Enforcement hearing process

If you receive a Notice of Enforcement Action (NOEA) and you choose not to sign a waiver, the next step is an enforcement hearing.

At the enforcement hearing, you may claim the:

• Alleged contravention(s) did not occur
• Proposed enforcement action is not necessary
• Defence of due diligence

On this page:

• Liability and defence of due diligence
• Enforcement hearing roles and responsibilities
• Pre-hearing conference
• Hearing location
• Hearing process and format
  • Introduction
  • Evidence and questioning
  • Case summary and submissions
• Results of hearing
• Reconsideration

---

Liability of the licensee

Licensees are liable if they, or a member of their staff, contravene the legislation or licence terms and conditions.  Licensees may face a penalty for a contravention, whether or not the contravention was intentional. Learn more about liquor and cannabis legislation. 

Eligibility for a defence of due diligence

At an enforcement hearing, an eligible licensee may have the opportunity to prove a defence of due diligence to avoid facing a penalty. A due diligence defence is only available if the employee who contravened the rules is not the "directing mind" of the licensee.

A licensee's eligibility for a defence of due diligence is determined in two stages:

1. The contravention occurred without the "directing mind's" participation or knowledge
2. The licensee took reasonable preventative measures before the contravention occurred

Such measures include having:

• A system in place to prevent the contravention
  • For example, training staff about policies and best practices to identify and avoid contraventions
• Ensuring the system is reinforced to operate effectively 
  • For example, provide ongoing training and reminders to staff about these policies and monitoring staff and patron compliance

At an enforcement hearing, the licensee has an opportunity to prove that those systems and reinforcements are in place.  Examples of evidence may include:

• Documents such as training manuals, staff meeting minutes, reminder messages
• Witnesses such as training supervisors and staff who have completed training
• Incident log showing compliance, such as removing intoxicated patrons
• Any other evidence to prove due diligence

Remember, only evidence collected before and up to the time of the contravention is considered in your defence of due diligence. Any steps taken to solve the issue after the contravention would not be considered in the hearing. Learn more about measures to prevent contraventions and see past hearing decisions. 

---

Enforcement hearing roles and responsibilities

There are several roles and responsibilities in an enforcement hearing.

---

Pre-hearing conference

Before the enforcement hearing, the registrar may conduct a pre-hearing conference. The conference is between you and the Branch advocate. A liquor and cannabis inspector or investigator might also attend.

A pre-hearing conference will normally be conducted by telephone or videoconference.

The purpose of the meeting is to

• provide information about the hearing process
• assist in clarifying, identifying, and narrowing the issues in dispute
• discuss the evidence (including witnesses) that will be presented at the hearing
• set out the requirements for the pre-hearing disclosure of evidence, including expert evidence and agreed statement of facts, if any, between the parties
• discuss and set locations, dates and time for the hearing, and in doing so may consider witness’ availability
• issue summons for witnesses, if required
• set deadlines and directions in case of written submissions
• determine if a party or a witness requires any services to attend the hearing, such as for example, access for persons with disabilities, interpretive services, or services for the deaf
• impose time limitations and direct production of documents, expert reports, agreed statement of facts, written submissions or any other processes necessary for the fair and efficient management of the hearing
• set directions for the use of videoconference at a hearing
• set out procedures to ensure a timely, fair, and efficient hearing

The registrar will send the results of the pre-hearing conference by:

• mail, or
• email

If you don’t attend the pre-hearing conference, you might lose the opportunity for an oral hearing. That means the general manager will base a decision on the written material only.

---

Hearing location

The LCRB Registrar determines the location of the hearing and the way it will be conducted.

Hearings generally happen in writing unless an oral hearing is deemed necessary. Oral hearings normally take place over videoconference.

Penalty-only hearings generally occur by written submissions.

Hearing process and format

In general, the format for an oral hearing, either in-person or by videoconference is:

Introductions

• The hearing delegate makes introductory comments
• You and the branch advocate introduce themselves
• The hearing delegate deals with any preliminary matters

Evidence and questioning

• The branch advocate presents the Branch’s evidence of the contravention. This may include
  • Documents
  • Witnesses
  • An explanation of the branch’s reasons for the proposed enforcement action
• You or your representative may question the Branch’s witnesses
• You may present evidence, including documents and witnesses
• The branch advocate may question your witnesses

Any measures taken after the contravention will not be considered as evidence in the licensee's defence. 

Case summary and submissions

• The Branch advocate
  • Summarizes the Branch’s case
  • Makes final submissions on the alleged contravention(s) and the proposed penalty
• You may
  • Summarize your case
  • Make final submissions on the alleged contravention(s) and the proposed penalty
• The hearing delegate may ask questions of the participants at any time during the hearing

---

Hearing decision

The hearing delegate considers the evidence and argument presented by you and the Branch, and issues a written decision within 30 days after the hearing is completed. You will be given a copy of the written decision. Learn more about the results of a hearing and possible enforcement action. 

If you don't agree with the hearing decision, find out about the reconsideration process.