Compliance checklists for licensees and permit-holders Business Queensland

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For more information on when we might make a public comment, please refer to our Public Comment Policy. A key role of the panel is to provide a level of oversight of and consistency in enforcement decision making. We may take administrative action alone or in combination with any criminal action we take, depending on the facts and circumstances of a particular case. Disciplinary action refers to making a statutory disciplinary complaint to either the Independent Liquor & Gaming Authority or the NSW Independent Casino Commission. Although available remedies differ depending on the legislation involved, a range of options are available to us to deal with non-compliance or allegations of non-compliance. If we investigate a matter, where appropriate, we will communicate the outcome to the person who reported it. We exercise discretion in determining whether we will commit resources to investigating a matter, which means we will, in some cases, decide to take no further action in relation to a report of non-compliance.
When monitoring compliance, gathering evidence of suspected non-compliance, and exercising their statutory powers, our inspectors are required to do so in line with our regulatory principles, our internal policies, and our Code of Ethics and Conduct. In these instances, we will not hesitate to take strong enforcement action, including issuing penalty infringement notices, commencing prosecution action and/or applying or seeking further administrative penalties or conditions where appropriate. When an offence or improper conduct is alleged or identified, including where this has been raised by a member of the public or another agency through a report of non-compliance to us, we may initiate an investigation. This intelligence-led approach enables us to address and deter non-compliance or irresponsible conduct before it becomes a serious concern and helps shape future enforcement activity to better correct behaviours and mitigate any risk of harm. Our systems record all reports of non-compliance, whether alleged or established, and we draw on these intelligence holdings and the results of our monitoring programs to plan operational deployments. We publish or communicate our regulatory priorities and focuses in advance, and alert industry when we identify a specific or thematic risk or issue.
For further information, visit our demerit point system page which include a list of demerit offences. Licensees, managers, and clubs incur demerit points for committing demerit offences or through a prescribed complaint made by L&GNSW or NSW Police to the Independent Liquor & Gaming Authority. Where a more serious offence has been detected, where there is a poor compliance history, or where it is otherwise in the public interest do so, we may opt to deal with offences by issuing a penalty infringement notice or by commencing prosecution action.
L&GNSW works closely with both the Independent Liquor & Gaming Authority (ILGA) and the NSW Independent online casino real money australia Commission (NICC), which are independent statutory authorities. Liquor & Gaming NSW (L&GNSW) administers the regulatory framework for the liquor, gaming, wagering, casino, and registered club sectors in NSW.
We will usually apply administrative remedies when we need to take decisive action to address an ongoing concern or immediate risk. We will usually take disciplinary action in response to serious or repeat breaches of our legislation, or where there are concerns around the fitness of a licensee or operator to hold a position within the industry. Where there are significant mitigating factors around the commission of an offence, or where it is otherwise considered to be appropriate to do so, a formal warning may be issued. It may not always be appropriate to deal with detected offences by way of penalty notice, disciplinary or prosecution action. As a result, we may not be able to provide specific detail on what action, if any, was taken in a particular matter. The amount of information we can provide is often restricted by our secrecy provisions or other factors, including privacy and commerciality considerations. Anonymous reports are not treated any differently, although the inability to obtain further information may impede our assessment process or any subsequent investigation.
These deployments align with our regulatory priorities and are targeted at known or emerging risks or trends. We regularly collaborate with NSW Police, other regulators, and government agencies to develop our understanding of emerging risks in the liquor and gambling industries. Wherever possible, we work in partnership with peak bodies, including industry groups, and stakeholder groups such as liquor accords to gain support for, and achieve, compliance. We identify opportunities to incentivise industry to adopt best practice and strive to increase voluntary compliance as part of our commitment to encourage responsible and sustainable industry development. We aim to build capacity within industry to embrace sustainable practices and embed compliance as a fundamental business consideration. These assessments are informed by our own intelligence holdings and those of other jurisdictions as well as NSW Police and Bureau of Crime Statistics and Research data.
The information and tools we provide come through multiple channels, including websites, information sheets, newsletters, and brochures, and through social media and media releases. We place a significant emphasis on equipping our regulated industries to be able to comply voluntarily, and achieve this through high levels of education, stakeholder engagement, training and providing tools to assist with compliance. We acknowledge that most industry participants want to do the right thing and will comply if they understand their obligations and how they can meet them. Risk is assessed by considering the consequences of the allegedly offending conduct, and the likelihood that similar conduct will occur in the future. L&GNSW undertakes some of this work under delegation, but also undertakes compliance and enforcement activities using its own powers.
Before printing this checklist, ensure you have opened all the sections you need to be included in your printed document. Refer to the relevant legislation where you need to refresh your knowledge. This checklist provides a summarised version, it is not an exhaustive list. Not all questions may be relevant to your licensed venue, you can skip those that don’t apply. Stay on top of your legal obligations with these easy-to-use self-audit checklists. As AI becomes embedded into business workflows and decision… Discover how AI built specifically for legal professionals is reshaping the way legal work gets done.