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Home > Liquor > Resources  > Self audit checklists

Self audit checklists

About

Checklists are a valuable tool that can help your venue become and remain compliant with liquor and gaming laws.

Our compliance officers use these checklists when they audit licensed premises. They cover important legislative requirements such as signage, advertising, responsible service of alcohol (RSA) and the responsible conduct of gambling (RCG).

There have been three major changes to checklists:

  1. The checklists have been written for the venue operator as opposed to the industry regulator;
  2. All correct answers means that the venue operator has met that particular guideline or requirement; and
  3. Licensees can test against their own licence conditions as stipulated on the vendor operators displayed licence.

We encourage you to use them regularly to help monitor your compliance.

Checklists

PDF Club licence (2.09 mb)
PDF Hotel licence (2.20 mb)
PDF Limited licence (2.47 mb)
PDF On-premise licence (526 kb)
PDF Packaged liquor licence (394 kb)
PDF Producer/wholesaler licence (394 kb)

PDF Schedule 4 Level 1 (42 kb)
PDF Schedule 4 Level 2 (37 kb)

Standards and systems audit assessment for licensed venues

Our standards and systems audit focuses on the way a venue approaches compliance. It helps you to assess the processes and procedures in place to ensure on-going compliance with the law and specific licence conditions.

Our goal in developing this audit program is to ensure as many venues as possible can reduce their risk rating, eventually moving into a low risk category.

The audit has four key components. These components have been designed to help you identify your venue's risks, assess the level of risk, identify strategies to reduce your risk rating and compile a compliance folder outlining your venue's compliance program.

The compliance folder should serve as a tool for your staff, providing them with a ready reference to all aspects of your operations and how to comply with legal requirements and licence conditions. It should include completed copies of all the standards and systems tools provided below, along with other essential documents outlined in the standards and systems compliance program.

Completing a standards and systems audit for your venue

To gain maximum benefit, you should complete the following process in the order listed below.

  1. Standards and systems risk matrix - You should complete a risk matrix based on the Risk matrix template located in the 'Forms' section. The risk matrix enables you to identify your venue's risks.
  2. Standards and systems audit - After completing the risk matrix, you should then use the Standards and systems audit located in the 'Forms' section to assess your venue's risk level. The audit enables you to identify levels of compliance in specific operational areas. It provides a series of questions that you may wish to ask your supervisory staff to ensure they are aware of what is legally required and how your venues complies.
  3. Standards and systems audit assessment sheet - Once you have completed the audit and determined where you need to improve in order to comply, you should use the Standards and systems audit assessment sheet located in our 'Forms' section to assign your venue a level of risk. Your risk level may range from extreme (1 - 3), moderate (4 - 7) or low (8 - 10) depending on how effective your standards and systems are in ensuring compliance. In assessing your risk level, your goal should be to reduce your risk rating, eventually moving into the low risk category.
  4. Standards and systems compliance program - Once you have completed the above steps, you should formalise your compliance program, by compiling a centralised compliance folder. The folder should contain the standards and systems audit documents listed above, along with other key documents relating to all aspects of the venue's operations.

    Download a copy of the Venue's compliance program - a guideline providing recommended key documents to assist you and your staff.

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