Checklist: 5 step guide to creating your own substance misuse policy

A clear and comprehensive substance misuse policy creates a safe and productive workplace for everyone. Whether you're running a small business or managing a large organisation, having a policy in place can protect both your staff and your company from potential risks associated with drug and alcohol use.

In this guide, our legal experts walk you through the key steps for creating a substance misuse policy. By following this step-by-step process, you can establish clear expectations, define rules around substance misuse, outline how employees can report concerns, and specify actions to address any breaches of the policy.

To find out more about implementing your substance misuse policy, check out this guide.

Step 1: Define the scope and application of the policy

This section should specify who is covered and what substances are addressed by the substance misuse policy.

Who the policy applies to

Be clear about who is subject to the policy. It could include:

• All staff: Ideally, the policy should apply to all employees and contractors, ensuring uniform standards.

• Specific roles: For high-risk industry positions (e.g., machinery operators or drivers), stricter rules may be needed. If this is the case, you should clearly define the affected roles to avoid confusion.

This section should not leave room for ambiguity about who the substance misuse policy applies to, which will ensure those impacted understand the rules and their responsibilities.

What substances are covered

Next, you need to define what substances are covered by your substance misuse policy. The term “substances” can be broad, so it's important to be specific about what is included.

Consider including the following categories:

• Alcohol

• Illegal drugs

• Prescription and over-the-counter drugs – these will most likely be treated differently to the above two categories. However, you may wish to state that any over-the-counter drugs that will be prescribed to the employee that could affect the employee’s work must be disclosed to the employee’s manager or other designated person at the company.

By clearly defining the substances covered by the policy, you eliminate any confusion about what is and isn’t allowed. It also helps employees understand what is expected of them and the potential consequences of breaching the policy.

Step 2: Establish responsibilities under the policy

To ensure the effective implementation and enforcement of your substance misuse policy, it's crucial to clearly define the roles and responsibilities of both the company and its employees. This creates accountability and helps maintain a safe and professional working environment.

Company responsibilities

The company, including leadership, HR, or compliance teams, is responsible for:

• Communicating the policy to all employees.

• Regularly reviewing and updating the policy.

• Addressing questions and overseeing the substance misuse policy's implementation. For more guidance on implementing the policy, click here.

Manager responsibilities

Managers play a crucial part in enforcing the substance misuse policy and must:

• Ensure their team is aware of the organisation's substance misuse policy and applicable rules.

• Take appropriate action on breaches while maintaining confidentiality.

• Complete training to manage substance misuse.

• Monitor and address potential misuse in line with the policy.

Step 3: Outline the company rules

When creating your substance misuse policy, it is essential to establish clear and enforceable company rules. These rules ensure that employees understand what is expected of them and the consequences of breaching the policy.

Here are key rules to consider including in your policy:

• Alcohol consumption during work hours: Employees must not consume alcohol during the working day, including during lunch and other scheduled breaks. Consuming alcohol at work or arriving under the influence may result in disciplinary action, including dismissal.

• Professional conduct at work and work-related events: Employees are expected to maintain professional behaviour at all times, both in the workplace and at work-related events. Even when alcohol is served at social functions, employees must uphold high standards of conduct. Any actions that harm the company’s business or reputation will not be tolerated.

• Zero tolerance to drug use: The use of illegal drugs is strictly prohibited during work hours, at work-related functions, and outside work hours if it impacts job performance. Employees must remain drug-free while performing work duties or attending work-related events.

• Medication and its potential effects: Employees prescribed medication that could impair their ability to perform their duties should inform their manager if the medication affects their job performance or safety.

• Prohibition of drug-related activities: Employees involved in the distribution, possession, use, or sale of illegal drugs at work or in a company vehicle will face immediate disciplinary action. This section should also specify whether the company will report such activities to the authorities.

• Consequences of breaching the policy: Breaching the substance misuse policy, such as drug or alcohol misuse, will lead to serious disciplinary consequences, including dismissal for gross misconduct.

Depending on your industry, there may be specific rules or legal requirements that your business and employees must comply with. It is important to conduct thorough research to ensure that your policy aligns with applicable laws. Establishing these rules provides employees with a clear understanding of what is acceptable behaviour and ensures that they are aware of the consequences of not adhering to the company’s substance misuse policy.

Step 4: Outline action to be taken – e.g. informal or formal

It is important to define the actions that will be taken by the organisation if an employee breaches the substance misuse policy.

By outlining both informal and formal procedures, you ensure that issues are addressed consistently and fairly, while also providing employees with the opportunity for support and improvement. Here’s how you can structure this section:

1. Informal action

In some cases, particularly for first-time or minor breaches, informal action may be appropriate. Informal steps include:

• Verbal warning: The employee should be informed of the breach and the potential consequences of further issues related to substance misuse. A discussion should be held with the employee to understand the circumstances and offer support where necessary.

• Support and guidance: If the employee is struggling with alcohol or drugs, managers can provide information about available support programs, performance plans or recommend seeking professional help.

2. Formal action

If the breach is more serious or a repeated offence, formal disciplinary action may be required. Formal steps include:

• Written warning: A formal written warning outlining the nature of the breach, the policy breached, and the consequences of further breaches.

• Suspension: In more severe cases, the employee may be temporarily suspended from work while the issue is investigated.

• Dismissal: If the breach is severe or if the employee repeatedly fails to comply with the substance misuse policy, dismissal may be considered. This action should always be in line with the company’s disciplinary procedure.

You can find out more about creating a disciplinary policy for your business by reading this blog.

Step 5: Ensure the policy is communicated and enforced consistently

For your substance misuse policy to be effective, it is essential that it is communicated clearly to all employees and enforced consistently across the organisation. This helps ensure that everyone understands their responsibilities and the company’s expectations. It also demonstrates the company’s commitment to a safe and productive work environment.

Employee education and training

Educating employees about the policy and the implications of non-compliance is a critical part of implementation. Consider the following:

• Training sessions: Provide comprehensive training for all employees, covering the substance misuse policy’s key elements, how it applies to their roles, and the consequences of breaches.

• Clear communication: Make the policy easily accessible, such as in the employee handbook or on the intranet, and provide regular updates or refresher sessions to keep it top of mind.

• Manager responsibilities: Equip managers with additional training to identify potential issues, address suspected misuse appropriately, and offer support.

By investing in education and training, you empower employees to understand and comply with the policy while enabling managers to enforce it effectively.

Ongoing monitoring and updates

A substance misuse policy should evolve with your organisation and legal landscape. Regular reviews and updates ensure its continued effectiveness. Key steps include:

• Periodic reviews: Assess the policy’s effectiveness at least annually by reviewing implementation, gathering employee feedback, and identifying areas for improvement.

• Legal compliance: Keep the policy updated to reflect changes in laws or regulations.

• Adapting to workplace changes: Update the policy to address new challenges, such as remote working or changes in workplace culture, to ensure it remains relevant.

By continuously monitoring and updating the policy, you ensure it aligns with your company’s values, complies with legal requirements, and adapts to the evolving workplace environment. Communicating these updates regularly will help maintain employee awareness and engagement.

Conclusion

Creating a comprehensive and effective substance misuse policy is crucial for maintaining a safe and productive workplace. By following these steps you will provide employees with clear expectations while protecting the organisation from potential risks associated with substance misuse by staff.

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