Permits for a Winery in Rochester, New York

While not legally mandated for all licensees, the SLA strongly encourages completion of its Alcohol Training Awareness Program (ATAP). Completing ATAP can be used as a mitigating factor in SLA enforcement proceedings. Some SLA penalty settlements require ATAP completion. Many municipalities and the SLA may condition license approval or renewal on ATAP training for managers and servers.

Allows production of wine, wine products, cider, and mead with a 250,000 gallon annual limit. Must use 75% NYS grapes/fruits in wine, 100% NYS apples in cider, and 100% NYS honey in mead. MUST be located on a farm. May sell own and other NYS-labeled products at the licensed premises and to-go. Significantly cheaper than a full winery license and no surety bond required.

In addition to the NYS SLA license, all wineries must obtain a Federal Basic Permit and register their wine premises (Bonded Winery or Bonded Wine Cellar) with the Alcohol and Tobacco Tax and Trade Bureau (TTB). Filed on TTB Form 5120.25. This is a federal requirement that applies in all states.

A temporary permit allowing new applicants to serve alcohol while their full SLA license application is being processed (which takes 22-26 weeks). Valid for 90 days and can be renewed for additional 90-day periods. Allows the applicant to begin operations while waiting for full license approval.

Full manufacturing license for wineries with no cap on production volume and no New York State ingredient requirement. Allows production of wine, wine products, and mead. Unlike a farm winery license, does not need to be located on a farm. Requires a surety bond. More expensive than the farm winery alternative.

Most bars, restaurants, breweries, and wineries form a legal entity (LLC or corporation) in New York. LLCs file Articles of Organization and corporations file a Certificate of Incorporation with the NYS Department of State. LLCs also must publish a formation notice in two newspapers for 6 consecutive weeks (the 'publication requirement'), which adds significant cost especially in NYC counties.

Required when operating under a name different from the legal entity name. Filed with the NYS Department of State, Division of Corporations. For sole proprietors and general partnerships, a DBA must also be filed with the county clerk in each county where business is conducted.

Virtually all employers in New York State must provide disability benefits (DBL) insurance coverage for their employees under the NYS Disability Benefits Law. Provides cash benefits to replace a portion of wages lost due to off-the-job injury or illness. Employers can obtain coverage through a private carrier, NYSIF, or self-insurance. Employees may contribute up to $0.60/week toward the cost, deducted from wages.

All employers who meet liability conditions must register with the NYS Department of Labor for unemployment insurance. Standard employers become liable the first day of the calendar year they employ 4 or more workers on at least one day in each of 20 different weeks during that year or prior calendar year. The DOL assigns an 8-digit employer registration number used for all quarterly filings (Form NYS-45). Registration is coordinated with the Department of Taxation and Finance for combined withholding, wage reporting, and UI returns.

All employers in New York State are required to report all newly hired and re-hired employees to the NYS Department of Taxation and Finance within 20 calendar days of the date of hire. This is a federal and state requirement under the Personal Responsibility and Work Opportunity Reconciliation Act. Reports can be filed online, by fax, or by mail using Form IT-2104.

All employers paying wages to employees in New York State must register as a withholding tax agent with the NYS Department of Taxation and Finance. This is done as part of the combined employer registration (Form NYS-100) that also covers unemployment insurance. Employers must withhold NYS personal income tax from employees' wages and remit it quarterly or more frequently based on the amount of tax withheld.

All employers in New York State must provide Paid Family Leave (PFL) benefits insurance. PFL provides eligible employees with job-protected paid time off to bond with a new child, care for a close relative with a serious health condition, or assist with family situations when a family member is deployed abroad on active military service. PFL is funded entirely by employee payroll deductions (not employer-funded), but the employer must obtain and maintain the insurance policy.

Virtually all employers in New York State must provide workers' compensation insurance coverage for their employees. There are no exceptions for small businesses — even one employee triggers the requirement for most industries (including hospitality). Coverage can be obtained through: (1) a private insurance carrier authorized by NYS Department of Financial Services, (2) the New York State Insurance Fund (NYSIF), or (3) self-insurance with WCB approval. Proof of coverage (Form C-105.2 or U-26.3) is required for many government permits and licenses, including SLA liquor licenses.

An individual certificate required for persons designated as fire safety/crowd managers at indoor places of assembly with an occupant capacity of 75 or more in NYC. The establishment must have at least one F-03 certificate holder on duty during all hours of public assembly. Obtained by passing an FDNY-administered exam.

Within one year after a DOB Place of Assembly Certificate of Operation is issued, the establishment must obtain a Place of Assembly Permit from the NYC Fire Department (FDNY). This permit is renewed annually based on FDNY inspection results. Covers fire safety compliance including sprinkler systems, exit signage, extinguishers, and crowd capacity management.

Required in NYC for any premises where 75 or more members of the public gather indoors (or 200+ outdoors) for purposes including consuming food or drink. Issued by the NYC Department of Buildings (DOB). Most bars and restaurants with 75+ occupancy require this. Within one year of issuance, a Place of Assembly Permit must also be obtained from FDNY.

At least one supervisory-level employee at each NYC food service establishment must hold a valid Food Protection Certificate issued by the NYC DOHMH. Requires completion of an approved food protection course (available free online from NYC Health Academy) and passing an in-person proctored exam. The certificate is valid for 5 years.

Under Article 20-C of NYS Agriculture & Markets Law, retail food stores that prepare food on-premises must furnish evidence that an individual in a management/control position has completed an approved food safety education program. Exemptions exist for very small establishments (owner + family or max 2 FTEs) and those with annual gross sales under $3,000,000.

Required for any establishment in New York City that serves food or beverages to the public. Issued by the NYC Department of Health and Mental Hygiene (DOHMH). The establishment must pass a pre-permit inspection before a permit is issued. Subject to unannounced inspections at least once per year with letter grading (A, B, C) posted publicly.

Required for any food service establishment operating outside New York City. Issued by the local county health department under NYS Department of Health (DOH) regulations (10 NYCRR Subpart 14-1, NYS Sanitary Code). Fees and requirements vary by county. The establishment must comply with NYS Food Protection regulations and pass an inspection before a permit is issued.

All food service establishments in NYC that discharge grease, fats, oils, or food waste into the sewer system must have a properly sized and maintained grease interceptor (grease trap). The NYC Department of Environmental Protection (DEP) requires compliance with grease disposal regulations. While not a traditional 'permit,' non-compliance results in significant fines and is a prerequisite for operating a food establishment.

An annual permit required in NYC for illuminated signs that extend beyond the building line (projecting signs, blade signs, awning signs with illumination). Billed annually by the NYC Department of Finance. The fee is based on sign type and square footage per NYC Administrative Code Section 26-212 (Table 28-112.2).

Required in NYC for most business signs. If your sign is illuminated, projects from the building, or is larger than 6 square feet, a Sign permit (SG) must be filed through DOB NOW: Build. Small, non-illuminated signs (6 sq ft or less, flat against the wall) are exempt. Signs painted directly on walls do not require a permit. May also require an Alteration Type 3 permit for structural/installation details and an Electrical permit for illuminated signs.

Tenants in Manhattan south of 96th Street who pay annual rent of $250,000 or more are subject to the NYC Commercial Rent Tax (CRT) at a rate of 3.9% of the rent exceeding the base threshold (with a sliding-scale credit for rent between $250,000 and $300,000). Any bar, restaurant, brewery, or winery operating in this area at that rent level must file and pay CRT.

Corporations (including S-corps) doing business, employing capital, owning or leasing property, or maintaining an office in New York State must file an annual franchise tax return (Form CT-3 or CT-3-S). LLCs treated as partnerships for federal tax purposes file Form IT-204 (Partnership Return). The minimum franchise tax is based on the entity's New York receipts.

Every person who sells taxable tangible personal property or taxable services (including prepared food, alcoholic beverages, and cover charges) in New York State must register with the Tax Department and obtain a Certificate of Authority. Must be obtained at least 20 days before beginning business. Must be prominently displayed at the place of business. Allows the collection of sales tax and issuance/acceptance of exemption certificates.

States the legal use and/or type of permitted occupancy of a building. All new buildings need a CO; existing buildings need a current or amended CO when there is a change in use, egress, or type of occupancy. A restaurant, bar, brewery, or winery must verify the property has a CO that permits their type of business. In NYC, issued by the Department of Buildings. Outside NYC, issued by the local building department or code enforcement office.

Before opening, the establishment must verify its location is properly zoned for its intended use (eating/drinking establishment, manufacturing for breweries/wineries, etc.). In NYC, must be in a commercial or mixed-use zoning district. For alcohol service, must be the legally required distance from a school or place of worship (the SLA 200-foot / 500-foot rule also applies). If the location is not properly zoned, a use variance or special permit from the Board of Standards and Appeals (BSA) or City Planning Commission may be required.