Every retail on or off premise licensee should develop a compliance checklist and review it often and add to it from time to time.  Below is an outline of some of the points that should be included.

Check to see if your license and the mandatory signs are properly posted and are visible to your customers.  List the dates when your license is up for renewal. Make certain you are ready to apply to renew your license in a timely manner.  If you have an on-premise license within the five boroughs of the City of New York, you must notify your community board at least 30 days prior to filing an application for renewal. You will also need an updated bond. 

Obtain SLA approval before you change your method of operation; alter your premises; add a bar;  add or remove an owner or director; add or change the name you operate under or change the location of the licensed premises.

If you are planning on closing the premises for more than two weeks, you must place your license in safekeeping with the SLA. In the event a person on your license is arrested and charged with a crime, you must notify the SLA within 48 hours. If that person is convicted, you must also notify the SLA of that fact. Remember a person who has been convicted of a felony and certain misdemeanors cannot be on your liquor license unless he or she receives a pardon or a certificate of relief from disability. 

Make certain you are in compliance with all state and local laws.  You should have a certificate of occupancy, required health permits and signs such as food allergy awareness signs, choking first aid signs and reminders that employees must wash their hands. Do not exceed the occupancy amounts provided by the fire department. 

With limited exceptions, all alcohol must be served from its original container and all beer taps must list the brand name of the beverage to be served. (Logos alone are not sufficient). 

Establish policies to make certain you do not sell to minors. Post “born after” date signs at points of service and point of payment. Make certain all servers have taken an SLA approved Alcohol Training Awareness Program. Support employees when they refuse service to a person who is or might become intoxicated. Make certain you have alcoholic beverages service insurance. 

Maintain order. Have a plan to handle an unruly customer. If necessary, call the police. Do not become a focal point of police activity and stay within reasonable noise limits and do not allow gambling on the premises.  Do not offer unlimited drinks for a single price or drink specials which are below 50% of your standard rates. Only purchase alcohol from a New York licensed wholesaler or supplier. Do not buy from another retailer. 

Know and follow closing times and other license restrictions. There may be restrictions on your license, resulting from a community board stipulation or based on county rules. 

By creating a compliance check list and reviewing it often, you will protect your license, your livelihood, your family and your employees. 

See an example compliance check list here.

Keven Danow is an attorney representing members of all three tiers of the Beverage Alcohol Industry and member of The Danow Group, 605 Third Avenue, New York, NY 10158.  (212 3703744). Website: thedanowgroup.com; email:kd@thedanowgroup.com