Guides
Building a brewery and taproom compliance checklist new owners can trust
Brewery and taproom compliance checklist for new owners, organized by cadence with named authorities, responsible owners, and records to keep.
What to take away
- A compliance checklist is only useful if every line has an owner, an evidence document and a review date. Without those three columns it is a wish list.
- Split the list by rhythmonce before opening, then daily, weekly, monthly, annually. Most failures happen in the recurring lines, not the opening ones.
- Requirements vary by state and locality. The checklist below names federal sources and gives state examples; confirm which rules apply to your location and record the agency's answer.
- A missing document can make it hard to show that a control was completed. Keep the evidence beside the checklist line it supports.
- Review the whole list quarterly and ask one questionwhat changed that nobody checked?
How to build the list
Use four columns for every line: the item, the body that sets it, the person who owns it, and the document that proves it was done. If you cannot fill the last two columns, the line is not yet a control.
Four columns for every control
- Itemwhat must be done
- Bodywho sets the requirement
- Ownerthe named person responsible
- Evidencethe document that proves it
- If last two are blank, it is not a control
Do not copy a checklist from another state and adopt it. Identify the city or county planning and zoning office, building department, local health department, and state alcohol regulator that apply to your address. State agency names vary: examples include the Texas Alcoholic Beverage Commission and the California Department of Alcoholic Beverage Control. Record the answer from your own authorities next to each line.
Before you open
| Item | Who sets it | Evidence to hold |
|---|---|---|
| Permitted use at this address | Local zoning authority | Written confirmation naming the address |
| Federal brewery approval | Federal alcohol regulator | The approved permit or notice |
| State license, with conditions | State alcohol beverage control board | The license and its written conditions |
| Certificate of occupancy and occupancy load | Local building authority | The certificate, with the number |
| Fire inspection and life safety | Local fire authority | The signed inspection |
| Wastewater or discharge approval | Local sewer authority | Written approval or exemption |
| Food permit, where food is served | Local health authority | The permit and the first inspection |
| Employer registrations and payroll setup | Federal and state tax and labor bodies | Registration confirmations |
| Required workplace notices posted | State labor department | Photograph of the posted notices |
| Server training or permits, per role | State alcohol beverage control board | Certificates by person and date |
| Insurance in force, including liquor liability | Your broker and insurer | Certificates and the policy wordings |
| Accessibility of entrance, path and restrooms | Federal and local standards | Design sign off and photographs |
Read the insurance policy, not just the certificate. Keep the policy declarations and endorsements with the checklist, note the coverage and exclusions relevant to the operation, and assign someone to review them at renewal.
Accessibility should be settled at design stage. The U.S. Department of Justice: ADA Guide for Small Businesses explains what a small business is expected to do about barriers and what applies when a space is altered, and a taproom build is an alteration.
The federal side of producing beer begins at the Alcohol and Tobacco Tax and Trade Bureau (TTB): Starting a TTB-Regulated Business: Brewery page, which sets out the application, the premises information required and the reporting a brewer owes. The Brewer's Notice is TTB Form 5130.10; read the page before finalizing a layout, since the layout is part of what you file.
- Federal brewery approval:The TTB sets the Brewer's Notice requirements. Assign the application to the owner handling licensing; keep the submitted TTB Form 5130.10, approved notice and premises materials as evidence.
- Employer registration:The Internal Revenue Service (IRS) issues the Employer Identification Number (EIN). The owner handling payroll should apply using Form SS-4 and keep the EIN confirmation.
- State alcohol license:The state alcohol regulator sets the license requirements. For example, the Texas Alcoholic Beverage Commission is Texas's regulator, and the California Department of Alcoholic Beverage Control regulates California licenses. Keep the issued license and renewal records; verify the agency and requirements for your state.
- Workers' compensation:Requirements depend on the state. In California, California Labor Code §3700 addresses employers' duty to secure workers' compensation, and the California Division of Workers' Compensation administers the system. Keep the policy or other required proof of coverage; California State Compensation Insurance Fund is one coverage option.
- Workplace safety:OSHA requires covered employers to display its “Job Safety and Health: It's the Law” poster (OSHA 3165). Assign a manager to check that it is posted and keep workplace-safety training and incident records that apply to the operation.
- Alcohol service:Check the state alcohol regulator's server-training requirements and accepted courses before assigning staff to serve. TIPS and ServSafe Alcohol are examples of training programs; keep each employee's completion record and confirm the program is accepted in your state.
- Alcohol-service liability:State laws differ. Texas Alcoholic Beverage Code §2.02 is an example of a state dram shop law. Ask the regulator or qualified counsel which law applies to your taproom, and keep the incident and training records relevant to alcohol service.
Daily
- Opening and closing checksthe shift lead owns the task under the house procedure; keep the completed, initialed log.
- Cooler and cellar temperaturesthe assigned shift employee records them under the operation's food-safety or cellar procedure; keep the dated temperature log.
- Cleaning tasksthe assigned employee follows the written procedure and any applicable state or local food-safety code; record the chemical, contact time and sign-off.
- Service refusals and incidentsthe server reports them to the manager under the state alcohol rules and house procedure; keep a factual log with the time, staff member and what happened.
- Cash and till reconciliationthe closing manager follows the house cash-control procedure; keep the reconciliation record, with a second-person check where possible.
The refusal and incident log is the one people skip and the one that matters most if a question is ever asked. Keep it plain and factual.
Weekly
- Draft lines and tapsthe cellar lead follows the cleaning schedule; keep the dated cleaning record.
- Keg and stock count reconciled against sales. The inventory owner keeps the count and reconciliation records; TTB production and removal records must also be maintained as applicable.
- Staff certificationsthe manager checks the state alcohol regulator's requirements before anyone works a solo service shift. Keep the completion record for the accepted course, such as TIPS or ServSafe Alcohol where approved.
- Waste and spent grainthe operations lead confirms the arrangement with the relevant local authority or service provider; keep collection receipts or service records.
- Equipment faultsthe assigned manager logs the fault and repair; keep the maintenance record, whether or not it was fixed.
Monthly
- Payroll records reviewed against time records, with every edit explained. The payroll owner checks the IRS deposit schedule assigned to the business and applicable filings, including Form 941; keep payroll registers, time records, filed returns and deposit confirmations.
- Production and removal records reconciled against sales and packaging. The brewer keeps the records and files the TTB Brewer's Report of Operations, Form 5130.9, as required.
- Training records updated for anyone who moved role. The manager keeps the employee's updated training and certification record.
- Posted notices checked as still present and current. The manager checks OSHA's “Job Safety and Health: It's the Law” poster (OSHA 3165) and any applicable state or federal labor notices; keep a dated check record.
- Pest control and general food safety records reviewed where food is served. The applicable code is whichever your state adopted, which the U.S. Food and Drug Administration: State Retail and Food Service Codes and Regulations page identifies, and your local health authority enforces it. The food-safety lead keeps inspection, pest-control and corrective-action records.
Annually, or on renewal
- License and permit renewalsthe owner tracks deadlines set by TTB, the state alcohol regulator and applicable local agencies; keep each application, payment confirmation and renewed approval.
- Insurance renewalthe owner rereads the policy wording and keeps the renewed policy and proof of coverage, including workers' compensation coverage where required.
- Access to systems, money and keysthe manager checks access against the current staff roster and keeps the dated review.
- Rule changesthe owner checks with TTB, the state alcohol regulator, the local health authority and other applicable agencies; file written answers by date.
- A walk through the whole list asking which lines have stopped being done.
The quarterly question
Once a quarter, ask one question of the whole operation: what changed that nobody checked?
New menu item, new supplier, new opening hour, a role that now does something it did not do before, an outdoor area, a new package format, an event held off site. Each of those can touch a permit, a training requirement or an insurance assumption, and none announces itself as a compliance event.
This matters most when the business is growing, because every one of the routes to more volume is a bundle of changes that individually look operational. Put the compliance review inside the expansion plan rather than after it.
Where a new owner should start
If the list above is intimidating, start with three things.
First, identify which approvals must exist before you sell anything. Start with the TTB Brewer's Notice, the state alcohol license, local zoning and building approvals, and the local health department's requirements if food is served. The exact agencies and permits depend on your address and operation, so record the name of each agency and the documents it requires.
Second, get written answers from each authority to the specific questions your operation raises. File them by date. Third, set up the daily log and the incident log on day one. Those records cannot be reconstructed afterward.
Everything else can be built out over the first quarter. Those three cannot.
Common questions
Who should own the checklist?
One named person, with a deputy. Ownership by a committee means the list is reviewed by nobody, and this is a list where the recurring lines fail quietly.
How long should records be kept?
The periods differ by record and authority. TTB brewery records generally must be retained for at least three years under 27 CFR Part 25, and IRS employment-tax records generally must be kept for at least four years. Check the rule for each record type, including any state or local requirements, write the applicable period beside the checklist line, and keep the longest period when a record serves two purposes.
What if an inspector says something different from what we were told?
Show the dated written answer you were given and ask for clarification. That is exactly why the written answers are worth collecting, and it turns a disagreement into a conversation.
Is a digital checklist better than paper?
Whichever one actually gets completed on a busy night. A digital log with a slow login will be filled in at the end of the week from memory, which is worse than a clipboard.
Do I need a compliance consultant?
For the initial licensing in a complex state, often worth it. For the recurring list, no. It is a management habit rather than a specialism, and outsourcing it tends to mean nobody in the building understands it.
