Licensee Risk Assessment and Management Plan General Code of Practice Liquor Licensing Act 1997

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1 Consumer and Business Services Licensee Risk Assessment and Management Plan General Code of Practice Liquor Licensing Act 1997 Chesser House, Grenfell Street Adelaide SA 5000 GPO Box 2169 Adelaide SA 5001 t w w Consumer and Business Services (CBS) has developed a risk assessment and management plan template to assist licensees to comply with the requirement of the General Code of Practice (the General Code) to have a written management plan in place. The General Code is established under the Liquor Licensing Act 1997 (the Act) and must be complied with by all licensees. The General Code of Practice Guidelines (the Guidelines) provide examples of good practices which can be followed that may assist licensees to comply with the General Code and outline some of the factors to be considered when making an assessment of the risks associated with your licence. Also included in the Guidelines are examples of unacceptable practices which are likely to be in contravention of the General Code and may result in disciplinary action or prosecution against the licensee and/or other persons. The risk assessment and management plan template has been developed by CBS as a tool to be used by any licensee, however, industry bodies are at liberty to develop their own templates for their members. The primary issue being that licensees must have a written management plan in place. In addition to the risk assessment and management plan template, you can refer to the following documents for assistance in developing your written management plan Your liquor licence (including your licence conditions) The General Code The General Code Guidelines The Self-Assessment Compliance Audit Checklist (if applicable) The Intoxication Guidelines The Act These documents are all available on the CBS website - You might like to attach copies of the abovementioned documents for reference as part of your management plan. In addition, existing policies/procedures that many licensees have in place can be attached to your management plan. 1

2 Licensees with no licensed premises or on-premises consumption Licensees with no licensed premises or on- premises consumption (for example, direct sales or producer s licences) will only need to ensure that their management plan addresses the requirements and the risks that are relevant to them. For example, practices relating to minors (relating to direct sales), practices relating to promotions/advertising etc. Purpose of the General Code of Practice The purpose of the General Code is to promote the objects of the Act. These objects are outlined in both the Act and the General Code. The intention of the General Code is to make sure you assess the potential risks associated with your business (taking into consideration your licence class, the nature of your operations and any conditions attached to your licence), and put in place practices/measures to manage these risks. You must make an assessment of the risks associated with the business being conducted under your licence to determine whether they are a low, medium or high risk or whether any practices pose an unacceptable risk. This assessment must be based upon what a reasonable person would consider to be low, medium, high or unacceptable. Generally speaking, the level of risk associated with your licence will depend on a number of factors including the type of licence you have, your hours of operation, whether you trade late at night or have entertainment, the capacity limit of your licence and the type of patron that you attract. In this regard, a small licensed café will clearly carry a different risk to a large night club. Please note that the General Code says that you must be able to demonstrate that you have taken reasonable steps to assess the risks associated with your licence, and you must have a written management plan in place containing the reasonable measures that you are going to implement to reduce and manage these risks. Your written management plan must be current and you must ensure that all staff receive training in relation to the content of the management plan and how they are required to implement the measures outlined within it. Noting this, it is important to remember that the level of risk and the reasonable steps that you need to take may change from time to time. For example, if you conduct a particular promotions or events or if for some other reason your premises is likely to attract a greater number of patrons or have an increased demand for liquor then your plan should identify this and any additional measures to be implemented at those times. Getting Started on your management plan You will be asked throughout the management plan template to consider the specific risks associated with your licence and identify what reasonable measures you can implement in response to those risks and to ensure compliance with the requirements of the General Code. Ensure that you give consideration to the nature and extent of your licence, including your specific licence conditions. The management plan template provides some examples of the types of risk factors and measures that you should consider when developing your management plan. Ensure that you also refer to the Guidelines for further information in relation to this. 2

3 As not all of the examples will necessarily be applicable to you (for example, what might be relevant to a hotel will not necessarily be appropriate for a restaurant or small cafe), the template allows you to identify which of the examples you will adopt as part of your plan and also provides room for you to list other measures that you will implement. You will the need to review each section of the management plan template, adapting the examples and information throughout to ensure your plan accurately reflects the risks and measures relevant to your licence. If the room provided is not sufficient, simply attach another piece of paper to the template. Questions to ask yourself The following questions will help you to assess the risks associated with your licence and determine the reasonable measures that you are going to implement to address those risks. Consider the following - What is the risk? Why does the risk exist? When does the risk exist? Where does it exist (all or part of the premises)? How will I and my staff respond to the risk? What reasonable measures will I need to put in place? 3

4 Risk Assessment and Management Plan Name Licence No... Class of Licence Risk Assessment and reasonable steps General Code requirements General Code of Practice Undertake an assessment of the risks associated with your operational practices. Identify - low risk medium risk high risk Do not undertake operational practices involving unacceptable risks. Risk Assessment Consider the nature and extent of the licence to identify the risks associated with operational practices. Some factors to consider Have you identified your class of licence? Do you have a licensed premises? Do you allow on-premises consumption? If you do not have a licensed premises and do not allow on- premises consumption, have you identified the sections of the General Code that are still applicable to you? Have you given consideration to your authorised trading hours and/or actual trading hours? Have you given consideration to your authorised capacity and/or the number of patrons you generally have on your premises at any given time? Have you given consideration to the type of entertainment (if any) that you provide on your premises? Have you given consideration to the type of patron that your premises generally attracts (e.g. male/female, age group)? Can your premises be hired out for special functions such as 18th and 21st birthdays or weddings? Do you conduct special events or promotions and if so, do you see a greater number of patrons on your premises at these times? 4 Circle Yes or No

5 Have you had any alcohol related incidents in the past which you should consider as part of your risk assessment? Have you given consideration to all other factors relevant to your licence and specific to your operations? Do you and your staff have an understanding of the key objects of the Liquor Licensing Act 1997 (in particular, to minimise harm, promote responsible attitudes towards the consumption of liquor, ensure public order and safety etc.)? Do you and your staff understand the purpose and the intention of the General Code (i.e. to minimise harm, promote responsible attitudes towards the consumption of liquor, ensure public order and safety etc.) Are you and your staff familiar with and have you referred to the General Code of Practice Guidelines to assist you to determine the types of measures that you can implement? After considering the nature and extent of your licence and operational practices, is it likely that the risk level for your premises will vary from time to time (e.g. when hosting a special event or conducting special promotions)? Have you assessed whether any of your operational practices pose an unacceptable risk? Are there any other factors that you should take into consideration? List other factors relevant to your risk assessment: 5

6 Have you assessed the overall level of risk associated with your licence? Yes/No Overall risk assessed as: low risk medium risk high risk NOTE: Ensure that your management plan reflects consideration of the abovementioned factors and any other factors that might be relevant to your specific licence. 6

7 Required Training and Practices NOTE: Part 2, Clause 7(4) of the General Code lists the licence classes that are exempt from the mandatory RSA training requirement. The Commissioner may also grant exemptions upon request in some circumstances. Are you exempt from the mandatory RSA training requirement? Yes / No If you are exempt, your management plan will not need to include measures to ensure compliance with this section of the General Code and you can continue on the next page. General Code requirements Risk Assessment Some factors to consider Practices/measures to be implemented General Code of Practice - Part 2 Clause 7 - Responsible Service of alcohol training (1) A licensee must ensure that all staff involved in the service or supply of liquor on the licensed premises complete nationally accredited responsible service of alcohol (RSA) training. (2) Training must be completed - (a) current staff by 18 January (b) new staff within 3 months of commencing employment. Do you have staff that are required to undertake RSA training? If you have answered yes, how many staff require this training? Do you already keep a record of training completed by staff? If you have answered yes, can you make this readily available upon request and how? List other factors relevant to your risk assessment: Retain copies of training certificates for all staff on the licensed premises. Document and have readily available if requested for compliance purposes, the commencement date of employment for each employee and the date that each employee completed their RSA training. Develop a schedule outlining when certain staff will undertake the training course to ensure that all staff complete this within the specified timeframes. List other practices/measures that you are going to implement to ensure compliance:. Yes/No (5) A licensee must produce evidence of the completion of responsible service of alcohol training by persons as required by this clause or by licence conditions, within 7 days of being requested to do so by an authorised officer. 7

8 Practices relating to minors General Code requirements Risk Assessment Some factors to consider Practices/measures to be implemented General Code of Practice - Part 2 Clause 8 - Practices relating to minors (1) A licensee must take reasonable steps to prevent Are minors permitted on your premises? If you answered yes, why do minors attend your premises? Are they there before or after sport (e.g. at a sporting club) or for the entertainment that you provide? Are they there for a meal (e.g. at a hotel or restaurant)? Refuse service of alcohol to any person suspected of being underage and who does not have acceptable ID to show otherwise. Ensure that staff are aware of the types of identification (ID) that can be accepted as proof of age. (a) minors consuming or being supplied with liquor on the licensed premises (b) minors unlawfully entering or remaining on the licensed premises or any part of the licensed premises that is out of bounds to minors. Remember, in most cases, minors are prohibited from entering or remaining in licensed premises between the hours of midnight and 5 am (except in a dining area). In the case of an Entertainment Venue Licence, minors must not enter or remain in licensed premises between 9pm and 5am Are minors who attend your premises usually accompanied by a parent or guardian? Between what times are minors generally present?... If areas of licensed premises have been declared out of bounds to minors, ensure that relevant signs are placed at all entry points to those areas. If appropriate, require patrons to provide proof of age before entry onto the licensed premises. Ensure that staff are familiar with the relevant sections of the Liquor Licensing Act 1997 that relate to minors. Require staff to patrol the premises at midnight to ensure that no minors are still on the premises (as per S112 of the Liquor Licensing Act minors not to be on premises between midnight and 5 am). In what areas of your premises are minors permitted and what areas are out of bounds to minors? List other practices/measures that you are going to implement to ensure compliance:. List other factors relevant to your risk assessment:. 8

9 Practices relating to minors continued

10 Practices relating to minors continued. General Code of Practice - Part 2 Clause 8 - Practices relating to minors How often do you conduct special promotions?. Ensure advertisements or promotions are not linked to events that appeal to, or are especially relevant to minors (for example, promotions linked to Schoolies Week or after parties etc). (2) A licensee must not promote, advertise or conduct their operations in a way that tends to encourage minors to consume liquor. Do the promotions you conduct involve products that might particularly appeal to minors? If you answered yes, describe the promotions you conduct.. Ensure that advertisements do not include imagery, designs, motifs, interactive games, merchandise or media that is likely to appeal to minors. Ensure that advertisements do not include role models, celebrities or other testimonials that primarily appeal to minors. Is your premises or advertisements (e.g. posters) located near a local school? If you answered yes, what steps have you taken to reduce the likelihood of you advertisements appealing to minors?. Who are your promotions/advertisements aimed at?. What age group are your promotions aimed at?. Ensure that advertisements are not placed in close vicinity to a primary or secondary school or other place primarily frequented by minors. List other practices/measures that you are going to implement to ensure compliance:. List other factors relevant to your risk assessment:.. 10

11 Practices promoting a responsible attitude to the consumption of liquor on licensed premises General Code requirements Risk Assessment Some factors to consider Practices/measures to be implemented General Code of Practice - Part 2 Clause 9 - Practices promoting a responsible attitude to the consumption of liquor on licensed premises How often do you conduct special promotions?. What type of promotions do you conduct? Ensure that the language, slogans or images used in advertisements or promotions does not encourage consumers to get drunk, drink excessively or drink rapidly (for example, drink until you drop, beat the clock, drink like a fish, beer prices hammered ). (1) A licensee must not promote, advertise or conduct their operations in a way that tends to encourage the rapid or excessive consumption of liquor or that discourages a responsible attitude to the consumption of liquor.. How do you advertise your business (e.g. TV, newspaper, radio, posters)?. Who are your promotions/advertisements aimed at? Males or females? What age group?. Prohibit the display of honour boards which show patrons names and the quantity of liquor consumed over a period of time such as 100 Pints Club, Beer Legends or similar. Prohibit drinking games, competitions, dares or challenges that involve rapid or excessive consumption of liquor (for example, skolling games, speed drinking games, boat races). Limit the number of certain beverages (such as those designed to be consumed rapidly) that can be served to one person at a time (for example, shots of spirits). List other factors relevant to your risk assessment: List other practices/measures that you are going to implement to ensure compliance:

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13 Practices promoting a responsible attitude to the consumption of liquor on licensed premises continued. General Code of Practice - Part 2 Clause 9 - Practices promoting a responsible attitude to the consumption of liquor on licensed premises (2) A licensee must not offer gender-based promotions involving free or discounted liquor. How often do you conduct special promotions?. What type of promotions do you conduct?. Do your advertisements/promotions appear to be aimed specifically at males or females and do they involve free or discounted liquor? Yes/No If you answered yes, describe the promotions you conduct.. List other factors relevant to your risk assessment: Prohibit gender based promotions or practices such as - unlimited free alcohol for women all night $1 beers for blokes on Grand Final Day Special all you can drink offers for females only. Promotions involving free drink cards for all females upon entry. $1 spirits or cheap drink ladies nights or bachelor nights. Note: Promotions that are not specifically gender-based and clearly do not encourage rapid or excessive consumption (for example, a free champagne or beer with a meal on Mother s or Father s Day) would not be considered a breach of the General Code of Practice. List other practices/measures that you are going to implement to ensure compliance:

14 Practices promoting a responsible attitude to the consumption of liquor on licensed premises continued. General Code of Practice - Part 2 Clause 9 - Practices promoting a responsible attitude to the consumption of liquor on licensed premises (3) Except where liquor is sold for consumption off licensed premises only, or where liquor is supplied by way of sample only, a licensee must at all times - a) ensure that free cool drinking water is readily available to patrons on the licensed premises; and (b) ensure that at least one non-alcoholic beverage (other than water) is available for purchase at a price that does not exceed the price of the least expensive alcoholic beverage available for purchase. Will free cool drinking water be made available over the counter upon request or will it be available for customers to help themselves from some kind of water dispenser unit that sits on the bar?. If you are providing a water dispenser unit for customers, how often does this need to be checked to ensure that it is not empty?. What type of non-alcoholic beverages do you have available for purchase (is applicable)?. What is the least expensive non-alcoholic beverage that you have available for purchase (if applicable)?. Are these beverages always in stock? Yes/No List other factors relevant to your risk assessment: Regularly check that water dispenser unit is full. Place signage showing customers where they can access free drinking water. Ensure that non-alcoholic beverages are always in stock. List other practices/measures that you are going to implement to ensure compliance:

15 Practices relating to drink spiking General Code requirements Risk Assessment Some factors to consider Practices/measures to be implemented General Code of Practice - Part 2 Clause 10 - Practices relating to drink spiking (1) A licensee must take reasonable steps to reduce the likelihood of drink spiking occurring on the licensed premises (2) A licensee must cooperate with and assist police in any investigation relating to alleged drink spiking In this clause drink spiking includes any addition of alcohol or other substance to a person s drink without the person s knowledge or permission (whether at all or in the quantity added). Is alcohol served over the bar or is table service provided? (Drink spiking is less likely to occur if people are purchasing their own drinks. If customers are purchasing drinks for others, there is the potential for requests to be made to add amounts of alcohol to a person s drink without their knowledge).... What type of customers do you serve?... List other factors relevant to your risk assessment: Ensure that staff understand the seriousness and consequences of drink spiking allegations. Unattended glasses will be collected to reduce the risk of drink spiking. Train staff to be aware of unusual beverage requests (for example, beer with a nip of spirits). Decline patrons requests to add extra alcohol to friends drinks without their knowledge. Monitor and, if necessary, report any suspicious behaviour to the police. List other practices/measures that you are going to implement to ensure compliance:

16 Practices relating to intoxication and disorderly, offensive, abusive or violent behaviour General Code requirements Risk Assessment Some factors to consider Practices/measures to be implemented General Code of Practice - Part 2 Clause 11 - Practices relating to intoxication and disorderly, offensive, abusive or violent behaviour (1) A licensee must take reasonable steps What is the likelihood that your customers might pre-load on alcohol or other substances before visiting your premises?. How late do you trade?. Ensure that all staff are familiar with the Intoxication Guidelines available from the CBS website and are alert to the signs of intoxication. Require staff to monitor patron behaviour, including behaviour that may indicate that someone is under the influence of an illicit substance (for example, not purchasing or consuming liquor but behaving as though under the influence). (a) to prevent the sale or supply of liquor to intoxicated persons in circumstances where their speech, balance, coordination or behaviour is noticeably impaired and it is reasonable to believe that the impairment is the result of the consumption of liquor or illicit substances; How many people can be in your premises at any time?. Are large licensed events or festivals ever held near your premises? If you answered yes, describe the events or festivals.. Actively promote food Monitor the door and any queues closely - you can help prevent problems before they occur as this provides an opportunity to deny entrance to intoxicated or disorderly patrons. Ensure that a range of non-alcoholic drinks are available. Encourage the service of low alcohol drinks (for example, light beer). (b) to reduce the likelihood of incidents of intoxication and/or disorderly, offensive, abusive or violent behaviour on licensed premises; and (c) to manage incidents related to intoxication and/or disorderly, offensive, abusive or violent behaviour that may occur on licensed premises. What type of customers does your venue attract or do you have particular customers that frequent your premises? List other factors relevant to your risk assessment:. List other practices/measures that you are going to implement to ensure compliance:. 16

17 Practices relating to intoxication and disorderly, offensive, abusive or violent behaviour continued

18 Practices relating to disturbances General Code requirements Risk Assessment Some factors to consider Practices/measures to be implemented General Code of Practice - Part 2 Clause 12 - Practices relating to disturbances (1) A licensee must take reasonable steps (a) to prevent undue offence, annoyance, disturbance, noise or inconvenience to people who reside, work or worship in the vicinity of the licensed premises, resulting from entertainment or activities on the licensed premises or the conduct of people making their way to or from the licensed premises; and Is your premises located within or near a residential area? How late do you trade? How many people can be in your premises at any time? Do you provide entertainment? If you answered yes, what type of entertainment is provided and is this likely to create a lot of noise? Make an announcement could also be made asking patrons to respect neighbours by leaving the area quickly and quietly. Use crowd controllers to help disperse and direct patrons from the immediate area of the premises after closing. Display information about any nearby managed taxi ranks and other public transport services that are available, such as After Midnight Bus Stops, to assist with patron dispersal. Ensure that entry/exit areas and parking areas have adequate lighting and are free of hazards and obstructions. Use of bright lights at the exit of the venue. List other practices/measures that you are going to implement to ensure compliance: (b) to ensure public order & safety. Do customers leaving your premises have to walk past residential areas in order to get to a car park, taxi rank or public transport? Where is your premises located (e.g. is your premises situated on a main road or within a shopping centre or main shopping precinct)? List other factors relevant to your risk assessment: 18

19 Practices relating to disturbances continued.. 19.

20 Induction and refresher training General Code requirements Risk Assessment Some factors to consider Practices/measures to be implemented General Code of Practice - Part 3 Clause 13 - Induction and refresher training (1) A licensee must provide to all staff involved in the service or supply of liquor on the licensed premises, training in relation to the management plan to be implemented to address the risks associated with the operational practices. (2) The training must be provided (a) by a staff member immediately before 18 January 2013 before 18 July 2013 and at least once in each subsequent period of two tears; and (b) by a person who becomes such a staff member on or after 18 January 2013 on induction and at least once in each subsequent period of two years. (3) The licensee must produce evidence of the completion of the training by persons as required by this clause within 7 days of being requested to do so by an authorised officer. How often do I recruit new staff members? Do I already keep a record of training completed by staff? If so, where do I keep this and can I make this readily available upon request? List other factors relevant to your risk assessment: Incorporate discussion of relevant sections of the Liquor Licensing Act 1997 into induction and refresher training for all staff. Use staff meetings as an opportunity to engage staff in discussions about emerging issues and trends relating to the responsible service of alcohol. Document details of when induction and refresher training is provided and keep records of this on the licensed premises. Involve staff in the development of any house policies or operational procedures that address responsibilities mandated under the Liquor Licensing Act 1997 and the relevant Codes of Practice. Consult staff when significant changes are made to house policies or operational procedures. List other practices/measures that you are going to implement to ensure compliance:

21 Approval of Management Plan Date management plan was approved on: Date management plan was last reviewed on: Date management plan is due to be reviewed (must be reviewed and if necessary, modified every two years or when operations under the licence alter in such a way that warrants a review and modification of the management plan to be undertaken): I acknowledge that training in relation to this management plan must be provided to all staff on induction into their employment and at least once in each subsequent period of two years. Signature of Licensee:(or relationship to Licensee e.g. Director) Print name: 21

22 Attachment A Training in relation to this management plan has been provided to the following - Name Date / / Signature Name Date / / Signature Name Date / / Signature Name Date / / Signature Name Date / / Signature Name Date / / Signature 22