online workbook - aha(wa · to complete this accredited version you must first make a legal...

Hospitality Training Centre

Manage Legislative Responsibilities for the Sale, Supply and Service of Liquor (MLP1)

Online Workbook

Section 1: Course Overview

1.0 Copyright and Disclaimer

© Western Australian Hotels and Hospitality Association Incorporated (Union of Employers) 2005. All rights reserved. The material in this manual is copyright. Except as provided in the Copyright Act 1968, no part of this manual may be reproduced or transmitted in any form or by any means, electronic or mechanical including photocopying, recording, without written permission from the Australian Hotels Association.

The Western Australian Hotels and Hospitality Association Incorporated (Union of Employers) training for the Course in Management of Licensed Premises will introduce participants to some of the responsibilities of licensees and approved managers under the Western Australian Liquor Control Act 1988 (“the Act”) and other legislation affecting licensees (“related legislation”).

While participation in the course will assist you to develop a working knowledge of the Liquor Control Act and related legislation, it cannot be regarded as a substitute for the Act and related legislation itself nor for advice from a qualified legal practitioner.

1.2 Assessment Criteria

Participants will be required to complete an assessment demonstrating knowledge of the following Assessment Criteria:

MLP1 : Manage legislative responsibilities for the sale, supply and service of liquor

Identify and apply legislative requirements

o State and Commonwealth legislation that applies to a business operating under a liquor licence

o Interpret and incorporate legislative and regulatory requirements

Operate in accordance with licence conditions

o Determine the requirements for meeting and maintaining a liquor licence

o Understand and apply industry terminology and definitions o Prepare operational plans for meeting licensing conditions o Implement procedures to ensure compliance with operational

plans and licensing conditions o Review and monitor business operations to identify factors that

may result in non-compliance with conditions and apply corrective actions

Maintain records o Identify information and recording requirements o Select and apply appropriate methods to capture and record

information o Review records and information

Interact with regulatory agencies o Provide regulatory bodies with required information and records

in accordance with legislative licensing requirements o Participate in activities arranged by the regulatory body for

review, evaluation and improvement of the business o Maintain continuation of licensing arrangement through

provision of timely and required information regarding business functions related to the liquor licence

1.3 Assessment and Certification

To complete this accredited version you must first make a legal declaration that you have completed the Nationally accredited certificate in the Responsible Service of Alcohol (THHBFB09A, THHBFB09B or SITHFAB009A) and prove your competency by providing your certificate details and completing the assessments both throughout and at the end of the course. The assessment will take place online and you will be advised if you are competent (pass) as you proceed. At the completion of the course a declaration must be completed stating that you have undertaken this course and assessment yourself without assistance. Written questions will be assessed within 3-5 working days and once you are deemed competent your certificate will be e-mailed to your e-mail address as provided.

Candidates will receive a statement of attainment for the unit of competence MLP1 that is partial completion for the full Course in Management of Licensed Premise (52473WA).

Section 2: Legislation and Administration of the Act

2.1 Legislation

Western Australia Liquor Control Act 1988

“An Act to regulate the sale, supply and consumption of liquor, the use of premises on which liquor is sold, and the services and facilities provided in conjunction with or ancillary to the sale of liquor, to minimise harm or ill-health caused to people, or any group of people due to the use of liquor, to provide for orders that may prohibit persons from being employed at, or from entering, licensed premises”

Definition of Liquor: a substance intended for human consumption which at 20 degrees Celsius contains more than 1.15% ethanol by volume, or such other proportion as is prescribed

2.2 The Objects of the Act The “Objects of the Act” could be best explained as the key goals or objectives to be achieved through the implementation and enforcement of the Act.

The Primary objects of the Act:

1. Regulation: An act to regulate the sale consumption and supply of liquor from licensed premises.

2. Harm Minimisation The primary object of the Act is to minimise harm or ill health caused to people, or any group of people due to the use of liquor.

3. Consideration of Industry Cater to the requirements of consumers for liquor and related services, with regard to the development of Liquor, Tourism and other related industries

The Secondary objects of the Act:

1. To facilitate the use and development of licensed premises including their use and development for the performance of live music, reflecting the diversity of consumer requirements

2. To provide adequate controls over, and over the persons directly involved in the sale, supply and consumption of liquor

3. To provide a flexible system, with as little formality or technicality as may be practicable for the administration of this Act

2.3 Department of Racing, Gaming and Liquor

The Department of Racing, Gaming and Liquor (RGL) is responsible for regulating and maintaining the integrity of lawful racing, gambling and liquor activities for Western Australians to participate in.

There are two administrative arms to the regulation and enforcement process which fall under the jurisdiction of the Minister for Racing Gaming and Liquor.

The Director of Liquor Licensing

The Director of Liquor Licensing is the Chief Executive Officer of the Department of Racing, Gaming and Liquor (RGL), which is the Public Service principally assisting in the administration of the Liquor Control Act. The Director has Assistant Directors who have the same powers as the Director.

The Director‟s principal role is to deal with regulation and application of the Act which covers the following areas;

Day to day administration and application of the Act Determine applications Monitor Licensed Premises Develop and Implement Policy Provide policy advice regarding the implementation of the Act

Liquor Commission

The Liquor Commission is an administrative arm of the regulation and enforcement process. Previous to May 2007, the Liquor Licensing Court was part of the District Court; however, following the 2006 amendments to the Act the Liquor Commission replaced the „Court‟. The Commission consists of a Chairperson and not less than three full, part-time or sessional members, one of which will be legally qualified.

The principal role of the Liquor Commission is to deal with infringement and appeals in relation to the Act which includes the following areas;

Determine applications referred by the Director Conduct disciplinary proceedings Conduct proceedings and hearings determining questions of law Review Directors decisions and consider appeals

2.4 Operational Persons

Operational Persons are the people who are responsible for, or authorised to have jurisdiction over; the operation of licensed premises in Western Australia. These individuals can fall under one or more of the following categories as defined in the Act.

Responsible Person, in relation to licensed premises, means — (a) the licensee or occupier of the premises; or (b) a manager of the premises; or (c) an employee or agent of the licensee or occupier or a manager;

Authorised Person, in relation to licensed or regulated premises, means — (a) the licensee or occupier of the premises; or (b) a manager of the premises; or (c) an employee or agent of the licensee or occupier or a manager; or (d) a member of the Police Force;

Authorised Officer, in relation to licensed premises, means

(a)the Director;

(b)an inspector appointed under section 14(1)(a);

(c)a person specifically authorised by the Director under a delegated authority conferred pursuant to section 15 to carry out the functions, or particular functions, of an authorised officer; or

(d)a member of the Police Force;

2.5 Supervision and Management of Licensed Premises

Supervision and Management

The Licensee is always responsible for the conduct of business under that licence.

A licensee is to ensure that an Approved Manger is present at the licensed premises at any time when business is conducted at those premises.

The Director of Liquor Licensing may approve a natural person as a manager:

o Approved Unrestricted Manager: able to be employed at any Licensed Premises

o Approved Restricted Manager: only able to be employed to a Club, Restricted Club or Occasional Licence

Quick Quiz – Section 2

What are the 3 primary objectives of the Liquor Control Act.

1)

2)

3)

Quick Quiz: Match the following terms with their correct definitions below

juvenile approved restricted manager

A person is drunk for the purposes of this Act if the person is on licensed premises or regulated premises; and the person‟s speech, balance, co-ordination or behaviour appears to be noticeably impaired; and it is reasonable in the circumstances to believe that that impairment results from the consumption of liquor.

A person under the age of 18 years

drunk licensee

licensed premises

the premises specified or defined by the licensing authority in relation to a licence, protection order or permit as the building or place to which that licence, order or permit relates; the premises specified or defined by the licensing authority in relation to a licence, protection order or permit as the building or place to which that licence, order or permit relates;

A person approved only to be employed at

a Club, Restricted Club or Occasional

Licence

A person who holds a licence or permit under this Act, includes a person who is authorised under section 86 or 87 to carry on business under a licence

Responsible adult

A person approved under section 102B(1)(a);able to be employed at any Licensed Premises

meal

liquor

approved unrestricted manager

that is eaten by a person sitting at a table, or a fixed structure used as a table, with cutlery provided for the purpose of eating the food; and that is of sufficient substance as to be ordinarily accepted as a meal; and that may consist of one or more courses, but does not include any food prescribed not to be a meal;

A person shall be taken to be a responsible adult if that person was an adult who is parent, step-parent, spouse or de facto partner, legal guardian of the juvenile, a person in loco parentis to the juvenile.

A substance intended for human consumption which at 20° Celsius contains more than 1.15% ethanol by volume, or such other proportion as is prescribed;

of 41

Section 3: Enforcement

3.1 Who are the enforcers of the Act?

The WA Liquor Control Act empowers Authorised Officers with the authority to enforce the Act, with each having authority over different areas in relation to licensed premises. However, these roles and powers can be transferred between the different enforcement authorities within the bounds of sections 153 and 154 of the Liquor Control Act.

Local Council/Shire Inspectors:

o Assess Compliance with council requirements (Health and Planning)

o Follow up on residential complaints

o Inspect premises

o Issue Infringements

o Issue work or compliance orders

Racing, Gaming and Liquor Inspectors o Assess compliance with the Liquor Control Act

o Ensure licensed premises operate within the bounds of their Licence and/or

Extended Trading Permit Conditions

o Follow up on residential complaints

o Monitor and Inspect licensed premises

o Issue Infringements o Issue work or compliance orders

WA Police The WA Police have various roles and responsibilities under the Liquor Control Act in addition to their traditional role regarding any other written law, these roles are examined in more detail in the following sections.

3.2 Role of the Police

The WA Police is the main authority charged with the enforcement of the Liquor Control Act.

The division of the WA Police that deals with Liquor Licensing throughout Western Australia is the Licensing Enforcement Division.

The Licensing Enforcement Division (LED) is responsible for all issues pertaining to licensing in Western Australia.

The Liquor Enforcement Unit (LEU) is the arm of the LED that is responsible for the enforcement of the Liquor Control Act. As part of that role they:

Assess Compliance with the Liquor Control Act and any other written law

Respond to complaints from any member of the public

Respond to calls from and assist licensees in keeping the public order in and

around licensed premises

of 41

Investigate alleged offences under various Acts

Ensure licensed premises operate within the bounds of their Licence and/or

Extended Trading Permit Conditions

Monitor and inspect Licensed Premises

Follow up on residential complaints

Inspect licensed premises

Issue Infringements To gather evidence in relation to alleged offences Lay charges and prosecute Protect the public

3.3 The Powers of Police

To assist in the execution of their duties the Police have extended powers in relation

to suspected offences under the Liquor Control Act.

The following points are all powers conferred on the Police by the WA Liquor Control

Act:

To lodge objections to any application made under the Liquor Control Act

To issue a barring notice to any individual effectively barring that person from

entering licensed premises for a period of up to 12 months

Enter and inspect licensed premises or regulated premises and examine each

room and part of the premise

Take an account of any or all liquor that is on the premises and demand, select,

obtain and carry away any sample of that liquor.

Require the licensee or manager to provide any information or assistance

reasonably required by the authorised officer relating to any matter within the

duties of the licensee or manager

Where a member of the Police Force suspects on reasonable grounds that on

any premises, whether or not licensed premises —

(a) liquor is being sold, supplied, consumed or stored unlawfully, or an

offence against this Act is otherwise being committed; or

(b) that there is on licensed or other premises evidence of an offence

against this Act,

that member of the Police Force may, without warrant other than this

subsection, enter and search the premises, using such force as may be

reasonably necessary for the purpose

Where a member of the Police Force for the time being on duty at any place has

reasonable grounds for believing that at or in the vicinity of that place —

(a) civil disorder, a breach of the peace or a threat to public safety is

occurring or is likely to occur; and

(b) in the interests of maintaining the peace or ensuring public safety it is

or may be desirable that licensed premises be closed,

of 41

that person may require the licensee, or an employee or agent of the licensee,

to close the licensed premises or a part of those premises, or to cease the

sale, supply or consumption of liquor (including the sale of packaged liquor)

on or from the premises or a part of the premises, for a specified period or

until further notice, and a person who, without reasonable cause, contravenes

a requirement so made commits an offence. 3.4 Your Rights and Obligations

You do not have a “right to remain silent” under the WA Liquor Control Act, however you do have the right not to incriminate yourself by answering a question asked of you by a member of the Police.

You have the right to seek legal advice before answering a question which may incriminate you.

Authorised officers, powers of entry etc., offences as to

A person who —

hinders an authorised officer in the exercise of powers conferred by this Act; or

fails, without reasonable excuse, to comply with a requirement of an authorised officer, under this Act; or

fails, without reasonable excuse, to answer, to the best of his or her knowledge, information and belief, a question put to him or her by an authorised officer; or

impersonates an authorised officer

Licensed Premises includes any premises used by a licensee in connection with the business carried on under the licence.

Subject to subsection (6), a person may decline to answer a question if the answer would tend to incriminate that person of an offence.

of 41

3.5 Your Responsibilities under the Act

The Responsibilities of Licensees, Managers and Staff:

There are many responsibilities involved in the operation of a licensed premises and as conveyed in section 100 of the Act, the Licensee is always responsible for the conduct of business under that licence.

However, the Approved Manager on duty is responsible and can be held liable as though they were the licensee in certain circumstances.

The Licensee is liable for the actions or inaction of their staff and contractors

(Vicarious Liability)

The Licensee is liable for ensuring that an Approved Manager‟s licence is valid

The Approved Manager on duty is responsible as though they were the Licensee

and is liable accordingly

Approved Managers must present their licence on request by an authorised

officer.

Approved Managers are responsible for their own licence renewal every 5 years

(you must keep your address details up to date)

Temporary Approved Managers are liable as an Approved Manager

Licensees and Approved Managers have the following general responsibilities

regarding the day to day operation of the licensed premises;

Comply with all licensing conditions

Prevent the sale of liquor to a juvenile

Ensure liquor is sold and/or consumed in a responsible manner

Maintain proper records pertaining to the activity under the liquor licence

To oversee the operation of the premises as a whole

of 41

3.6 Approvals Required

In order for a person or entity to have a vested interest or hold a position of authority within a body corporate that holds a licence each individual must be approved as a fit and proper person.

Management and control of incorporated licensees, approvals required

A person who, without the approval of the licensing authority —

o assumes a position of authority in a body corporate that holds a licence; or

o A shareholder in a company that holds a licence, increases or decreases that shareholding

If a person is convicted of an offence in relation to a body corporate (including a

proprietary company) that holds a licence, the body corporate is to be taken to

have also committed an offence and is liable to the penalty provided for in that

subsection. 3.7 Written Notice to the Department

There are certain circumstances under the Act which while no application is required

written notice is required within a specified period.

Conviction of licensee, duty to inform Director

A licensee and an approved manager who is convicted of an offence in any jurisdiction is to inform the Director within 14 days of being convicted.

Owners of licensed premises to notify Director of certain matters

A person who becomes an owner of licensed premises shall give written notice to the Director within 7 days of acquiring it, and shall in that notice set out full particulars of the full name and the address to which notices under this Act should be sent.

An owner of licensed premises who changes from the address notified to the Director shall, within 7 days of the change, give notice of the change to the Director.

of 41

3.8 Handling of Complaints against Licensed Premises

Who can the public complain to with regard to licensed premises?

The venue direct

WA Police

Local Council

Director of Liquor Licensing / Department of Racing Gaming and Liquor

What can happen to your licence as a result of repeated complaints?

It is important that licensed premises deal with complaints in a timely and appropriate manner because if complaints are not resolved than matters can escalate to a point where the matter is bought before the Director of Liquor Licensing who has the power to impose restrictive conditions on a venue licence.

The Police or Council or a members of the Public (3 unrelated adults) may lodge a section 117 complaint with the Director of Liquor Licensing.

The Director may then convene a mediation conference between the parties to resolve the issues related to the Premises by mutual agreement.

Should the issue remain unresolved through mediation, the Director may then impose an arbitrated outcome or refer the matter to the Liquor Commission for a ruling on the matter.

The most common outcome of a section 117 hearing is to have additional Trading Conditions imposed on a venue Licence.

In extreme cases Licenses can also be Suspended, Cancelled or a managers approval revoked.


What are the responsibilities of a licensee and or an Approved Manager?

1) Comply with all licensing conditions

2) Prevent the sale of liquor to a juvenile

3) Ensure liquor is sold and/or consumed in a responsible manner

4) Maintain proper records pertaining to the activity under the liquor licence

5) To oversee the operation of the premises as a whole

6) All of the above

of 41

Which of the following statements are true? Circle the letter of all true statements.

1) a liquor licence can be sold to another person

2) a liquor licence can be transferred to another person without application to DRGL so long as they are a family member

3) if a liquor licence is issued to a business with a number of directors, the directors can change at any time without application to DRGL

4) if 2 people are the joint licensees of a business that has a liquor licence and one dies, the licence remains valid without application to DRGL

5) any changes in ownership or structure of a business operating under a liquor licence requires an application to DRGL

6) a liquor licence can be removed to a new premises without application to DRGL so long as the business remains the same

of 41

Section 4: General Responsibilities

4.1: Duty of Care

What is it? Your legal obligation (through action or omission) to have regard for the wellbeing of others.

Whom do we owe a Duty of Care? Broadly speaking you owe a duty of care to any person entering our venue or any area which is under our control, the three key categories are: our staff (including contractors), our patrons (including members of the public who may come into our venue), and ourselves.

How do we do it? By providing a safe and clean environment for our patrons, our staff and any person who comes into contact with our premises.

To meet our duty of care we need to have in place a comprehensive set of policies and procedures designed help ensure the safety of all those individuals to whom we owe a duty of care. For example:

Dress code (adequate footwear)

Cleaning procedures (display signs when floor is slippery)

Occupational Health and Safety procedures (use of personal protective equipment)

1st aid training (ensure at least 1 staff member with adequate 1st Aid certification is on roster at all times)

Security procedures (2 crowd controllers for the 1st 100 people and 1 for each 100 thereafter on busy nights)

4.2: Harm Minimisation Strategy

Harm Minimisation:

What is it? Minimise negative impacts on the broader community caused by the use of liquor from our premises.

How do we do it? Implement and enforce house rules to minimise harm that could potentially be caused by the operation of your venue.

There are three key documents which make up your harm minimisation strategy, they are; the House Management Policy, the Code of Conduct and the House Management Plan. These three documents must be produced to any authorised officer on request.

House Management Policy

This policy is to comprise a generic statement of intent about the way in which the

licensee wishes to operate the premises. It should be supported by the Code of

Conduct and the more detailed Management Plan.

of 41

Code of Conduct

This Code should be a concise document which identifies the licensees‟ commitment to: controlling intoxicated persons;

controlling access to the premises and liquor by juveniles;

resolving complaints from customers and residents;

patron care (harm minimisation strategies which encourage the availability of

food, non-alcoholic products, staff training, effective transport of patrons, and

discourage disorderly behaviour);

respect the neighbours (the statement should encourage patrons to respect the

rights of neighbours and not to disturb the amenity of the local area); and

responsible server practices The House Management Plan

This is the detailed harm minimisation strategy for your venue. This document should

identify, in detail, how the House Management Policy and the Code of Conduct will be

implemented at the licensed premises. For example, the Management Plan should

confirm that the licensee and approved manager/s have successfully completed the

approved Course in Management of Licensed Premises.

The Plan should also provide details on:

staff training;

how and what responsible server practices will be adopted;

the display of responsible service posters on the licensed premises;

the manner in which licensed crowd controllers (if applicable) are expected to

undertake their duties;

the practices adopted to control juveniles on the licensed premises;

the manner in which intoxicated patrons are refused service and managed; and

the procedures in place to respond to complaints and protect the amenity of the

area.

4.3: Burden of Proof

What is it? The requirement to prove or disprove an allegation, for licensees and

managers it could be seen as a requirement to provide reasons for decisions and

proof of our innocence in relation to an alleged offence

How do we do it? By keeping appropriate records to be used as evidence should it

be required in defence of a charge or infringement.

Meeting your burden of proof is ensuring that you have appropriate records as

evidence should they be required to defend an alleged offence. Specific examples

could be;

of 41

Incident reports

CCTV footage

Witness reports

Policy and procedure documents

Financial records

4.4: Other Legislation

Legislation for Licensed Premises to comply with…..

There are many other areas of law and regulation that you are required to comply with

ranging from Commonwealth, to State legislation trough to Local Council by-laws.

Including but not limited to the examples below:

Privacy Act: the legislation surrounding how you handle personal

information given to you by patrons and staff.

OHS Act: the legislation surrounding the provision of a safe workplace

and the implementation of safe workplace practices.

Equal Opportunity Act: the legislation surrounding all forms of

discrimination.

Fair Work Act: the legislation surrounding Australia‟s workplace

relations system covers the rights and responsibilities of employers,

employees and the statutory bodies that represent them.

Tobacco Control Act: the legislation surrounding the sale supply and

consumption of Tobacco and related products.

Security and Related Activities Act: The legislation surrounding the

provision of security and related services including crowd control,

investigation and surveillance.

The above examples are not a comprehensive list with the requirements of these

various Acts and associated regulation too various to mention. However, it is still the

responsibility of the licensee to ensure compliance with all of the various areas of

legislation and regulation which may impact on their business.


List the 3 key documents that make up the „Harm Minimisation Strategy‟

1)

2)

3)

In addition to the Liquor Control Act list 3 other Acts that licensed premises are required to comply with.

1)

2)

3)

of 41

Section 5: Operation of Licensed Premises

5.1: Licence Categories

There are various categories of liquor licence currently available in Western Australia. Each licence category has standard operating conditions which determine the manner in which they can operate. It is these conditions which differentiate one licence category from another.

Under the Liquor Control Act the definition of a „Licensed Premises‟ is: the premises specified or defined by the licensing authority in relation to a licence, protection order or permit as the building or place to which that licence, order or permit relates

Current licence categories

Hotel: Must provide guest accommodation for lodgers, allows for the sale of liquor for

consumption on site

Restricted: Cannot sell prepackaged liquor (take away) to any person other than a

lodger and in such quantity as may be consumed by the lodger on that day.

Unrestricted: Allows for the sale of prepackaged liquor (takeaway) to any person

Tavern: No requirement to provide accommodation, allows for the sale of liquor for

consumption onsite

Restricted: Cannot sell prepackaged liquor (take away) to any person.

Unrestricted: Allows for the sale of prepackaged liquor (takeaway) to any person

Small Bar: Allows for the sale of liquor for consumption on site only, cannot sell

prepackaged liquor (take away) to any person, limited to a maximum patron capacity

of 120 persons

Nightclub: Allows for consumption of liquor on site only ancillary to the provision of

continuous “live” entertainment (“live” includes prerecorded music played by a DJ)

Casino: Allows for the sale of liquor for consumption on site only ancillary to the

provision of Gaming and Wagering services, 24 hour licence as approved by the

Waging and Gaming Commission, no juveniles allowed on site, 18+ venue only

Liquor Store: Allows for the sale of prepackaged liquor (takeaway) on and from the

premises to any person for consumption off the premises only, can provide free

sample tastings in a specified area as approved by the director

Club: Allows for the sale of liquor for consumption on site only to members and their

guests in the company of that member

Restricted: Cannot sell prepackaged liquor (take away) to any person, limited hours

of operation as defined in the licence

Unrestricted: Allows for the sale of prepackaged liquor (takeaway) on and from the

premises to members only

of 41

Restaurant: Allows for the sale of liquor for consumption on site only ancillary to a

meal provided by the licensee and eaten there by that person

The licensed premises must contain kitchen facilities

Wholesaler‟s: At least 90% of the licensee‟s gross turnover from the sale of liquor in

each financial year, must be from selling liquor to liquor merchants or other persons

authorised by law to sell liquor.

Allows for the sale of prepackaged liquor (takeaway) on and from the premises to any

person for consumption off the premises only but only in a quantity of not less than 9

litres, allows for the sale of less than 9 litres per person should that liquor be sold to a

liquor merchant, licensee or staff of the licensee, can provide free sample tastings in a

specified area as approved by the director (tasting condition or temporary Extended

Trading Permit)

Producer‟s: Every producer‟s licence is subject to the condition that, unless the

Director approves otherwise, the licensee must produce a sufficient quantity of the

relevant liquor to be able to carry on the business, can allow for the sale of liquor

for consumption on site or prepackaged liquor (takeaway) to any person.

Can only sell liquor produced by the Licensee

Special Facility: This is a tailored licence where the required terms of trade do not fit a traditional licence category.

Occasional: A tailored short term licence used for special events or purposes

Authorises the sale, supply or consumption of, liquor for an approved period not to

exceed 3 weeks, as may be specified and within a designated area, as may be

specified; and subject to such terms or conditions as may be specified.

5.2: Trading Hours

The permitted trading hours under your licence refer to the only to the hours you are permitted to sell, supply or allow consumption of liquor on the licensed premises,.

For example in most cases you are not permitted to trade before noon on Anzac Day; this means you cannot sell liquor before mid day but you can serve breakfast or non alcoholic beverages.

Permitted trading hours will depend on the Licence category, venue specific licence conditions or any Extended Trading Permit which may be attached to that particular licence.

of 41

5.3: Liquor Licence Applications

Documentation in support of Applications

Most applications made to the Department of Racing Gaming and Liquor will require supporting documentation.

Common Documents required in support of an application:

Statutory Declarations from the applicant

National Police Clearance (no older than 90 days)

Company Documents (showing the company structure)

Lease Documents and/or Certificate of Title for the premises

Council Planning (s40) and Health Department Approvals (s39)

Floor plans (red line area)

Harm Minimisation Documents (House Management Plan, House Management

Policy and Code of Conduct)

PIA - Public Interest Assessment, a comprehensive document detailing

how a particular application is in the public interest. Consideration must be

given to the potential impact the application would have on the broader

community including the following points.

Location of the venue

Demographic makeup of the area

Other licensed premises in the area

Local Government bylaws

Public support demand or need for the application

Detail the target market and intended manner of trade for the venue

Identify at risk groups (who they are and the potential impact on them)

Safety and security of staff and the public

Code of conduct and House management Plan

It is imperative that any statement made in the PIA be backed up by objective

and quantifiable evidence.

5.4: Common Applications Pertaining to a Licence

Once a liquor licence is granted there are various subsequent applications that can be

made pertaining to that licence. Each application has a different purpose and is

required in different circumstances

Alteration or Redefinition: To redefine the licensed area and / or change the

use of an area within the licensed premises

Removal: To move the licence from one premises to another

Transfer: To change the ownership or licensee of a licensed premises

Suspension: To suspend the licence of, and trade from a licensed premises

Surrender: To give up the licence attached to a premises or to surrender your

Approved Manager Status

of 41

Protection Order: Allows licensed premises to continue trade temporarily

without a licensee in specific unforeseen circumstances (death, bankruptcy of a

licensee) until a new licensee can be approved.

Add, vary or cancel conditions: To add new, change or remove existing

trading conditions attached to a licence

Extended Trading Permit: To extend the Hours or Area of Trade or to alter the

way that a venue is able to trade. ETP’s can be granted for different time periods;

indefinite,(for the term of the licence) Ongoing (last for up to 5 years) or One Off

(up to 21 days)


Which factors must a licensee must take into consideration when preparing a Public Interest Assessment.

1) The location of the premises

2) Safety and security of staff and the public

3) Code of Conduct and House Management Plan for the premises

4) The number of licensed premises in the area

5) Local government by laws

6) At risk groups of people residing or frequenting the area

7) All of the above

Section 6: Operational Requirements for Licensed Premises

6.1: Roles and Responsibilities

The smooth operation of any venue requires effective team work, where all of the operational requirements come together through seamless execution of the various roles and responsibilities allocated each member of that team.

Roles and responsibilities will vary depending on the size and type of the hospitality operation, but whatever the venue it is important that every member of staff understands the requirements of their role and where they fit into the team.

The key part of a manager‟s role is to orchestrate the performance of their individual staff to ensure the smooth operation of the venue. Remember the Approved Manager of any licensed premises is responsible for the action or inaction of their staff.

of 41

The list below gives an indication of some of the roles and responsibilities:

Venue Manager / Licensee:

To oversee the operation of the premises as a whole

To provide effective leadership through professional management and encouragement of staff.

To carry out regular, performance appraisals conducted in such a manner that effective, open, two-way communication is maintained through all departments.

To set and meet budgets for the venue in association with departmental managers

To ensure that the venue operation is compliant with all relevant legislative requirements.

Approved Manager / Shift Supervisor:

To oversee and ensure the smooth operation of their department or shift

To ensure the responsible service of alcohol on and from the venue

To give effective direction to operational staff

To liaise with other department or shift managers to ensure open communication within the venue

To manage and train staff in the operational requirements of their role

To prepare and implement effective rostering for their department or venue

To maintain stock control for the front of house operation

To ensure that all Incident Reports are completed in an accurate and timely manner (at the end of each shift)

Operational Staff:

To abide by any lawful instruction given by venue management or supervisors

To carry out the operational requirements of their specific role

To communicate with other staff and managers to ensure that the venue runs in an effective manner

To communicate all incidents to the Approved Manager on duty

To provide responsible service of alcohol on and from the venue

To identify and meet the needs of customers

To ensure that the venue is kept in a clean and safe manner for both customers and staff

When employing individuals to work on licensed premises it is important to consider the following points:

RSA compliance

The age of the applicant

Availability for shifts

Ability to work with people

Ability to work as part of a team Approved Manager

The “Fit and Proper” status of the applicant

Criminal Convictions

Financial status (not a Bankrupt)

Current Approved Managers Licence

of 41

6.2: Policy and Procedure

The Policy and Procedure Manual is a comprehensive document that covers all of the management and operational requirements for licensed premises. In this instance when broken down into its separate components the Policy relates to an intended practice for a specific area of the operation and the Procedure provides the detail on how to achieve the policy intent.

The Policies and Procedures will vary from one venue to another, as each venue will have different operational requirements depending on the licence type, the manner of trade along with the size and location of the venue.

The final document should encompass detailed procedures on the different areas covered in the document. The list below gives some examples of policies and the associated procedures covered in various areas for licensed premises.

Juveniles will only be permitted on the premises in specific circumstances:

Juveniles will not be permitted to remain on the premises after 8:30 pm

Juveniles must be in the company of their parent or guardian at all times

Juveniles are only permitted in the dining area and must be under the direct supervision of a responsible adult at all times

Proof of age is required

A licensee has the right to require any person to produce evidence of age before gaining entry to the licensed premises.

Any person who appears to be under 25years of age will be asked for ID

No ID means no entry

When in doubt follow the four Step ID Check Procedure: 1. Ask for primary ID

2. Ask for secondary supporting ID 3. Request a sample signature 4. The ID log must be completed for each ID sighted

The only acceptable forms of ID are shown on the following page

of 41

Current Australian drivers licence with photo How to tell if card is genuine:

1. Credit card style digital licence 2. Background pattern of kangaroos 3. UV image of single kangaroo 4. Holographic overlay incorporating WA crest 5. 7 digit licence number

Current Passport Current WA learners permit with photo

WA Proof of Age Card A Proof of Age Card is no longer issued as of the January 1st, 2015 but is still valid as a form of identification.

How to tell if card is genuine: 1. Security holograms of Western Australian black

swan in repeated pattern 2. The words PROOF OF AGE printed randomly

on the card visible under UV light 3. The words PROOF OF AGE repeated in

micro printing on signature line

Current WA Photo Card

Other forms of ID accepted in WA

- Proof of Age card or equivalent issued in an Australian state or territory - A current WA Photo Card - A current NSW Photo Card - A Photo Card issued by any Australian state or Territory similar to the NSW/WA

Photo Card

of 41

Security will be provided to help ensure the safety of staff and patrons

CCTV cameras will be used throughout the venue covering all entry and exit points of the venue along with each bar and serving area

Crowd Controllers will be engaged on Thursday Friday and Saturday nights at a

ratio of 2 Crowd Controllers for the 1st 100 patrons, and 1 crowd controller for each 100 patrons thereafter

Each Crowd Controller must complete a venue specific induction prior to being given the authority to remove patrons

The Responsible Service of Alcohol must be maintained at all times

Shooters are limited to 2 per person per night and must be consumed at the bar

The Duty manager will complete a full sweep of the venue every hour looking for patrons showing signs of intoxication

All floor staff including glassies and food runners are expected to look for patrons showing signs of intoxication

Any person showing signs of intoxication must be engaged to determine if they are intoxicated, if there is any doubt seek a second opinion

Where a person is determined to be intoxicated they must be refused service and requested to leave the venue

Where a patron is requested to leave the venue this must be done with the assistance of a manager, supervisor or security personnel

Every refusal of service must be recorded on an Incident Report

of 41

6.3: Staff Management Policies and Procedures

In addition to the operational policies and procedures (P and P) for each area there will also be a comprehensive set of P and P for management of staff within the venue.

The list below gives some examples of policies and the associated procedures covered in the staff management section of your policy and procedure document.

Effective communication within the venue is essential

Managers must communicate rosters to all staff 1 week prior to the commencement of their roster

All staff must complete a shift availability sheet 1 week prior to release of the relevant roster

All incidents must be recorded in the incident report and signed off by the duty manager

Each manager must complete a shift report at the end of each shift

At the commencement of each shift the duty manager must log into the intranet for relevant notices

A full staff briefing at the commencement of each shift

A staff debrief sheet is available to all staff via the venue intranet

All customer complaints must be referred to the duty manager

Comprehensive and ongoing training is required for all staff and managers

All front of house staff (including security) must complete accredited RSA training prior to commencement of employment

All supervisors and approved managers must complete the approved course in Management of Licensed Premises before commencement in a supervisory role

All staff must complete the full venue induction including the following aspects;

o OH&S training relevant to their specific role o Manual Handling training o Full venue familiarization o Cash handling o Open and close procedures o Customer service course o Handling customer complaints o Refusal of service o 2 week buddy system across all relevant departments covering all

practical aspects of their role

All shift supervisors must complete nationally accredited First Aid Training

Regular product training is provided to all staff and managers

Regular menu tastings for all front of house staff whenever there is a change to the menu

All supervisors and managers are required to attend / complete regular refresher courses in liquor licensing requirements

All staff are required to attend a conflict resolution course prior to being engaged in a supervisory position

of 41

All staff are encouraged to complete at least one external professional development session per annum.

Supervision and management of staff

Regular Managers meetings are held on a weekly basis

All managers are encouraged to complete a train the trainer course

All managers must hold regular annual staff evaluation meetings with their staff

Staff must record all breaks on their time sheet

Managers must sign off on time sheet on a daily basis

Managers must seek advice and follow procedural fairness guidelines when dealing with employment issues

Managers must abide by company employment policy and procedures at all time when dealing with staff

6.4: Intoxication on Licensed Premises As a premises licensed to sell alcohol it is essential that every licensed premises has a comprehensive policy and procedure to; primarily avoid intoxication of patrons, and secondly to effectively deal with patrons who may become intoxicated in an appropriate manner.

While responsible service practices help to ensure that we avoid intoxication of our customers it does not guarantee that patrons will not enter the premises intoxicated, become intoxicated through the use of illicit substances (drugs) or become intoxicated by gaining service through third parties or other means of avoiding the assessment of service staff.

The first element of this procedure is to provide staff with the tools to make an effective assessment of a patron‟s level of intoxication. The act provides a definition of Drunk (below) which gives staff of licensed premises the ability to make a legal determination under the Act.

Definition of „Drunk‟

1. “A person is “drunk” for the purposes of this Act if the person is on a licensed premises or regulated premises and the person‟s speech, balance, co-ordination or behaviour appears to be noticeably impaired and It is reasonable in the circumstances to believe that that impairment results from the consumption of liquor

2. If an authorised officer or a person on whom a duty is decides that a person is drunk at a particular time, then, in the absence of proof to the contrary, that person is to be taken to be drunk at that time. However it is still important to take into consideration that there are genuine reasons such as illness or disability which may cause a person may exhibit signs of intoxication when in fact they are not drunk.

Below is a list of some possible conditions or circumstances which may cause a sober person to appear as though they were drunk:

Multiple Sclerosis

Cerebral Palsy

Acquired Brain Injury

of 41

Speech impediment

Stroke

Tiredness

Prescription Medication

Low Blood Sugar

Concussion

Psychiatric disorder

6.5: Signs of intoxication There are various possible signs that may be displayed as a person becomes intoxicated, however not all people are affected by alcohol in the same way and there are other factors which may affect the rate at which a person becomes intoxicated such as; gender, liver function, age, weight, medications or food intake.

As blood alcohol levels increase changes can be noted in a person‟s speech, balance, coordination, behavior and physical appearance , some of these signs are listed below;

Speaking louder

Incoherent speech

Slurring their words

Speech

Slow to respond to questions

Rambling speech

Irrational statements

Swaying

Stumbling

Bumping into objects or people

Staggering

Balance

Weaving

Leaning on objects

Falling over

Fumbling with change

Spilling drinks

Difficulty lighting cigarettes

Clumsy (knocking things over)

Coordination

Leaving a cigarette burn without smoking it

Missing mouth with glass or straw

Boisterous

Bravado or boasting

Drinking quickly

Drinking excessively

Switching drinks (e.g from beer to spirits)

Drinking alone

Careless with money

Overly animated

Complaining about drink prices

Complaining about strength of drinks

Ordering doubles

Ordering shots

Urging others to drink

Obnoxious

Argumentative

Behaviour

Aggressive

Crude behaviour

Inappropriate comments

Depression or sadness

Bad language

Memory loss

Radical change in behaviour

Drowsy / sleepy

Overly friendly

Loss of inhibition

Disorderly

of 41

Other Physical Signs

Smell of alcohol, bloodshot eyes, glassy eyes, lack of focus or eye contact, flushed appearance, dishevelled clothing.

It is important when assessing a patron‟s level of intoxication to make an accurate and reasonable assessment based on a number of separate signs of intoxication rather than just one sign alone. Just because someone is speaking louder does not mean that they are drunk, however if they are drunk they will exhibit other signs which will help in making an accurate assessment.

In addition to the signs listed above other factors which could be taken into consideration when making a determination are;

When did the patron enter the premises

What type of liquor are the drinking

How much alcohol has been served to the patron

Have they eaten any food

Has the patron been to another venue previous to yours

Seek a second opinion from another staff member

6.6: Management of Intoxicated Persons and Refusal of Service

Refusal Procedure (Intoxication)

1. Monitor all patrons for signs of intoxication

2. Engage patron to assess level of intoxication

o Ask questions of the patron to assist in your assessment

o Make assessment based on a number of signs

o Seek a second opinion from another staff member

3. Take appropriate action based on level of intoxication

o Warning and / or slow down service / offer alternatives

o Refuse further service (Drunk patrons must leave the venue and vicinity)

o Call a manager or security to assist

4. Inform all staff appropriate of refusal

5. Offer / inform patron of alternative transport options

6. Complete Appropriate Incident Reports

of 41

Your Policy and Procedure Manual should include detail on each of the above points and be supported by in house training to ensure your staff have a clear understanding of their rights and responsibilities in relation to refusal of service on the ground of intoxication.

Some staff tips for refusal of service:

Engage the customer in a discreet non judgmental fashion.

Use “I” statements not “you” statements

Explain the reason for the refusal

Use the law or House rules

Use RSA posters and signs to reinforce the message

Explain the consequences while remaining calm and professional

Be assertive as opposed to aggressive

Avoid blame and offer solutions

There is no one correct way to refuse service that will work in all circumstances.

The important thing is to have a number of techniques that you are comfortable with.

The key to effective management of any refusal is to resolve the situation without

confrontation.


Provide 4 signs of intoxication you would expect to see in a person who is drunk

1)

2)

3)

4)

List 3 disabilities, conditions or factors that might cause a person who is not drunk to appear or behave as if they were drunk?

1)

2)

3)

of 41

Which of the following different procedures would need to be included in the business operations manual (Policy and Procedure Manual) of licensed premises?

1) Codes of Conduct

2) Safe Work Practices

3) Managing unacceptable behaviour

4) Guidelines for refusing entry to the premises

5) Rules for sale, supply or service of alcohol

6) All of the above

Which of the following factors/qualifications would a licensee need to consider when employing individuals to work as an Approved Manager in a licensed premises.

1) Age of applicant

2) Criminal convictions for approved Managers

3) Responsible Service of Alcohol requirements

4) Fit and proper status for Approved Managers

5) Gender

Provide 3 policies or procedures you would use to monitor business operations to

check for compliance with licensing conditions and requirements?

1)

2)

3)

of 41

Section 7: Management of Patrons

7.0: Rights and obligations with Refusal of Service or Entry Licensees and their staff have a right and in certain circumstance an obligation to refuse

service or entry licensed premises.

These rights and obligations to refuse service or entry are covered in section 115 of

the Act:

(1) (a) A licensee, whether personally or by an employee or agent must not permit drunkenness; or violent, quarrelsome, disorderly or indecent behaviour, to take place on the licensed premises;

or (b) permit any reputed thief, prostitute or supplier of unlawful drugs to remain on the licensed premises; or

Important Note:

While section 115 (1) (b) states that it is an offence to allow a reputed thief,

prostitute or supplier of unlawful drugs to remain on the premises, this section is

not enforced by WA Police. It is used by police as a method of control to assist

them in removing individuals as they may require from time to time.

(c) permit or allow any gaming or betting which contravenes the Gaming and Wagering Commission Act or any other activity which contravenes a provision of another written law,

(2) A person shall not, on licensed premises or regulated premises —

(a) sell or supply liquor, or cause or permit liquor to be sold or supplied, to a drunk person; or

(b) allow or permit a drunk person to consume liquor; or

(c) obtain or attempt to obtain liquor for consumption by a drunk person; or

(d) aid a drunk person in obtaining or consuming liquor.

Service MUST also be refused in the following circumstances:

if a person seeks to enter or enters or remains on the licensed premises at a time when they are closed or are required under this Act to be closed;

requests service on a part of the premises not authorised to provide service

In addition to the sections above which cover the people or circumstances where

service or entry MUST be refused the Act also provides a right to refuse service

without the obligation to refuse:

of 41

An authorised person MAY refuse service...

to any person who behaves in an offensive manner

to any person who is not dressed in conformity with the dress code providing that dress code is reasonable in the circumstances; and notice of which had been conspicuously displayed at each entrance to any part of the premises where the requirements are in force;

when they have reasonable cause to believe a person cannot or will not pay;

to any person who is known to be quarrelsome or disorderly;

to any person who is seeking to obtain liquor by begging

if they suspect the person is a person whose presence, or to whom the provision of service, on the licensed premises will occasion the licensee to commit an offence under this Act;

if a person requests service in an area set aside for a private function Any person who re-enters premises within 24 hours of being refused entry to,

required to leave, or being removed from, those premises under this section —

(a) commits an offence; and

(b) any other person, on the request of the licensee or a manager of the premises, may remove the person who re-entered the premises from those premises using such force as may be reasonably necessary.

Penalty: a fine of $2,000. 7.1: Juveniles permitted on Licensed Premises

A juvenile is any person under the age of 18.

Juveniles are permitted on licensed premises in certain circumstances.

Examples of circumstances when juveniles are permitted on licensed premises:

accompanied by, and under the direct supervision of a responsible adult

on the premises for the purpose of obtaining a meal

engaged in a training course approved by the Director

employed on the licensed premises to conduct lawful duties

of 41

as a lodger or family member of a lodger

As a family member of the licensee or manager

Where the licence has an „unaccompanied juvenile‟ exemption

7.2: Offences related to Juveniles on Licensed Premises While juveniles are permitted on licensed premises in certain specified circumstances there are a number of offences under the Act which pertain directly to juveniles.

It is considered an offence when:

Liquor is sold or supplied to a juvenile on licensed premises

A licensee, and any other person by whom liquor is sold or supplied permits a juvenile to consume liquor on the licensed premises

Where a person purchases or obtains liquor on behalf of the juvenile

Where a juvenile is lawfully on licensed premises in the company and under the supervision of a responsible adult, if that adult leaves the juvenile on the licensed premises on without first informing the licensee or an employee or agent of the licensee the Adult commits an offence

A juvenile engages in the sale, supply or serving of liquor on or from licensed premises

7.3: Responsible Adults under the Act Who is a responsible adult?

A responsible adult can be defined as any person who fits under one of the following categories.

Parent or Step parent of the juvenile

Spouse or De facto partner of the juvenile

Legal guardian of the juvenile

In Loco Parentis (acting as the parent) to the juvenile

of 41

Quick Quiz – Section 7 List 4 circumstances when a juvenile is permitted to be on a licensed premises?

1)

2)

3)

4)

List 4 offences relating to a juvenile on a licensed premises?

1)

2)

3)

4)

Under the Liquor Control Act, who is considered a „Responsible Adult‟?

1)

2)

3)

4)

Which of the following would be an inappropriate way to respond to an intoxicated person who is attempting to acquire liquor?

1) Follow the procedure of the licensed premises

2) Tell the person that they are drunk and they need to get out

3) Speak calmly, firmly and directly to the person

4) Request them to leave the premises

5) Ensure the duty of care to the intoxicated person and other patrons is met

What 4 are examples of breaches of the Liquor Control Act that can result in an infringement being issued.

1) Trading outside permitted hours

2) Providing liquor to juveniles

3) Allowing a patron to wear thongs onto a licensed premises

4) Supplying liquor to an intoxicated person

5) Trading without an approved manager

6) Serving a person who is known to be quarrelsome, violent or disorderly

of 41

Section 8: Required Documentation

8.1: Incident Reports Incident reports must be kept on all licensed premises and completed as soon as practicable following an incident.

It is a requirement that the licensee maintain a register of incidents that take place at the licensed premises. Defined incidents include:

a person is refused entry to the premises because the person is drunk; or

behaving in an offensive manner, including violent, quarrelsome, disorderly or indecent behaviour

person who has been refused entry to the premises —

(i) repeatedly attempts to gain entry to the premises; or

(ii) behaves in an offensive manner, including violent, quarrelsome, disorderly or indecent behaviour;

a person is required to leave or is removed from the premises;

(b) a juvenile or suspected juvenile fails to produce evidence of age when required to do so;

(c) a document produced by a juvenile or suspected juvenile as evidence of age is suspected to be forged, false or counterfeit;

(d) a person engages in indecent behaviour;

a person (including a person employed or engaged in the business conducted under the licence) is injured;

a local resident or other person complains to the licensee, a manager or an employee about noise or any other matter related to the business conducted under the licence.

The following information is required on all Incident Reports:

name of the premises;

details of the incident;

date and time when the incident took place;

location at the premises where the incident took place;

full name of any Approved Manager who was on duty when the incident took place;

full name of any person employed or engaged in the business conducted under the licence, or any crowd controller, who was present when the incident took place;

of 41

details of any action taken by the licensee, an approved manager or an employee in response to the incident, including any action taken to notify the licensing authority or a member of the Police Force or any other person engaged in providing emergency services.

Incident Report

Incident Reports should be completed as soon as practicable. Reports should be completed at end of each shift by relevant staff and signed off by the Approved Manager on duty.

Ensure all relevant sections of the form are completed.

Note any witnesses to the incident on the report.

Ensure that Incident reports are accurate and factual without making an admission of fault or guilt in relation to a potential infringement; staff should be trained in the correct procedure to complete Incident Report forms

To help ensure that Incident reports are accurate staff could use an „incident log‟ immediately after the incident recording the key facts (name, time, nature of incident, action). This information can then be used at the end of shift to complete the full Incident Report; it also serves as a double check for the Manager to make sure that all incidents are recorded.

8.2: RSA Training Register

In relation to the mandatory training, the Liquor Act requires that the licensee must keep a training register that records employee information and their training compliance.

The training register must record the following details:

Employee‟s name

Employee position

Date employment commenced at licensed premises

Date training completed

Course provider name State or Territory in which training was undertaken

of 41

8.3: Right to Remove Notice of Authorisation for Crowd Controllers

Because Crowd Controllers are contractors and not staff directly employed by the licensee they are not authorised persons until they have been given authorisation to remove.

The form below must be completed by all Crowd Controllers engaged at the licensed premises and retained on the premises available for inspection at the request of an authorised officer.

of 41

8.4: Required Documents and Signage

There are specific documents and signage which must be maintained and either displayed in a prominent position on the licensed premises or kept on file and produced on demand of an authorised officer

Signage that must be displayed in a prominent position:

Outside the premises

Sign @ or near entrance showing:

o The approved trading name of the venue

o Class of licence

o Licensee

Within the premises;

Sign displaying the name(s) of the Approved Manager(s) on duty Copy of the venue Licence Any related permits

Must be produced and maintained:

Incident Reports Training Register Code of Conduct and House Management Policy House management plan Current Floor Plan with red line area as approved by RGL Current Approved Managers Licence Crowd Controllers Roster Crowd Controllers Incident Reports Crowd Controllers Authorisation to remove


Which 4 records or documents under the Liquor Control Act must be kept and made available to regulatory authorities?

1) Incident register

2) Licence Documents

3) Management Communication Diary

4) House Management Plans

5) RSA training Register

of 41

Which 6 practices or trading conditions must be complied with to operate under a

liquor licence?

1) Maintain an incident register

2) Remain open during permitted trading hours

3) Adhere to all trading conditions attached to licence

4) Comply with various local government by-laws

5) Maintain a training register

6) Must provide free potable water to patrons at all times

7) Abide by trading hours according to the Licence and/or ETP