensees, if outlines the following provisions:
 The Secretary may carry out inquiries and investigations in relation to proposed
complaint
 Grounds for making complaint
 Procedure for taking disciplinary action
 Disciplinary powers of the Authority
 Procedure for implementing disciplinary action
 Requirement for legal member of the Authority to be present, and
 Administrative review by NSW civil and administrative tribunal of decisions by the
Authority under this part
Part 9a of the Liquor Act 2007 outlines possible disciplinary action - 3 strikes and includes
the following subdivisions:
 Division 1 preliminary
 Division 2 strikes incurred by licensees or managers of licensed premises other than club
premises
 Division 3 strikes incurred on club licences
 Division 4 general provisions
We will cover provisions for divisions 2 and 3 of part 9a in session 3.
Part 10 of the Liquor Act 2007 outlines the provisions for criminal proceedings and related
matters
Section 149 prescribes that licensees and managers are liable for act of employees etc.:
if, in contravention of this act or the regulations, an employee or agent of a licensee, an
employee or agent of the manager of licensed premises, or a person acting, or purporting to act,
on behalf of a licensee or the manager of licensed premises sells or supplies liquor on the
licensed premises, the licensee or manager (as the case requires) is guilty of an offence and
liable to the punishment specified for the contravention.
1.4.2 Liquor Regulation 2018

As a licensee, to operate a compliant business, you must have sound knowledge of both the
Liquor Act 2007 and the Liquor Regulation 2018.
Relevant sections of the Liquor Regulation 2018 for you as a licensee
Part 2 of the Liquor Regulation 2018 outlines the provisions for fees and includes the
following subdivisions:

 Division 1 - application fees and other fees
 Division 2 - periodic licence fees
We will cover information about application fees and periodic licence fees in
session 2: understanding your liquor licence.
Part 3 of the Liquor Regulation 2018 outlines the provisions for applications and includes the
following subdivisions:
 Division 1 - advertising requirements

 Division 2 - community impact statements
 Division 3 - general
 Division 4 - miscellaneous
We will cover information about applications in session 2: understanding your liquor licence.
Part 4 of the Liquor Regulation 2018 outlines the provisions for licences and licensed
premises and includes the following subdivisions:
 Division 1 - miscellaneous
 Division 2 - on-premises licences
 Division 3 - display of signs and notices
 Division 4 - licence conditions requiring notification of Authority
 Division 5 - industry shows and producers’ markets or fairs
 Division 6 - wine producers
Provisions for specific licences and licensed premises will be covered in the types of liquor
licences in session 2: understanding your liquor licence
Part 5 of the Liquor Regulation 2018 outlines the provisions for Responsible service of
alcohol (RSA) and includes the following subdivisions:
 Division 1 - interpretation
 Division 2 - RSA requirements
 Division 3 - recognised competency cards
 Division 4 - provision of approved RSA training courses
 Division 5 - transitional provisions
Clause 63 (Division 2) outlines the RSA requirements to sell, supply or serve liquor by retail on
licensed premises: a staff member of licensed premises must not sell, supply or serve liquor by
retail on the premises without a recognised competency card with a current RSA endorsement.
As a licensee, it is your responsibility to ensure all staff members working in licensed premises
hold a recognised competency card with a current RSA endorsement. You must not cause or
permit a staff member to sell, supply or serve liquor by retail on the premises without the RSA
endorsement. The maximum penalty for a breach of this requirement is 50 penalty units.
If you are the licensee or manager of a tier 1 licensed premises, you must also hold a
recognised competency card with a current licensee endorsement in order to:

 sell, supply or serve liquor by retail on the premises, or
 cause or permit liquor to be sold, supplied or served by retail on the premises.
The maximum penalty for a breach of this requirement is 50 penalty units (commencing on 1
April 2019).
If you are the licensee or manager of a tier 2 licensed premises, you must hold a recognised
competency card with a current licensee endorsement and a current advanced licensee
endorsement in order to:
 sell, supply or serve liquor by retail on the premises, or

 cause or permit liquor to be sold, supplied or served by retail on the premises.
The maximum penalty for a breach of this requirement is 50 penalty units (commencing on 1
April 2019).
Note: licensees and managers of licensed premises that are not tier 1 or tier 2 licensed
premises must hold a recognised competency card with a current RSA endorsement.
Clause 64, (Division 2) outlines the RSA requirements for crowd controllers and bouncers: a
person must not, in the course of their employment, carry on activities as a crowd controller or
bouncer on or about licensed premises unless they hold a recognised competency card with a
current industry RSA endorsement.
As a licensee, you must not employ or engage someone as a crowd controller or bouncer for
your licensed premises unless they hold a recognised competency card with a current RSA
You must also hold the licensee and advanced licensee endorsement (if required) before
employing or engaging a crowd controller or bouncer if you are a tier 1 or tier 2 licensed
premises. The maximum penalty for a breach of this requirement is 50 penalty units
(commencing on 1 April 2019).
Note: Under the Security Industry Act 1997, a person who is employed to act as a crowd
controller, venue controller or bouncer is also required to hold a class 1C licence under that
Act. It is your responsibility as a licensee to ensure people that you employ or engage hold the
correct and relevant licences.
Clause 65, (Division 2) outlines the RSA requirements for RSA marshals: a person must not, in
the course of their employment as an RSA marshal, carry out RSA supervisory duties on or
about licensed premises unless the person holds a recognised competency card with a current
industry RSA endorsement.
As a licensee, you must not employ or engage someone as an RSA marshal on licensed
premises unless they hold a recognised competency card with a current industry RSA
You must also hold the licensee and advanced licensee endorsement (if required) before
employing or engaging an RSA marshal if you are a tier 1 or a tier 2 licensed premises or have
been directed by the Secretary to hold a recognised competency card with a licensee
endorsement or advanced licensee endorsement (or both). The maximum penalty for a breach
of this requirement is 50 penalty units (commencing 1 April 2019).

Part 6 of the Liquor Regulation 2018 outlines the provisions for harm minimisation
Clause 84 outlines the provisions for discount liquor promotions or advertisements. The clause
applies to any promotion or advertisement involving the discounting of liquor that is conducted,
or published, by or on behalf of a licensee.
The Secretary may, by notice in writing, require you as a licensee to include a message that
encourages the responsible consumption of alcohol as part of the promotion or advertisement if
the promotion or advertisement:
 appears in the printed or electronic media, or

 is conducted on, or in the vicinity of the licensed premises, or appears inside or in the
vicinity of the licensed premises, or
 is made available for the public to participate in, or view.
The Secretary may specify the content of the message, and the manner in which the message
is to appear, including the size, colour and nature of the message and its placement in the
promotion or advertisement. The maximum penalty for failure to comply with this requirement is
50 penalty units.
Clause 85 outlines the requirement for drinking water to be available free of charge where liquor
served. It is a condition of any licence that authorises the sale or supply of liquor for
consumption on the licensed premises, that drinking water must, at all times while liquor is sold
or supplied for consumption on the premises, be made available free of charge to patrons at or
near the point of service at which, or by the same means of service by which, liquor is sold or
supplied on the premises.
Part 7 of the Liquor Regulation 2018 outlines the provisions for prescribed precincts and
includes the following subdivisions.
 Division 1 - special licence conditions

 Division 2 - exemptions from special licence conditions
 Division 3 - patron ID scanning
 Division 4 - prescribed precinct scanner system
We will cover information about prescribed precincts in section 1.6 of this session, NSW
prescribed precincts.
Part 8 of the Liquor Regulation 2018 outlines legal definitions in relation to:
 Evidence of age documents

 Additional substances prescribed
 High alcohol-based food essences prescribed for certain purposes
 Non-proprietary association
 Person authorised to sell liquor
 Tertiary institution

RSA Recap – Evidence of age
Only the following forms of identification (ID) can be accepted as evidence of age by licensed
venues in NSW:
 a driver's or rider's licence or permit (issued by an Australian State or Territory or any
foreign country)
 Australian passport or a foreign passport issued by another country
 NSW photo card (issued by Roads and Maritime Services NSW)
 proof of age card issued by a public authority of the Commonwealth or of another State
or Territory for the purpose of attesting to a person's identity and age, or
 Keypass (over-18) identity card issued by Australia Post
Key changes were introduced into the liquor regulation 2018. These came into effect on
1 September 2018 and include:
 the new Tiered Industry Training Framework (TITF) which builds on existing Responsible
service of alcohol (RSA) training and aims to enhance industry training standards (as
outlined in the introduction to this training)
 12-month trial for micro-breweries and small distilleries
 no-cost conversions to small bar licences
 new licensing arrangements and fees for large-scale commercial public events
 more efficient online licensing so standard restaurants and cafés can trade sooner
 new risk-based notification arrangements for licensed caterers
 changes to Kings Cross precinct special licence conditions
 changes for on-premises restaurant licence holders with a PSA
 changes to venue incident register reporting requirements
 new RSA training requirements for ‘RSA marshals’ across NSW, and
 fee changes to support cost recovery and better reflect regulatory effort.
More information
You can visit the Liquor & Gaming NSW website for more information on how each of
the above sections have been amended or updated using the link below if you are
viewing this content electronically
https://www.liquorandgaming.nsw.gov.au/news-and-media/liquor-regulation-2018-
comes-into-effect-from-1-september-2018
Tip
You can stay up to date with changes to the NSW liquor laws by subscribing to Liquor &
Gaming NSW’s e-news, a monthly news bulletin.

1.4.3 Prescribed precincts
Part 6 Division 4 of the Liquor Act 2007 and Part 7 Divisions 1 to 4 of the Liquor Regulation
2018 prescribe precincts:
1. Kings Cross precinct, and

2. Sydney CBD entertainment precinct.
These precincts were designated in the NSW liquor laws after experiencing higher levels of
alcohol-related violence and anti-social behaviour.
Special licence conditions apply to most venues within the prescribed precincts to help make
venues and the surrounding neighbourhoods safer.
Kings Cross Precinct Sydney CDB Entertainment Precinct
Stretches from: Stretches from:
 Ward Avenue in the east to Victoria Street in the west  parts of Surry Hills, Haymarket and Darlinghurst to the
 Manning Street in the north to Kings Cross Road in the Rocks, and
south.  from Kings Cross to Cockle Bay.
Special licence conditions in the precincts

There are approximately 100 venues with special conditions in the Kings Cross precinct, and
more than 1,300 in the Sydney CBD entertainment precinct
The special conditions apply to higher risk licence types only, whereas others apply to all
venues in the precincts.
Part 7 of the Liquor Regulation 2018 (Division 1) sets out most of the special licence conditions
and the types of licensed venues they apply to.

In summary, the precinct conditions include:
 crime scene preservation and notification of assaults to police (all venues)
 exclusion of persons wearing outlaw motorcycle gang colours or insignia (all venues)
 a ban on high-risk drink promotions (all venues)
 ban on high strength drinks and shots from midnight up to 7am (excludes small bars)
 per-person drink sale limits during late trading (excludes small bars)
 1.30am lockout (except on New Year’s Eve) and 3.00am last drinks requirements (higher
risk only)[1]
 ‘round-the-clock’ incident registers (higher risk only)
 requirements on customers not to enter or attempt to enter certain premises where
subject to temporary or long-term banning orders
Kings Cross venues also have the following additional conditions:

 no glass drinking vessels/containers from midnight (higher risk only)
 requirement for at least one RSA marshal during supervised trading period (higher risk
only)
 CCTV systems to be maintained on subject premises (higher risk only)
 mandatory patron ID scanners and refusal of entry to customers who fail to produce a
photo ID for scanning, with related staff privacy training for licensees and staff operating
ID scanners (higher risk only)
Sydney CDB venues also have some unique conditions:

 exclusion of persons seen drinking or reasonably believed to have been drinking in
alcohol-free zone or alcohol prohibited area (all)
 licence conditions can also be applied to designated Sydney CBD venues on a case by
case basis, where there is a history of violence or a violent incident resulting in a serious
injury to a person - including:
- glasses prohibited during late trading period on any day
- requirements for RSA marshals during certain times, and
 condition on on-premises licences that relate to a vessel require that the licensee must
not permit any passenger to be dropped off or picked up from the Sydney CBD
entertainment precinct at certain times.
More information
You can visit the Liquor & Gaming NSW website for more information on special
licence conditions for premises in Kings Cross or Sydney CBD entertainment
precincts, or use the links below if you are viewing this content electronically
Kings Cross : https://www.liquorandgaming.nsw.gov.au/operating-a-business/liquor-
licences/liquor-licence-conditions-and-precincts/kings-cross-precinct
[1]
A half hour extension to lockout / last drinks times is available for live entertainment venues.

Sydney CBD Entertainment precinct:
https://www.liquorandgaming.nsw.gov.au/operating-a-business/liquor-licences/liquor-
licence-conditions-and-precincts/sydney-cbd-precinct
You can also visit the NSW legislation website to review part 7 of Liquor Regulation
2018, or use the link below if you are viewing this content electronically.
https://www.legislation.nsw.gov.au/#/view/regulation/2018/473/part7
Later lockout / last drinks for live entertainment
From January 2017, live entertainment venues in Kings Cross and the Sydney CBD
entertainment precincts can apply for later 2.00am lockout and/or 3.30am last drinks times.
As part of the application process, venues must show they genuinely have a market orientation
towards live performances, the arts and cultural events and endeavours.
Venues with an approved extension can admit patrons until 2.00am and/or serve alcohol until
3.30am where they provide live entertainment after midnight.
Live entertainment includes:
 events where people are engaged to perform live or pre-recorded music, and
 other performances where performers (or at least some of them) are present in person –
for example, theatre, musicals, dance, comedy and variety performances.
Venues that primarily provide adult entertainment or operate solely as nightclubs are not eligible
to apply for the extension.
Other exemptions
A licensee can apply for an exemption from any of the special conditions.
The Secretary of NSW Department of Industry will only consider an application where satisfied:
 the exemption is unlikely to result in an increase in alcohol-related violence, anti-social
behaviour or other alcohol-related harm in the prescribed precinct in which the licence
premises is located, and
 other measures are in place that will be effective in reducing the risk of alcohol-related
violence or anti-social behaviour in and around the premises.
Licensees may also apply to the Secretary for an exemption to ID scanning requirements in
limited circumstances.
More information
You can visit the Liquor & Gaming NSW website to view a list of the exemptions that
have been granted to specified venues in the Kings Cross precinct, or use the link
below if you are viewing this content electronically.
licence-conditions-and-precincts/kings-cross-precinct

ID scanners
ID scanners are machines that electronically read and store identification cards, such as a
driver's licence or proof of age card.
Even if an ID scanner is not a condition of your licence, a licensee can voluntarily install ID
scanners as an added security measure. Any venue using an ID scanner must comply with the
Privacy Act 1988.
In the Kings Cross precinct, ID scanners are a special condition of some licensed venues. The
objective of this measure is to:
 stop alcohol-fuelled violence
 stop troublesome customers at the door, and/or
 identify customers who break the law.
ID scanners operating in the Kings Cross precinct must:
 be in use between 9:00pm and the relevant lockout times that apply on the night (either
1:30am, or 2:00am if extended live entertainment times are in operation)
 be under the immediate and personal supervision of a staff member when in use
 be in a secure area recorded by CCTV and inaccessible to the public when not in use
 be operated according to the conditions under section 116AC (1)(f)(ii) of the Liquor Act
2007, and
 be operated by licensees or staff who have completed the privacy training course.
Only ID scanners supplied by group security solutions are allowed for use in Kings Cross.
Failure to operate an ID scanner under the conditions could result in:
 a fine up to 100 penalty units per offence.
More information
You can visit the Liquor & Gaming NSW website for more information on approved ID
scanner requirements using the link below if you are viewing this content electronically.
https://www.liquorandgaming.nsw.gov.au/documents/other/KX-IDScanningBooklet-16-
03.pdf
Privacy policy
Licensees and staff have certain privacy obligations when ID scanning.
Under the Privacy Act 1988, when a licensee or staff member collects personal information
about an individual, they must take reasonable steps either to notify the individual of certain
matters or to ensure the individual is aware of those matters.
It may be necessary for licensed premises to develop a privacy policy regarding scanning ids.
The privacy policy ensures that licensees and staff collect personal information by lawful and
fair means in accordance with the Privacy Act 1988. The privacy policy may include:
 collection of information – what is scanned and other personal information you collect

 requirements under law – why you collect the information and the purposes for which you
collect, hold, use and disclose the information
 consequences under law – what may happen if customers refuse or do not allow their ID
to be scanned
 storing information – how you hold the information, including any security measures you
use to protect the electronically stored information, and how long the information is kept
for, and/or
 access to information – how individuals can access their access their personal
information and seek correction of it.
Privacy training
Under the Liquor Act 2007 licensees and staff of venues in the Kings Cross precinct operating
ID scanners must complete Liquor & Gaming NSW’s privacy training course.
The course is available online at -
http://olgr.learnflex.com.au/include/login.asp?Url=/users/index.asp
While the course is free, there is a fee to add the privacy training on a photo competency card.
Failure to complete privacy training can result in a fine for both licensees and staff.
CCTV
Certain licensed venues in the Kings Cross Precinct are required, under clause 95 of the Liquor
Regulation, to comply with specific CCTV conditions.
For those required to adhere to the CCTV conditions, the following system requirements need
to be met:
 it must record continuously from opening time until one hour after closing (or
continuously in the case of 24-hour trading venues)
 it must record in digital format at a minimum of six frames per second and, by 1
September 2020, a minimum of ten frames per second
 any recorded image must specify the time and date of the image, and
 the system’s cameras must cover:
- all entry and exit points of the premises
- the footpath immediately adjacent to the premises
- all publicly accessible areas (other than toilets) on the premises.
You, the licensee, must:
 keep all CCTV recordings for at least 30 days

 ensure the system is accessible by at least one staff member at all times it is operating,
and
 provide any recordings to police or a liquor inspector within 24 hours of being requested.
More information
The course is available online at -

http://olgr.learnflex.com.au/include/login.asp?Url=/users/index.asp

For more information pertaining to the requirements of the training, adding the
endorsement to your NSW competency card, and business and individual obligations
under the law, visit privacy training on the Liquor & Gaming NSW website.
1.5 Common law

1.5.1 Duty of care
As a licensee, you need to be aware that you also have common law duties. Importantly, you
have a common law duty of care to people on your premises.
A duty of care is a legal duty to take reasonable care not to cause harm to another person that
could be reasonably foreseen. The duty of care exists where there is a relationship or proximity
between two parties. The test for a duty of care is one of reasonable foreseeability.
So, a person owes a duty of care if it is reasonably foreseeable that an act or omission on their
party might injure or harm another person.
What this means for you as a licensee is that you owe a duty of care to any person – staff,
contractors or customers – on your premises at any time.
Things you need to think about to discharge your duty of care includes:
 ensuring the work environment is safe for employees and all machinery and equipment
safe and properly maintained
 informing and training staff and contractors on policies and procedures in the workplace
eg handling equipment
 designing your premises to be safe for everyone, for example, it is foreseeable that
drinks will spill in a licensed premises and if the surface of the floor becomes unsafe
when wet then this could result in a breach of your duty of care
This duty of care should also be satisfied when conducting responsible service of alcohol
practices, for example, when asking an individual to leave the premises due to RSA concerns.
When the customer is in the process of leaving the venue, staff should provide them with
information regarding options for safe transport home; this includes courtesy bus services,
information about public transport options and/or offering to call a taxi for the individual.
1.5.2 Vicarious liability

In addition to section 91 of the Liquor Act 2007, which outlines your vicariously liability under
statute, you can also be held vicariously liable at common law. This liability is broader as it is
not restricted to a contravention of the Act when selling or supplying alcohol.
Vicarious liability at common law, in the context of employment, is the liability of an employer to
third persons for any tortious act of an employee which the employer actual or impliedly
authorises. The acts must be committed in the course of employment, while the employee is
acting within the scope of his or her authority and performing the employment duties or by acts
incidental to the employment duties.

This means you as the licensee can be held responsible for any of the actions of staff and
contractors where they are working for you and/or in your business.
You have overall responsibility for the safety and wellbeing of all persons on (or affected by)
your licensed business. So you have a responsibility to ensure your staff and contactors are
able to undertake their role in line with the law (for example, making sure they receive
appropriate information and training) and you can be held liable under the principles of vicarious
liability for your staff or contractor’s actions if they break the law in the course of their
employment with you or cause harm to another person (including themselves, customers or
even other members of the public).
For example; it’s a busy Saturday night and a member of your bar staff has repeatedly served a
customer who is clearly intoxicated. At some point in the evening the customer enters into an
altercation with a person outside of your venue and both parties are seriously injured.
The member of staff who repeatedly served the intoxicated customer has not renewed their
RSA endorsement on their NSW competency card and it is close to expiry, they have also
received no training in your venue about how to deal with intoxicated customers. There is also
no house policy in place at your venue to explain the procedure for refusing service and you
don’t employ security personnel because your venue is quite small.
While the bar staff member is liable for the harm caused to this customer (and the member of
the public involved in the altercation) for continuing to supply alcohol after they were intoxicated,
you are also at fault, and therefore liable, because of the lack of information and training given
to your staff member and the lack of policies and procedures in place to assist them with
serving alcohol responsibly.
In order to minimise your liability, you need to demonstrate that you have taken all reasonable
steps to prevent harm and unlawful conduct and/or that you have responded appropriately to
resolve incidents of harm or non-compliance with the law.
There is not a clear-cut definition of ‘all reasonable steps’ because what may be ‘reasonable’ for
a large venue may not be ‘reasonable’ for a small business. Instead, it is worked out on a case-
by-case basis.
The key point is that licensee must take active steps to minimise the risk by ensuring
compliance with your responsibilities and obligations under the law and implementing
appropriate harm minimisation strategies, such as:
 taking a risk-management approach to harm minimisation (implementing strategies that
are relevant to your business)
 implementing a plan of management to document the actions you have taken to ensure
compliance and minimise harm in your business
 adopting a staff training procedure and program to ensure employees and contractors
undertake training and development activities on an ongoing basis.
 employing responsible service practices such as no shots after midnight
 ensuring advertising and promotions do not encourage irresponsible drinking, and
 employing security personnel to monitor and manage customers entering the premises.

1.6 Other relevant legislation
As well as meeting provisions of the Liquor Act 2007 and the Liquor Regulation 2018, as a
licensee, you may have obligations under various state and federal laws as well.
Specific responsibilities and obligations will depend on the type of licence you hold (for
example, provision relating to gaming machines or security personnel). In this section, we will
discuss a brief overview of some key legislation that could impact you:
 Gaming Machines Act 2001

 Gaming and Liquor Administration Act 2007
 Security Industry Act 1997
 Anti-Discrimination Act 1977
 Commonwealth Privacy Act 1988 and Australian Privacy Principles
 Australian Consumer Law
 Registered Clubs Act 1976
 Industrial Relations Act 1996
 Smoke-free Environment Act 2000
 Surveillance Devices Act 2007
 Workplace Surveillance Act 2005
 Work Health and Safety Act 2011
 Local Government Act 1993
1.6.1 Gaming Machines Act 2001

The purpose of the Gaming Machines Act 2001 is to:
 minimise harm associated with the misuse and abuse of gambling activities
 foster responsible conduct in relation to gambling
 facilitate the balanced development, in the public interest, of the gaming industry
 ensure the integrity of the gaming industry, and
 provide for an on-going reduction in the number of gaming machines in the state by
means of the tradeable gaming machine entitlement scheme.
It includes provisions for:
 limitations on gaming machine numbers (within the state as a whole and within individual
hotels)
 gaming machine entitlements and permits, including:
- tradeable gaming machine entitlement scheme (including general requirements
and exemptions)
- leasing of gaming machine entitlements, and
- transfer of permits
 gambling harm minimisation measures, and responsible conduct of gambling (RCG)
training requirements, including conditions of the:
- gaming machine threshold scheme
- mandatory shutting down of gaming machines, and
- specific provisions relating to minors

 administrative controls in relation to gaming machines
 gaming-related licences
 disciplinary actions
 authorised central monitoring systems (CMS), and
 linked gaming systems.
More information
You can visit the NSW legislation website for more information, or use the link below if
you are viewing this content electronically.
1.6.2 Gaming and Liquor Administration Act 2007

The Gaming and Liquor Administration Act 2007 establishes the Independent Liquor and
Gaming Authority (the Authority) for the purposes of liquor regulatory functions, including
determining liquor licensing and disciplinary matters. It also provides for the probity of officials
under the gaming and liquor legislation and confers investigation and enforcement powers for
the purposes of that legislation. The purpose of the Gaming and Liquor Administration Act 2007
is to:
 ensure the probity of public officials who are engaged in the administration of the gaming
and liquor legislation
 ensure that the Authority is accessible and responsive to the needs of all persons and
bodies who deal with the Authority
 promote fair and transparent decision-making under the gaming and liquor legislation
 require matters under the gaming and liquor legislation to be dealt with and decided in an
informal and expeditious manner, and
 promote public confidence in the Authority's decision-making and in the conduct of its
members.
 constitution and functions of the Authority

 probity
 investigation and enforcement powers, such as
- powers to require information or records
- powers of entry and search of premises, and
- power to question persons.
More information
https://legislation.nsw.gov.au/#/view/act/2007/91

1.6.3 Security Industry Act 1997
The purpose of the Security Industry Act 1997 is to outline provisions for the licensing and
regulation of persons in the security industry. Persons include (but are not limited to):
 a person acting as a bodyguard or acting in a similar capacity

- a person who is employed or engaged for the purpose of providing close personal
protection to another person
 a person acting as a crowd controller, or acting in a similar capacity, by physical or
electronic means
- a person who, in respect of any licensed premises, public entertainment venue or
public or private event or function, as part of his or her regular duties performs for
remuneration any of the following functions:
 controlling or monitoring the behaviour of persons
 screening persons seeking entry
 removing persons for behavioural or other reasons,
 any other function prescribed by the regulations, and
 a person patrolling, protecting or guarding any property, by physical means or by
electronic means.

 requirement for licences, including
- licence classification, and
- licensing procedures and criteria
- offences relating to licences, and
 enforcement.
More information
https://www.legislation.nsw.gov.au/#/view/act/1997/157/full
1.6.4 Anti-Discrimination Act 1977

The Anti-Discrimination Act 1977 states that it is unlawful in NSW to discriminate against
someone, that is, to treat them less favourably than another person in the same circumstances,
or in circumstances which are not materially different because of the following characteristics:
 sex, including pregnancy and breastfeeding

 race, including colour, nationality, descent and ethnic, ethno-religious or national origin
 marital or domestic status — whether they’re single, married, de facto, divorced or
separated
 disability — physical, intellectual or psychiatric; past, current or future; actual or
presumed
 homosexuality — actual or presumed

 age, including compulsory retirement (however, it is not against the law to exclude
people aged under 18 from restricted areas of hotels, or to exclude a person under the
age of 18 years who is found in the authorised area not in the immediate company of a
responsible adult)
 transgender status — actual or presumed
 carers’ responsibilities
There are two areas in which this can impact licensed premises:
 the goods and services your business provides, and

 your employment practices.
There are two types of discrimination under the Liquor Act 2007 – direct and indirect
discrimination.
Direct discrimination means treatment that is unfair or unequal.
An example of direct discrimination is where a bar attendant refuses to serve someone because
they are Aboriginal. This would be direct discrimination due to race.
Indirect discrimination means having a requirement, a rule, policy, practice or procedure that
is the same for everyone, but which has an effect that is unfair to particular groups. Unless the
requirement is reasonable with regards to the circumstances, it is likely to be indirect
discrimination.
An example of indirect discrimination is where a hotel insists that customers can only use a
driver’s licence as proof of age, even though the Liquor Act 2007 allows for other forms of
identification. It may meet the test for indirect discrimination because it affects a class of people,
for example, people with a disability, and it is not reasonable as other forms of ID could serve
the same purpose.
More information
https://www.legislation.nsw.gov.au/inforce/f38c7dc7-ba45-ee6e-d61f-
9c8e3cbd52cf/1977-48.pdf:
1.6.5 Commonwealth Privacy Act 1988 and Australian Privacy

Principles
The purpose of the Privacy Act 1988 is to:
 promote the protection of the privacy of individual

 recognise that the protection of the privacy of individuals is balanced with the interests of
entities in carrying out their functions or activities
 provide the basis for nationally consistent regulation of privacy and the handling of
personal information
 promote responsible and transparent handling of personal information by entities

 facilitate an efficient credit reporting system while ensuring that the privacy of individuals
is respected
 facilitate the free flow of information across national borders while ensuring that the
privacy of individuals is respected
 provide a means for individuals to complain about an alleged interference with their
privacy, and
 implement Australia’s international obligation in relation to privacy.
 information privacy
 credit reporting
 privacy codes
 functions of the information commissioner
 investigations and civil penalty orders, and
 dealing with personal information in emergencies.
Under the Act, if you have a turnover of more than $3 million, you are required to comply with
the Australian Privacy Principles (APP) that restrict the collection and disclosure of personal
information (schedule 3 to the Act). Licensees that have an annual turnover of $3 million or
less must ‘opt in’ with the Office of the Australian Information to be treated as an organisation
for the purposes of the Privacy Act 1988 and therefore subject to the Australian Privacy
Principles and any relevant APP code.
APPs relate to the collection, use, disclosure and storage of personal information and require
licensees to take steps to protect the personal information they hold from misuse, interference,
loss, and from unauthorised access, modification and disclosure.
Under the APPs, a licensee may only use personal information for the primary purpose for
which it is collected (i.e. identifying banned customers).
This means that you should:
 tell people when you collect personal information what you expect to do with it
 use personal information only for the reason you collected it, or in ways people would
think reasonable, unless you have their consent, have given them an opportunity to opt-
out or the use is authorised by another law
 pass on personal information only for the reason you collected it, or in ways people
would think reasonable, unless you have consent or the disclosure is authorised by
another law
 if people ask, give them a chance to see any information you hold about them and keep
personal information secure, accurate and up-to-date, and
 take reasonable steps to secure the information and destroy or de-identify the
information when it is no longer required.
Where a multi-venue barring policy is in place, venues may be able to use and
disclose an individual’s details provided that the information was primarily collected in
order to implement this policy. To remove any doubt and to comply with other aspects
of the APPs, customers should be informed of this at the time of collection.
The OAIC’s Privacy Management Framework can assist licensees in implementing practices,
procedures and systems that ensure compliance with the APPs.

More information
For more information about the APPs and opting-in can be found on the Commissioner
website, or you can use the link below if you are viewing this information electronically
https://www.oaic.gov.au/privacy-law/privacy-registers/opt-in-register
Liquor & Gaming NSW offers an online Privacy training course to help licensees and staff
understand:
 Privacy laws
 legal requirements when scanning a patron's ID, and
 the importance of protecting personal information.
The online Privacy training course is mandatory for all staff working in the Kings Cross precinct
and who operate an ID scanner, but the course is open to everyone who has a NSW
competency card.
More information
Visit the Liquor & Gaming NSW website for information on privacy training or use the
link below to if you are viewing this content electronically.
https://www.liquorandgaming.nsw.gov.au/working-in-the-industry/training-to-work-in-the-
industry/getting-trained/privacy-training-and-id-scanners
1.6.6 Australian Consumer Law

The Australian Consumer Law (ACL) is a national, generic law which applies in the same way to
all sectors and in all Australian jurisdictions. This means that all consumers in Australia enjoy
the same rights and all businesses have the same obligations, irrespective of which state or
territory they engaged in transactions.
The ACL covers general standards of business conduct, prohibits unfair trading practices,
regulates specific types of business-to-consumer transactions, provides basic consumer
guarantees for goods and services and regulates the safety of consumer products and product-
related services. The ACL is enforced by the ACCC and offices of fair trading in each state and
territory.
More information
You can visit the ACCC website for guidance on various aspects of the Australian
Consumer Law (including the ACCC’s national enforcement approach, consumer
product safety, sales practices and avoiding unfair business practices) or use the link
below if you are viewing this content electronically.
http://www.accc.gov.au/
For information on consumer law enforcement in NSW, you can visit NSW Fair
Trading, or use the link below if you are viewing this content electronically.
https://www.fairtrading.nsw.gov.au/

1.6.7 Registered Clubs Act 1976
The purpose of the Registered Clubs Act 1976 is to outline rules and management
requirements for registered clubs (a club that holds a club licence). It includes provisions for:
 club requirements, amalgamations, de-amalgamations and certain authorities

 rules of registered clubs
 management of registered clubs
 offences in relation to clubs and associated disciplinary action, and
 criminal proceedings
Under the Registered Clubs Act 1976, licensees that hold a club licence have additional
obligations, including (but not limited to):
 appointing a secretary, who is to be the chief executive officer of the club who is
approved by the Authority, and
 ensuring the person who is the secretary of a registered club or the manager (within the
meaning of the Liquor Act 2007) of the premises of a registered club does not hold a
hotel licence under the Liquor Act 2007, or acquire any financial interest in respect of a
hotel.
More information
You can visit the NSW legislation website for more information or use the link below if
https://legislation.nsw.gov.au/#/view/act/1976/31/full
1.6.8 Industrial Relations Act 1996

The purpose of the Industrial Relations Act 1996 is to:
 provide a framework for the conduct of industrial relations that is fair and just
 promote efficiency and productivity in the economy of the state
 promote participation in industrial relations by employees and employers at an enterprise
or workplace level
 encourage participation in industrial relations by representative bodies of employees and
employers and to encourage the responsible management and democratic control of
those bodies
 facilitate appropriate regulation of employment through awards, enterprise agreements
and other industrial instruments
 prevent and eliminate discrimination in the workplace and in particular to ensure equal
remuneration for men and women doing work of equal or comparable value
 provide for the resolution of industrial disputes by conciliation and, if necessary, by
arbitration in a prompt and fair manner and with a minimum of legal technicality, and
 encourage and facilitate co-operative workplace reform and equitable, innovative and
productive workplace relations.

 employment awards and conditions

 enterprise agreements
 parental leave (and leave for victims of crime)
 part-time work
 unfair contracts and dismissals
 payment of remuneration, and
 industrial disputes and the industrial relations commission (including membership and
procedures).
As a licensee, you may be responsible for ensuring your employment terms for venue staff meet
the requirements of the Industrial Relations Act 1996.
More information
The Fair Work Act 2009 (Commonwealth) commenced on 1 January 2010, with the introduction
of 10 National Employment Standards (NES) and a national system of industry specific modern
awards underpinning the work of most Australians.
A key function of NSW Industrial Relations has been to assist those NSW businesses who
had remained within the state system at the commencement of Work Choices (mainly sole
traders and partnerships) to transition to the national system. These businesses are
fully covered by the national system on 1 January 2011.
In addition, NSW Industrial Relations continues to provide best practice employment advice via
its website and workshop and presentation program, assisting workers and employers in NSW.
1.6.9 Smoke-Free Environment Act 2000

Smoking and using e-cigarettes are banned in all enclosed public areas and certain outdoor
public areas, under the Smoke-Free Environment Act 2000 (the Act) and the Smoke-free
Environment Regulation 2016 (the Regulation).
The Regulation prescribes guidelines to determine an enclosed public place (where the total
area of the ceiling and walls surface of the public place is more than 75 per cent of its total
notional wall and ceiling area), and when a covered outside area is considered to be
substantially enclosed for the purposes of the Act.
These smoke-free laws aim to protect people from harmful impacts of second-hand tobacco
smoke and promote public health by reducing exposure to tobacco and other smoke in all
enclosed and certain public places.
The smoke-free laws include provisions for:

 prohibition on smoking in smoke-free areas

 required signage
 duty to prevent spread of smoke
 exempt areas, and
 inspection of premises and offences
NSW Health inspectors conduct regular compliance monitoring and enforcement activity. They
can issue cautions or on the spot fines of $300 to people who break the smoking bans.
Inspectors can also provide education to the public on smoking bans, and work with property
and building owners to display smoke-free signage and remove butt bins, where appropriate.
More information
https://www.legislation.nsw.gov.au/inforce/95781173-caca-4df8-ef70-
becf2171fbfe/2000-69.pdf
1.6.10 Surveillance Devices Act 2007

The purpose of the Surveillance Devices Act 2007 is to regulate the installation, use,
maintenance and retrieval of surveillance devices in NSW.
A 'surveillance device' means a data surveillance device, a listening device, an optical

surveillance device, or a tracking device; and therefore, includes CCTV and ID scanners.
The Act includes provisions for:
 the installation, use and maintenance of surveillance devices

 instances when devices are prohibited
 warrants and emergency authorisations, and
 compliance and monitoring.
The relevant sections under these legislations include:
 Section 7(1) of the Surveillance Devices Act 2007, prescribes that a person must not
knowingly install or use a listening device to overhear, record or listen to a private
conversation to which the person is not a party, or record a private conversation to which
the person is a party. This Part does not apply to a body-worn video worn by a NSW
police officer in accordance with section 50A of the Act.
 Section 8(1) of the Surveillance Devices Act 2007, prescribes that a person must not
knowingly install an optical surveillance device on or within a premises without the
consent, implied or express of the owner/occupier, to record visually or observe activity, if
the installation of such device involves entry onto or into a premises. Optical surveillance
devices include video devices as well as still cameras, which include cameras installed in
smart phones.
 Part 2 of the Workplace Surveillance Act 2005, prescribes that an employer must provide
at least 14 days’ notice to an employee before the surveillance of such employee
commences. In the event where surveillance of a workplace has already commenced

when an employee is employed, then the employee must be given prior to that employee
starts work.
 Section 11(b) of the Workplace Surveillance Act 2005, requires that signs notifying
people that they may be under surveillance in that place are clearly visible at each
entrance to that place (premises). The use of surveillance devices in any change room,
toilet facility or shower is not permitted.
More information
You can visit the NSW legislation website for more information on these laws if you
are viewing this content electronically.
Surveillance Devices Act 2007 : https://legislation.nsw.gov.au/#/view/act/2007/64
Workplace Surveillance Act 2005: https://legislation.nsw.gov.au/#/view/act/2005/47
1.6.11 Work Health and Safety Act 2011

In NSW, a person conducting a business or undertaking (“PCBU” – a term that includes an
employer, owner of a business and sole trader) must comply with Work Health & Safety laws to
ensure the health and safety of workers and others who may be affected by work operations. A
PCBU must provide an adequate work environment with safe systems of work, adequate
facilities and appropriate training.
Over the past three years more than 18,000 workers were injured in the NSW hospitality
industry. More than 250 were permanently disabled and eight died. 10
The main object of this Act is to provide for a balanced and nationally consistent framework to
secure the health and safety of workers and workplaces by:
 protecting workers and other persons against harm to their health, safety and welfare
through the elimination or minimisation of risks arising from work or from specified types
of substances or plant
 providing for fair and effective workplace representation, consultation, co-operation and
issue resolution in relation to work health and safety
 encouraging unions and employer organisations to take a constructive role in promoting
improvements in work health and safety practices, and assisting persons conducting
businesses or undertakings and workers to achieve a healthier and safer working
environment
10
Safe Work NSW: Accommodation and food services: detailed findings at:
http://www.safework.NSW.gov.au/health-and-safety/industry-safety/hospitality [accessed 16 Nov 2018]; Safe Work
Australia: Young workers: detailed findings at: https://www.safeworkaustralia.gov.au/young-workers [accessed 16
Nov 2018].

 promoting the provision of advice, information, education and training in relation to work
health and safety
 securing compliance with this Act through effective and appropriate compliance and
enforcement measures
 ensuring appropriate scrutiny and review of actions taken by persons exercising powers
and performing functions under this Act
 providing a framework for continuous improvement and progressively higher standards of
work health and safety, and
 maintaining and strengthening the national harmonisation of laws relating to work health
and safety and to facilitate a consistent national approach to work health and safety in
this jurisdiction.
The Work Health and Safety Regulation 2017 includes includes provisions for:
 emergency plans: PCBUs must have plans in place to respond effectively to health and
safety incidents and other emergencies that might occur in the workplace.
 first aid: PCBUs must make first-aid arrangements for the workplace so workers can get
immediate help if they are injured at work.
 information, training and instruction: PCBUs must provide information, training and
supervision to keep all people safe from any risks that might arise from the work.
 managing safety: PCBUs are responsible for the health and safety of workers,
contractors and volunteers while at work and must eliminate or minimise the risks to
health and safety so far as reasonably practicable.
 personal protective equipment: Personal Protective Equipment (PPE) is anything used or
worn by a person to minimise a risk to health or safety. If PPE is needed, then it's the
responsibility of the employer or PCBU to provide it.
More information
For more information you can visit the SafeWork NSW website or use the link below (if
you are viewing this content electronically) for guidance on your legal obligations as an
employer, business owner or in general.
http://www.safework.nsw.gov.au/health-and-safety/manage-workplace-safety
Visit the NSW legislation website or use the link below to access to the Work Health
and Safety Act 2001 if you are viewing this content electronically.
1.6.12 Environment Planning and Assessment Act 1979 (EP&A)

Section 45 of the Liquor Act states that the Independent Liquor & Gaming Authority must not
grant a liquor licence unless a development consent is in force (where required under the EP&A
Act).
In NSW, there are nine planning approval pathways for development, depending on size and
scale. Local development is the most common type of development, which includes home
extensions through to medium sized commercial, retail and industrial developments.

As per section 76A of the EP&A Act a development is considered local development if a local
environmental plan or State environmental planning policy states that development consent is
required before the development can take place.
For local development, applicants must lodge a Development Application (DA) with the local
council and include:
 A description of the development,
 The estimated cost of the development,
 A plan of the land,
 A sketch of the development,
 An environmental assessment, e.g. statement of environmental effects.
The procedures for applying for development consent, the level of assessment required, the
notification required and the appeal rights differ depending on how a development is
categorised. Most developments requiring both planning approval and a liquor licence follow the
local development pathway. Conditions for licensed premises can be imposed on development
consents as well as liquor licences. Licensees must ensure they are complying with these
conditions when running licensed operations and activities.
More information
For more information you can visit the Planning and Environment website or use the link
below (if you are viewing this content electronically) for guidance on the DA process or
planning approval pathways.
https://www.planning.nsw.gov.au/Assess-and-Regulate/Development-
Assessment/Planning-Approval-Pathways
Visit the NSW legislation website or use the link below to access to the Work Health
and Safety Act 2001 if you are viewing this content electronically.
Module summary
Congratulations, you have completed Module 1: Overview of liquor legislation in NSW, you
should now be able to:
 summarise the purpose for regulating the liquor industry

 outline the regulatory authorities and other stakeholders within the liquor industry.
 outline the NSW liquor laws relevant to licensees
 outline other laws that may be relevant to licensees, and
 outline the purpose and requirements of prescribed precincts in NSW.

Module 2: Managing your liquor licence
2.1 Introduction
As a licensee, it is critical that you have a thorough understanding of the liquor licence process.
To sell, serve or supply alcohol in NSW as part of your business activity or at an event, you
need a liquor licence. There are seven different liquor licences available in NSW. Knowing
which licence to apply for, and the conditions associated with your licence category, are
important for a new licensee.
Non-compliance with your licence conditions can result in significant penalties for you and your
business.
At the end of ‘Module 2: Managing your liquor licence, you will be able to:
 explain who is able to hold a liquor licence

 identify different types of licences
 outline the process for obtaining a liquor licence
 understand the conditions associated with different licence types
 summarise the liquor licence fee requirements, and
 outline the requirements for making changes, transferring, moving or cancelling your
licence.
2.2 Who can hold a licence?

Licences can be held by an individual person, or an organisation. Individuals wishing to become
licensee must:
 be over 18 years of age

 not have been suspended or disqualified from holding a liquor licence, or hold a
suspended licence, and
 declares that they will inform Liquor & Gaming NSW within 28 days regarding any party
(other than the liquor licensee or a financial institution) who becomes interested in the
business (except in the case of a limited licence) .
Organisations wishing to apply for a licence must provide details with their application,
including:
 their Australian business number (ABN), Australian company number (ACN)

 the names and birth dates of all directors and officeholders (if it is a proprietary company)
 a current Australian Securities and Investments Commission (ASIC) extract, and
details of an appointed approved manager.

2.3 Which licence is best for you?
Understanding and selecting what licence your business or event needs can be a complex and
difficult process to navigate. Your business type and the activities offered in your venue may
make you eligible to apply for more than one liquor licence type. For example, a Tapas
restaurant could consider applying for an on-premises, small bar or general bar liquor licence.
2.3.1 Primary purpose test

To help you find the most appropriate liquor licence type for your business or event, you can
use the licence selector tool, which asks questions about the business or event activities you
intend to offer. Depending on your responses, the tool will direct you to the NSW liquor licence
type that best fits your primary purpose.
The primary purpose of a licence is the main function of the business. Under the Liquor Act
2007, the licence type is determined by a primary purpose test, for example:
 an on-premises licence must not be granted in respect of any premises if the primary
purpose of the business or activity carried out on the premises is the sale or supply of
liquor, and/or
 for a packaged liquor licence, the principle activity carried out in any such liquor sales
area must be the sale or supply of liquor for consumption away from the licensed
premises.
In order to get the most accurate results out of the tool, it will be helpful to consider the following
tips before you get started:
 have a clear understanding of what your business or event offers as the primary product
or service, for example, will food or alcohol be the primary product?
 consider the needs of the business both now and in the future to ensure the licence type
grows with your business needs, and/or
 make sure you read the licence type page and associated fact sheets to confirm the
liquor licence that the tool suggests actually fits your business requirements.
Each licence type has specific provisions and requirements that must be adhered to. This tool
will simply help you to decide which licence type is best for you if you aren’t sure yet.
Let’s take a look at the questions you will be asked to help you gather the right information
before you get started.

More information
If you find that no liquor licence currently fits your business activities, you can contact
Liquor & Gaming NSW on:
Telephone: 1300 024 720 (Monday to Friday 9:00am to 4:00pm), or

use the Contact us form at https://industrynsw.tfaforms.net/4634132
for more information or to discuss your specific business requirements.
You can also contact Liquor & Gaming NSW for more information regarding the
selector tool, or use the link below if you are viewing this content electronically.
https://www.liquorandgaming.nsw.gov.au/operating-a-business/running-your-
business/signs-for-your-business

2.3.2 Common business activities and liquor licence types
Liquor licence type Business activities
Café or restaurant where supply of food is primary

On-premises (restaurant class)
purpose of the business
Hotel or general bar Pub or large bar with more than 100 patrons
Small bar Small bar with up to 100 patrons
Packaged liquor
Bottle shop
(bottle shop and delivery class)
Producer/wholesaler Winery
On-premises (public entertainment) Nightclub
Club Registered club, RSL or diggers club, golf club
Packaged (delivery only class) Online alcohol delivery
Single function such as a ball, convention, or sporting

Limited licence - single function
event held by non-profit organisation
Multiple-functions such as a ball, convention, or sporting

Limited licence - multi-function
event held by non-profit organisation
Selling or supplying alcohol at a trade fair such as a wine

Limited licence - trade fair
show or a food show
Selling or supplying alcohol at a temporary or infrequent

Limited licence - special event event such as an annual 4-day arts festival, a v8 supercar
race, or an international weekend conference.
On-premises - catering class Catering company
On-premises - vessel class Vessel
NSW liquor laws sometimes allow businesses to customise their liquor licence, and apply for an
increase in flexibility on how the licence may be operated to allow for conditions such as
extended trading hours. This is done by applying for relevant authorisations and exemptions.
2.3.3 When is a liquor licence not required?

There are limited circumstances in which a liquor licence is not required.
Bed and breakfast establishments (B&B) do not require a liquor licence. They are defined as
premises that provide temporary guest accommodation (other than dormitory style
accommodation), where the establishment is operated by the permanent residents of the

establishment, and meals are provided for guests only (i.e. it must not operate as a public
restaurant):
 a liquor licence is not required at a B&B if no more than eight adult guests are staying at
one time and the alcohol has been purchased by the establishment proprietor from a
retail liquor outlet
 the sale and supply of alcohol must be ancillary to the provision of accommodation
and/or food and anyone who serves alcohol to guests must have completed an approved
RSA course and hold recognised certification (such as the NSW competency card), and
 the B&B proprietor must also notify the Authority that the establishment sells or supplies
liquor to guests.
Retirement villages do not require a liquor licence for alcohol to be sold during gatherings to
an adult who is a resident (or a guest of a resident) provided:
 alcohol sold at the gathering must be purchased from a retail liquor outlet
 a resident’s committee member or a committee nominee must be present at the
gathering to supervise the sale and supply of alcohol and the general conduct of the
gathering, and
 the gathering must not be organised or run by the operator of the retirement village; if a
retirement village operator wishes to sell alcohol at gatherings or in any other
circumstances, it must apply for an on-premises liquor licence.
Hospitals and nursing homes do not require a liquor licence to sell alcohol to an adult who is
receiving care in a nursing home or is a patient in a public or private hospital or medical facility,
provided the alcohol is provided by or on behalf of the person in charge of the facility.
Gift baskets and flowers designed to be delivered as a genuine gift to a person, they do not
require a liquor licence provided:
 the alcohol included in the gift must be purchased from a retail liquor outlet and the
maximum volume of alcohol in each gift cannot exceed two litres and must be part of a
package, not sold on its own, and
 the gift must be packaged and presented in such a manner that it would be taken to be a
gift and can only be delivered to another adult who is not the purchaser between the
hours of 7.00am to 7.00pm.
Auctions conducted by an auctioneer, where the auctioneer is a person who carries on

business (or is employed) as a professional auctioneer, do not require a liquor licence provided:
 the auctions are publicly promoted as an auction involving the sale of liquor and the
Authority has been notified that the auctioneer auctions liquor, and
 the auctioneer complies with any direction issued by the Secretary of the NSW
Department of Industry, which may relate to the quantity or type of liquor that may be
sold by auction or the manner or frequency in which liquor is sold.
Aircraft operators are not required to hold a liquor licence to sell alcohol to an adult on board
their aircraft while in NSW. This exemption does not apply where a person or organisation that
is not operating the aircraft sells or supplies alcohol.

Cruise vessels do not require a liquor licence to sell alcohol to an adult on board an interstate
or international cruise vessel while it is engaged in a voyage within NSW waters, provided the
vessel has sleeping facilities for at least 100 passengers and liquor is sold or supplied only to
registered fee-paying passengers or crew members for consumption on the vessel (not to a
minor or intoxicated person).
Where liquor is sold unlawfully, either without a licence or outside the scope of these
exemptions, maximum penalties and/or 12 months’ imprisonment may apply.
More information
Liquor & Gaming NSW have developed a fact sheet on ‘when a licence is not required’
that you can review by visiting their website, or use the link below if you are viewing this
content electronically:
licence-types/when-a-liquor-licence-isnt-required
2.4 Statutory licence conditions

Every liquor licence in NSW is subject to licence conditions that must be complied with. Some
conditions are imposed automatically by the NSW liquor laws these are known as statutory
licence conditions and may differ depending on the type of licence.
For example, for all licence types, you need to ensure the primary purpose of your business is
aligned with your liquor licence conditions, i.e. if you hold a hotel licence, the venue’s principal
activity must be the sale or supply of liquor by retail, not gambling machines.
 Hotel licence
 Club licence
 On-premises licence – restaurant
 On-premises licence – public entertainment venue (not cinema or theatre)
 On-premises licence – cinema or theatre public entertainment venue
 On-premises licence – catering services
 On-premises licence – commercial tour operator
 On-premises licence – local product promotion
 On-premises licence – airport
 On-premises licence – tertiary institution
 On-premises licence – accommodation premises
 On-premises licence – vessel
 On-premises licence (others)
 Packaged liquor licence
 Producer/wholesaler – beer/spirits
 Producer/wholesaler – not beer/wine/spirits producer
 Producer/wholesaler – wine/cider/perry/mead products
 Limited licence – surf club
 Limited licence – not a surf club

More information
You can visit the Liquor & Gaming NSW website to review the statutory licence
conditions for each of the licence types listed below, or use the link below if you are
reviewing this information electronically.
Additional conditions
Additional conditions can be imposed by Liquor & Gaming NSW or the Authority for a variety of
reasons, such as the location of the venue.
For example, all venues in the Kings Cross precinct or Sydney CBD entertainment precinct
have special licence conditions to help reduce alcohol-related violence and anti-social
behaviour in those areas (as covered in Module 1.7). Additional conditions may be added either
when you are granted a liquor licence or following a serious complaint or incident involving your
venue.
There is a Service NSW licensing register available to allow anyone to check the conditions
imposed on a specific venue licence using the name of the licence, the name of the licensee or
the liquor licence number. In addition to adhering to licence requirements, licensees must also
ensure that staff have access to and are aware of the liquor licence and any related
authorisations or conditions at all times. If you’re unsure about the type of licence you require
for your venue, you can get assistance from the Liquor & Gaming NSW website.
Conditions for special precincts
All venues in the Kings Cross precinct or Sydney CBD entertainment precinct have special
licence conditions to help reduce alcohol-related violence and anti-social behaviour in those
areas.
More information
Visit the Service NSW website to check the conditions imposed on a specific venue
licence or use the link below if you are reviewing this information electronically.
https://www.service.nsw.gov.au/check-licence
Alternatively you can visit the Liquor & Gaming NSW website for more information on
the type of licence you require for your venue, or use the link below if you are
reviewing this information electronically.
licence-types

2.5 Trading hours
RSA Recap – Trading hours

All liquor licences in New South Wales have approved liquor trading hours (when licensees are
permitted to sell liquor on their licensed premises or at a licensed function or event). The
approved liquor trading hours for most types of liquor licences include a standard trading period,
plus any extended trading granted by the Authority.
The standard trading period for most clubs, hotels, general bars, restaurants, cafes, nightclubs,
producer/wholesalers, theatres, cinemas, motels, sporting facilities, tourist venues, universities,
colleges, airports, and licensed caterers is:
 5.00am – midnight, Monday to Saturday
 10.00am – 10.00pm on Sunday
Different arrangements apply to registered clubs that existed prior to the commencement of the
Liquor Act 2007 on 1 July 2008. These clubs have unrestricted trading rights and can trade up
to 24 hours a day unless they have otherwise opted to limit their approved liquor trading hours.
An 11.00pm restriction on takeaway liquor sales also applies across NSW. This means that the
standard trading period for packaged liquor licences (such as bottle shops or takeaway liquor
stores) is limited to 11.00pm Monday to Saturday. Sunday 10.00pm closures remain in place.
Any other licensees authorised to sell takeaway liquor can only do so until 11.00pm, for
example, producer/wholesalers may only sell their liquor products by retail to the public until this
time. The standard trading period for small bars is from midday to 2.00am, Monday to Sunday.
Licensed vessels are different again, as they do not have a standard trading period. Rather,
licensees can sell and supply liquor for consumption on board a vessel, from one hour before
the vessel starts any voyage and until 30 minutes after the voyage has been completed.
However, the Authority may also grant different approved liquor trading hours that will be
specified on the licence. For licensed functions and events, the approved liquor trading hours
are separately determined by the Authority and are specified on a limited licence.
Extended trading hours

In many cases, licensees can apply under the NSW liquor laws to sell and supply liquor outside
the standard trading period. This is commonly referred to as extended trading. Extended trading
hours may be approved for hotels and eligible registered clubs to coincide with significant
special events, which may include the NRL grand final and rugby world cup matches, subject to
conditions, these include:
 while the approval allows hotels and eligible registered clubs to remain open for on-
premises sales and consumption, it does not permit takeaway liquor sales during the
extended period
 the approval does not override any existing trading hour restrictions that have been
imposed on a hotel or registered club under the liquor laws, and
 the approval also does not affect restrictions on trading hours imposed by local councils
under the planning laws.
Hotels and clubs that are already approved to trade during the above extended hours are not
affected by these special arrangements. Extended trading can occur either before or after the
standard trading period and can also apply on a permanent or one-off basis. Any extended

trading granted is subject to a daily 6-hour closure period. The Authority or the Secretary of the
NSW Department of Industry may also reduce the approved trading hours by imposing, varying
or revoking licence conditions relating to the trading hours of any licensed venue.
Special occasion extended trading hours

Licensees of clubs, hotels, on-premises producer/wholesaler, or small bar licence can also
apply for an authorisation allowing extended trading hours for a special occasion on a specified
date. To qualify for this authorisation, the special occasion must be unique or infrequent, be of
local, state or national significance, and be for persons independent of the licensee and
premises owner/occupier.
6-hour closure period

A daily 6-hour closure period applies to all liquor licences granted from 30 October 2008. It also
applies to existing licences that have been granted extended trading from that date and existing
licences that are removed to other premises after that date. For these liquor licences, it is
against the law to sell or supply liquor for consumption on or off the premises during that period.
Generally, the daily 6-hour closure period is from 4.00am to 10.00am every day. However, the
Authority can approve a different daily 6-hour closure period. Licensees can apply to the
Authority to change the daily 6-hour shutdown period on either a temporary or permanent basis,
or for different closure periods to operate on different days of the week.
Development consent
Most businesses in NSW whether it be building a new premises, changing the land use of a
current premises or making adjustments to the building during 'fit-out' will require local council
approval. This is obtained by lodging a development application (DA) with the local council.
Dependent on the local council policy, the application will be publicly displayed for comment and
undergo assessment before a decision is made. Development consent may be required for a
new liquor licence, or for any changes to a liquor licence, including licence related
authorisations.
You should note that both the development consent and any potential liquor licence will outline
your approved trading hours for the business and licence type. To remain compliant with both
local council and Liquor & Gaming NSW, you must operate your liquor licence to whichever is
the more restrictive.
For example, if your development consent allows trading up to 11.00pm and your liquor licence
allows trading up to midnight you would need to finish your liquor sales and business operations
in line with the development consent by 11.00pm. Alternatively, if your development consent
allows trading up to midnight and your liquor licence allows trading until 11.00pm, then you will
need to cease liquor sales by 11.00pm, but can continue using the premises until midnight (as
per council development consent).
More information
You can visit the Liquor & Gaming NSW website to review the standard trading hours
licence or use the link below if you are reviewing this information electronically.

2.6 Liquor licence fees
2.6.1 Annual liquor licence fees
Every holder of a NSW liquor licence is required to pay an annual liquor licence fee. This
ensures that those who benefit from the licensed industry contribute to the cost of its regulation.
The fee is calculated using the following model:
 a base fee, plus

 risk-based loadings (where applicable).
More information
You can visit the Liquor & Gaming NSW website for more information on the liquor
fee schedule or use the link below if you are reviewing this information
electronically.
https://www.liquorandgaming.nsw.gov.au/documents/fs/FS3146_Liquor-Fee-
Schedule.pdf
Risk-based loadings
Risk-based loadings are used to encourage licensees to maintain safe and compliant “low-risk”
premises and contribute to the regulation of the industry. They consider:
 trading hours risk, and

 compliance risk (such as compliance history, customer capacity and location)
Trading hours risk loading

Trading hours risk loading is included in the calculation of annual liquor licence fee if your
premises is authorised to regularly trade after midnight. The loading must be paid whether the
premises actually trades after midnight or not.
Who does this apply to?

A very small number of regional premises who hold a multi occasion extended trading
authorisation
Premises authorised to trade up to 1.30am on a regular basis.
Premises authorised to trade after 1.30am on a regular basis.
Some premises are exempt from trading hours risk loading fee, these include:
 producer/wholesaler licence, unless it has a drink-on premises authorisation

 on-premises licence relating to a restaurant, unless it has a primary service authorisation
 on-premises licence relating to accommodation premises, an airport or catering service
 small bar licence

 limited licence (multi-function)
 hotel licence that was formerly a community liquor licence
 a hotel or club licence that meets the criteria for a tourist accommodation exemption, and
 licensed premises that meets the criteria for a remote population exemption.
Compliance risk loading

Compliance risk loadings may be included in the calculation of your annual liquor licence fee if,
in the past calendar year, you (as a licensee or manager) have committed a serious liquor law
offence, or your premises has been listed as a declared premises under the Violent Venues
scheme. Compliance risk loadings include:
 compliance history risk loading

 patron capacity risk loading, and
 location risk loading for venues in the Sydney CBD and Kings Cross precincts.
Compliance history risk loading

Your compliance history risk loading will be based on the number of prescribed offence events
committed at your licensed premises, or if the premises was listed as a level 1 or 2 declared
premises under the Violent Venues scheme. Prescribed offences that lead to compliance risk
loadings include:
 sale or supply of liquor contrary to licence, but only in relation to sale or supply of liquor
outside approved trading hours
 breach of licence condition, but only in respect of a condition that restricts the trading
hours of licensed premises or prohibits patrons from entering licensed premises at
certain times, imposed:
- under the Sydney CBD or Kings Cross precinct special conditions
- under the violent venues scheme
- as a result of a remedial condition following a strike
 permitting intoxication or indecent, violent or quarrelsome conduct
 selling or supplying liquor to an intoxicated person
 permitting the sale, possession or use of a prohibited plant or drug section
 failure to comply with a direction given by the Secretary of the Department of Industry
(the Secretary)
 failure to comply with a short-term closure order
 failure to comply with a long-term closure order
 failure to comply with a notice issued by the Secretary
 selling or supplying liquor to a minor or allowing such sale or supply, and
 licensees and managers have been issued a penalty notice for an act committed by an
employee, related to the sale or supply of liquor to an intoxicated person or a minor or
failure to comply with a direction given by the Secretary.
Compliance history loading is calculated using the following criteria:
When is this loading applied?

One offence event committed during the previous calendar year.
Two offence events committed, or if the premises were listed as a level 2 declared premises

during the previous calendar year.
Three or more offence events committed, or if the premises were listed as a level 1 declared
premises during the previous calendar year
Patron capacity risk loading

Patron capacity risk loading applies if you need to pay compliance history risk loading. Patron
capacity risk loading is based on the number of people your premises is allowed to hold.
Accommodation areas are not included in the patron capacity of a licensed premises.
If patron capacity risk loading applies to your liquor licence, you need to tell Liquor & Gaming
NSW what the current patron capacity of the premises is by submitting an online form. They use
this number to calculate the correct patron capacity risk loading you need to pay. Licensees
also need to provide evidence to support the number given e.g. a copy of the development
consent, advice from council, or annual fire inspection records from Fire & Rescue NSW.
If Liquor & Gaming NSW don’t receive this information on time (usually March each year), or
they determine that the number is not accurate, the Secretary has discretion to determine the
patron capacity for your premises and this number will be used to calculate your patron capacity
risk loading.
Some premises are exempt from the patron capacity risk loading, these include:
 producer/wholesaler licence, unless a drink-on premises authorisation is held

 on-premises licence relating to accommodation premises, catering service or both
 packaged liquor licence
 limited licence (multi-function), and
 hotel licences that was formerly a community liquor licence.
Patron capacity risk loading is calculated based on the number of people your premises is
allowed to hold:
When is this loading applied?

Your premises has a patron capacity of 60 patrons or less
Your premises has a patron capacity of 61 – 120 patrons
Your premises has a patron capacity of 121 – 300 patrons
Your premises has a patron capacity of 301+ patrons
Note: accommodation areas are not included in the patron capacity of a licensed premises. No
GST applies to fee or loading.
Location risk loading

Location risk loading applies if you need to pay compliance history risk loading and your
licensed premises is located in the Kings Cross or Sydney CBD precinct. Location risk loading
does not apply to:
 a producer/wholesaler licence, unless a drink on-premises authorisation is held

 a limited licence (multi-function), or
 a hotel licence that was formerly a community licence.
2.6.2 Exemptions
Occasional extended trading condition
Licensees that are permitted to trade after midnight can reduce their annual liquor licence fee by
applying for an occasional extended trading condition (OETC) to be imposed on their licence.
This means you can only trade past midnight or 1.30am on up to 12 occasions over any 12
month period. The result is that licensees with an OETC:
 who occasionally trade after midnight do not pay trading hours risk loading
 that allows regular trading up until 1:30am, and occasional trading after 1.30am, are
required to pay a trading hours risk loading.
Licensees who have an OETC must submit an occasional trading notification form to Liquor &
Gaming NSW at least 14 days before each late trading occasion.
Applications for the OETC are only open for a limited time each year.
Multi-occasional extended trading authorisation

Licensees in regional venues that are authorised to trade after midnight, but rarely do and would
like to reduce their trading hours risk loading, or have standard trading hours and would like to
occasionally trade past midnight, can apply for a multi-occasion extended trading authorisation
(MOETA).
The MOETA attracts a reduced annual trading hours loading.
Tourist accommodation exemption

A hotel or club that provides tourist accommodation does not pay trading hours risk loading if
the hotel or club meets all of the following criteria:
 provides accommodation in at least 20 rooms or self-contained suites (other than

dormitory-style accommodation)
 provides beverages, meals and other associated services to residents and guests, and
 bars only operate after midnight primarily to sell or supply liquor to residents and their
guests or persons attending a function or conference by invitation-only e.g. weddings or
work conferences.
If the hotel or club is authorised to sell or supply liquor to the broader general public after
midnight on a regular basis, trading hours risk loading will apply.
Applications for the Tourist Accommodation Exemption (TAE) are only open for a limited time
each year.

Remote population exemption
If you are in a remote or regional location, you do not pay trading hours risk loading if the
licensed premises meet all of the following criteria:
 in a regional locality of less than 1,000 people, with no large transient population,
 more than 5km from a town of 1,000 to 5,000 people, and
 more than 20km from a larger town or city (over 5,000 people).
If you think you are eligible for a remote population trading hours risk loading exemption, you
can apply for reassessment of your liquor licence fee.
More information
You can visit the Liquor & Gaming NSW website for more information on the liquor
fees and loadings or use the link below if you are reviewing this information
electronically.
Schedule.pdf
2.7 Applying for a licence

In this section, we will discuss the various documents and information you may need to submit
to obtain a NSW liquor licence, these include:
 licence application
 community impact statement (CIS)
 licensed premises floor plan, and
 additional license requirements
2.7.1 Licence application

You will need to submit the correct application form for the type of licence you wish to apply for,
together with the associated fee for Liquor & Gaming NSW to consider with your application.
More information
Current application forms can be found on the Liquor & Gaming NSW website, or use
the link below to access the liquor licence forms and applications page if you are viewing
this content electronically.
licence-types
The current fee schedule can also be found on the Liquor & Gaming NSW website, or
use the link below if you are viewing this content electronically.
Schedule.pdf

2.7.2 Community impact statement
Before you apply for a liquor licence, you may need to consult your local community and
prepare a CIS. If you are not intending to apply for any of the licences mentioned in the
following pages, you do not usually need to conduct a CIS. However, Liquor & Gaming NSW
may ask for one when you lodge your application (decisions are made on a case-by-case
basis). It’s worth understanding what the process entails, as Liquor & Gaming NSW will not
accept your application if you do not conduct the correct CIS process.
What is a CIS?
A community impact statement (CIS) is a written summary that describes the potential harm a
liquor licence might have on a neighbourhood.
A CIS allows the Independent Liquor and Gaming Authority (the Authority) to be aware of and
understand the impact that granting an application will have on a local community.
It can help you to learn about the views of your community before you commit to your
application so that you can make a well-informed decision about whether to go ahead with,
modify or withdraw your proposal.
It can also help identify ways to change an application to reduce any negative impacts and
resolve any important community issues before you lodge. This is important because the
Authority won’t grant a licence, authorisation or approval unless a licensee can show that the
overall social impact of their licence will not be detrimental to the well-being of the local or
broader community.
Examples of common community concerns include:
 disturbance to neighbourhood from venue or customers

 alcohol-related crime or anti-social behaviour
 alcohol-related health problems
 more pedestrian or motor traffic
 drink driving and drink walking
 more domestic violence linked to alcohol, and
 litter and other pollution generated by the venue.
Community benefits that you may wish to promote could include:
 new social and recreational choices

 more opportunities for live music and other artists, and
 jobs and economic activity.
When do you need to complete it?

Different types of liquor licence applications require different types of CIS, either a category A or
a category B. The main difference is who needs to be notified; more parties must be consulted
for a category B CIS.
A category A CIS is required for the following circumstances:

 a packaged liquor licence limited to the sale or supply of alcohol via phone, fax, mail
order or website; this also includes the removal of the above licence to another premises
 extended trading for an on-premises licence, provided that the authorisation allows liquor
sales on a Sunday between 5.00am and 10.00am or between 10.00pm and midnight;
this doesn't include sales to residents of the licensed premises and their guests
 a primary service authorisation (PSA) under the Liquor Act 2007; for example, where a
restaurant wants to sell liquor without meals, and
 any other application where the Authority thinks there is potential for community harm.
A category B CIS is required for the following circumstances:
 application for a hotel or club licence

 application for a small bar licence (an exemption applies where development consent is
required and notice is provided to the local police and Secretary of the Department of
Industry within two days of the development application)
 application for a packaged liquor licence (such as a bottle shop or retail liquor store)
 application for an on-premises licence for a public entertainment venue other than a
cinema or a theatre
 application for extended trading for each of the above licences
 application to remove each of the above licences to another premises
 an extended trading authorisation for an on-premises licence if the authorisation allows
liquor sales at any time between midnight and 5.00am
 extended trading for a producer/wholesaler licence, if the authorisation allows liquor
sales by retail between midnight and 5.00am. this doesn't include sales to residents of
the licensed premises and their guests, and
 any other application where the Authority thinks there is potential for community harm.
You need to complete a CIS if you apply for any of these licence types:
 hotel
 general bar
 packaged liquor licence (including bottle shops and online sales)
 nightclub licence (on premises)
 registered club licence
 multi-occasion extended trading authorisation (if the licence is not already authorised to
trade after midnight on a regular basis), and
 in some situations, a small bar licence application may also involve a CIS.
The CIS must be completed prior to the lodgement of the application and submitted with the
application. However, a notice of intention to apply for the liquor licence must be completed and
distributed to the relevant stakeholders at least 30 days before the CIS form is completed to
gather feedback, identify key issues and assess if further consultation is required.
Early consultation tells the community about your proposal and helps to reduce negative
reaction when the Authority places it on the liquor application noticeboard.

Each CIS will be placed on public display on the liquor application noticeboard before a decision
is made in order to give people or organisations the opportunity make submissions about it
directly to the Authority.
Who must be consulted?

As a potential licence holder, it is your responsibility to talk to your local community about any
concerns that people have, this might include the local council, police and local interest groups.
Part 3 of the Liquor Regulation 2018 (Clause 29) outlines the CIS consultation requirements
and mandates that when preparing a CIS, the applicant must provide each relevant stakeholder
with a notice, in the form and manner approved by the Authority, containing information about
the relevant application and the process by which the stakeholder is able to consult with the
applicant on the relevant application.
In the case of a category A CIS, the relevant stakeholders that must be consulted are:
 the local consent authority

 the local consent authority for that other area, if the premises are or, will be situated
within 500 metres of the boundary of another local government area
 the local police, and
 such other stakeholders as are determined by the Authority.
In the case of a category B CIS, the relevant stakeholders that must be consulted are:
 the local consent authority

 the local consent authority for that other area, if the premises are or, will be situated
within 500 metres of the boundary of another local government area
 the local police
 NSW Health
 NSW Department of Family and Community Services
 Roads and Maritime Services
 recognised leaders or representatives of the local Aboriginal community (if any) in the
area
 the occupier of any neighbouring premise *, and
 such other stakeholders as are determined by the Authority.
* For the purposes of category B CIS applications, neighbouring premises is any building
situated on land that is within 100 metres of the boundary of the premises to which the
application relates.
The community must also be notified within 2 days of lodging an application with Liquor &
Gaming NSW. Depending on the type of application, additional notifications may also need to
be undertaken within the community, these include:

 local police11
 local council and neighbouring council if the premises are within 500 metres of the
council boundary12
 Lands division of the NSW Department of Primary Industries if the premises are on
Crown Land, and
 all neighbours within a 50 or 100 metre radius (depending on the type of application).
A site notice will also need to be affixed internally to the premises so it is easily seen by
passers-by. The site notice must remain until a decision is made on the application. Licences
can be refused, if site notices are not displayed, removed, fall down etc. throughout the
assessment period.
How do I prepare a CIS?

Before you develop a CIS, you’ll need to consult with your local community about your
application for a liquor licence and record any concerns that they raise. The CIS is then
developed using these discussion outcomes.
You will need to:
 consult all relevant community members

 describe how you conducted the consultation
 include details of the discussion points about issues people raise, and
 include information on how you will deal with any concerns.
When considering community responses, think about these questions:
 what are the main issues?

 what are the negative responses?
 what are the positive responses?
 which issues need further discussion?
 how strongly does your community feel about these issues?
 do different stakeholders have similar issues?
 what relationships have been established with the community that could help resolve
future issues?
 what outcomes (such as ideas and solutions) have been identified as a result of the
consultation?
 are proposal changes required because of community feedback?
It may be helpful to seek professional advice when preparing and completing more complex or
contentious applications.
11
This notification happens automatically if application is made online
12
Ibid.

The finished CIS must show how community issues will be handled. It must also describe any
changes that have been made to the proposal after talking to the community. Best-practice is to
include conversations, emails, minutes, evidence of negotiations etc. in your CIS report.
If a resolution about a particular issue could not be reached, the CIS must note the issues and
include a brief description of attempts that were made to settle them. It is important to make
sure all information in a CIS reflects actual community responses, because it will go on public
display for them to review!
More information
Visit the Liquor & Gaming NSW website for more information on how to prepare a
CIS and access the CIS forms, or use the links below if you are viewing this content
electronically.
 FM2009 Category A community impact statement form (pdf, 212kb)
 FM2010 Category B community impact statement form (pdf, 272kb)
2.7.3 Licensed premises floor plans

Licensed premises floor plans consist of a plan of the premises with an outline in red showing
the area that is proposed to be licensed. They are an important part of licensing applications as
they identify the premises boundaries and are considered in a range of licensing matters.
Having up-to-date, good quality floor plans that meet Liquor & Gaming NSW requirements can
help to speed up the assessment and processing of licence applications.
If the premises are more than one level, plans are to be provided for each level. Each level must
be clearly labelled, e.g. ground floor, first floor, etc. Additionally, if more than one page, each
page must be numbered, i.e. Page 1 of 3.
All internal parts of the premises need to be labelled, i.e. kitchen, amenities, gaming room, tab,
lounge, bistro, bar areas, function room, office, etc.
If the premises includes a footpath dining area on the proposed licensed area, the relevant
footpath dining approval by council must be provided. This will be verified with council; not
providing the approval with the application may cause a delay in processing of the application.
On your plan you will need to outline the proposed licensed area in red. If you are applying for
authorisations, e.g. a minors’ area authorisation, you will need to highlight these areas by
outlining in a different colour.
The plan must include a key or legend that corresponds with the areas highlighted below:
 current licensed boundaries (in red)

 if the boundaries are changing, the proposed licensed boundaries (in blue), and/or
 any existing or proposed authorisations in a separate colour.

If your business is serving alcohol for consumption on the premises (most licences except
packaged, producer/wholesaler), your plan must include all seating/patron areas. Some
important things to note on your seating plan are:
 ensure your plan matches your DA application in terms of capacity/number of seats,

and/or
 any outdoor seating must clearly show how the boundaries of the licensed area will be
demarcated, e.g. will you be using barriers, planter boxes, gardens, walls?
More information
Guidance on how to prepare and submit a floor plan with a liquor licensing application
has been developed by Liquor & Gaming NSW;
You can visit the Liquor & Gaming NSW website for more information, or use the link
below to view the fact sheet if you are viewing this content electronically.
https://www.liquorandgaming.nsw.gov.au/documents/fs/FS3127-licensed-venue-floor-
plans.pdf
2.7.4 Additional licence requirements

Along with the documentation already outlined, the following additional information must be
lodged for Liquor & Gaming NSW to start considering an application:
 evidence of completion of all training that is mandatory for your licence type; for all
licence types and applications this includes:
- current RSA certification
- current RCG certification for premises with gaming machines
- current Licensee training certificate - for new and existing licensees, approved
managers and club secretaries applying to operate tier 1 venues
- current Advanced Licensee training certificate - for new and existing licensees,
approved managers and club secretaries applying to operate tier 2 venues.
 a National Police Certificate; a recent certificate (issued within the last 3 months) is
required for each licensee and/or approved manager
 a copy of your development consent or approval from the council may be required if you
plan to build, demolish, alter or change the use of a property
 evidence of approval for outdoor seating from the council if outdoor seating is applicable
 an ASIC extract if an organisation or corporation is applying for a liquor licence, and
 for some applications, an industry experience profile for the licensee or approved
manager will also be required to help Liquor & Gaming NSW assess their suitability to be
a licensee or manager of a licensed venue.
When your application is lodged, Liquor & Gaming NSW will display it on the liquor application
noticeboard. The public then has 30 days to make any comments about your proposal.

More information
 A completed applicant declaration is available on the Liquor & Gaming NSW

website, or use the link below to download if you are viewing this content
electronically.
https://www.liquorandgaming.nsw.gov.au/documents/fm/tdec5-declaration-liquor-
licence-application-by-proposed-licensee.pdf
 Information and application for police certificates can be obtained from the NSW
Police website, or use the link below if you are viewing this content electronically
https://www.police.nsw.gov.au/online_services/criminal_history_check/criminal_hi
story/resources_and_fact_sheets
2.7.5 Assessment process

Liquor & Gaming NSW and the Independent Liquor & Gaming Authority Board (the Authority)
assess each application on a case by case basis and consider the overall impact a licence
decision will have on the community. The assessment uses the information provided within the
application form/s, the supporting documents provided, submissions and a number of internal
and external reports that are generated as a part of the assessment process.
Liquor & Gaming NSW and the Authority can grant a licence where they are satisfied that:
 the applicant is a fit and proper person to hold a liquor licence subject to probity checks
in place
 the licence will have practices in place to ensure liquor is served responsibly and that all
reasonable steps will be taken to prevent intoxication in compliance with the Liquor Act
2007
 development consent allows for the intended business or activity to be conducted on the
premises, and
 there will be no detrimental harm to the community as a result of the granting of a liquor
licence to operate.
When assessing applications the following will be considered:
Licence type  E.g. hotel, small bar, registered club, nightclub, take-away liquor store
 Size and layout

Scale  Maximum number of persons
 Entertainment provided and its nature
 Comply with the six-hour closure period

Trading
 Whether extended trading authorisation is applied for and approved to
Hours
allow trading beyond midnight, for how long and how many days
 Existing density of licensed premises in the local community
Location  Impact of additional licensed premises, for example, on transport,
footpaths, pedestrian traffic, litter, noise pollution, anti-social behaviour,

crime.
 Demographic traits
 Proximity of health, worship, educational, homeless facilities, public
parks and alcohol free zones
 Residential or commercial/industrial nature of the area
 Will any specific measures will be implemented over and above those
required by legislation in order to reduce potential impact, for example:
Specific
 Plan of management
Measures
 Security management plan
 Focus on cultural or community development
 Local council
Submissions
 NSW Police
Received
 Members of the public
2.8 Managing your licence

2.8.1 Making changes to your licence
Your aspirations or business conditions can change over time. As a result, you may need to
change one or several aspects of your existing liquor licence. There are many ways to change
your liquor licence.
Change of name
You must apply to Liquor & Gaming NSW if you want to change the name of your licensed
premises. The new name for your liquor licence can't be a prohibited name, objectionable,
inappropriate or misleading. It must relate to the business you conduct on your premises.
For example, the word 'bar' can be misleading. Liquor & Gaming NSW will not approve a name
that includes 'bar' unless the licence allows you to operate as a bar.
You can do this online and will need a copy of your record of registration of business name
issued by the Australian Securities and Investments Commission (ASIC).
Change of boundaries
You must apply to Liquor & Gaming NSW if you want to change the footprint or size of your
licensed premises. You'll need a plan of your venue that outlines the current licensed area in
one colour and the proposed licensed area in a second colour. You must also use a third colour
to outline any authorisations on your licence, such as those for primary service, extended
trading hours or minors' areas.
Any expansion of footprint may also be considered an intensification of use from a council
perspective and will require a new DA. Note: footpath dining approval would also be required for
outdoor dining spaces.
When lodging your application, you will need:
 a complete application form and fee

 a plan of the current licensed area and any authorisations; outline the licensed area in
red and show authorisations in another colour, and include a key to show the meaning of
each colour, and
 a plan of the proposed licensed boundaries and any proposed authorisations; for
extended trading hours include a community impact statement.
Change of boundaries authorisations takes about 16 weeks after all the required information
has been submitted. Once you lodge a complete application, it will be posted to the Liquor &
Gaming NSW online liquor and gaming application noticeboard. Following this 30-day
submission period, you can expect Liquor & Gaming NSW to determine your application within
8-12 weeks.
Change of conditions
Your liquor licence may have certain conditions that restrict the sale and supply of liquor or the
operation of your business. However, you can apply to change your licence conditions to suit
any change in your personal or business circumstances, such as trading hours or your 6-hour
closure period.
Conditions on your liquor licence are imposed by either the Independent Liquor & Gaming
Authority (the Authority) or Liquor & Gaming NSW (the source of each condition is noted next to
the relevant condition on your liquor licence).
Change of tenancy
As a licensee, you cannot lease or sub-lease the right to sell liquor for consumption on the
premises. Nor can you lease or sub-lease those parts of your licensed premises where you
normally sell liquor or operate gaming machines. You can only sub-lease part of your licensed
premises with Liquor & Gaming NSW approval.
However, if your licensed premises is located in a shopping centre, you can lease or sub-lease
a part of your premises where you normally sell or supply liquor with Liquor & Gaming NSW
approval.
Before you apply, you’ll need to notify local NSW police and your local council. Liquor & Gaming
NSW cannot approve your application unless they have been notified.
More information
You can visit the Liquor & Gaming NSW website for more information on:
 Changing boundaries
 managing your licence change of conditions on:
 changing tenancies or use the link below if you are reviewing this information
electronically.
Manager approval and appointment
Corporate licensee
A corporation may hold a liquor licence just as an individual licensee can. However, the
corporate licensee must appoint an approved manager to the licensed premises. An approved

manager is responsible for the personal supervision and management of the conduct of the
business of the licensed premises under the licence at the times the manager is required to be
present on the licensed premises.
There is a two-step process of approval and appointment by Liquor & Gaming NSW.
Liquor & Gaming NSW accepts all applications on behalf of the Independent Liquor & Gaming
Authority Board (the Authority).
Step 1: Approval of Manager – to determine that the proposed approved manager is a fit and
proper person for the role. Each venue manager must be approved by the Secretary of Industry,
who will have regard to the following:
 criminal records, probity inquiries and advice from NSW Police

 relevant industry experience
 RSA and privacy competencies, and
 the Licensee training if managing a Tier 1 venue including an Advanced Licensee
training, if managing a Tier 2 venue
Step 2: Appointment of manager - an approved person can be appointed manager of a licensed

premises held under a corporate licence.
Notify interest in liquor licence business

You can notify Liquor & Gaming NSW of an interest in a liquor licence business/licensed
premises or a new or removed interest in a liquor licence business:
 if you wish to notify interest as a premises owner you will need to provide proof of
ownership; this can be in the form of a title search and contract of sale or a rates notice
 if you wish to notify interest as a business owner, you will need to provide proof of
purchase of the business such as a contract of sale which includes the date of
settlement; if you are setting up a new business, you will need to provide a copy of an
extract from the Australian business register (ABR), and
 if a trust has purchased the business, you will need to provide a copy of the trust deed
and a copy of the contract of sale including the settlement rate or a copy of an extract
from the ABR register.
Community impact statements (CIS)

On occasion, making changes to your licence might require you to consult your local community
and prepare a CIS, which is a written summary that describes the potential harm a liquor licence
might have on a neighbourhood. See section 2.7.2 for more information on the CIS process.
It allows the Authority to be aware of and understand the impact that granting an application will
have on your local community.
More information
You can visit the Liquor & Gaming NSW website for more information on the following
or use the links below if you are reviewing this information electronically:

 Manage changes to your licence:
 Approved manager approvals:
2.8.2 Transferring your licence

You can transfer a liquor licence when you buy or sell a business. This allows a new business
owner to trade under the existing licence. You transfer a liquor licence when you want to
change the licensee.
To allow a business to continue operating while Liquor & Gaming NSW considers a licence
transfer, they usually give a provisional approval and confirm the transfer with you later. The
licence transfer does not become effective until they give provisional approval.
There are four ways you can transfer a licence:
 with written permission of the outgoing licensee

 without written permission of the outgoing licensee
 following the death, disability or bankruptcy of a licensee, or
 notice of licence transfer
If applying to transfer your licence for a Tier 1 venue you must complete the Licensee training,
or if applying to transfer of your licence for a Tier 2 venue must complete both the Licensee and
Advanced Licensee training prior to confirmation of the transfer application.
2.8.3 Moving your licence

Liquor licences are attached to premises, not a person. If you are moving your business to
another location, you must apply to take your liquor licence with you. An application to remove a
liquor licence from one venue to another is treated the same as an application for a new liquor
licence. The fee to remove a liquor licence is the same as the fee to apply for a new liquor
licence of the same type.
Liquor & Gaming NSW might impose new conditions on your new licence, depending on how
you want to operate your venue and any feedback they get about your proposed licence
removal.
Any authorisation that applies to your liquor licence at its current premises, such as the primary
service area, minor's authorisation area, extended trading hours, will no longer be valid.
If you want new authorisations for your new premises, you must apply for them at the same time
that you lodge your application to remove your liquor licence.
If applying to move your licence for a Tier 1 venue must complete the Licensee training, or if
applying to move your licence for a Tier 2 venue must complete both the Licensee and
Advanced Licensee training prior to confirmation of the move application.

2.8.4 Cancelling your licence
You can surrender your liquor licence by completing a form for Liquor & Gaming NSW. Where it
is proposed to surrender a liquor licence, the written consent of the premises owner and
business owner is required and must be included in the application form.
If you want to temporarily cease trading for less than 6 weeks, as a licensee, you can apply to
Liquor & Gaming NSW to suspend a licence for a reasonable period. You must specify the
proposed dates for the suspension and give reasons.
If you want to cease trading for 6 weeks or more, for example, during renovations, you must
notify Liquor & Gaming NSW using a cease to trade notification and notify them again when you
want to resume trading.
Liquor licences that cease to trade, or are suspended voluntarily, are still subject to the annual
liquor licence fees.
More information
You can visit the Liquor & Gaming NSW website for more information on the following
or use the links below if you are reviewing this information electronically:
Manage changes to your licence:

https://www.liquorandgaming.nsw.gov.au/operating-a-business/liquor-
licences/applying-for-and-managing-your-liquor-licence/manage-your-licence
Moving your licence:
licences/applying-for-and-managing-your-liquor-licence/moving-your-licence
Cancelling your licence:
licences/applying-for-and-managing-your-liquor-licence/cancel-your-liquor-licence
Module summary
Congratulations, you have completed Module 2: Managing your liquor licence, you should now
be able to:
 explain who is able to hold a liquor licence

 identify different types of licences
 outline the process for obtaining a liquor licence
 understand the conditions associated with different licence types
 summarise the liquor licence fee requirements, and
 outline the requirements for making changes, transferring, moving and cancelling your
licence.

Module 3: Your responsibilities to manage alcohol
related harms
3.1 Introduction
The range of liquor premises in NSW represent a vast array of business models. This module is
about helping you understand your responsibilities to manage alcohol related harms associated
with your business.
We will discuss the mandatory requirements that you must adhere to reduce risk and remain
compliant. We’ll also talk about the reality of running a licensed premise and the incidents and
situations that can occur, such as intoxication, minors, violence and anti-social behaviour.
These risks can be costly, both to your bottom line and your reputation, so we’ll look at ways to
prevent them – there is a lot that you as the leader can do.
Finally, we’ll look at what to do if something does go wrong and how to manage incidents.
At the end of Module 3: Your responsibilities to manage alcohol related harms, you will be able
to:
 plan and implement prevention strategies to protect your business,
 manage a difficult alcohol related situation – understand your responsibilities under the
law and apply strategies to deal with:
- intoxication
- anti-social behaviour
- minors
 meet mandatory requirements when dealing with an incident, and
 what do when a crime has occurred.
Part A: Planning and prevention
The purpose of this Part is to outline the importance of planning your business practices
effectively in order to prevent alcohol-related harm and incidents before they occur.
We will discuss a variety of mandatory and best practice strategies that are designed to protect
your and your business from the negative impacts of alcohol misuse.
3.2 Managing competencies

Whether you're selling or supplying alcohol, the Responsible Service of Alcohol (RSA) provides
rules and strategies to minimise alcohol-related problems, such as intoxication, violence and
disorderly behaviour. In our community and RSA training is mandatory for everyone in NSW
who sells, serves and supplies alcohol.
That includes you as a licensee as well as all of your staff!

RSA Recap – RSA Training
RSA training is mandatory for everyone who is involved in the sale and supply and service of
alcohol to the public in NSW. That includes:
 all licensees
 all approved managers
 staff who sell or serve alcohol, and
 staff who determine whether a patron is intoxicated, e.g. RSA marshals, door staff, and
 all security staff.
Remember, just because staff hold an RSA, this does not remove your responsibility as a
licensee to ensure they have adequate knowledge, skill and supervision to sell and serve
alcohol compliantly.
There are two possible documents that can be used as evidence of RSA completion:
 interim RSA certificate (valid for 90 days), or
 NSW competency card with an RSA endorsement.
The licensee and all staff who serve alcohol must have completed an approved RSA course.
Staff should have their competency card (or interim certificate) easily accessible and be ready
to present the card or digital licence to Liquor & Gaming NSW inspectors or NSW Police when
asked. Failure to produce a competency card to inspectors or police could result in a fine or
suspension of the staff member’s card.
Allowing staff to serve alcohol without an RSA could result in you being fined 100 penalty units.
Best practice for you as a licensee is to maintain copies of all your staff competencies. This will
help you to keep on top of renewals and provide evidence of competencies if your business is
inspected by Liquor & Gaming NSW inspectors or NSW Police officers.
Digital licences
You can now access some NSW government licences and permits digitally using a smartphone
or tablet device. This includes the NSW competency card with:
 Provide responsible service of alcohol (RSA)

 Responsible conduct of gambling (RCG)
 Licensee training, and
 Advanced Licensee training endorsements.
A digital licence is not just an electronic copy or photograph of a licence, it is an app that allows
the holder to view, show, update and renew that licence electronically.
The digital version will make compliance for licensees easier as the digital card will provide an
up-to-date, real-time copy of the card, so you can check that it is current or if a card has been
suspended or revoked. It also provides a solution to the problem of staff forgetting to bring their
competency cards to work!
The digital competency card also allows Liquor & Gaming NSW inspectors and NSW Police
officers to conduct real time inspections of a card and card history on a compatible checker
application.

Digital licences are free and can be accessed on your smartphone via the Service NSW app.
More information
You can visit the Liquor & Gaming NSW website for more information on fines relating
to non-compliance of RSA requirements or use the link below if you are reviewing this
information electronically:
https://www.liquorandgaming.nsw.gov.au/working-in-the-industry/training-to-work-in-
the-industry/for-trainers/rto-fines
3.3 Advertising and promotions

Remember, the way you advertise and promote liquor can influence the way it is consumed in
your premises and your community and how customers behave in your premises and your
community.
You must be must be mindful of your responsibilities and obligations under the Liquor Act 2007
for promoting and practicing responsible service of alcohol. Guidelines were developed in order
to assist licensees in what would be considered responsible practices and promotions.
Promotions are a common tool used to attract customers. However, it is important that you
consider and assess the risks that may be posed by the promotion. It is good practice to
regularly audit your liquor promotions as it reflects a best practice approach to managing a
compliant business.
You must ensure all of your liquor promotions are conducted in accordance with and that all
liquor advertisements consider the responsible service of alcohol (RSA), this includes having
the harm minimisation measures and procedures in place to prevent intoxication or binge
drinking during the liquor promotion. Any liquor promotion must not:
 encourage irresponsible, rapid or excessive consumption of alcohol

 have special appeal to minors
 be indecent or offensive, and
 be out of step with general community standards.
You must also ensure that all liquor promotions or advertisements that involve discounting
include the responsible consumption of alcohol message.
Implementing harm minimisation measures as part of policy and procedure for conducting
promotions can help you prevent unacceptable outcomes from occurring at your licensed
premises. However, simply employing harm minimisation measures does not automatically
provide you grounds to allow a restricted or prohibited promotion to occur, instead it provides a
means to monitor and control the environment to ensure the safety of customers, staff and the
community as a whole.

In many cases, the risk that is raised by one element can be offset or reduced by adjusting
another. Some things to consider include:
 avoid running promotions at high risk times - after 10.00pm the risk of customers
becoming intoxicated increases, so run promotions at a lower risk time
 when providing free samples, consider limiting the number of samples
 limit discounts of liquor during a promotion, ensuring that reduction in price is not
extreme and likely to encourage rapid or excessive consumption
 place reasonable limits on the duration of the promotion, for example, a happy hour
should not extend for more than two hours
 limit the number of drinks that can be purchased by a single person in a single
transaction, (for example, two drinks per person per transaction during happy hour, and
 avoid games, dares, challenges and competitions that may create an incentive for
customers to drink more.
Unacceptable practices and promotions

Examples of liquor promotions that are unacceptable include the following:
 appeal to minors - because of the design, name, motifs or characters used.

 indecent or offensive - through the use of images, including the human body, which may
be considered offensive by a reasonable adult
 non-standard measures – for example, yard glass, slammers, water pistols, etc. that
encourage irresponsible drinking
 emotive descriptions or adverting – for example, the use of slogans that focus on the
excessive consumption alcohol such as 'drink like a fish' or 'drink to you drop'.
 free drinks or extreme discounts – that promote excessive consumption of alcohol. For
example, 'all you can drink' or encourage rapid consumption, such as '$50 voucher
between 7.00pm - 8.00pm only'
 irresponsible, rapid or excessive consumption – such as a drinking game, for example,
'60 shots in 60 minutes' or 'boat races’. Or sports event promotions such 'free beer until
first points scores' or 'half price drinks until half time', and
 not in the public interest - such as promoting unlawful activity, anti-social behaviour,
allude to consuming alcohol with illicit drugs or associating liquor consumption with
violent or aggressive behaviour towards other people.
More information
You can visit the Liquor & Gaming NSW website for more information on liquor
promotion guidelines or use the link below if you are reviewing this information
electronically:
https://www.liquorandgaming.nsw.gov.au/documents/gl/gl4001-liquor-promotion-
guidelines-FA.pdf

3.4 Signage
RSA Recap – Signage

The law requires that all types of licensed businesses display liquor signs. This includes a
number of compulsory signs, depending on which licence and authorisations you hold, as well
as if you have a breath analysis machine. Below is an outline of each sign and when and where
it must be displayed:

3.5 Smoking areas
Smoking is banned in all enclosed public places and certain outdoor public areas, under the
Smoke-Free Environment Act 2000. An enclosed public space is defined as having more than
75 per cent notional walls and ceiling.
In addition to enclosed places, smoking is not permitted in a commercial outdoor dining area,
being:
 a seated dining area

 within 4 metres of a seated dining area on licensed premises, restaurant or café, or
 within 10 metres of a food fair stall.
Smoking is also not permitted within 4 metres of a pedestrian access point to a restaurant,
hotel, club or café.
Many hotels and clubs have a designated outdoor smoking area. You must ensure it is not
located within 4 metres of the seated dining area and that all other requirements of the act are
met.
Non-smoking signs should be placed in an area that is clearly visible to customers and
displayed in a way that would reasonably allow a person entering a particular area of the
premises to be quickly alerted to the fact that it is a non-smoking area.
Under the Liquor Act 2007, the Registered Clubs Act 1976 and the Casino Control Act 1992 you
have the power to exclude a customer from your business if that person smokes in a smoke-
free area. If a customer fails to leave when asked, they are liable to receive an on-the-spot fine
or a maximum penalty of 50 penalty units.
NSW Health provides a range of free smoke-free signage and resources for licensed venues
including smoke-free facts sheets and posters.
Remember!
Electronic-cigarettes or e-cigarettes are treated the same as normal cigarettes, and liable
to a fine if smoked in non-smoking areas.
More information
You can visit the Liquor & Gaming NSW website for more information on current
penalties for RSA breaches or use the link below if you are reviewing this information
electronically:
RSA fines
Liquor fee schedule
Schedule.pdf

For more information on applying for smoke-free facts sheets, posters and other
resources, vist the NSW Health website or use the link below:
https://www.health.nsw.gov.au/tobacco/Pages/smoke-free-resources.aspx
3.6 Emergency plans

No-one can predict when an emergency is going to take place and could arise due to a fire,
explosion, chemical spill, medical emergency, natural disaster, bomb threat, violence or terrorist
attack.
There are specific laws that outline the steps you must follow when making an emergency plan.
If you manage a business, imagine a series of possible scenarios and create a proactive
response for each. Your plans and procedures will help staff in the event of an emergency
including counter terrorism.
Your emergency plan must include:

 an effective response to an emergency
 evacuation methods
 notifying emergency services at the earliest opportunity
 medical treatment and assistance
 effective communication with everyone at the workplace
 how often the emergency procedures are to be tested, and
 instructions and training about implementing the emergency procedures.
Emergency plans and procedures depend on:
 the type of work

 the safety issues
 the size and location of your workplace,
and
 the number of workers.
If you share a workplace with a number of other

businesses e.g. in a shopping centre, you must consult
with those businesses when preparing an emergency
plan.
You must test emergency procedures to ensure they are

up-to-date and effective.
It is advisable to display emergency procedures in a

prominent place; you must also train your workers on
how to implement the emergency procedures within the
workplace.
You can use this medical emergency plan poster, which

was developed in conjunction with NSW ambulance, to
help emergency services access an injured worker
quickly and easily.

Part B: Managing a situation
Under NSW liquor laws and at common law, licensees have rights and responsibilities to protect
their licensed premises, their customers and their staff.
These rights and responsibilities enable a licensee to refuse service, refuse entry and remove
or evict customers who are troublesome. Licensees can take further action under these laws
and bar the customer for an extended period of time or request a banning order.
You should always ensure that you are enforcing your rights while respecting the rights of
customers and that you implement policies and procedures that are consistent with the NSW
Anti-Discrimination Act 1977 and NSW and Commonwealth anti-discrimination laws.
In this part, we will outline your rights and responsibilities, and the strategies available to help
you deal with:
 intoxication
 anti-social behaviour, and
 minors.
3.7 Intoxication
3.7.1 Intoxication laws
Liquor Act 2007
Under Section 77 of the Liquor Act 2007 licensees have the right to refuse entry or evict people
from their venue.
Section 77 (Division 2) - Non-voluntary exclusion of persons from licensed premises
1) In this section:
authorised person means a licensee, an employee or agent of a licensee or a police
officer.
employee includes, in the case of a registered club, a person engaged under a contract
for services.
vicinity of licensed premises means any place less than 50 metres from any point on the
boundary of the premises.
2) An authorised person may refuse to admit to, or may turn out of, licensed premises any
person:
a) who is at the time intoxicated, violent, quarrelsome or disorderly, or
b) whose presence on the licensed premises renders the licensee liable to a penalty
under this act, or
c) who smokes, within the meaning of the Smoke-free Environment Act 2000, while on
any part of the licensed premises that is a smoke-free area within the meaning of that
act, or
d) who uses, or has in his or her possession, while on the premises any substance that
the authorised person suspects of being a prohibited plant or a prohibited drug, or

e) whom the authorised person, under the conditions of the licence or according to a
term (of the kind referred to in section 134 or 136d) of a liquor accord, is authorised or
required to refuse access to the licensed premises.
3) If, under subsection (2), a person has been refused admission to, or has been turned out of,
licensed premises, an authorised person may, at any time, refuse to admit that person to
the licensed premises or may turn the person out of the licensed premises.
4) If a person in respect of whom an authorised person is, under subsection (2) or (3), entitled
to refuse admission to the licensed premises is on the premises, the person must, on being
required so to do by an authorised person, leave the premises.
Maximum penalty: 50 penalty units.
5) For the purposes of this section, such reasonable degree of force as may be necessary
may be used to turn a person out of licensed premises.
6) A person who has been refused admission to, or turned out of, licensed premises in
accordance with this section must not re-enter or attempt to re-enter the premises within 24
hours of being refused admission or being turned out.
7) After the 24-hour period ends in relation to any such person, an authorised person is not
prevented from exercising the powers under subsection (3) in relation to the person.
8) A person who has been refused admission to, or turned out of, licensed premises in
accordance with this section must not, without reasonable excuse:
a) remain in the vicinity of the premises, or
b) re-enter the vicinity of the premises within 6 hours of being refused admission or
being turned out.
9) Without limiting subsection (8), a person has a reasonable excuse for remaining in, or re-
entering, the vicinity of the licensed premises if:
a) the person reasonably fears for his or her safety if he or she does not remain in, or re-
enter, the vicinity of the premises, or
b) the person needs to remain in, or re-enter, the vicinity of the premises in order to
obtain transport, or
c) the person resides in the vicinity of the premises.
10) In the prosecution for an offence under subsection (8), the burden of proving that a person
had a reasonable excuse for remaining in, or re-entering, the vicinity of the licensed
premises concerned is on the person charged.
11) The functions that may be exercised under this section by an authorised person who is
a licensee or employee or agent of a licensee may only be exercised in relation to
the licensed premises to which the licensee's licence relates.
12) A reference in this section to turning a person out of licensed premises includes a reference
to causing the person to be turned out.

13) Nothing in this or any other section of this Act operates to limit any other right a person has
to refuse to admit a person to, or to turn a person out of, licensed premises.
How can you use Section 77?

A licensed venue may refuse entry or eject a patron if they are:
 intoxicated
 violent, quarrelsome or disorderly
 smoking in a smoke-free area
 suspected of having or using illicit drugs on the premises, or
 behaving in a way that causes the licensee to commit an offence under the liquor laws.
A person who has been refused entry or ejected from a licensed venue must:
 leave the venue and vicinity immediately (50 metres)

 not re-enter or remain in the vicinity for 6 hours, and
 not re-enter the venue for 24 hours.
Exceptions to the 50 metres vicinity rule include situations where the patron has a lawful excuse
such as obtaining transport, residing in the area, or if they fear for their safety if they leave the
vicinity.
Customers guilty of an offence can receive a penalty notice or a court fine of 50 penalty units.
An example for an application under Section 77 2(e) would be a multi-venue barring strategy
known as a ‘barred from one, barred from all’ within a local liquor accord.
Inclosed Lands Protection Act 1901

The Inclosed Lands Protection Act 1901 provides powers to the owner, occupier or person in
charge of lands that are “inclosed or surrounded by any fence, wall or other erection.” The Act
makes it a punishable offence if a person is found to be guilty of unlawful entry on inclosed
lands or unlawful re-entry on inclosed lands.
Section 4 - Unlawful entry on inclosed lands

(1) any person who, without lawful excuse (proof of which lies on the person), enters into
inclosed lands without the consent of the owner, occupier or person apparently in charge of
those lands, or who remains on those lands after being requested by the owner, occupier or
person apparently in charge of those lands to leave those lands, is liable to a penalty.
a) 10 penalty units in the case of prescribed premises, or
b) 5 penalty units in any other case.
Section 4AA - Unlawful re-entry on inclosed lands

1) person who, without reasonable excuse, knowingly enters an event venue during an
organised event in contravention of a re-entry prohibition given to the person is guilty of
an offence.

2) a re-entry prohibition is a direction given by a responsible authority for an organised
event, after a person has been directed to leave the organised event, that directs the
person
a) not to re-enter the event venue during the organised event, or
b) not to enter any specified event venue during an organised event for which the
responsible authority is the responsible authority, or both.
Common law
Your rights are not only recognised under the legislation, but also at common law. Common law
recognises the right to revoke at any time, a patron’s “implied common law invitation to enter the
premises for any reason as long as it not discriminatory.” This common law extends to the
refusal of entry or removal of patrons for reasons such as:
 barring/banning patrons for behaviour which occurred outside the venue

 violations of dress code, and/or
 voluntary lockouts.
Care should be taken to ensure that when a person is refused entry or ejected from the licensed
premises, either under the liquor laws or by common law, it is consistent with the Anti-
Discrimination Act 1977.
3.7.2 Prevention of intoxication on licensed premises guidelines

There have always been laws about the responsible service of alcohol in NSW liquor legislation.
That is, rules about not selling to minors, intoxicated or disorderly customers. RSA has been
part of the NSW liquor laws for more than 100 years.
As licensees, you have heightened responsibility to your staff, customers and the overall
community, to proactively ensure RSA principles are met and adhered to within your venue by:
 ensuring compliance with responsible service legislation

 implementing strategies that minimise harm associated with alcohol abuse and alcohol-
related problems, including violence and anti-social behaviour, and
 encouraging responsible attitudes towards the sale and consumption of alcohol.
You and your staff must ask an intoxicated person to leave the licensed premises immediately.
If an intoxicated person is detected on the licensed premises, you are taken to have permitted
intoxication, unless it is proven that you or staff:
1. refused to serve the intoxicated person any more alcohol

2. asked the intoxicated person to leave the premises, and
3. if the intoxicated customer refuses to leave the premises contact or attempted to contact
to the NSW Police for assistance in removing the person is required
Alternatively, you would need to prove that:

 you took all of the steps set out in prevention of intoxication on licensed premises
guidelines issued by the Secretary, Department of Industry, relating to the prevention of
intoxication on licensed premises, or
 the intoxicated person did not consume alcohol on the licensed premises.
If you or your staff are found guilty of an intoxication offence, the offence can lead to a strike
being incurred under the three strikes disciplinary scheme. Where three strikes are incurred
within three years, your licence can be suspended or cancelled.
More information

3.7.3 Monitoring liquor consumption

You must ensure the licensed premise is operating under your direct supervision or an
appropriately experienced supervisory staff whenever liquor is being sold and supplied.
Liquor consumption must be actively monitored by the licensee and staff to ensure that
intervention occurs when anyone becomes aware that a customer is noticeable affected or is
consuming liquor irresponsibly and, in a manner, likely to result in intoxication.
There must be steps in place to ensure staff can spot problematic consumption and intervene
where necessary to prevent the person from consuming liquor and to request that person to
leave the premises.
The amount of alcohol a customer has had to drink, or the amount of time spent at the venue is
not the only elements considered when determining whether they are intoxicated. The most
effective general strategy a licensee or manager can put in place is to:
 ensure that staff are trained in RSA

 provide regular updates to staff at meetings and discuss problems
 display your service standards to clients at the venue
 ensure all areas are being assessed
 clear delegation of responsibilities
 ensure ALL staff are engaged and work as a team (for example, glass collectors)
 support the decisions of supervisors to refuse service
 ensure that a decision to refuse service is communicated with other staff
 use bans where appropriate
 record all incidents in the incident register, and
 set a personal example.

Where appropriate, staff and security personnel should be equipped to actively monitor and
assess customers for intoxication as they enter the licensed premises.
To ensure all staff are aware of what strategies are in place to actively prevent intoxication, you
must have a written document (such as a plan or house policy) prepared which:
 outlines the measures in place to prevent intoxication on the licensed premises (including
the method of complying with the steps, such as procedures for banning a disorderly
customer), and
 explains how staff are instructed and trained to prevent intoxication on the licensed
premises.
The consequences for the sale and supply of alcohol to intoxicated customers extend to the
licensee, employees of the licensee and customers. In order to ensure that your venue complies
with NSW liquor laws, you must ensure you have a number or policies and procedures in place
to:
 serve alcohol responsibly to help minimise alcohol-related harm and neighbourhood
disturbance
 prevent intoxication from occurring on your premises, and employing responsible service
practices such as no shots after midnight, and
 provide a safe venue for customers and staff.
Non-compliance of the liquor laws and the conditions of a liquor licence can lead to fines, higher
licence fees or the suspension or cancellation of a licence.
RSA Recap – Assessing intoxication: Intoxication guidelines

Under the Liquor Act 2007 a person is intoxicated if “the person’s speech, balance, co-
ordination or behaviour is noticeably affected”.
This definition also considers the guidelines issued by the Secretary, which assist licensees and
staff in determining whether or not a patron is noticeably affected or intoxicated. The intoxication
guidelines require that a reasonable belief must be established in determining an individual’s
intoxication is the result of the consumption of alcohol. An individual may display signs similar to
intoxication without being intoxicated.
While a pre-existing condition may emulate the signs of intoxication, if the individual has been
observed consuming alcohol over a considerable period of time, it is reasonable to believe the
signs of intoxication are the result of alcohol consumption.
The noticeable signs of intoxication include:
 speech – the person is slurring words, talking in rambling or unintelligible sentences,
incoherent or muddled speech.
 balance – the person is unsteady on their feet, is stumbling or bumping into people or
objects, is swaying uncontrollably or cannot stand or walk straight.
 coordination – the person may be (for example) having difficulty in counting money or
paying, may be spilling or dropping drinks or having difficulty in opening or closing doors.
 behaviour – the person is rude, aggressive or offensive, is unable to concentrate or
follow instructions, is boisterous or is pestering other patrons

You can find the intoxication guidelines developed by Liquor & Gaming NSW on their
website or use the link below if you are reviewing this information electronically:
https://www.liquorandgaming.nsw.gov.au/documents/gl/gl4003-intoxication-guidelines.pdf
Remember!
A person’s medical condition or disability may mimic the signs of intoxication. You or
your staff must have a reasonable belief that alcohol has caused a customer to become
intoxicated prior to refusing service, in order to prevent a claim of discrimination based
on the person’s disability.
RSA Recap – How alcohol affects people differently

Various factors that may influence an individual’s response to alcohol in order to provide a safe
environment and ensure responsible service of alcohol.
While people may be affected by alcohol in different ways, the common factors that influence
intoxication include:
Sex: The physical differences between the male and female bodies cause alcohol to be
processed more slowly by women than men, meaning a female’s blood alcohol content will
likely be higher than a male’s after they have consumed the same amount of alcohol. This is
because women tend to have a smaller body size with a higher proportion of body fat than men
so a given amount of alcohol is distributed over a typically smaller body that has less capacity
for absorption (as alcohol is not taken up by fatty tissues). In addition, the ability to break down
alcohol is limited by the size of the liver, and women on average have a smaller liver than men.
Age: In general, the younger and smaller a person is, the less tolerant they are to alcohol. They
also tend to have less experience with drinking, therefore the effects are often magnified after
excessive consumption. But it is not only young people that are affected; tolerance for alcohol
also decreases as people reach older age and the risk of falls, driving accidents and adverse
interactions with medications increases.
General health: People who are ill, tired or stressed may have a different reaction to alcohol
than they normally would as their nervous system is under stress, meaning alcohol doesn’t
process as quickly and their level of intoxication may rise at a faster rate.
Specific health conditions that are made worse by alcohol: People who already have health
conditions that are caused or aggravated by alcohol (such as dependence on alcohol, cirrhosis
of the liver, alcoholic hepatitis or pancreatitis), are at risk of the condition becoming worse and
the effects of alcohol being magnified if they drink alcohol because the conditions prevent the
body from processing alcohol toxins as efficiently as it should.
Mental health: People who are prone to mental illnesses such as anxiety, depression and
schizophrenia may aggravate their illness and increase the effects of the alcohol (which is a
depressant) by drinking alcohol.
Weight: A larger, heavier or taller person's body contains more water than a than that of a
person of smaller build. Water causes the alcohol to dilute more readily within the body's
system so larger people may be affected less due to the increased volume of water. However,
the makeup of a person’s body also affects intoxication as muscle processes alcohol while fat

does not. So, someone with more muscle who is slimmer or smaller is likely to be affected less
than someone who is larger but has more fat.
Food consumption: Drinking on an empty stomach can cause intoxication more quickly as
there is nothing to absorb the alcohol. This allows the alcohol to enter the system more readily
and the effects of the alcohol will happen more quickly.
Rate of consumption: If a person consumes alcohol faster than 1 standard drink per hour,
their Blood Alcohol Concentration (BAC) is likely to rise more rapidly as the human body can
only process 1 standard drink each hour.
Other substances: Finally, mixing alcohol and the chemicals in other substances such as legal
or prescription drugs and illicit and illegal drugs, can impact the effect that alcohol has on the
body and a person’s behaviour.
RSA Recap – Erratic drinking patterns

Erratic drinking patterns are indicators that a person or group of people is becoming intoxicated.
Picking up on these signs and acting on them early can help to prevent intoxication and possibly
reduce the risk of harm to the affected customers and those around them. Common erratic
drinking patterns that indicate intoxication include:
 mixing a wide range of drink types
 drinking quickly and asking for more immediately
 ordering more than one drink for own consumption
 mixing alcohol with prescription or illicit drugs
 ordering ‘triple shots’ or extra-large drinks, or
 ordering multiple samples or large samples.
It is important that you actively watch out for erratic drinking patterns and take appropriate
action to encourage responsible drinking.
RSA Recap – Standard measures

As the licensee, you are responsible for ensuring staff who are selling and serving alcohol have
access to the correct information and equipment to serve alcohol responsibly. Depending on
the type of business, this may include:
 nip pourers that have full (30ml) and half (15ml) measures, and/or
 standard sized glassware; pre-mixed drinks, bottles and cans in original packaging
stating the standard drinks/alcohol percentage.

RSA Recap – Standard drinks
It is important that you understand how standard drinks are used as a measure of alcohol
content. This is covered extensively in the RSA training, but is worth briefly revisiting.
A standard drink is one that contains 10 grams of pure alcohol. The measure of a standard
drink, 10 grams of alcohol, remains consistent regardless of the size of the container.
While all staff involved in the sale and service of alcohol should understand standard drinks, as
a licensee you need to make informed decisions about the products you offer to your
customers.
By providing a range of low and non-alcoholic beverages – for example, providing more than
one type of low or mid-strength beer – you are supporting the responsible service of alcohol. If
your venue offers cocktails, it is important to consider how many standard drinks each one will
be.
Understanding standard drinks can also help when keeping an eye on customers for signs of
intoxication. While alcohol affects different people in different ways, it’s likely that the customer
drinking one or two light beers in an hour is less likely to cause issues as the customer doing
Jägermeister shots or finishing a bottle of wine by themselves in 45 minutes.
3.7.4 Managing intoxicated customers

You must develop procedures to assist your staff in managing the refusal of service and
compliance with the law.
If there are reasonable grounds for you to form a belief that someone is intoxicated as a result
of alcohol consumption, you must:
1. refuse service,
2. ask the person to leave, and
3. if the person refuses to leave, contact police for assistance in removing the person from
the premises.
A person can be refused entry to licensed premises or as they attempt to purchase alcohol.

Once refused entry or service, these persons should be asked to leave the premises. If the
person refuses to leave the licensed premises, NSW Police should be contacted.
Care should be taken to ensure that when a person is refused entry or ejected from the licensed
premises, either under the liquor laws or by common law, it is consistent with the Anti-
Discrimination Act 1977.
If it becomes necessary to refuse service to a customer or group of customers, staff members

need to be aware of the expected processes and procedures.
Each venue will approach this issue differently and will have different strategies. However, in
order to effectively refuse service to a customer, your staff must have knowledge of the venue’s
policies and procedures. You not only need to ensure policies and procedures exist, you also
must ensure staff receive adequate training related to the practical implementation of the
policies and procedures. These policies and procedures, including effective strategies for
refusal of service, may be included in your plan of management.
Plan of management
Your plan of management (POM) which will be covered in more detail in module 4.2.3, should
include a section on how your venue will deal with intoxication. It should ensure procedures are
in place for someone with experience to manage people who are intoxicated and step in so
younger less experienced staff are not on their own.
It can include strategies such as having a policy which details who is responsible for refusal of
service and the procedure to follow, including communication and recording requirements with
other staff, which can include:
 notifying the manager or security, who can ask the person to leave
 notifying other bar staff that service has been refused to the person
 providing training and information concerning appropriate communication techniques
when refusing service:
- using open and non-aggressive body language
- using a number of strategies to diffuse a situation, such as taking the person away
from an audience or blaming the refusal on the ‘law’
- monitoring the reactions of other customers
- picking up on early warning signs and intervening before the person is intoxicated
- not using physical touch
- remaining calm and using tactful verbal language, and
 having a policy in place to aid customers who have been refused service, such as
transport options, ability to make a phone call for a lift and non-alcoholic alternatives
such as coffee, water or soft drink.
While all staff should be capable of, and experienced in refusing service, the venue’s policy
should detail management responsibilities and what action(s) they may take, such as:
 if the person refuses to leave, management shall provide assistance and contact NSW
Police for assistance in removing the person from the premises
 if considered necessary, management may consider imposing a short-term ban
 always supporting staff who have followed the venue’s policy for the refusal of service,
and
 documenting details in an incident register.

More information

Discussion
Are you aware if your staff know how to refuse service and remove an intoxicated
person from the premises?
Here’s how staff can refuse service:

 approach the customer that appears to be intoxicated as soon as possible
 when you approach the customer about their intoxication level, explain to them
that you are legally not allowed to supply them any more alcohol
 state the law that is applicable and refer to any signage to assist
 apologise to them and be understanding
 asked the intoxicated customer to leave the premises
 if the intoxicated customer refuses to leave the premises contact or attempted
to contact to the NSW Police for assistance in removing the person if required
 let them know that they are welcome another night and that you will serve
them then, however you are not legally allowed to sell them any more liquor at
the moment.
Do staff know how to escalate the situation, if necessary? How, and to whom?
 there may be times when the customer refused service, may become
aggressive towards your staff. Staff must try to calm them down by speaking to
them calmly.
 however, if they are unsure and refuse service inappropriately, the situation
may become unmanageable and out of control.
 therefore, you should have an escalation policy to assist young and
inexperienced staff which requires them to approach someone with more
experience such as a colleague or manager to assist so that they are able to
learn how to deal with the situation.

3.8 Anti-social behaviour
3.8.1 Laws relating to anti-social behaviour
It is important for licensees to maintain a good relationship with the community and the
immediate residential area surrounding their licensed premises. In order to do this, licensees
must ensure customer behaviour is monitored and managed in the vicinity of the licensed
premises.
A disorderly person is someone whose behaviour and/or language are such that it may interfere
with the safety and/or comfort of those around them.
To be disorderly a person does not need to be intoxicated. This person could be sober or under
the influence of another substance. Some outward signs of this individual would be:
 aggressiveness
 carelessness
 violence
 disruptive behaviour
 argumentative behaviour
 boisterous behaviour
 behaviour affecting customer's comfort/enjoyment level, and/or
 offensive to staff members.
It is an offence under the Liquor Act 2007 to sell liquor, supply liquor or allow supply of liquor to
a person who is disorderly.
3.8.2 Managing anti-social behaviour

You can have a significant impact on customer behaviour in your venues by setting rules which
determine what is acceptable. It is important that rules and decisions are made based on the
behaviour of persons and not personal characteristics.
If a person is deemed to be ‘disorderly’ they can be warned about their behaviour/language.

Under section 77 of the Liquor Act 2007 you, your staff and NSW Police can refuse to admit a
person who is disorderly, refuse service of alcohol and request them to leave (whether or not
they have consumed any alcohol).

3.8.3 Outlaw motorcycle gangs
RSA Recap – Outlaw motorcycle gangs (OMCG)

Licensees of premises subject to special licence conditions must refuse entry to, or remove,
any person wearing any form of clothing, jewellery or other accessory associated with a
gang. This includes:
 any image, colour, club patch insignia or logo, whether it is 1% of the symbol or
image, and
 any abbreviation, acronym or other form of writing that indicates membership.
Outlaw motorcycle-related organisations may include:
 Bandidos  Black uhlans  Brothers for  Comanchero

life
 Finks  Fourth Reich  Gladiators  Gypsy joker
 Hells angels  Highway 61  Iron horsemen  Life and death
 Lone wolf  Mobshitters  Mongols  Mongrel mob
 No surrender  Nomads  Odin’s  Outcasts

and outlaws warriors
 Phoenix  Rebels  Rock machine  Satudarah
Although this is a requirement for premises subject to special conditions, many liquor accords
have adopted similar restrictions as ‘terms of the accord’. Best practice is to ensure that OMCG
in full colours are restricted access. Updating ‘dress codes’ in the business’ house policy and
plan of management will help support staff.
3.9 Minors
In this module, we will review the restrictions and strategies that are in place in NSW to protect
persons under 18 years of age (or minors) from alcohol-related harm.
3.9.1 Laws relating to minors

Whilst there are circumstances in which minors may be present on licensed businesses in
NSW, it is important to understand the strict controls and inherent risks associated with any
lawful presence. The controls in place for some types of business models prevent minors from
getting access to alcohol and ensure they are adequately supervised by a responsible adult.

RSA Recap – Laws relating to minors
Significant penalties can apply if you sell or supply liquor to a minor in NSW, including:
 on-the-spot penalty notice of $1,100,
 court imposed fines of up to $11,000 and/or 12 months imprisonment, and/or
 the suspension or cancellation of your liquor licence.
It is also your responsibility to prevent minors from unlawfully entering and remaining in
restricted bar areas of your licensed business.
RSA Recap – Responsible adult

Minors are allowed on licensed premises with a responsible adult. It is essential that you
understand the definition of who is a responsible adult.
There are some legal obligations in terms of a ‘responsible adult’ when they accompany a minor
into licensed premises and in other situations.
A ‘responsible adult’ is an adult who is:
 a parent, step-parent or guardian of the minor
 the minor’s spouse or de facto partner
 for the time being, standing in as the parent of the minor.
A person standing as a parent could include a relative such as grandparent, aunt/ uncle or
person nominated to act as guardian.
More information
You can visit the Liquor & Gaming NSW website for more information on underage
drinking laws, or use the link below if you are reviewing this information
electronically:
https://www.liquorandgaming.nsw.gov.au/working-in-the-industry/serving-alcohol-
responsibly/managing-under-18s/underage-drinking-laws
Now let’s take a closer look at some of the licence-specific restrictions that are in place.
Hotels
While most parts of a hotel are a bar or gaming machine area (and minors are not permitted
under any circumstances in these areas), there are some areas where a minor can enter,
provided certain conditions are met.
For instance, an unaccompanied minor is allowed to be in the dining room of a hotel, or in the
accommodation area of the hotel. The hotel may also have an area where a minor’s area
authorisation applies for use by minors (in the company of a responsible adult) such as a bistro
or lounge area.

Minors are not permitted to enter or remain in the bar area of a hotel. However, minors are
permitted in:
 dining areas
 accommodation areas, or
 areas where the Authority has granted a minor’s area authorisation, where they must be
accompanied by a responsible adult.
Registered clubs
Minors are prohibited from being in certain parts of a registered club such as bar and gaming
machine areas. However, like hotels, there are circumstances where minors may be in a
registered club when they are in the company of a responsible adult, and if certain conditions
are met. A registered club can obtain a:
 club functions authorisation – which allows minors and non-members to attend certain
functions
 junior members authorisation – which allows junior members to attend sporting-related
activities or prize-giving ceremonies associated with sporting activities, and/or
 non-restricted area authorisation – which allows minors to enter a part or parts of the
club.
Walk-through defence
A ‘walk-through’ defence exists where a minor passes through a bar area in the company of a
responsible adult to access another area of the hotel or club that the minor is lawfully allowed to
enter. Other defences also include where the minor:
 is an apprentice or trainee and was in the bar area receiving trade training, and/or
 was over 14 years of age and produced to the licensee (or an employee or agent of the
licensee) documentary evidence, e.g. a driver’s licence, passport, photo card or KeyPass
card, etc., that could reasonably indicate that the minor was over 18 years of age.
Small bars
Minors are not permitted on the licensed premises when alcohol is authorised to be sold.
On-premises licence
In most cases, no restrictions apply. The exception is where the on-premises licence relates to
a public entertainment venue, i.e. a nightclub, where minors must be in the company of a
responsible adult.
Other premises
No restrictions apply to packaged liquor licences, limited licences and producer/wholesaler
licences.

3.9.2 Monitoring and preventing underage drinking
You and your staff should take a proactive approach to help prevent underage drinking. Basic
steps that licensed premises can take to stop minors gaining access to alcohol include:
 be alert and proactive – regular monitoring of the licensed premises and the vicinity of
the premises. if there is a group of youngsters loitering outside, a quiet word will often be
enough to send them on their way.
 stand your ground - inform the customer that your business’s liquor licence is at risk if
alcohol is served to a minor; a refusal can embarrass a customer, so be tactful and
professional. if faced with a group, move the person that is being spoken to away from
the group, and
 avoid blame - politely stress the legal obligations when refusing to serve someone or not
allowing them on the premises; if asking for identification to establish a person’s age,
confirm it is the policy of the premises to make this request of anyone where a person's
age is in doubt.
Second party sales

Second party sales (often referred to as ‘secondary supply’) occur when a person purchases
alcohol on behalf of a minor. The person supplying the alcohol to the minor (either on licensed
premises or elsewhere) is committing an offence which can attract fines of up to 100 penalty
units and/or 12 months’ imprisonment (or a penalty notice).
It is a defence if the person who sold or supplied alcohol to a minor is the minor's parent or
guardian, or if that person has been authorised to do so by the minor's parent or guardian.
However, this defence does not apply to the sale or supply of alcohol on licensed premises.
In NSW, adults cannot give permission for alcohol to be sold or served to minors, even if they
are a parent or guardian. Care must be taken to ensure that minors, in the company of a
responsible adult, are not supplied with alcohol.
It is often difficult to establish the occurrence of secondary sales therefore, considerable care
must be taken to identify the signs, such as repeat orders, to ensure that alcohol is not served
to minors by other parties.
More information
electronically:
RSA fines
Liquor fee schedule

Schedule.pdf

3.9.3 Managing underage drinking
Your house policy or plan of management should cover your policies and procedure for
managing minors in and around your business and may include:
 requiring any person appearing under 25 years of age to produce age identification
 close scrutiny to check the authenticity of identification produced
 only accepting forms of identification recognised by the NSW liquor laws, or
 identifying as soon as is practicable the responsible adult for any minor entering or on the
premises and informing them of their responsibilities under the Liquor Act 2007.
Fake evidence of age documentation

If you have concerns about the authenticity of an evidence of age document produced by a
minor, you cannot confiscate the document. However, you can refuse entry and hold the
document while you call NSW Police for assistance.
The main forms of fake evidence of age documentation include:

 fraudulent IDs produced
 ‘look-a-alike’ IDs produced, for example, a minor using the ID of a sibling or another
person over18 years
Significant penalties apply to selling alcohol to minors under the minors sanctions scheme. The
penalties include licence suspension and cancellation and may be triggered if a person is
convicted of an offence of selling liquor to a minor on licensed premises. To manage such
situations you should ensure that staff is aware of the house policy covering such policies and
procedures including how to escalate such concerns to management if necessary.
An incident register should be maintained to record such instances where minors were refused
entry to the premises, or where NSW Police were called because of concerns about the
authenticity of the evidence of age produced.
The information in the register can then be used to determine if the licensed premises’
underage strategy is effective and, if needed, to take any necessary steps to improve the
strategy. This may include joining a liquor accord or, if the licensee is already an accord
member, raising the issue at the next liquor accord meeting, or sharing in another platform with
licensees in the community.
3.9.4 Minors selling and supplying alcohol

In most cases, the law prohibits minors from selling, supplying or serving alcohol on licensed
premises. A minor cannot take an order for, or deliver, alcohol to customers.
The law does not stop minors from doing other things within areas of licensed premises where
minors are permitted. This can include stocking shelves in a bottle shop or serving meals or
taking food orders in a restaurant.
The Authority can approve of a minor serving alcohol on licensed premises. However, approval
would normally only be granted in very limited circumstances and would be subject to stringent
supervisory conditions. For example, approval may be given for a 17-year-old to work with their
parent or guardian at certain times in an area of a hotel where minors are permitted.

Maximum penalties of 50 penalty units apply to you if a minor sells, supplies or serves alcohol
without approval.
More information
electronically:
RSA fines
Case study
Licensee suspended over under-age sales
A restaurant in Lidcombe has become the fourth venue to have its liquor licence suspended.
The licensee was fined $2,200 and had its liquor licence suspended for 21 days after NSW
Police found a group of minors drinking alcohol in an outdoor area.
Discussion
How could this have been prevented?
What strategies would you implement to prevent a reoccurrence?
3.10 Strategies to manage alcohol related harms

You, your staff and your customers have a right to enjoy safe and responsibly-managed
licensed venues. This is supported by Liquor & Gaming NSW and the Liquor Act 2007 by
providing powers for venues and NSW Police to eject and ban troublesome customers.
There have a number of ways in which you can deal with troublesome customers including
those who are intoxicated, disorderly or minors. You can:
 refuse entry
 remove from premises
 fail to quit
 bar them for an extended period
 seek a formal banning order
 seek a place restriction order
 allow self-exclusion
 support multi-venue strategies

3.10.1 Refusing entry
You have a common law right to refuse entry, or evict people from your venue.
Under Section 77 (Non-voluntary exclusion of persons from licensed premises) of the Liquor Act
2007, as a licensee you can refuse to admit to, or may turn out of, your licensed premises, any
person:
 who is at the time intoxicated, violent, quarrelsome or disorderly,
 whose presence on the licensed premises renders the licensee liable to a penalty under
this Act,
 who smokes, within the meaning of the Smoke-free Environment Act 2000, while on any
part of the licensed premises that is a smoke-free area within the meaning of that Act,
 who uses, or has in his or her possession, while on the premises any substance that the
authorised person suspects of being a prohibited plant or a prohibited drug, or
 any other person who you are authorised or required to refuse access to, under the
conditions of the licence or according to a term (such as section 134) of a liquor accord.
Essentially licensees can revoke a person’s implied common law invitation to enter the
premises for any reason so long as it is not discriminatory.
If a customer refuses to comply with a request under common law to leave a venue, they are
committing an offence under the Inclosed Lands Protection Act 1901, and could also be
exposed to civil liability for trespass.
Criteria for refusal of entry

You can have a significant impact on customer behaviour in your venue by setting rules which
determine what is acceptable.

It is important that the rules, and the decisions around them, are made based on the behaviour
of persons and not personal characteristics.
Care should be taken to ensure that when a person is refused entry or ejected from your
licensed premises, either under the Liquor Act 2007 or by common law, it is done within the
bounds of the NSW Anti-Discrimination Act 1977.
Many licensees have developed house policies or customer codes of conduct to outline the
rules which determine what is acceptable customer behaviour. Any house policy or code
should:
 focus on expected behaviour
 be applied equally
 be prominently displayed, and
 indicate that failure to behave in accordance with the policy or code will result in refusal
of entry
It is recommended that you display a sign near the entrance to your venue to the effect of:
This venue has the right to refuse entry to any person, or to withdraw any person’s permission
to remain on the premises at any time.
3.10.2 Ejecting patrons from premises

Under the Liquor Act 2007, licensees, your staff, and NSW Police can remove any person who
is:
 intoxicated
 violent, quarrelsome or disorderly
 smoking in a smoke-free area
 suspected of having or using illicit drugs on the premises, or
 behaving in a way that causes the licensee to commit an offence under the liquor laws.
As licensee, you must develop procedures to assist your staff in managing the refusal of service
and compliance with the law. This is covered in further detail in sections 3.7, 3.8 and 3.9 in
relation to managing customers who are intoxicated, unruly or under-aged.
If there are reasonable grounds for you to form a belief that someone is intoxicated as a result
of alcohol consumption, you must:
1. refuse service,
2. ask the person to leave, and
3. if the person refuses to leave, contact NSW police for assistance in removing the person
from the premises.
When removing a customer, staff should inform the person clearly:
1. the reason for their exclusion (using words that align with the Liquor Act 2007 – for
example, ‘intoxicated’, ‘disorderly’ etc.)
2. they are required by law to move more than 50 metres away from the premises
3. they must not re-enter the 50-metre vicinity within 6 hours
4. they cannot return to the premises for at least 24 hours, and
5. if they fail to comply they commit an offence.

Exceptions to the 50 metres vicinity rule include situations where the customer has a lawful
excuse such as obtaining transport, residing in the area, or if they fear for their safety if they
leave the vicinity.
Managers should record the incident in the incident register as soon as possible.
3.10.3 Fail to quit

Fail to quit refers to a customer who refuses to leave a licensed venue when asked to do so.
Fail to quit is an offence under section 77 of the Liquor Act 2007 for failing to leave a licensed
premises (of the vicinity of) when requested. If the customer refuses to leave, contact NSW
Police for assistance in removing the person.
Police can issue the person found guilty of an offence for non-compliance with the direction to
leave with an on-the-spot fine for each offence, with a maximum court fines of 50 penalty units.
More information
electronically:
RSA fines
Liquor fee schedule
Schedule.pdf

3.10.4 Barring customers
Whilst most customers behave responsibly and are warmly welcomed back to venues, there
are, unfortunately, a minority of people who demonstrate violent or significantly inappropriate
behaviour.
A customer can be temporarily banned from the premises for 24 hours under section 77(3) of
the Liquor Act 2007 for being intoxicated, violent, quarrelsome or disorderly, smoking in a
smoke-free area or for use or possession of a prohibited drug while on the premises
However, as the licensee, you can impose a longer or indefinite barring period under common
law and this is also the case for other forms of inappropriate behaviour.
Make it effective
In order for the barring to be effective and have meaningful impact on customers’ behaviour,
you need to:
 establish clear guidelines for acceptable and unacceptable behaviour
 determine the consequences of unacceptable behaviour (i.e. customer barring terms)
 communicate these clearly to customers, and
 apply them resolutely and consistently
The benefits of a barring strategy is:

 it sends a strong message to trouble makers
 it defines and reinforces acceptable standards of behaviour in local venues
 customers feel safer so are likely to spend more time at your venue
 less disruption for staff

 a safer work environment, and
 a more relaxing and enjoyable atmosphere.
Anti-discrimination guidelines
It is important to make sure you do not breach anti-discrimination laws in attempting to bar or
ban a person from your business.
It is important that the rules and decisions around barring and banning of customers are made
based on the behaviour of persons, and not take into consideration the customer’s personal
characteristics, such as race or ethnic or national origins.
Any decision to remove or bar/ban a customer must be made in accordance with the Anti-
Discrimination Act 1977 (NSW).
Businesses must apply rules consistently and fairly. For example, if a customer is barred for six
months for disorderly behaviour, all other customers should be barred for the same length of
time for the same behaviour and not be given a heavier penalty for personal reasons or
because they are part of a minority group.
Setting up a strong set of procedures and strategies for refusal of entry for all staff to follow
before barring/banning any customers is one way to help avoid discrimination. Check the
procedures with a legal advisor to be absolutely sure they are enforceable.
Additional guidelines are also available for the hotel and accommodation industry, which outline
the rights and responsibilities of licensees and their employees under anti-discrimination law.
Where possible, standard barring terms should be agreed upon and adopted by all members of
the local liquor accord. The benefit of developing strategies through a local liquor accord is that
it sets a consistent approach for all venues in the accord to follow. This helps customers
understand the expectations from all venues in an area, making it easier for them to comply.
The refusal of entry and patron bans/ barring guidelines include step-by-step instructions and
advice on the legal rights and obligations of licensees, including information on privacy and anti-
discrimination issues.
More information
You can visit the Liquor & Gaming NSW website for more information or use the links
below if you are reviewing this information electronically:
Guidelines for the hotel and accommodation industry

http://www.antidiscrimination.justice.nsw.gov.au/Pages/adb1_publications/adb1_guidelin
es/adb1_hoteliers2.aspx
Refusal of entry and patron bans/barring

responsibly/ejecting-and-banning-patrons

3.10.5 Banning order
You, your staff and your customers have a right to enjoy safe and responsibly-managed
licensed venues. This is supported by Liquor & Gaming NSW and the Liquor Act 2007 by
providing powers for venues and NSW Police to eject and ban troublesome customers.
A banning order is a formal order which is issued by the Independent Liquor & Gaming Authority
(the Authority), that prohibits a specified person from entering or remaining on a licensed
premises. Banning orders are appropriate when:
 a person repeatedly ignores a barring or banning period imposed by law

 there is no liquor accord in place to enforce multi-venue barring
 venues can't agree about barring/banning a customer
 the customer has been so disruptive to justify legal action
An application for a banning order can be made to the Authority by:
 a licensee (who is party to a local liquor accord)

 Secretary, NSW Department of Industry, or
 NSW Police.
A person subject to a banning order must not enter, attempt to enter or remain on the licensed
premises. A maximum penalty 50 penalty units applies.
Under the Liquor Act 2007, authorities can ban a patron for up to 6 months (from multiple
licensed venues) if they have been repeatedly intoxicated, violent, quarrelsome or disorderly on
or in the immediate vicinity of licensed premises.
Sydney CBD and Kings Cross precincts banning orders

NSW Police can issue a person with a temporary banning order that applies for up to 48 hours,
preventing them from entering most licensed premises in the precincts. Long-term banning
orders can be issued by the Authority for up to 12 months in more serious cases.
More information
You can visit the Liquor & Gaming NSW website for more information on applying for a
banning order or use the link below if you are reviewing this information electronically:
https://www.liquorandgaming.nsw.gov.au/documents/ilga/guidelines/Authority_Guideline
_4_FINAL.pdf
3.10.6 Place restriction order

As a last resort for serious matters that lead to prosecution, licensees can also consider
requesting placement of a restriction order under the Crime (Sentencing Procedure) Act 1999.
This procedure involves the NSW police and seeks to ban a person from certain places for 12
months when that person is convicted for a minimum sentence of 6 months.

Further information on place restrictions orders can be sought from your local NSW Police
licensing officer.
3.10.7 Self-exclusion
Section 76 of the Liquor Act 2007 allows people with a drinking problem to voluntarily exclude
themselves from licensed premises. The person enters an agreement with the licensee allowing
the licensee, or a responsible member of staff, to prevent the customer from entering the
licensed premises.
Licensees are obliged to comply with a request for self-exclusion from licensed premises.
However, while you can lawfully remove or prevent the person from entering the licenced
premises, you cannot use anymore force than is reasonable in the circumstances.
In the case of self-exclusion agreements, no civil or criminal liability is incurred by you (or a
responsible person for the licensed premises), for any action (or inaction) done in good faith
(and in accordance with section 76), to or in respect of the person who wished to enter the
agreement. There is also no civil or criminal liability on you if the person who wished to enter the
agreement succeeds to enter or remain on the licensed premises.
However, section 76 does not limit or otherwise affect the civil liability of a person (including
yourself and your employees) for negligence that causes personal injury to a person or the
death of a person.
A person can also terminate their self-exclusion agreement at any time in writing by completing
the form approved by the Authority.
More information
The self-exclusion form is available on the Liquor & Gaming NSW website:
https://www.liquorandgaming.nsw.gov.au/documents/fm/self-exclusion-from-licensed-
premises-agreement-form.pdf
You can terminate a self-exclusion agreement at any time in writing by completing

the Self-exclusion from Licensed Premises Notice of Termination of Agreement form
https://www.liquorandgaming.nsw.gov.au/documents/fm/Self-exclusion-from-
licensed-premises-notice-of-termination-of-agreement.pdf
3.10.8 Multi-venue strategies

Multi-venue strategies rely on cooperation between local venues to protect the safety and well-
being of staff and customers and reduce alcohol-related violence. There are two strategies:
 multi-venue exclusion – a customer is immediately barred from multiple venues for 24

hours, or
 multi-venue barring – a longer term barring is put in place.

This will generally require an agreement and rules between an executive or the governing body,
regular meeting or communication channels. For these reasons, local liquor accords are the
most appropriate to implement a multi-venue barring strategy as these governance aspects will
already be in place.
Multi-venue exclusion
This occurs when a person who is refused entry or removed for being intoxicated, violent,
quarrelsome or disorderly on or near a venue. You may then immediately notify all the
surrounding venues who also refuse entry to that person.
This strategy aims to deal with the immediate risk posed by the customer and applies for a
maximum of 24 hours. Longer periods of barring should be considered under a multi-venue
barring policy.
Multi-venue barring
Under a multi-venue barring system, you can work in partnership through your local liquor
accord and agree on a system where troublesome customers are barred from all venues in an
area.
In most cases, multi-venue barring is not imposed for one incident (unless it is serious). It is
usually the result of a series of incidents over a period of time. These are usually accompanied
by repeated warnings from individual licensees.
More information:
You can visit the Liquor & Gaming NSW website for more information on multi-venue
strategies, multi-venue exclusion and multi-venue barring or use the link below if you
responsibly/ejecting-and-banning-patrons
Part C: Dealing with an incident

Sometimes, despite our best efforts, incidents occur. These incidents are often minor, but
sometimes they escalate to a criminal incident. In these situations, it is important to know what
your obligations are to respond.
3.11 Mandatory incident register requirements

Some licensees are mandated to have an incident register. In this section, we will outline the
mandatory incident register requirements to ensure compliance with NSW liquor laws. Best
practice recommendations relating to incident registers will be covered in module 4: Best
practice strategies to prevent alcohol related harms.

Where an incident has occurred whether minor (such as intoxication and removal from
premises, or refusing entry to a minor) or a crime has occurred (such as an assault or drug
supply) you should record the details in an incident register.
An incident register is a record of what happens at a licensed venue and you must maintain an
incident register if you are the licensee of a venue that:
 is authorised to sell or supply liquor after midnight at least once a week on a regular
basis, or
 it is a condition of the licence that the licensee maintains an incident register; this may
include:
- licences listed as a declared premises under schedule 4 of the Liquor Act 2007
- limited licence that trades after midnight, or
- licences located in the Kings Cross or Sydney CBD entertainment precincts.
Note: The requirement for licensees to maintain a mandated incident register is independent to
the requirement for contracted security staff to maintain an incident register. It is sometimes
incorrectly assumed that the ‘security register’ will suffice.
The Liquor Act 2007 and the Liquor Regulation 2018 describe the types of incidents you must
record in your register. These include any incident that occurs outside of your venue’s standard
trading hours or that occurs between midnight and 3.00am for a limited licence:
 involves violence or anti-social behaviour at your business

 involves violence or anti-social behaviour occurring in the immediate vicinity of your
business and involves a person who has recently left or been refused entry to your
premises
 results in someone being refused entry or asked to leave under section 77 of the Liquor
Act 2007
 results in someone needing medical assistance, and/or
 any incident that includes possession or use of drugs on the licensed premises.
You might delegate the duty of maintaining your incident register to managers or other key staff
at your business. However, you should emphasise your legal obligations and how important it is
to maintain the register according to the law.
Liquor & Gaming NSW Inspectors and NSW Police review incident registers when they audit a
licensed premises. You may face prosecution if you don't maintain your incident register
properly.
Venues in the Kings Cross and Sydney CBD entertainment precincts

If you hold a liquor licence for a venue in the Kings Cross or Sydney CBD entertainment
precincts, you must maintain an incident register at all times and you must also notify NSW
Police immediately after becoming aware that a violent incident causing injury has occurred at
your venue.
You must make sure that any incident information, including electronic data, is available to
Liquor & Gaming NSW inspectors or the NSW Police.

Compulsory format
If your venue is in the Kings Cross or Sydney CBD entertainment precincts, your incident
register must be in a format approved by Liquor & Gaming NSW.
If your venue is not in a precinct, you can use any of the following:
 the incident register format that is available from Liquor & Gaming NSW
 any bound book with pre-numbered pages and the same incident report content areas as
the Liquor & Gaming NSW issued incident register, and
 an electronic register provided it contains the same content as the Liquor & Gaming
NSW incident register and records the time and date of any entry of data to the electronic
register.
The use of electronic incident registers for licensed venues across NSW has been approved
provided it complies with the content requirements applicable to the physical incident register
and records the time and date of any entry of data to the electronic register. You can order a
register from Liquor & Gaming NSW by:
 visiting the NSW government's online shop, Shop NSW, or

 filling in Liquor & Gaming NSW product order form and posting it.
3.12 Reporting a crime

There are some circumstances where, despite having in place strategies to prevent and
manage troublesome situations, things escalate out of control and a criminal incident occurs.
You and your staff members must follow the requirements of the law when a crime has been
committed.
If your venue is in the Kings Cross or Sydney CBD precincts, and any violent incident has
occurred on the premises that caused injury to a person, the licensee must take all reasonable
steps to preserve the area where the incident occurred in line with the Guidelines. Staff must
immediately report the incident to the relevant Police Area Commander or Police District
Commander.
Any crimes committed on licensed premises that are of a serious nature should be reported to
NSW Police. Licensees and staff have obligations under section 316 of the Crimes Act 1900 to
report relevant information where they know or believe a serious offence has been committed
on the premises.
As good practice staff should:
 immediately contact ‘000’ or local NSW police station
 render any required first aid and immediately call an ambulance, and
 determine the crime scene and remove all persons from the area.

3.13 Preserving a crime scene
It is your responsibility to preserve the crime scene where necessary. NSW Police have
developed a set of crime scene preservation guidelines for licensed premises to assist with
compliance.
Remember there may be multiple crime scenes! Cordon off each area with things such as bar
stools, tables, tape or consider closing off the area completely for areas such as toilets or
hallways.
In order to preserve the scene, do not allow any persons to enter this area, and do not clean
up any crime scene you may be destroying vital evidence!
Some evidence may not be visible to the naked eye such as blood, semen, skin cells, saliva,
hair or fingerprints, so assign a member of staff to guard all crime scenes until the arrival of
NSW police and do not move any items that may have been involved in an offence unless
absolutely necessary, for example, if there is a chance they could get wet.
If you do need to move anything from or within the crime scene, use gloves to stop transference
of your DNA or fingerprints and notify NSW police on arrival if any items have been moved or
removed. These may include (but not be limited to) bottles, glasses, pool cues, clothing,
furniture, weapons or even cigarette butts.
Make notes in relation to it to help you relay it to NSW police officers, include details of the time,
date, location, description of offender(s), vehicle(s) involved, weapons used, last known
direction of offender(s) and any movement of items involved in the incident.
Obtain any CCTV footage and the security sign on sheets that could help with investigations,
obtain any details of witnesses and try to keep all witnesses separated so as to maintain the
integrity of their evidence. It is helpful if the witnesses themselves are present to speak to the
NSW police, so you should try to persuade witnesses from leaving the premises before NSW
police arrive.
You must hand all of this information to NSW Police on arrival and be prepared to make a
statement regarding the incident.
Remember!
It’s important to remember that interfering with evidence of a crime may constitute an
offence, which could leave you liable to prosecution or disciplinary action (which could
include the closure of your licensed premises).
More information
You can visit the NSW Police website for more information about deterring crime and
preserving a crime scene, or use the link below if you are reviewing this information
electronically:
https://www.liquorandgaming.nsw.gov.au/documents/resource-
centre/ALEC_CrimeScenePreservationGuidelines.pdf

Module summary
Congratulations, you have completed Module 3: Your responsibilities to manage alcohol related
harms; you should now be able to:
 plan and implement prevention strategies to protect your business,

 manage a difficult alcohol related situation – understand your responsibilities under the
law and apply strategies to deal with:
- intoxication
- anti-social behaviour
- minors
 meet mandatory requirements when dealing with an incident, and
 what do when a crime has occurred.

Module 4: Best practice strategies to prevent alcohol
related harms
4.1 Introduction
Best or better practices are additional procedures, tools, methods or techniques that can be used
to improve your business and maintain safety and quality, in addition to the practices that are
mandated by the NSW liquor laws.
Creating a safer environment through a commitment to responsible service best practice will not
only lessen the risk of legal, health and social concerns but may also improve your business’
reputation. If increased safety is assured, customers will want to spend more time at the premises
which means more profit for you!
As a licensee, it is your responsibility to take all reasonable steps to ensure that:
 use of your premises does not adversely affect the amenity of the nearby area
 behaviour of people entering or leaving the premises does not adversely affect the amenity
of the nearby area, and
 crime, violence and anti-social behaviour on or around the premises is prevented where
you know or have reason to believe the offence is being or about to be committed.
In this module, we will work through some best practice methods and techniques that have been
tried and tested and found to be successful in licensed venues across NSW, as well as discussing
possible best practices that you think could be helpful to manage a safe and successful licensed
venue.
At the end of Module 4: Best practice strategies to prevent alcohol relation harms, you will be able
to:
 explain the meaning and purpose of best practice

 explain how as a leader you can build a culture of compliance in your business
 outline a range of best practice methods and procedures, and
 consider best practice methods and procedures that may be suitable for your business.
4.2 Tools and templates

4.2.1 Risk management
The potential harm the service of alcohol may cause has been well documented, therefore, it is
essential that as licensees you maintain a proactive approach to risk. This will ensure that, as far
as is reasonably practicable, any risk to the quiet and good order of your business is minimised
and the safety and security of your employees, customers, neighbours and assets is maintained at
all times.

Risk assessment based on harm minimisation
Harm minimisation aims to address alcohol-related harm and violence by reducing its harmful
effects on individuals and society. While there are mandatory harm minimisation requirements and
obligations in place for licensees and licensed venues, you can always do more to protect those
who might be at risk.
Taking a risk-based approach, such as conducting ongoing safety audits and risk assessments to
establish a risk profile and determining business appropriate control measures, is a smart way of
minimising harm and ensuring your business is compliant with basic legislative requirements and
licence conditions.
In most circumstances, ‘harm minimisation’ is the primary objective for licensees and it is essential
to ask yourself:
 when, where, why and how are risks likely to happen in my business which have the
capacity to cause harm?
 are the risks internal or external?
 who might be involved or affected if an incident happens?
 what can you do to control your risks and reduce the likelihood of their occurrence?
Remember!
Your risk management activities should be documented in a live document, meaning that
it is maintained and updated on an ongoing basis to ensure continual compliance, and
outline the potential risks your business faces and the controls that are in place so that
they can be easily reviewed.
4.2.2 House policy

The best way to ensure your staff know what is expected and how things are done in your
business is to develop a robust house policy that outlines all of your policies and procedures for
the situations that they might encounter, such as the venue’s licence conditions, amenities,
expectations of customer behaviour, dealing with intoxicated customers, checking ID etc.
You can also display your house policy to clearly reflect your venue’s commitment to best practice
strategies of RSA, such as:
 Provide a safe and enjoyable place for our community to enjoy.
 Commitment to minimise harm associated with misuse and abuse of liquor, including harm
arising from violence and other anti-social behaviour
 Acknowledge the need to encourage responsible attitudes and practices towards the
promotion, sale, supply, service and consumption of liquor
 Commit to fostering strong community relations and as such will proactively engage with
local stakeholders
 Members acknowledge that they represent the partnership that is the local liquor accord
and strive to ensure that their actions and the operations of their businesses reflect the
essence of the liquor accord.

Other suggestions that may apply to a range of licence types include:
 no BYO
 commit to RSA
 ID checking
 no excuses (for example, fail to quit)
 refuse entry if patron carrying open alcohol on approach
 barring policy
 zero tolerance
 staff training
 working with NSW Police
 neighbourhood
RSA Recap – House Policy

One of the most powerful ways of reducing the risk of a breach of your duty of care or of the
NSW liquor laws is to have a house policy that is visible and always applied in the premises.
The house policy clearly states your commitment to harm minimisation and the responsible
serving of alcohol. It should be known by both customers and staff and should be used to
reinforce acceptable serving practices of the licensed premises.
Although general policies are available, it is best if policies and procedures fit the specific
premises so that they are unique and address the specific issues faced by the staff and the
venue.
A comprehensive house policy will include:
 a list of customers that are not to be served alcohol (such as minors and intoxicated
persons)
 expected standards of behaviour of customers
 drink limits (for example, no more than two shooters to be served at a time), and
 the premises approach to dealing with problem patrons.
It’s a good idea for all staff to have input into a house policy. If everyone has the opportunity to
input their ideas, they are more likely to always apply the principles of RSA in the premises.
That way, staff will always have a first port of call for the procedure that must be followed and you
can use it to help plan and organise the direction of your training and communications with staff.
4.2.3 Plan of management

A plan of management (POM) is a detailed document that specifies the management practices for
your business, and policy and procedures contained in your house policy that you, as the licensee,
use to manage the business. It includes details on how you operate the business to remain
compliant with the law on a day-to-day basis.
Your plan of management is an important document that demonstrates your intention to remain
compliant with the law. It can be used in staff induction training and to support development
applications and applications for licence condition variations.

The checklist provided in this section is a guide as to what should be included in your plan of
management. The checklist is a valuable tool that will help you:
 create your document, and

 maintain your document, review and keep it up to date.
A plan of management is a way a licensee can demonstrate that the business practices contained
in it will ensure that the business is run in a lawful and efficient manner.
A plan of management, when properly written and implemented, will demonstrate a licensee’s
intention to remain compliant with the law. It can be used to support an application to vary licence
conditions, and can support any development application for redevelopment or change-of-use as
required by local councils. It can also be used in staff induction and ongoing training.
A business’s plan of management may include the following:
 the organisation’s business structure, objectives and values

 the principal activity that will be conducted on the premises
 details of the operating environment
 details of the licence and any authorisations or special conditions imposed
 details of the services and products supplied
 the provision of food (types, when it will be available etc.)
 details of the maximum number of customers to be permitted on the premises
 trading hours
 policy/procedures regarding the responsible service of alcohol
 policy/procedures regarding running responsible liquor promotions
 policy/procedures to manage intoxication
 policy/procedures to manage customer behaviour
 policy/procedures to manage minors
 procedures for emergency and evacuation
 policy/ procedures to ensure the security and safety of customers, staff and the local
community
 details of security arrangements (how many, when, for how long etc.)
 a crowd management and dispersal plan
 transport options available to customers and staff
 policies and procedures to manage employees, including details on how staff are trained
 a waste management plan, including processes for managing litter in and around the
business
 a complaint handling policy and procedure
 details of participation in a liquor accord (if applicable)
 minimising the impact of amplified/outdoor entertainment on the surrounding locality, and
 any other factor that is unique to a business.
Any licensee can create a plan of management for their premises. A plan of management shows
all strategies and processes that are in place at the licensed premises to ensure the safety of
customers and staff, the responsible service of alcohol, and overall, should reflect an ethical
approach to operating the business within its social and ecological environments.
Overall, a plan of management can provide an insight into the licensee’s business practices and
should address the scope of their responsibilities. A considered, thorough plan of management
provides a guideline for best practice business operations and should also be viewed as a
valuable risk management tool.

The creation and presentation of a plan of management can form part of a condition placed on a
licence by Independent Liquor & Gaming Authority. In these situations, it becomes mandatory for
the licensed premises to have a plan of management that is displayed and easily accessible by
staff and general public.
Remember!
Your plan of management describes your management practices and the policies and
procedures you have in place for your business. It should be updated regularly and
provided Liquor & Gaming NSW or NSW Police if required.
4.2.4 Self-audit checklists

Liquor & Gaming NSW has developed a variety of licence-specific self-audit checklists to assist
you with regularly monitoring your compliance. Self-audit checklists can help your business
complies with NSW's liquor and gaming laws. The checklists cover important legal requirements
such as:
 signage
 advertising
 deterring crime
 noise
 incident register
 responsible service of alcohol, and
 responsible conduct of gambling.
Liquor & Gaming NSW inspectors use these checklists when they audit your licensed premises;
so, it is important to address any areas where you might check ‘no’, as you may be in breach of
your obligations.
You can access the individual checklists on the Liquor & Gaming NSW website or use the link
below if you are reviewing this information electronically:
https://www.liquorandgaming.nsw.gov.au/resources/compliance-checklist
 Cl1002 club licence
 Cl1003 hotel licence
 Cl1004 limited licence
 Cl1005 on-premise licence
 Cl1006 packaged licence
 Cl1001 producer/wholesaler licence
 Cl1009 schedule 4 level 1 violent venue
 Schedule 4 level 2 violent venue
 Cl1011 Sydney CBD entertainment precinct
 Cl1013 Kings Cross precinct
 Cl1008 small bar licence
 Cl1012 racing and wagering licence, and
 Cl1010 on-premises licence (vessel).

4.2.5 Voluntary incident register
An incident register is a record of what happens at a licensed venue. You must maintain an
incident register if you are the licensee of specific business types (outlined in session 4). However,
best practice is that every licensed business maintains an incident register. They are a useful
compliance tool and can be part of your venue's responsible practice.
A register allows you to retain details of incidents that involve:
 violence on your premises

 anti-social behaviour in your business or its immediate vicinity
 people being removed from your premises, and
 someone needing medical treatment.
You are encouraged to record any incident that helps you get a better understanding of events
that affect the safety of your business and customers. This may include any incident:
 involving intoxication
 concerning complaints about noise disturbances, or
 concerning work health and safety, public liability and regulatory issues.
Maintaining an incident register at all times should give you a better understanding of these events
and how they affect the safety of your business and customers. It will also help you to develop
appropriate strategies to reduce the risk of alcohol-related violence and anti-social behaviour at
your business.
It is also useful to educate all your staff about the value of maintaining an incident register, so that
they understand its importance in supporting a safe and responsible venue.
Regularly reviewing how you record incidents with staff, as soon as possible after each incident,
will help you to be consistent and accurate.
4.2.6 Voluntary signage

Liquor & Gaming NSW provide a range of voluntary signs that may be useful for different types of
licensed venues to assist with harm minimisation.
If you wish to display any of the voluntary signs you must purchase these from Liquor & Gaming
NSW or use the downloadable liquor accord signs. You may create your own versions of these
signs, but you can’t reproduce or copy a sign purchased from Liquor & Gaming NSW.

Proof of age/sale to minors’ signs – for customers
Under 18? Don’t risk it!

Sign
This sign tells customers
what they risk if they try to
buy alcohol if they are
under 18.
Under 25?
The Liquor & Gaming NSW
proof of age poster helps
front of house or bar staff
tell potential customers
about photo ID
requirements. It also warns
younger customers that
staff will check ids.
The poster includes images
of the forms of photo ID that
NSW venues can accept
under the law.

Proof of age/sale to minors’ signs – for customers
These signs are intended for behind the counter and remind staff of the risks involved for the
licence and the staff member if alcohol is sold to minors.
Underage checklist
The underage checklist sign
is a handy guide for staff on
how to check a customer's
photo ID.
It’s not worth the risk –

refuse to sell
The refuse to sell sign is a
quick visual guide for staff
on the steps to take when
checking customers' id.

4.3 Strategies to prevent specific issues
Other best or better strategies can be used to improve your business and maintain safety and
quality, in addition to the practices that are mandated by the NSW liquor laws.
4.3.1 Crowd control

Managing the number of people in and outside your premises – whether a venue, vessel or event
– will influence the ambience of your business and create an atmosphere where your customers
will have a safe and positive social experience that is likely to result in repeat business!
Do not allow any area to become too congested with customers. In crowded areas, customers
trying to socialise will get pushed and shoved while standing and have difficulty moving and being
served. It is harder for security to observe and can affect safe and effective evacuation.
The spilling and slopping of drinks and wandering hands can also create tension, frustration and
conflict. By regulating the number of customers in an area you can also ensure that staff serving
alcohol have enough time and visibility to assess levels of intoxication, reduce patron frustration
and potentially create an impression of popularity and restricted access.
For vessels, be particularly mindful of the need for crowd control measures when customers are
disembarking the vessel.
4.3.2 Security
In many circumstances, it is necessary for security to supervise the external neighbourhood of the
licensed premises, event or vessel to ensure quiet and good order is maintained. To ensure that
incidents are dealt with quickly and safely, it is also important to employ the right ratio of security
to customer numbers.
For vessels, this may be an additional security precaution to consider when passengers are
disembarking.
When determining the necessity for external security supervision, it is essential that you consider
potential risks:
 delays in customer entry to the venue or event e.g. queues

 denial of entry to customers
 frequency of customers being requested to leave the premises
 congregation of large groups outside the venue, vessel or event
 departure of large groups from venues, events or vessels eg crowding
 the proximity of neighbours to venues, events and vessels
 environmental issues in the nearby vicinity of the venue, i.e. lighting, positions of
discreetness, etc., and
 electronic security presence, e.g. CCTV in the nearby vicinity or on vessel.
Security personnel must be fully aware of their intervention powers outside the licensed premises,
to ensure they act accordingly and should be encouraged to contact NSW Police where the quiet
and good order of the neighbourhood is compromised.

4.3.3 Amenities
Amenities can make a huge difference to the management of your business, whether hotel, bar,
vessel, botte shop, festival, event, or vessel.
Consider:
 whether your premises are adequately lit and lighting outside is adequate for security; this
will allow monitoring of customer behaviour, including intoxication levels, and will
discourage drug dealing, sexual harassment and unwanted loitering
 be aware that maintenance of internal temperature, airflow, ventilation and space will
influence the comfort levels, and the lack thereof may result in congestion, frustration and
violence
 be aware of your responsibilities regarding the use of dangerous products (e.g. liquid
nitrogen) or banned products
 ensure fire and other safety exits are designated with lit signs and not blocked or locked
from inside, and
 ensure your venue, vessel or event (eg bathrooms if outside) is clean and in good repair to
minimise unhygienic practices and potential safety risks.
4.3.4 RSA best practice

Consider what RSA best practice measures you could employ on or off premises.
Some RSA best practice measures might include:
 service limits
 drinks restrictions: removing high strength drinks and shots late after a certain hour
 tempered glass after a certain hour
 regular training for staff on how to refuse service/refuse entry/remove customers, and
 RSA marshals to assist with supervising and ensuring responsible service within your
venue.
RSA marshals are dedicated positions whose role it is to monitor RSA practices and customer
behaviour you will have a dedicated pair of eyes to ensure that strategies are at work at any given
time. By wearing easily identifiable clothing, customers know that RSA marshals are around and
are there for a unique purpose. As such RSA marshals may be perceived in a more non-
threatening way and are able to resolve situations before they escalate.
4.3.5 Customer behaviour

Measures to help control customer behaviour could include:
 discourage unsafe practices that are likely to cause harm

 ensure staff clear tables and surroundings of empty glasses and bottles regularly to reduce
incidences of broken glass; this also removes potential weapons should trouble arise, and
increases staff and security presence in view of customers
 serve alcohol in measured glasses so people can monitor their standard drinks
 do not allow people to leave your premises, event or vessel with open containers of alcohol,
such as a stubbies, cans or glass; this could be interpreted as tolerating customer
consumption of liquor in a public place or while driving, both of which are against the law,
and by allowing a customer to remove liquor you may also be breaching the Liquor Act
2007 or a condition of your licence, and

 supervise taxi ranks outside your premises or event; fights tend to break out among people
waiting in line, pre-plan by advising the taxi company of your closure times.
4.3.6 Noise
Under section 79 of the Liquor Act 2007, you have an obligation to ensure the quiet and good
order of the neighbourhood is not disturbed because of the manner in which the business of the
licensed premises is conducted or the behaviour of persons after they leave.
Noise, including loud music, or how customers behave in your premises, vessel or at your event
as they enter or leave can have a big effect on the neighbourhood and seriously damage goodwill
towards your business.
It's important that you manage noise and disturbances, and small changes can make a difference:
 self-assess, by monitoring and recording entertainment noise three metres from the source
every hour, and both inside and outside, and consider what your neighbours (or the
community more broadly in the case of vessels) have to deal with
 turn down the amplified music on your pa system
 close the doors or windows facing residential areas, and
 discourage groups of people from lingering after closing the premises, finishing the event or
disembarking the vessel, to keep noise levels to a minimum.
Disturbance complaints may not only arise as a result of entertainment (or customer behaviour),
but can also occur in circumstances where quiet and good order is disturbed from the impact of,
and not limited to, the following:
 noise associated with the use of plant and equipment, e.g. air conditioning
 noise associated with business operations including garbage disposal or cellar operations,
and
 vehicle traffic.
Given such circumstances, licensees may require the use of external consultants including noise
consultants, acoustic experts and traffic volume experts. Independent advice may also be sought
from the Environment Protection Authority (EPA), who is the primary environment regulator for
NSW.
4.3.7 Complaints policy

A key strategy to minimise the impact of disturbance your business may have on the quiet and
good order of the neighbourhood is to have procedures in place for members of the community to
complain directly to the licensee to allow for any complaint to be conciliated before statutory
notification to the Secretary of Industry.
Given there is no obligation for a ‘complainant’ to consult with the business before making a
complaint under section 79 of the Liquor Act 2007, it is prudent that a licensee puts in place
facilities that encourage potential complainants to discuss with the business first, the impact the
business is having on them.
It’s important that any complaints policy includes provision of the following:
 complaints register
 points of contact

 adequate response times
 commitment to conciliation
 protection of complainant’s disclosures
 confidentiality
 chain of command when the complaint is unable to be conciliated, i.e. escalation to owners,
executive management or board of directors, and
 independent arbitration.
Managing complaints effectively when they do occur is also important for building good
relationships between your licensed venue, customers and the community.
Complaints can provide useful feedback, and help you improve your business. You should
establish open, accessible communication with your neighbours. If you can resolve disturbance
issues early, at a local level, you may be able to avoid them escalating to mediation or a formal
complaints process.
Remember that formal complaints can result in serious sanctions being imposed on you, including
‘special licence conditions’ or in serious circumstances, licence cancellation.
Establish your own complaint-handling process:
 have a dedicated staff member available to talk to residents about their complaints or
disturbance concerns
 set up a dedicated hotline or provide a dedicated mobile phone number for your duty
manager
 prominently display information about the complaints process, including contact details, in
the venue and on your website
 initiate community meetings to discuss any disturbance issues, and
 share concerns and the details of the complaint with your local liquor accord members.
4.3.8 Closing / finishing / disembarking

It is important for licensees to ensure the venue, event or vessel closes or finishes trading in
alcohol as per the trading hours specified in the licence conditions.
Part of this responsibility is to ensure that customers leave and do not loiter in and around the area
well past approved trading hours. Implementing strategies for closing, finishing or disembarking
will reduce problems for staff and neighbours.
Some strategies a licensee can implement include:
 encouraging customers to finish drinks and make plans for leaving

 bring a bill to the table
 offer to call a taxi
 avoid selling multiple drinks or a bottle of wine in the lead up to closing or finishing; it not
only encourages rapid consumption but also makes it more difficult to remove customers
who only have 30 minutes to consume their drinks
 half an hour ahead, gradually turn the music down and choose songs of a slower pace; at
many country hotels, regulars know a particular song is always the last, signalling an end to
the evening
 start turning the lights up prior to closing or finishing time

 staff should move away from behind the bar, and ensure customers can see that the bar is
closed, and
 call last games for any pool table or other competition or activity at least half an hour prior
to closing; allow time for the game to finish and players to ‘shout’ for the winners.
4.3.9 Transport
Your responsibility does not cease when a customer leaves the venue, event or vessel. You have
a responsibility to ensure they do not cause a disturbance outside of the business.
If customers leave and are harmed or cause problems for others, including the neighbours, you
can be held partially or fully responsible. Ensuring that your customers leave the licensed
premises and get home safely is part of good practice. Strategies to prevent disturbance can
include:
 offering courtesy buses

 making available taxi ranks
 calling for taxis ahead of disembarking passengers from vessels, and/or
 providing contact information for taxis or other car share services.
4.4 Working with your community

4.4.1 Build relationships with police, council and your community
Collaborating with the right people, groups and stakeholders and maintaining support is vital to the
success of your licensed business.
Community representatives, stakeholders and you are all affected by issues in the local area, so
working together can help you tackle these issues in a more effective way!
You can work with particular agencies and groups such as:
 NSW Police, particularly local licensing police – who will provide helpful information on
trends and issues in the area, how you can remain complaint, and assist you when an
incident has occurred.
 local council – who can connect you with local neighbourhood groups, assist in the
development of local community initiatives and provide resources to support your business
 neighbourhood – to keep them informed on your business promotions, and any upcoming
events, inviting and responding to their feedback thus building your reputation in the
neighbourhood, and
 other licensed premises and businesses in your area – for a collaborative approach to
building the local business community by sharing of operational tips, assets, resources and
staff during periodic fluctuations due to seasonality and for increased integrity within the
wider business community; a good way to meet other licensed premises in your area is by
joining your local liquor accord.
4.4.2 Liquor accords

One of the best ways for your business to reduce harms caused by misuse of alcohol is to join
your local liquor accord.

RSA Recap – Liquor accords
A liquor accord is a voluntary, industry-based partnership reached between local stakeholders
who are committed to minimising harm associated with alcohol abuse, including improving
safety and reducing alcohol-related violence and anti-social behaviour
Most liquor accord groups include members from:
 local businesses – licensed venues such as pubs, clubs, small bars, restaurants and
bottle shops
 local councils
 police
 government agencies, and
 community organisations.
Liquor accords operate to identify practical solutions for local alcohol-related problems. They are
underpinned by the responsible serving principles of the liquor laws and can be an important
best practice harm minimisation strategy.
Liquor accords provide another means, beyond regulatory measures, of addressing alcohol-
related issues in a community. They reach agreements on ways to improve the operation and
safety of licensed premises. Liquor accords include representatives of licensed premises, as
well as local councils, police, government departments and other community organisations.
The purpose of an accord is to collectively address issues facing the industry and the community.
Accord members make decisions as a collective group in cooperation with the other stakeholders
in their local area. Strategies to address these local issues are developed to create positive
changes, and this benefits each individual member's business.
Problems with anti-social behaviour, misuse of alcohol, crime and alcohol-related violence, and
safety concerns are often the key reasons for starting an accord. Concerns from residential
neighbours regarding trading hours or excessive noise from licensed premises are also cause for
a liquor accord.
Each liquor accord is designed by its members to resolve local issues within a local area. Every
accord is unique. While one may share similar elements to another, each is tailored to address
locally-prescribed issues in each different community.
Strategies that liquor accords have adopted to support a responsible and safe entertainment
industry include:
 creating effective transport strategies to move people away from a precinct

 developing a communication network between venues to help deal with unruly customers
and provide warnings about incidents or troublesome customers who may be moving
between venues
 ensuring venues provide a safe and secure environment for customers and staff, and
 minimising anti-social behaviour (including destruction of property and violence) arising
from excessive alcohol consumption.
A liquor accord provides its stakeholders with a forum to discuss their views, concerns and
expectations while working towards solutions. The main benefits of having a liquor accord in your
local area include:
 reduced anti-social behaviour (in and around licensed premises)

 reduced crime and alcohol-related violence

 reduced under-age drinking
 reduced alcohol-related road trauma
 increased staff awareness and practice of responsible service of alcohol
 improved understanding of legislative obligations for licensees, approved managers and
staff
 increased community cooperation
 enhanced community understanding of the roles of government agencies and the
availability of government resources, and
 increased community engagement in strategies planned for their benefit; and improved
standard of customers in and around licensed premises.
More information
Liquor & Gaming NSW can assist with connecting you to your local liquor accord group.
You can access more information on joining a liquor accord, strategies and resources to
support groups on the Liquor & Gaming NSW website, or use the link below if you are
viewing this document electronically:
business/liquor-accords
Discussion point – case study: Brisbane Water liquor accord,

Central Coast, NSW
Banned from one banned from all campaign against alcohol related violence
One of the central coast’s most popular night spots has joined anti-violence campaign banned
from one banned from all.
Banned from one banned from all was the initiative of members of the Gosford liquor accord —
including NSW police and operators of many pubs and clubs in the Brisbane Water police
command area.
The aim was to stamp out violent drunken behaviour at Gosford venues by ensuring that once a
person was barred from one drinking establishment, they would also be banned from other
participating venues.
In partnership with NSW Police, a local bar also limited its operating hours to close at 1.00am
rather than the former 2.00am close time. An hour earlier lockout time of midnight meant no
additional patrons can enter after this time.
Discussion:
What strategies would you implement to prevent any reoccurrence?

4.5 Building a culture of compliance
Licensees are responsible for their staff and should work with them to build a culture of
compliance. This is not only about achieving compliance, but also inspiring their teams to
accomplish great things, resulting in a great environment and a prosperous business!
We want you to build and then lead a positive, compliant and sustainable culture in your business.
Being a leader involves far more than just telling others what to do, being an effective leader
means understanding how to motivate, encourage and inspire your staff to work better and strive
for higher standards and achieve overall business success!
Remember, not all “managers” are leaders. An employee will likely follow the direction of a
manager because they have to, but an employee will voluntarily follow the directions of a leader
because they believe in the leader as a person - what they stand for, what they are trying to
achieve and the manner in which they work towards the goal.
Spend time connecting with your employees on an interpersonal level on a continual ongoing
basis. Go beyond simply ‘managing their tasks’ for the day and think about ways you can motivate
and encourage them to do better or be more productive every day.
Ongoing communication with your staff is key to a successful, compliant business. This may be
way of regular team meetings, at staffies or training.
When staff feel valued and listened to, they thrive and want to do well at their job!
Staff training and development
Continual improvement and development through staff meetings, training and informal and formal
consultation with your staff will ensure they are actively involved in the day-to-day maintenance of
the business, promoting interest and investment in their role and responsibilities.
Think about:
 planning what message, information, knowledge or skills you want to deliver
 organising your resources and what you will need to deliver or facilitate on the day of
training
 being a leader during the training to get your point across, use effective communication and
confident so that your staff believe in you and what you’re saying, and
 reviewing your delivery, materials and the outcomes of your training to ensure the message
is right and you’re getting what you want, better skilled workers!
Appropriately trained staff capable of providing responsible, efficient and professional service
demonstrates your commitment to the responsible service of alcohol.
So run regular staff meetings to discuss issues (for example, how they have dealt with difficult
customers, responsible service of alcohol, etc.). Ensure all staff understand their roles and
responsibilities, and take responsibility! Make sure a staff member on duty has first-aid training to
deal with emergencies such as heart attacks and even simple injuries such as sprained ankles,
cuts from broken glass and heat exhaustion.
Staff who are informed and well trained will be less likely to place you in jeopardy of losing your
licence, and staff who are friendly and well-mannered create an atmosphere that customers
respond to positively and can decrease the risk of customer and staff assaults.

Working as a team
Each member of your staff has a role to play in ensuring RSA practices in your venue and in
creating an ambience that customers enjoy and feel safe in, want to re-visit and perhaps bring
along their family and friends. As a licensee you want your entire team working as a unit towards
that goal, and as a leader you have a key role to pay to inculcate those principles in your staff.
This is an ongoing process, where you continue to:
 define your goals
 create, review and monitor the impact of your plans and policies
 organise how to implement it, and
 lead, motivate and inspire your staff to understand and own the change, in order to
succeed in achieving the goal.
This is the first step towards building a culture of compliance in your venue.
Building a culture of compliance
We all know what can happen if you slip up on compliance, so let’s think about what it means to
have a ‘culture of compliance’ and how you, as a leader, can build a culture of compliance within
your business
Creating a culture means it becomes second nature, it is no longer a forced behaviour that takes
conscious effort.
When we create a culture of compliance, it means that we as a business are subconsciously
compliant in everything we do because that’s our way of doing things!
Developing a culture of compliance goes beyond conducting mandatory training once a year, it is
about developing policies and practices that embed compliance into our everyday work and set
the foundation and expectation for individual behaviour within the business from the word go – we
do things the right way!
Creating a culture of compliance might not solve all of your problems, but you should be able to
show that you have done all that is reasonably practicable to ensure you are running a safe and
compliant business.
Module summary
Congratulations, you have completed Session 5: Best practice strategies to prevent alcohol
related harm, you should now be able to:
 explain the meaning and purpose of best practice

 explain how as a leader you can build a culture of compliance in your business
 outline a range of best practice methods and procedures, and
 consider best practice methods and procedures that may be suitable for your business.

Module 5: Compliance and enforcement
5.1 Introduction
Liquor & Gaming NSW and the NSW Police share responsibility for enforcing compliance across
the liquor sector.
The liquor industry is regulated to ensure safe and responsible industry and to minimise the risk of
alcohol related harms. It is recognised that most businesses are compliant with the NSW liquor
laws. Where non-compliance is detected, and particularly where there are serious, repeated or
sustained contraventions of the law, the community expects that action will be taken.
At the end of Module 5: Compliance and enforcement, you will be able to:
 outline Liquor & Gaming NSW’s approach to compliance and enforcement

 outline the consequences of non-compliance, and
 outline potential enforcement outcomes including the regulatory schemes that are in place
to ensure licensed venues across NSW operate safely and responsibly.
5.2 Compliance
Liquor & Gaming NSW promotes industry best practice while applying escalating enforcement
action that targets industry participants who demonstrate more serious, repeat or sustained
contraventions or other misconduct inconsistent with community expectations and the public
interest.
Engagement with industry is an important part of building a compliance culture to achieve
compliant and vibrant industries. However, to ensure compliant and vibrant industries,
engagement and supervision is underpinned by a flexible and robust intervention framework that
can apply escalating enforcement action to target specific misconduct
5.2.1 Compliance approach

Liquor & Gaming NSW applies a graduated and proportionate approach to non-compliance based
on the seriousness of the non-compliance, and the associated harm, compliance history,
aggravating or mitigating factors and community expectation of that behaviour.
Risk-based escalated approach

The escalated approach to alleged breaches ensures that the enforcement decision making is
evidence based, proportionate and aligns with public interest and community expectations in
relation to that behaviour. In order to identify breaches, Liquor & Gaming NSW may:
 receive complaints via various channels, including members of the public, about venues, or
 work in conjunction with NSW Police to conduct regular covert inspections of venues.
In targeting non-compliant behaviour, Liquor & Gaming NSW utilises several regulatory tools to
educate, deter and correct non-compliant behaviour.

High culpability, unwilling or incapable
of achieving compliance outcomes
Low culpability, willing or capable of

achieving compliance outcomes
Educate and engage

Liquor & Gaming NSW promotes best practice through:
 high levels of stakeholder engagement
 education and training
 promotion of good regulatory practices aligned with community expectation through the
support of liquor accords
 providing information and guidance tools to assist industry compliance, and
 highlighting the consequences of non-compliance
To support a robust, responsible and vibrant industry, Liquor & Gaming NSW has developed
strategies focussed on educating and incentivising industry to adopt best practice.
The Tiered Industry Training Framework – incorporating the Responsible Service of Alcohol,
Licensee and Advanced Licensee training – are a vehicle to educate and professionalise industry
on their rights and obligations under the liquor laws. The Licensee training aims to provide you
with the tools to create a culture of compliance in your business and amongst your staff. It is
critical for everyone in your business to know what they need to do and how they can support the
business to remain compliant.
Liquor & Gaming NSW provides regulatory information through multiple channels including its
website, fact sheets, newsletters and media releases. You can stay up to date with Liquor &
Gaming NSW news and regulatory information by subscribing to their monthly e-news bulletin.
In addition, wherever possible, Liquor & Gaming NSW works in partnership with peak bodies and
stakeholder groups to gain support for and achieve better compliance. Liquor & Gaming NSW

inspectors carrying out compliance monitoring activities also play an important role in informing
and educating industry of their obligations, rights and the expectations of the regulator.
Monitor and correct

Liquor & Gaming NSW undertakes a range of proactive, planned monitoring and inspections in
accordance with their regulatory priorities. Inspections are also undertaken in relation to incidents,
complaints and other intelligence. Priority is given to situations that have the potential to cause
serious harm and that may suggest ongoing or broader issues.
Deter and enforce

At the more severe end of the response spectrum, enforcement activities aim to deter non-
compliant behaviour, consistent with legislation. Enforcement decisions must be based on
evidence, which will be admissible and sufficient to establish that an offence has been committed.
Wherever possible, reasons for decisions are provided with information on potential avenues for
review. Actions taken may include issuing penalty notices, imposing licence conditions or making
enforceable directions.
Actively pursue
Non-compliance involves a breach of the law. Every instance of non-compliance that is detected
requires a decision on what action to take in response. Enforcement actions taken in this category
will seek to maximise their impact across the industry sector to create a general deterrent effect,
so that the outcome of one court or disciplinary proceeding can encourage other industry
participants in the sector to improve their practices.
5.2.2 Inspections
Liquor & Gaming NSW inspectors and NSW Police officers may attend a business if a complaint is
received or conduct unannounced compliance inspections at licensed premises on an ad-hoc
basis based on their regulatory priorities.
When Liquor & Gaming inspectors attend a venue, after making preliminary observations inside
and around the business, they will ask to speak to the licensee of the business.
Section 18 of the Gaming and Liquor Administration Act 2007 provides the purposes for which
Liquor & Gaming inspectors or NSW police officers may request licensees for specific information
and/or records (section 21), or exercise their power to enter licensed premises (section 24), and
investigate premises (Section 26). These include for purposes of determining non-compliance if a
complaint is received, or generally for the administration of the liquor and gaming legislation.
Liquor & Gaming inspectors or NSW police officers may request to see a copy of your licence to
check that you are complying with your licence conditions. You are required to keep the original
licence document at the premises to which it relates and the person in charge must produce it to a
compliance inspector immediately upon request. They may also check that the licensee,
management and staff are complying with legislation, including (but not limited to):
 responsible service – including assessing whether intoxicated patrons are being supplied
with or allowed to consume liquor
 minors – including randomly checking some patrons for IDs
 safety

 CCTV
 customer behaviour
 particular gaming obligations (where gaming machines are operated), and
 use of incident registers.
What happens if I have been found non-compliant?
In the event of non-compliance, you will be contacted by Liquor & Gaming NSW or NSW Police
where you will be advised of the nature of the complaint allegation that has been received
including the type of offence and when it occurred.
Depending on the seriousness of the alleged offence, a Liquor & Gaming NSW inspector will
exercise their authority and issue you a Notice to Produce, requesting specific information and/or
records to assist with assessing the authenticity of the complaint, the seriousness of the offence,
the associated risks and the impact on the community and industry if not corrected.
A Notice to Produce is a regulatory tool used, under section 21 of the Gaming and Liquor
Administration Act 2007 to request specific information and/or records from an organisation or
individual. This tool can be used by Liquor & Gaming NSW or NSW Police to further investigate
issues of non-compliance. Depending on the allegation of the offence, this can include:
 a copy of CCTV
 a copy of a licensed premises incident register
 a copy of till receipts and/or invoices
 a copy of the licensed premises Plan of Management (if required)
Section 21(2) prescribes that any such notice must specify the manner in which information
or records are required to be furnished, and a reasonable time by which the information
or records are required to be furnished.
Powers of inspection
In the event that a Liquor & Gaming NSW inspector or a NSW Police officer visits your venue for
the purpose of an investigation, it’s important that you know what powers they have and what
rights you have.
The Gaming and Liquor Administration Act 2007 grants Liquor & Gaming NSW inspectors and
NSW police officers the power to enter and investigate premises which fall under its jurisdiction.
The Act ensures venues operate within the regulatory framework and detailed investigation can be
conducted if deemed necessary and in the public interest.
Liquor & Gaming NSW inspectors and NSW Police have the power to:
 enter a licensed premises, using reasonable force if necessary
 examine and inspect any part of the premises or any article of thing on the premises
 examine and copy records
 seize things
 require people to assist them
 require a person to provide their name, address, and
 require a person to answer a question
They may also ask to see CCTV footage, review your incident register, ask staff for their NSW
competency cards and make copies of all of these. If the inspector or police officer has reasonable
grounds that an offence has been committed, they may seize property, records or footage. As a

licensee, you should ensure you and your staff comply with the requests of Liquor & Gaming NSW
inspector or NSW Police officer.
You can ask for a Liquor & Gaming NSW inspector’s identification. A Liquor & Gaming NSW
inspector must produce their identification on request. Liquor & Gaming NSW inspectors are
issued with a means of identification, either in the form of a badge or photo ID card or both.
It is also a good idea when interacting with Liquor & Gaming NSW inspectors to request their
name.
The following sections of the Gaming and Liquor Administration Act 2007 (the Act) provide
inspectors and NSW Police officers the powers to undertake compliance inspections.
Section 24 (power to enter premises) prescribes that a Liquor & Gaming NSW inspector or NSW
Police officer may enter any premises at any time for the purposes referred to in section 18:
a) for determining whether there has been compliance with or a contravention of the gaming
and liquor legislation
b) for obtaining information or records for purposes connected with the administration of the
gaming and liquor legislation
c) in connection with exercising the functions of a Liquor & Gaming NSW inspector under the
gaming and liquor legislation, and
d) generally, for administering the gaming and liquor legislation and promoting its objects.
This means that a Liquor & Gaming NSW inspectors or NSW Police officer may enter your venue
or business, unannounced, to investigate possible breaches of, and/or, enforce the Liquor Act
2007 and Liquor Regulations 2018.
Section 26 (powers to inspect and seize things) prescribes that a Liquor & Gaming NSW inspector
or NSW Police officer may, on any premises lawfully entered, do anything that in the opinion of the
inspector or officer is necessary to be done for the purposes of this part, including (but not limited
to):
a) examine and inspect any part of the premises or any article or thing on the premises
b) make such examinations and inquiries as the Liquor & Gaming NSW inspector or NSW
Police officer considers necessary
c) require records to be produced for inspection
d) examine and inspect any records
e) copy any records
f) seize anything that the Liquor & Gaming NSW inspector or NSW Police officer has
reasonable grounds for believing is connected with an offence under the gaming and liquor
legislation, and
g) do any other thing the Liquor & Gaming NSW inspector or NSW Police officer is
empowered to do under this part.
The power to seize anything connected with an offence includes a power to seize:
a) a thing with respect to which the offence has been committed

b) a thing that will afford evidence of the commission of the offence, and
c) a thing that was used for the purpose of committing the offence.
In addition, section 50A of the Surveillance Devices Act 2007 provides for NSW police the use of
body-worn video cameras during the execution of their duties.
(1) The use of body-worn video by a police officer is in accordance with this section if:

a) the police officer is acting in the execution of his or her duty, and
b) the use of body-worn video is overt, and
c) if the police officer is recording a private conversation, the police officer is in uniform or
has provided evidence that he or she is a police officer to each party to the private
conversation.
(2) Without limiting the ways in which the use of body-worn video may be overt for the
purposes of subsection (1) (b), the use of body-worn video is overt once the police officer
informs the person who is to be recorded of the use of body-worn video by the police
officer.
What to expect if questioned by a Liquor & Gaming NSW inspector or NSW

Police officer
Section 30 prescribes that a Liquor & Gaming NSW inspector or NSW Police officer may require a
person whom the inspector or police officer suspects on reasonable grounds to have knowledge of
matters in respect of which information is reasonably required for the purposes of the gaming and
liquor legislation to answer questions in relation to those matters.
Section 31 prescribes that a Liquor & Gaming NSW inspector or NSW Police officer may require a
person whom the inspector or police officer suspects on reasonable grounds to have offended or
to be offending against the gaming and liquor legislation to state his or her full name and
residential address.
A Liquor & Gaming NSW inspector or NSW Police officer may request a person who is required
under this section to state his or her full name and residential address to provide proof of the name
and address. It is not an offence under section 34 to fail to comply with any such request.
This means that a Liquor & Gaming NSW inspector or NSW Police officer may speak to staff,
customers and/or bystanders if there are reasonable grounds to believe an offence has occurred.
They may also ask staff, customers and bystanders their name and address, and require them to
produce id.
What if I don’t comply with a notice and/or direction?
Section 35 prescribes the provisions relating to requirements by Liquor & Gaming NSW inspectors
or NSW Police officers to provide records, information or answer questions. Section 35(1)
prescribes that a person is not guilty of an offence of failing to comply with a requirement under
this Part to provide records or information or to answer a question unless the person was warned
on that occasion that a failure to comply is an offence.
If you fail to provide information and/or records, follow a direction issued or given to them by a
Liquor & Gaming NSW inspector or NSW police officer, that person is considered to be hindering
and obstructing a inspector or police officer in the execution of his or her duties, an offence that
carries a fine. Section 35(3) of the Act prescribes that any records or information provided under
this Part is not admissible in criminal proceedings, if the person was not warned or if the person
objected at the time on the grounds, that it might incriminate the person.
Do I get an opportunity to tell my story?
In most cases where a breach of the liquor and gaming laws has been detected, you as the
licensee will be invited to participate in a voluntary record of interview, also referred to as an ROI.

The ROI provides an opportunity for you to respond to the allegations being presented and
investigated by Liquor & Gaming NSW.
It’s also an opportunity for you to provide any further information such as any mitigating factors
that may not have been previously identified in the investigation, as well as an opportunity to
provide statements about what action you have taken since the detection of the alleged non-
compliance.
5.3 Enforcement
5.3.1 Escalating enforcement options
Where an alleged breach of the liquor and gaming laws has been committed, Liquor & Gaming
NSW and/or NSW Police will commence investigation action utilising legislative powers to make
enquiries to assess the seriousness of the breach, gather evidence, and where applicable, work
with other government bodies to take a risk-based approach to enforcement action.
Forms of compliance and enforcement actions may include:

 increased engagement including frequency and scope of inspections or audits
 warning notice
 without prejudice discussions
 voluntary or binding undertakings
 statutory notices and directions
 penalty notices
 imposing additional controls such as licence conditions or orders
 regulatory schemes such as violent venues, three strikes and minor sanctions schemes
 prosecution through the civil and criminal courts, and/or
 disciplinary action (administrative sanctions including licence conditions, licence
suspension, cancellation and disqualification).
These regulatory responses allow a balanced approach to non-compliance which stops the
improper conduct and promotes changes in attitudes and behaviours, rather than simply applying
a punishment. Combinations of the actions may be undertaken, for example licence action and
prosecution.
5.3.2 Warning and penalty notices

Liquor & Gaming NSW inspectors or NSW Police can issue warnings for less serious offences
with lower levels of risk and harm, or issue a penalty notice for more serious and escalated
matters, such as a breach of a liquor licence condition.
An authorised officer may issue a penalty notice to a person if it appears to the officer that the
person has committed a penalty notice offence. A penalty notice offence is an offence against this
act or the regulations that is prescribed by the regulations as a penalty notice offence.
The Fines Act 1996 applies to a penalty notice issued under this section. This means that a Liquor
& Gaming NSW Inspector or NSW Police officer can issue on-the-spot penalty notices for
offences. If you pay the penalty notice, then there are no further proceedings for that offence. This
doesn’t mean you are admitting liability. You are able to challenge the alleged offence in court if
you want. You can still pay the penalty notice, but you only have 90 days from when the penalty
notice was issued to commence court proceedings. The maximum court-imposed penalty is 100
penalty units, or imprisonment for 12 months, or both.

Note
The Fines Act 1996 provides that, if a person issued with a penalty notice does not wish
to have the matter determined by a court, the person may pay the amount specified in
the notice and is not liable to any further proceedings for the alleged offence.
More information
The Liquor & Gaming NSW website on the current penalties for RSA breaches, or use
the link below if you are viewing this information electronically:
 Responsible Service of Alcohol fines
5.3.3 Licence conditions

If you fail to meet your obligations, the Secretary of the NSW Department of Industry (the
Secretary), Liquor & Gaming NSW and the Independent Liquor & Gaming Authority (the Authority)
can impose conditions on your licence.
The Secretary of the NSW Department of Industry can order you to cease, vary or implement
business practices, order a late hour entry declaration, ban undesirable products and promotions,
and require you to contribute and participate in a local liquor accord.
5.3.4 Short term closure order

A short-term closure order serves to prevent or reduce an identified threat or risk to the public
interest. A short-term closure order of a licensed venue can be authorised for a period of up to 72
hours. However, the order can be applied in a manner that requires the closure of the premises
until “specified conditions” are met. Under sections 82 and 83 of the Liquor Act 2007 a short-term
closure order can be made if:
 a serious breach of the act has occurred or likely to occur, and/or

 the closure of the premises is necessary to prevent or reduce a significant threat or risk to
the public interest.
The Authority will exercise independent judgement as to whether an order should be made and
upon what terms.
The Authority will provide warning to the licensee or person in charge of the licensed premises to:
 advise an application of a closure order has been made

 summarise the facts and circumstances of the allegations in the application
 identify the 72-hour period for the closure to be enforced, and
 specify written submissions concerning the application can be submitted up to 24 hours to
why the order should not be made.

More information
For an example of a short-term closure order and the reason for the orders made
against licensed venues, visit the Liquor & Gaming NSW website to view published
closure orders, or use the link below if you are viewing this information electronically.
https://www.liquorandgaming.nsw.gov.au/independent-liquor-and-gaming-authority/ilga-
and-l-and-gnsw-decisions/closure-orders
5.3.5 Other disciplinary action

Additional penalties may be imposed on a licensee (or other person) by the Authority in addition to
any other penalty (such as a fine) for any offence under the Act.
The Authority may, if it thinks it appropriate, do any one or more of the following:
 reprimand the licensee or person

 suspend a licence for such period, not exceeding 12 months, as the court thinks fit
 cancel a licence
 disqualify the licensee from holding a licence for such period as the court thinks fit
 withdraw the person’s approval to manage licensed premises
 disqualify the person from being the holder of an approval to manage licensed premises for
such period as the court thinks fit, or
 give such directions as to the exercise of the licence as the court thinks fit.
There are also certain offences which will incur specific penalties, in addition to fines and/or
licence conditions, such as forfeiture and seizure of liquor (and other things).
If a person (including the licensee) is found guilty of an offence under section 7 of selling liquor
without a licence, any liquor that was at the time of the commission of the offence in the person’s
possession, or apparently under the person’s control is forfeited to the crown.
If the holder of a producer/wholesaler licence, (or an employee or agent of such a licensee) is

found guilty of an offence under section 9 (1) (b) of selling liquor that is not authorised to be sold
under the licence, any liquor (other than liquor the licensee is authorised to sell under the licence)
that was, at the time of the commission of the offence, in the licensee’s possession or apparently
under the licensee’s control is forfeited to the crown.
If a person is found guilty of an offence under section 113 involving the unauthorised carrying of
liquor for sale, any liquor to which the offence relates, and any vehicle, boat or other thing in which
the liquor was being carried, offered or exposed, is forfeited to the crown.
If a licence is cancelled under this Act, any liquor found, not earlier than 7 days after the
cancellation takes effect, in the former licensee’s possession on the former licensed premises is
forfeited to the crown.
A NSW police officer or Liquor & Gaming NSW inspector may also seize and carry away anything
that the officer or Liquor & Gaming NSW Inspector reasonably suspects may be liable to forfeiture
under this section.

5.3.6 Regulatory schemes
You could also be placed on a regulatory scheme if you commit serious offences under the NSW
liquor laws.
The NSW government has in place a number of regulatory schemes aimed at ensuring licensed
premises operate lawfully and responsibly and to ensure the safety of the licensed premises, the
staff, the customers and the community. These are:
 Violent venues scheme
 Three strikes scheme, and
 Minors sanctions schemes
Violent venues scheme

The violent venues scheme manages and reduces alcohol-related violence through regulating
licensed premises with high levels of assault and other violence incidents. The scheme focusses
on acts of violence as described under the Crimes Act 1900.
Under the scheme, licensed premises can receive a grade depending on the number of alcohol-
related violence incidents which occur at the premises over a specified period of time. The grade
given to licensed premises is determined from a compilation of the last 12 months of alcohol-
related violent incident data received from the NSW Bureau of Crime Statistics and Research
(BOCSAR). BOCSAR relies on data received from the NSW police record. Recorded data
includes incidents which have occurred on or in the immediate vicinity of a licensed premises.
Licensed premises can receive a grade from level 1 to level 3, with the distinctions between the
grades being as follows:
 Level 1 – generally 19 or more incidents

 Level 2 – generally 12 to 18 incidents
 Level 3 – generally 8 to 11 incidents.
The violent venues scheme has been effective in reducing the number of venues listed since its
introduction.

No. of licensed venues on the ‘Violent Venues’ list Dec 2008 to Nov 2018 13
60
Level 1
48 47 47
50 Level 2
40 35
34
30
23 24
20 20
18
20 15
14 13 14
11 12 11 11
10 9 10
8 7 8
10 6 6
4 3 3
1 1 2 2 1 1 2
0 0
0
Level 1– generally 19 or more incidents

Level 2– generally 12 to 18 incidents
L&GNSW
What does the violent venues scheme mean for you?

The process of declaring venues under the scheme is ongoing; there are two announcements
made per year of the venues included in the scheme and the level they are designated.
As a licensee it is important that you understand how the scheme is managed as there are key
dates that could impact your business:
 in March and September, BOCSAR provides Liquor & Gaming NSW with the latest 12
months of alcohol-related violent incident data
- data it provides in March relates to the previous calendar year
- data it provides in September relates to the previous financial year
 mid to end March and September a data notification letter is dispatched to venues
 the licensee then has seven days from receiving the letter to request a review meeting
within NSW Police to discuss the data; the meeting must take place within 14 days of
receiving the letter
 by Mid-April and October
- NSW Police will provide an assessment to Liquor & Gaming NSW
- venues must have submitted their safety plans, and
 announcements are made approximately one to two months after final submissions from
venues and NSW Police.
13
Source: Data file supplied by NSW Bureau of Crime Statistics and Research: DG1715127 (not publicly available).

What counts as an incident?
The circumstances of incidents vary greatly, and each incident must be considered on its merits.
In general, the key considerations NSW Police and Liquor & Gaming NSW take into account when
assessing whether an incident should be attributed to particular licensed premises are:
 whether the incident meets the definition of a ‘criminal incident’
 whether the incident is ‘alcohol-related’
 whether the incident has occurred on the licensed premises, applying the NSW Police
concept of ‘on licensed premises’; this means:
- on the licensed premises itself, or
- within 50 metres of the premises, where there is evidence of direct involvement with
the venue
 whether the incident falls within one of the categories of ‘violent criminal incidents’ as
defined by Australian Bureau of Statistics’ Australian and New Zealand Standard Offence
Classification (ABS2011 Cat. No. 1234.0); this includes:
- actual bodily harm
- aggravated indecent assault
- aggravated sexual assault
- assault
- assault officer
- assault with intent to have sexual intercourse
- grievous bodily harm
- indecent assault
- kidnapping
- manslaughter
- murder
- riot and affray
- sexual assault
- shoot with intent to murder, and
- violent disorder.
As a licensee, it’s important for you to ensure that:

 you have defined what types of actions or behaviour constitute an incident in your particular
venue or under your licence, and
 that your staff are aware of:
- what constitutes an incident, and
- what action they must take when an incident occurs, such as reporting and recording
requirements.
All of these details should be outlined within your plan of management so that you can provide
consistent information and training to staff and other interested parties (such as Liquor & Gaming
NSW inspectors or the NSW Police).
What conditions can be applied to your licence?

There are specific licence conditions that apply based on the level at which your venue is graded,
and you may be subject to further special conditions depending on your individual venue or
operations.
All level 1 and 2 venues must maintain an incident register during trading hours, and while not
mandated, it would be considered best practice to maintain a register even if your venue has been
graded a level 3 venue to assist with compiling data and information to develop your application
and safety plan for the following round of assessment.
Level 1 conditions
Those with the highest levels of violence – are subject to six additional special conditions:
 a mandatory 1.30am lockout of customers (except members of a registered club)
 cessation of alcohol service 30 minutes prior to close
 no glass containers to be used after midnight
 no shots and drink limit restrictions after midnight
 10-minute alcohol sales time out every hour after midnight or active distribution of water
and/or food, and
 one or more additional security measure/s.
Level 2 conditions
Level 2 venues are subject to the following three additional special conditions:
 cessation of alcohol services 30 minutes prior to close
 no glass containers to be used after midnight, and
 10-minute alcohol sales time out every hour after midnight or active distribution of water
and/or food.
More information
For further information on the violent venues scheme, you can visit the Liquor & Gaming
NSW website, or use the link below if you are viewing this content electronically.
https://www.liquorandgaming.nsw.gov.au/__data/assets/pdf_file/0020/202961/fs3006-
violent-venues-scheme.pdf
Three strikes scheme

In 2011, the NSW Government introduced a new disciplinary scheme known as the Three Strikes
scheme. It uses a system of “strikes” that target licensees or managers who wilfully – and
continually – breach liquor laws. This includes permitting intoxication and underage alcohol supply
on licensed premises.
Initially the Three Strikes scheme applied to licensed premises. Since 2017, the ‘strikes’ incurred
under this scheme now attach to the licensee, not the venue (with the exception of club
licences).
Not all offences will result in a strike; strikes only apply to serious breaches. The following offences
may lead to a strike under the Three Strikes scheme:
 sale or supply of liquor outside of trading hours
 permitting customers to enter licensed premises after a lockout (where imposed in the
Sydney CBD and Kings Cross precincts, or under the Three Strikes or Violent Venues
schemes)
 permitting intoxication or indecent, quarrelsome conduct
 selling or supplying liquor to an intoxicated person
 permitting the sale, possession or use of any substance that the licensee suspects of being
a prohibited plant or drug
 failure to comply with a direction given by the Secretary of Industry
 failure to comply with a short-term closure order

 failure to comply with a long-term closure order
 failure to comply with a notice issued by the Secretary restricting or prohibiting activities that
encourage misuse or abuse of liquor, or
 selling or supplying liquor to a minor or allowing such sale or supply.
Licensees and managers are also liable for acts of their employees, in respect of selling or
supplying liquor to an intoxicated person, selling or supplying liquor to a minor and failing to
comply with a direction given by the Secretary of Industry.
Decisions on whether strikes should be incurred are made by the Independent Liquor & Gaming
Authority (the Authority).
What does the three strikes scheme mean for you?

Although strikes can also result in action being taken against the venue, such as additional
conditions attached to the licence, it is more likely that action will be taken against you (as the
licensee or manager) as a result of a strike, such as mandatory training and monetary fines.
Licensees that repeatedly commit serious offences or allow offences to occur in or around their
premises can lose their liquor licence (permanently or for a temporary period) under the Three
Strikes scheme. The imposition of conditions may also have adverse effects on you and your
business, such as de-valuing the business or making it harder to obtain borrowings.
Each strike remains in force for up to three years from the date they are incurred, however,
conditions imposed because of that strike continue in effect unless a further application is made to
the Authority to have them removed. Licensees and managers can apply to have a strike removed
if they can demonstrate, at least six months after a strike has been incurred that there has been
ongoing compliance with the liquor laws and any remedial action imposed by the Authority.
You will also need to show that you have implemented measures, or undertaken a course of
training or instruction, to manage or reduce the risks that led to a strike being imposed.
As a licensee or manager, you can seek a review of a strike decision with the NSW Civil &
Administrative Tribunal (NCAT).
How will strikes affect a club?

There are special conditions in place for registered clubs in recognition of the unique role they play
in local communities.
Clubs that record three strikes don't lose their liquor licence, as this would only penalise members
who are not to blame for the behaviour of management or staff. Instead, a club secretary can face
permanent disqualification from the industry.
For a registered club, a third strike can mean:

 new licence conditions
 disqualification of a club secretary
 dismissal of any or all of the club directors, and/or
 appointment of an administrator to manage the club.

What potential remedial actions can be applied?
Under the Liquor Act 2007, there are a range of remedial actions that can be taken against you in
response to a strike being imposed. For a full list you should refer to the Act. Some conditions that
may be applied are:
First strike - possible remedial action:
 the licensee undertakes further training (e.g. this course)
 implement a plan of management
 implement an incident register
 implement RSA marshals, and/or
 prohibit glass and breakable containers.
Second strike - possible remedial action:

 all of the first strike actions
 implement additional security measures
 restriction of trading hours
 restriction of entertainment types, and/or
 restriction of liquor types (e.g. shots, high alcohol content).
Third strike - possible remedial action:

 all of strike one and two actions
 suspend the licence for up to 12 months, and/or
 cancel the licence and disqualify specific people from being granted a licence.
The figure provided below illustrates how the remedial action can escalate after multiple strikes:

Managing the risks
If you are running a compliant venue, and taking active steps to maintain compliance, you are
unlikely to incur a strike.
If you do incur a strike, you should view it as an opportunity to review your business practices and
reconsider your alcohol and security plans. This is the best way to prevent incidents that lead to
offences and strikes.
Licensees should manage any risks in their business and put appropriate safeguards in place.
This could include:
 more security
 better monitoring of customer service and consumption patterns, or
 more vigilance in refusing service to people if they're showing signs of intoxication.
The three strikes scheme was established under the Liquor Act 2007 to ensure licensees comply
with the requirements of the Liquor Act 2007. Licensed venues that repeatedly commit serious
offences can lose their liquor licence under NSW's three strikes scheme.
The scheme uses a system of strikes that target licensees or managers for repeated non-
compliance with the liquor laws. Not all offences will result in a strike - strikes only apply to serious
breaches. If multiple offences are committed within a single 24-hour period, for the purpose of the
scheme, they are considered as one single offence. Examples of offences that can lead to a strike
include, but are not limited to:
 selling or supplying liquor to a minor or allowing such sale or supply

 permitting intoxication or indecent, quarrelsome conduct, and/or
 selling or supplying liquor to an intoxicated person.
Strikes are incurred by individual licensees and approved managers for all venues (excluding
registered clubs). For registered clubs, strikes are incurred against the club licence.
The Independent Liquor & Gaming Authority (the Authority) decides whether or not an offence
should incur a strike. If the Authority decides that a strike should be incurred, they must notify the
licensee and the approved manager (if any) of the licensed premises in writing and provide them
the opportunity to make a submission within 21 days.
When deciding to impose a strike or licence conditions following a strike, the Authority will
consider:
 if the venue is captured by the violent venues scheme

 venue size and customer capacity
 change of licensee, manager or business owners
 changes to business practices, and
 compliance and incident history and crime statistics.
If you incur a strike under the three strikes scheme:
 the Authority can impose remedial action against a licensee, manager and the licence of
the venue where the related breach occurred
- remedial action is designed to help improve behaviour and address the risks that led to
the strike to prevent further strikes against the licensee, manager and/or the licence of
the venue.
 a strike remains in force for up to 3 years from the date it was incurred
- after three years, conditions imposed because of that strike continue in effect unless a
further application is made to the Authority to have them removed, and
 after 6 months licensees and managers can apply to have a strike removed if they can
demonstrate there has been ongoing compliance with the liquor laws and any remedial
action imposed by the Authority
- licensees and managers must demonstrate they have implemented measures, or
undertaken a course of training or instruction, to manage or reduce the risks that led to a
strike being imposed.
Minors sanction scheme

In 2014, the NSW Government introduced the Minors Sanction scheme. The Government was
intent on minimising the risk of harm to minors associated with consuming liquor at a young age
through an escalating sanctions scheme.
Under the minors sanction scheme, selling alcohol to minors will incur significant penalties. The
penalties include licence suspension and cancellation and may be triggered if a person is
convicted of an offence of selling liquor to a minor on licensed premises. Conviction for the
purposes of the scheme occurs when a person is:
 convicted of a relevant offence in court, or

 issued with a penalty notice which is later paid, or
 issued with a penalty notice, and a penalty notice enforcement order is made by the state
debt recovery office.
When making a decision regarding suspension of a liquor licence under the scheme, the Authority
will take into consideration:
 the venue’s compliance history, and

 submissions made by NSW police and an affected licensee.
Offence Action
First Possible suspension of liquor licence for up to 28 days
Second
Automatic suspension of liquor licence for 28 days
(within 12 months of first offence)
Third Automatic cancellation of liquor licence and licence holder

is disqualified from holding a licence for a period of 12
(within 12 months of first offence)
months
More information
You can visit the Liquor & Gaming NSW website for more information and for access
to the minors sanctions register or use the link below if you are viewing this information
electronically.
responsibly/managing-under-18s/minors-sanctions-scheme

Module summary
Congratulations, you have completed Module 5: Compliance and Enforcement, you should now be
able to:
 outline Liquor & Gaming NSW’s approach to compliance and enforcement

 outline the consequences of non-compliance, and
 outline potential enforcement outcomes including the regulatory schemes that are in place
to ensure licensed venues across NSW operate safely and responsibly.

Licensee next steps
Congratulations, you have successfully completed your Licensee training!
You should now be able to manage the day to day requirements for a compliant licensed venue to
the benefit of your staff, customers and the wider community and be able to:
 understand the relevant liquor legislation and regulations that will impact you as a licensee
 know your responsibilities in managing your NSW liquor licence
 understand your responsibilities as a licensee to manage alcohol related harms in your
business
 implement strategies for your business to improve operations, increase safety and remain
compliant, and
 understand the consequences of non-compliance and what that means for you as a
licensee.
Next steps
Because you now have additional endorsements on your NSW competency card, you will be
issued with a new card:
 your training organisation will issue you an interim certificate to acknowledge successful
completion of this training
 visit a Service NSW centre; take your interim certificate and identification documentation.
 set up a new digital version of your licence at Service NSW
 your new competency card will be mailed to the address you have supplied
 keep your details up to date with Liquor & Gaming NSW.
If you will shortly undertake the Advanced License training, you are advised to visit Service NSW
centre after you have completed that training so that both endorsements will be included on your
new competency card.
Advanced Licensee training

The Liquor Regulation 2018 has prescribed that those who currently (or wish to) hold Tier 2
licensed premises are required to complete the Advanced Licensee training in addition to this
Licensee training.
Tier 2 licensed premises relate to businesses that operate in potentially higher risk environments
such as those authorised to trade after midnight, operating certain business activities, subject to
regulatory schemes and directed by the Liquor & Gaming NSW or the Independent Liquor and
Gaming Authority (the Authority) or under the direction of Liquor & Gaming NSW or the Authority.
You can arrange to complete the Advanced Licensee training as necessary through a Liquor &
Gaming NSW approved training provider.

Staying up to date
You can stay up to date with news from Liquor & Gaming NSW by subscribing to Liquor & Gaming
e-news; a monthly news bulletin that brings you the latest information on:
 ministerial announcements
 industry updates
 new regulations
 liquor accords
 Liquor & Gaming NSW recent news, and
 important dates.
More information
You can visit the Liquor & Gaming NSW website to sign up and review previous bulletins, or
use the link below if you are viewing this content electronically.
http://enews.liquorandgaming.nsw.gov.au/link/id/zzzz569d7c57bebbb034/page.html?prompt
=1&amp%3bparent_id=zzzz569d7afcadbef176
You can also visit the recent news page on the Liquor & Gaming NSW website to read the
latest news articles, or use the link below if you are viewing this content electronically:
https://www.liquorandgaming.nsw.gov.au/news-and-media
Join a liquor accord

Now that you have the knowledge and skills that you need to be a successful licensee, you should
consider joining a liquor accord (if you haven’t already) for some additional support with helping to
reduce alcohol-related issues, anti-social behaviour and violence.
More information
There are approximately 130 liquor accord groups currently operating in NSW and
you can visit the Liquor & Gaming NSW website, or use the link below for details of liquor
accords in your area.
business/liquor-accords/join-and-find-a-liquor-accord
There is also information available on the Liquor if you’re thinking about starting your
own liquor accord, or use the link below for more information.
business/liquor-accords/running-a-liquor-accord

Renew your competencies
Just like a NSW competency card with an RSA or RCG endorsement, your licensee (and
advanced licensee) training expires after five years.
Further information regarding the renewal of your licensee training will be communicated to you
and updated on the Liquor & Gaming NSW website, so it is important that your contact details are
always up to date.
More information
If your address, email or mobile phone number changes, please let us know at
www.onegov.NSW.gov.au and search for ‘manage competency card’ or use the link
below if you are viewing this information electronically.
You can also use this portal to request a replacement card if needed.
https://www.onegov.nsw.gov.au/gls_portal/olgr/Transactions/CompetencyCard.mvc/About

References
RSA it’s the law
Intoxication guidelines
Prevention of intoxication on licensed premises guidelines
Underage drinking laws fact sheet
Liquor promotions guidelines
Liquor promotions guidelines web page
Prescribed precincts
Special licence conditions for premises in Kings Cross

Kings Cross approved ID scanner requirements
Kings Cross precinct self-audit checklist
Special licence conditions for premises in Sydney CBD
Sydney CBD entertainment precinct self-audit checklist
NSW government schemes
Minors sanctions register

Three strikes disciplinary scheme fact sheet
Violent venues scheme fact sheet
Lawful rights for licensed premises
The refusal of entry and patron bans/barring guidelines web page

Self-exclusion from licensed premises agreement form
Self-exclusion from licensed premises notice of termination agreement form
Tools and templates

Incident register
Self-audit checklists
Check a licence

Industry specific information guide
The purpose of this guide is to provide licensees and prospective licensees with further
information for operating a specific venue type.
For example, licensee of a hotel licence will require additional and specific knowledge
requirements, while a restaurateur will have a different set of specific requirements.
This guide is provided as a quick reference guide to offer guidance on licence type-specific
essentials for operating a licensed venue in NSW and may be a useful reference for some of the
types of trading arrangements appropriate under the Liquor Act 2007, and will provide you with:
 a basic understanding of a range of licence types available, and
 a basic knowledge of conditions specific to that licence type.
Note
The underage, intoxication, disturbance complaints and fail to quit provisions apply
equally to all types of liquor licences.
The content in this guide has been compiled with contribution from key industry associations
including:
 Australian Hotels Association
 Restaurant & Caterers Association
 Liquor Stores Association
 ClubsNSW, and
 Club Managers Association Australia
Licence Types
The Liquor Act 2007 regulates the sale and supply of liquor through various licence types.
The licence types featured in this guide include:
 Hotel Licence including (General Bar)
 Club Licence
 Packaged Liquor licence
 On Premises Licence
 Producer/Wholesaler licence
The Liquor Act 2007 provides for a range of liquor licence types suited to many business models.
More information
More information on all licence types is available on Liquor & Gaming NSW website or
use the link below if you are accessing this document electronically.
licence-types

Hotel Licence
The hotel licence applies to premises where the primary purpose is the sale and supply of alcohol.
It includes accommodation hotels as well as small and large bars.
Takeaway sales are allowed if licence conditions permit.
Applicants for new hotel licences are required to prepare Community Impact Statement (CIS).
Standard hours are:
 5.00am to midnight, Monday to Saturday
 10.00am to 10.00pm on Sunday
There is no change to existing trading restrictions on Good Friday and Christmas Day.
Applications for extended hours do require a CIS.
Hotel (General Bar) licence is a special type of licence for bars without gaming machines or
takeaway liquor. A $500 fee applies. Applications require a CIS, with patron numbers set by local
councils.
Outlined below are the conditions common to the majority of the licence types within Hotel
licences under the Liquor Act 2007.
Hotel Licence Essentials
Section 14 - Authorisation conferred by hotel licence
 A hotel licence authorises the sale of liquor by retail for consumption on or away from
licensed premises.
Section 14 - Functions on other premises

 The Authority may authorise a licensee to sell liquor by retail for the purposes of a
function on other premises – but only for consumption on those premises.
Section 15 – Hotel licence – General Provisions

 The primary purpose of the business carried out (a hotel) on licensed premises must
at all times be the sale of liquor by retail.
Section 15A - Cessation of liquor during trading hours

 A hotelier may cease to sell or supply liquor during a trading period and continue to
provide or make available other services as follows:
- During the Standard Trading Period, no gaming, without application;
- During the Standard Trading Period, with gaming, upon application to the
Authority; or
- During an Extended Trading Period, without application.

Note: other services include the provision of food, non-alcoholic beverages, entertainment and
conferences.
Section 16 - Hotel licence may be designated as a General Bar
 No takeaway sales
 No gaming or wagering
Section 17 - Cash advances
 Must not provide cash advances except as a lawfully conducted gambling prize
 Open to general public
 Hotel cannot be limited to those who have been invited; or
 A particular class of people using or attending the hotel.
- Note: this does not mean the entire venue needs to be open to the general public
at all times. For example, areas can be set aside for private functions such as
weddings, birthdays etc.
Section 17 - Food and drinking water to be made available
 Liquor may only be sold or supplied if food of a nature and quality consistent with the
responsible sale, supply and service of alcohol is made available.whenever liquor is
sold or supplied for consumption on premises;
 Free drinking water must be available whenever liquor is sold or supplied for
consumption on premises.
Section 17 - Employees and residents
 Liquor may not be sold or supplied to, or consumed by a resident or an employee in a

bar area unless it is at a time when liquor is authorised to be sold or supplied to other
persons (s17 (5));
 The Authority may approve the use of a bar or area of a hotel for the sale, supply or
consumption of liquor exclusively to, or by, residents of a hotel at times when liquor is
not otherwise available.
Section 91 - Responsibility
 Licensee or manager is responsible at all times for the personal supervision and
management of the conduct of the hotel.
Section 92 - Control
 A licensee (or related corporation) must not allow any person to have the personal
supervision and management of the conduct of the hotel for a longer continuous
period than 6 weeks, unless approved by the Authority;
 A licensee (or related corporation) must not:
- Lease or sublease the right to sell liquor;
- Lease or sublease any part of the hotel on which liquor is ordinarily sold or
approved gaming machines are ordinarily kept, used or operated;
- Lease or sublease any other part of the licensed premises except with the
approval of the Authority.

Section 93 - Cessation of trade
 If licensed premises cease trading during any continuous period of more than 6
weeks, the licensee must notify the Authority in writing that the premises have ceased
to trade (Max penalty: 50 penalty units).

Section 94 - Boundaries of licensed premises
 The boundaries of the licensed premises are to be specified
 The boundaries may be changed by the Authority:
- On the Authority’s own initiative; or
- By application by the owner/licensee
Section 104 - Persons in bar or other areas outside trading hours (s104)
 No later than 30 mins after close

 Does not apply to employees or residents.
Section 105 - Carrying liquor away from licensed premises outside trading hours (s105)
 Can’t carry away outside trading hours, unless:
- Purchased during authorised trading hours; and
- Carried away not later than 30mins after authorised trading hours ceased.
- Exceptions for employees
Liquor Regulation 2018 – Clause 119 - Staff drinks

 Allowed for a maximum of 2 hours after the cease of trade
 Only those staff/entertainers working immediately before cease of trade
 RSA applies
 Intoxication rules apply
A hotel licence also authorises the licensee to sell liquor by retail for consumption away from those
premises.
Takeaway sales must cease at 11pm (10pm on a Sunday)
 sale must occur prior to 11pm (10pm on Sunday)

 liquor must be taken away from the premises not more than 30 minutes after the
authorisation ceases
 the Act does not specify how far away from the premises persons have to be to
consume liquor (although specific licence conditions or council ordinance may
 the Act does not specify that containers must be sealed, and
 the Act does not specify that containers must be served in bags.
Bar areas – defined in Section 4

 Any area where liquor is ordinarily sold or supplied for consumption in the Hotel, but
does not include:
- A dining area in the hotel; or

- Any part of the hotel in which liquor is, otherwise than as authorised under 17 (6),
sold or supplied exclusively to residents; or
 Any part of the hotel in which a minors area authorisation or minors function
authorisation applies.
Section 121- Minors Area Authorisation
 An authorisation granted by the Authority to enable a minor to use a part of the Hotel
while in the company of a responsible adult;
 Responsible adult means a parent, step-parent or guardian, the minor’s spouse or de
facto partner or an adult who at the time is standing in as the parent of the minor (s4).
Section 122 - Minors Functions Authorisation

 An authorisation granted by the Authority to enable a minor to attend a function on
licensed premises.
Club Licence
A club licence can only be granted to a club that meets the requirements of the Registered Clubs
Act 1976.
Club licence allows registered clubs to sell alcohol to their members and guests for consumption
on and off the premises (venue).
Types of businesses that use this licence may include:
 RSL club
 Bowling club
 Golf club, and
 Surf club.
Outlined below are the conditions common to the majority of the licence types within club licences
under the Liquor Act 2007.
Club Licence Essentials

Section18 - Authorisation conferred by club licence
 A club licence authorises the licensee to sell liquor by retail on the licensed premises
to a member of the club (or a guest of a member of the club) for consumption on or
away from the licensed premises.
Section 20 - Cash Advances

 The licensee must not provide a cash advance on the premises, or permit a cash
advance to be provided on the premises on behalf of the club otherwise than as a
prize or bonus won as a direct or indirect consequence of participating in a form of
gambling that may lawfully be conducted on the licensed premises.

Section 91 - Responsibility
 The approved manager of the club is responsible at all times for the personal
supervision and management of the club.
 In the event of an offence or breach, the approved manager is liable, not the club.
Section 92 - Control of business conducted on licensed premises

 A licensee must not allow any person other than themselves to have the personal
supervision and management of the conduct of the club for a longer continuous period
than 6 weeks, unless approved by the Authority.
A licensee must not:

 Lease or sublease the right to sell liquor;
 Lease or sublease any part of the club on which liquor is ordinarily sold or supplied for
consumption in the club or on which approved gaming machines are ordinarily kept,
used or operated;
 Lease or sublease any part of the licensed premises except with approval of the
Authority.
Section 93 - Cessation of Trade

 If licensed premises cease trading during any continuous period of more than 6
weeks, the licensee must notify the Authority in writing that the premises have ceased
to trade.
Section 94 - Boundaries of licensed premises

 The boundaries of licensed premises are to be specified by the Authority when the
licence is granted.
The boundaries may be changed by the Authority:

 On the Authority’s own initiative; or
 By application by the licensee.
Section105 - Carrying Liquor away from licensed premises outside trading hours
 A person cannot carry liquor away from the club unless:

- The liquor is purchased during authorised trading hours;
- The liquor is carried away not later than 30 minutes after authorised trading
hours have ceased, or
- The liquor is carried away by a licensee or an employee of a licensee.
Section124 - A Licensee must not allow minors to enter or remain in certain licensed
premises

 A minor must not remain in the bar area of a club.
 A minor may be present in the bar area only for so long as is reasonably necessary to
pass through the area in order to conveniently gain access to another area of the club.
Packaged Liquor Licence

A packaged liquor licence allows alcohol to be sold through a bottle shop, home delivery, mail
order or the internet for consumption off the premises (or away from a venue).
Tastings can be conduction, with or without charge.
In NSW standard liquor store trading hours are:

 5.00am to 11.00pm Monday to Saturday, and
 10.00am to 10.00pm Sunday.
Outlined below are the conditions common to the majority of the licence types within a packaged
liquor licence under the Liquor Act 2007.
Packaged Licence Essentials
Section 29 - Authorisation conferred by packaged liquor licence
1) Retail sales
A packaged liquor licence authorises the licensee to sell liquor by retail in sealed
containers on the licensed premises, for consumption away from the licensed premises
only:
a) during the standard trading period or such other period as may be authorised by an
extended trading authorisation, or
b) in the case of any Sunday that falls on 24 December—from 8 am (or such earlier
time as may be authorised by an extended trading authorisation) to (11pm where
applicable) on that day.
2) No retail trading on restricted trading days

Despite subsection (1), a packaged liquor licence does not authorise the licensee to sell
liquor by retail on a restricted trading day.
3) Selling liquor by wholesale or to employees

A packaged liquor licence also authorises the licensee:

a) to sell liquor by wholesale, at any time on the licensed premises, to persons
authorised to sell liquor (whether by wholesale or by retail), and
b) to sell or supply liquor, at any time on the licensed premises, to the employees of
the licensee or of a related corporation of the licensee.
4) Tastings
A packaged liquor licence also authorises the licensee to sell or supply liquor, on the
licensed premises and during the trading hours permitted by subsection (1), otherwise
than in sealed containers to customers and intending customers for consumption while
on the licensed premises, but only for the purposes of tasting.
Section 30 - Liquor sales area required if bottle shop is part of another business activity
1) If the primary purpose of the business carried out on the premises to which a Packaged
liquor licence relates is not the sale of liquor for consumption away from the licensed
premises, liquor may only be sold under the licence in an area of the licensed premises
(the liquor sales area) that is adequately separated from those parts of the premises in
which other activities are carried out.
2) The principal activity carried out in any such liquor sales area must be the sale or supply
of liquor for consumption away from the licensed premises.
Section 31- Restrictions on granting packaged liquor licences

1) A Packaged liquor licence must not be granted for premises that comprise a general
store unless the Authority is satisfied that:
a) in the neighbourhood of the premises concerned, no other take-away liquor service
is reasonably available to the public, and
b) the grant of the licence would not encourage drink-driving or other liquor-related
harm.
2) A PLL must not be granted for premises comprising a service station or take-away food
shop.
3) In this section:
 General Store means a convenience store, mixed business shop, corner shop or milk
bar that has a retail floor area of not more than 240 square metres and that is used
primarily for the retail sale of groceries or associated small items.
 Service Station means premises that are used primarily for the fuelling of motor
vehicles involving the sale by retail of petrol, oil or other petroleum products.
 Take-away food shop means premises that are used primarily for the preparation
and sale of food for immediate consumption away from the premises (whether or not
food is also consumed on the premises).
Section 114 Sale of liquor through internet or by other communication media

1) A licensee who sells liquor by taking orders over the telephone or by facsimile or by mail
order must cause the licence number to be displayed in any advertisement or information
published in writing or electronically in connection with such sales.
2) A licensee who sells liquor through an internet site must ensure that the licence number
is prominently displayed on the site and in any advertisement or information published in
writing or electronically in connection with such sales.
3) A licensee who sells liquor by taking orders over the telephone or by facsimile or by mail
order, or who sells liquor through an internet site:
a) must, at the time at which an agreement for sale is made, require the prospective
purchaser to supply the purchaser’s date of birth so as to confirm that the
prospective purchaser is of or above the age of 18 years, unless the prospective
purchaser has previously supplied the purchaser’s date of birth to the licensee, and
b) must give written instructions to the person responsible for delivery of the liquor,
requiring that the liquor be delivered:
i. to the adult person who placed the order, or
ii. to another adult person at those premises who undertakes to accept it on
behalf of the person who placed the order, or
iii. If the delivery is made on a day after the day the order is taken, or the sale
made through an internet site, in accordance with the customer’s
instructions.
4) If delivery of any liquor sold in a manner described in this section is taken by a minor:
a) the delivery is taken to constitute a supply to which section 117 (2) applies,
and
b) the licensee, and any person by whom the liquor was delivered on the licensee’s
behalf, are each taken to have supplied the liquor contrary to section 117 (2).
5) A licensee who, in accordance with subsection (4), is prosecuted for an offence under
section 117 (2) has a defence under this subsection if it is proved that the licensee:
a) complied with the requirements of subsection (3) in relation to the supply concerned,
and
b) at the time of the alleged offence did not know, and could not reasonably be
expected to have known, that the alleged offence was committed.
6) A person (not being a licensee) who, in accordance with subsection (4), is prosecuted for
an offence under section 117 (2) has a defence under this subsection if it is proved that:
a) the person to whom the liquor was delivered was of or above the age of 14 years
and, before the liquor was delivered, there was produced to the defendant an
evidence of age document that may reasonably be accepted as applying to the
person and as proving that the person was of or above the age of 18 years, and
b) at the time of the alleged offence the defendant did not know, and could not
reasonably be expected to have known, that the alleged offence was committed.

7) A minor must not take delivery of any liquor sold in a manner described in this section
unless the minor was ordered or requested by his or her parent or guardian to take
delivery of the liquor.
8) A person must not order or request a minor to take delivery of liquor sold in a manner
described in this section.
9) This section does not apply to or in respect of the sale of liquor to persons authorised to
sell liquor.
On Premises Licence
An on-premises licence allows the sale of alcohol for consumption on the premises
(venue) when another product or service (such as food or entertainment) is sold, supplied or
provided to customers.
If the primary purpose of the business or activity is the sale or supply of alcohol, you are ineligible
for an on-premises licence. There are some exemptions relating to an airport or tertiary institution.
Types of businesses that use this licence include:
 restaurants or cafés
 live music, arts and cultural event venues
 cinemas/theatres/art galleries
 accommodation venues, e.g. bed and breakfasts with 8+ adult guests, motels etc.
 sporting facilities
 catering services
 function centres
 hairdressers/beauticians
 karaoke venues
 airports
 tourist facilities
 nightclubs, and
 vessels.
Outlined below are the conditions common to the majority of the licence types within on-premises
licences.
On Premises Essentials
Section 22 - Primary purpose test
 A new on-premises licence cannot be granted if the primary purpose of the business
or activity carried out on the premises is the sale or supply of liquor.

 An existing on-premises licence cannot be utilised if the primary purpose of the
business or activity carried out on the licensed premises is the sale or supply of liquor.
Section 23 - On-premises licence must specify business/activity or kind of licensed

premises.
 An on-premises licence must specify the kind of business or activity carried out on the
licensed premise or the kind of licensed premises to which the licence relates –
Section 23 (I).
 More than one kind of business or activity or kind of premises may be specified in an
on-premises licence. However, a separate on-premises licence is, except in the
circumstances referred to in Section 25 (6), required for each set of premises.
 The licensed premise to which an on-premises licence relates may be described by
reference to the kind of business or activity carried out on the premises or the kind of
premises concerned - Section 23 (4).
Section 24 - On-premises licence – sale of supply of liquor must be with or ancillary to

other product or service
 An on-premises licence authorises the sale or supply of liquor only if the liquor is sold
or supplied for consumption on the licensed premises with, or ancillary to, another
product or service that is sold, supplied or provided to people on the licensed
premises – Section 24 (I).
 Restaurateurs interested in allowing liquor to be served to patrons without a meal can
apply for a “Primary service authorisation”.
Section 25 - An on-premises licence authorises the licensee to sell liquor by retail on the
licensed premises for consumption on the premises only
 The times when liquor may be sold for consumption on the licensed premises are
during the standard trading period or at such other times as may be authorised by an
extended trading authorisation - Section 25 (2).
Section 27 - Food must be made available

 Liquor may only be sold or supplied on the licensed premises to which an on-premises
licence relates if food of a nature and quantity consistent with the responsible sale,
supply and service of alcohol is made available whenever liquor is sold or supplied
under the authorisation of the licence - Section 27 (I).
Section 28 - Certain licensed premsises must be open to general public

 Restaurants must be open to general public – Section 28 (2) The business carried out
under an on-premises licence to which this section applies must not be, or include, a
business that is limited to the sale or supply of liquor only:
a) to persons who have been invited to use or attend the licensed premises, or
b) to a particular class, or particular classes, of persons using or attending the
licensed premises.
Section 12 (1) - Standard Trading Hours for On-Premises Licence

 Monday – Saturday: 5.00am - midnight
 Sunday – 10.00am – 10.00 pm
 Restaurateurs seeking extended trading hours will need to apply to ILGA / Authority
and undertake a community impact statement as part of that process.
Section 25(3) - Restricted Trading Days

 The times when liquor may be sold for consumption on the licensed premises on a
restricted trading day are as follows:
a) between midnight and 5 am on that day (but only if authorised by an extended
trading authorisation),
b) between 5 am and noon on that day (but only if authorised by an extended
trading authorisation and only if the liquor is sold with or ancillary to a meal
served in a dining area on the licensed premises),
c) between noon and 10 pm on that day (but only if the liquor is sold with or
ancillary to a meal served in a dining area on the licensed premises),
d) between 10 pm and midnight on that day (but only if authorised by an extended
trading authorisation and only if the liquor is sold with or ancillary to a meal
served in a dining area on the licensed premises).

Section 25 (5) - Trading on New Year’s Eve
 On 31 December in any year, liquor may be sold for consumption on the licensed
premises from the start of the standard trading period for that day until 2 am on the
next succeeding day. This subsection does not limit the operation of any extended
trading authorisation that applies in relation to the licensed premises concerned.
Producer/Wholesaler Licence
A producer/wholesaler liquor licence allows liquor wholesalers and liquor producers
like winemakers, brewers or distillers to sell alcohol to other liquor licensees.
Liquor producers can also conduct tastings, retail sales and direct sales to the public at liquor
industry shows and farmers' markets or fairs.
Winemakers, brewers and distillers can also apply for a drink-on premises authorisation to sell
alcohol for consumption on the premises.
Retail takeaway liquor sales by winemakers, brewers and distillers can only be made to the public
during the following hours (subject to council consent):
 5.00am to 11.00pm Monday to Saturday, and
 10.00am to 10.00pm Sunday.
Wholesalers can only sell to wholesale customers (i.e. those who already have a liquor licence).
Outlined below are the conditions common to the majority of the licence types within
Producer/Wholesaler licences.
Producer/Wholesaler Essentials
Section 32 - Wholesale suppliers of liquor

A producer/wholesaler licence authorises the licensee, if the licensee carries on business as a
wholesale supplier of liquor:
 To sell liquor by wholesale, at any time on the licensed premises, to persons authorised
to sell liquor (whether by wholesale or by retail), and
 To sell or supply liquor, at any time on the licensed premises:
(i) to the employees of the licensee or of a related corporation of the licensee, and
(ii) to customers and intending customers for consumption while on the licensed
premises, but only for the purposes of tasting.
Section 33 - Wine producers - authorisation conferred by licence

1) A producer/wholesaler licence authorises the licensee, if the licensee carries on business
as a wine producer:

a) to sell the licensee’s product by wholesale, at any time on the licensed premises, to
persons authorised to sell liquor (whether by wholesale or by retail), and
b) to sell the licensee’s product by retail on the licensed premises, for consumption
away from the licensed premises only, on any day of the week during the standard
trading period for that day or during such other period as may be authorised by an
extended trading authorisation, and
c) to sell or supply the licensee’s product, at any time on the licensed premises, to
customers or intending customers for consumption while on the licensed premises,
but only for the purposes of tasting, and
d) to sell or supply the licensee’s product at a wine show, but only if the local police and
the Authority have been notified, in accordance with the regulations, about the wine
show by the organiser of the show at least 7 days before it is held, and
e) to sell or supply the licensee’s product at a producers’ market or fair, but only if the
local police and the Authority have been notified, in accordance with the regulations,
about the market or fair by the organiser of the market or fair at least 7 days before it
is held, and
f) to sell or supply the licensee’s product at any time on the licensed premises to the
employees of the licensee or of a related corporation of the licensee, and
g) to sell or supply liquor in accordance with a drink on-premises authorisation.
Note: See section 50 (2) for trading hours in relation to drink on-premises authorisations.
2) The authorisation conferred by subsection (1) does not apply unless the primary purpose
of the business or activity carried out on the licensed premises is the sale or supply of
wine that is the licensee’s product.
3) For the purposes of this section, a product is the licensee’s product if:
a) it has been produced on the licensed premises (or a vineyard related to the licensed
premises) from fruit grown on the licensed premises or vineyard, or
b) in the case only of wine—it is uniquely the licensee’s (or a related corporation of the
licensee’s) own product, but only if that product contains not less than a percentage
of wine, as prescribed by the regulations, that has been produced by or under the
direction of the licensee (or a related corporation of the licensee) on the licensed
premises, or a vineyard related to the licensed premises, from fruit grown on the
licensed premises or vineyard.
4) For the purposes of subsection (3), a vineyard is related to licensed premises if it:
a) is operated by the licensee (or a related corporation of the licensee), and
b) is contiguous with the licensed premises or is within 500 metres of the licensed
premises.
5) In this section:
 producers’ market or fair means a market or fair:
- at which farmers or primary producers display and sell their products directly
to the public, and
- that is conducted in accordance with such requirements as may be prescribed
by the regulations (including requirements relating to the number of stalls at
the market or fair)

- wine show means a wine show that is held by a recognised wine or vineyard
association or industry association.
Section 35 - Miscellaneous provisions

1) This section applies in relation to a producer/wholesaler licence under which the licensee
carries on business as a wine producer, as a producer of cider, perry or mead or as a
producer of beer or spirits.
2) Multiple premises
Despite any other provision of this Act, the licensed premises to which a
producer/wholesaler licence relates may, in the case of a wine producer only, comprise
more than one set of premises, but only if:
a) each set of premises is operated by the licensee, and
b) the premises are all located in the same wine region (as determined in accordance
with the regulations).
3) Wine shows
Liquor may only be sold or supplied by the licensee at an wine show in accordance with
section 33 (1) (d):
a) to customers or intending customers for consumption at the licensee’s display area,
but only for the purposes of tasting, or
b) in sealed containers for consumption away from the industry show.
Section 35 - Miscellaneous provisions relating to wine producers

4) Producers’ markets or fairs
Liquor may only be sold or supplied by the licensee at a producers’ market or fair in
accordance with section 33 (1) (e):
a) to customers or intending customers for consumption at the licensee’s stall, but only
for the purposes of tasting, and
b) in sealed containers for consumption away from the market or fair.
5) Liquor must not be sold or supplied by the licensee at any such industry show, or at any
such market or fair, to a person who is intoxicated.
Note
This industry specific information guide was developed to further explore the
requirements of running particular business type. This guide is not comprehensive and
participants must ensure they make their own enquiries. This guide forms a supplement
only to the Liquor & Gaming NSW Licensee training course.

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 Australian Hotels Association

T Licensee Training – Course Handbook 2

T Licensee Training – Course Handbook 3

T Licensee Training – Course Handbook 4

T Licensee Training – Course Handbook 5

T Licensee Training – Course Handbook 6

Session 1: Overview of liquor regulation in NSW

Session 2: Managing your liquor licence

Session 3: Your responsibilities to manage alcohol related harms

Session 4: Best practice strategies to prevent alcohol related harms

Session 5: Compliance and enforcement

Finalise assessments and next steps

Total course duration (excluding breaks) 6 hours

T Licensee Training – Course Handbook 7

 key provisions of liquor laws and regulations

T Licensee Training – Course Handbook 8

 Tier 1 licences include:

 Tier 2 licences include:

T Licensee Training – Course Handbook 9

6. Producer/wholesaler licences: endorsed with a drink-on-premises authorisation

Other on-premises licences likely to be required to undertake this training include:

T Licensee Training – Course Handbook 10

2. Certain business types irrespective of whether they operate after midnight:

4. Any licensee directed by Liquor & Gaming NSW or the Authority.

T Licensee Training – Course Handbook 11

Let’s work together

T Licensee Training – Course Handbook 12

Responsible service within licensed venues can also help to:

 summarise the purpose for regulating the liquor industry

T Licensee Training – Course Handbook 13

Individuals can experience short-term and long-term effects of alcohol consumption.

T Licensee Training – Course Handbook 14

Indicator: Bulletin No. 7: detailed findings at: https://ndri.curtin.edu.au/ndri/media/documents/naip/naip007.pdf

T Licensee Training – Course Handbook 15

1.3 NSW regulatory authorities and other stakeholders in

T Licensee Training – Course Handbook 16

RSA Recap – Liquor & Gaming NSW

RSA Recap – Independent Liquor & Gaming Authority (the Authority)

T Licensee Training – Course Handbook 17

T Licensee Training – Course Handbook 18

 education, advice and support in the running of their business

Community and local liquor accords

1.4 NSW liquor laws

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1.4.1 Liquor Act 2007

The objects of the Liquor Act 2007 are:

T Licensee Training – Course Handbook 20

Section 149 – You are vicarious liable for your employees

Relevant sections of the Liquor Act 2007 for you as a licensee

T Licensee Training – Course Handbook 21

 Division 1 - licence applications and granting of licences

T Licensee Training – Course Handbook 22

Section 55 (Division 2) outlines the requirement to provide information in relation to persons

The licensee must also:

 Make an incident register available for inspection if requested to do so by NSW Police or

T Licensee Training – Course Handbook 23

Section 73 (Division 1) outlines your responsibility in relation to the prevention of excessive