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Note: Links to our free templates are at the bottom of this long guide.
Also note: This is not legal advice

Introduction

Creating an effective substance abuse policy is essential to ensure a safe and healthy working environment. Substance abuse can lead to decreased productivity, absenteeism, increased health care costs, legal liability, and potential workplace accidents or injuries - not to mention the various impacts this has on morale, customer satisfaction, and business operations overall.

The ��������Ƶ team are experts in producing market-standard substance abuse policies for businesses of any size. Our millions of datapoints provide guidance on what should be included in an up-to-date policy - from a clear outline of expectations and consequences for employees who use drugs or alcohol at work, to defining which substances are prohibited within the workplace. Education and prevention strategies are also key components that should always be considered when creating a policy.

It’s therefore important that your policy is regularly reviewed and updated by legal professionals so it remains compliant with all applicable laws and regulations. Businesses must also consider how they can boost public confidence in their system by introducing more stringent requirements for having insurance coverage - something currently being implemented through new legislation governing unauthorised companies operating within Saudi Arabia.

At ��������Ƶ, we understand the importance of having an effective substance abuse policy in place; this is why we have developed an open source legal template library which anyone can access free of charge to customize high quality documents without paying a lawyer fee. So if you’re looking for step-by-step guidance on how to create a comprehensive substance abuse policy that fits your needs perfectly, our free guide and template library provide the perfect solution today - no account required!

Definitions

Scope: The range of a policy’s coverage, including its purpose, extent, and parameters.
Parameters: The conditions or limits that define a policy.
Subject: The people or things that a policy applies to.
Responsibilities: The duties or tasks that people or organizations are obligated to fulfill.
Prohibited and/or restricted: Not allowed and/or limited.
Exemptions: Exceptions to a policy that allow for certain activities to be done despite the policy.
Investigating: The process of researching, examining, or analyzing something.
Punishing: Imposing a penalty or consequence for a violation.
Training: The process of acquiring knowledge or skill through instruction or practice.
Orientations: Introductory sessions that provide information about an organization or topic.
Testing: Examining a person or thing to determine its quality or performance.
Reporting: The act of providing information or an account of something.
Appeals: Requests to have a decision reviewed or reversed.
Evaluation: The process of assessing or examining something.
Review: An examination or assessment of something.
Compliance: The act of following a policy or rule.
Disciplinary: Relating to discipline or punishment.
Punitive: Of or relating to punishment.

Contents

1. Defining the scope of the policy
2. Establishing clear parameters and expectations for the policy
3. Identifying which individuals are subject to the policy
4. Outlining the responsibilities of all parties involved
5. Identifying the types of substances covered
6. Outlining the types of drugs and alcohol that are prohibited and/or restricted
7. Specifying any exemptions for certain types of substances
8. Establishing enforcement guidelines
9. Setting out consequences for violations of the policy
10. Specifying the process for investigating and punishing violations
11. Developing an education program
12. Offering training and information to employees on the dangers of substance abuse and how to seek help
13. Establishing how and when the education program will be administered
14. Establishing drug and alcohol testing protocols
15. Defining when and how tests will be conducted
16. Specifying what substances will be tested and how often
17. Establishing a reporting procedure
18. Providing guidance on how to report and respond to incidents involving substance abuse
19. Explaining the protocol for documenting and tracking reports
20. Establishing an appeals process
21. Setting out the process for appealing a violation or disciplinary action
22. Outlining the procedures for submitting an appeal
23. Establishing an evaluation and review process
24. Establishing procedures for regularly reviewing and assessing the effectiveness of the policy
25. Defining how often the policy will be evaluated and revised
26. Developing a compliance program
27. Establishing an internal system for tracking compliance with the policy
28. Establishing a system for providing feedback to employees about their compliance
29. Establishing a disciplinary process
30. Outlining the procedures for disciplining employees who violate the policy
31. Specifying what punitive measures may be taken in the event of a violation

Get started

Defining the scope of the policy

• Evaluate current organization policies and procedures related to substance abuse
• Identify areas where existing policies may be inadequate and need to be revised
• Identify any legal requirements that need to be addressed in a new policy
• Develop a policy that defines the scope of the policy and its purpose
• Determine who the policy applies to and what behaviors will be addressed
• Set clear expectations on legal and organizational consequences for violations of the policy
• Outline the process for enforcing the policy and any necessary training requirements

Once the scope of the policy has been established, you can move on to the next step which is Establishing clear parameters and expectations for the policy.

Establishing clear parameters and expectations for the policy

• Outline the type of behavior that is unacceptable in the workplace
• Define the consequences for violating the policy
• Describe the resources available to individuals in need of assistance
• Set a timeline for when the policy will be reviewed and updated
• When necessary, consult with legal counsel to ensure the policy is legally compliant

Once you have outlined the parameters and expectations for the policy, you can check it off your list and move onto the next step.

Identifying which individuals are subject to the policy

• Create a list of individuals who are subject to the policy, such as employees, contractors, and vendors.
• Consider any unique situations that may require additional policy coverage, such as volunteers and interns.
• Make sure to identify any roles or job positions that may be more susceptible to substance abuse.
• Research the local and state laws that may apply to the policy.

Once you have identified the individuals subject to the policy, you can move on to the next step of outlining the responsibilities of all parties involved.

Outlining the responsibilities of all parties involved

• Develop a set of expectations for all parties involved in the policy.
• Identify the roles of management, supervisors, and employees in ensuring compliance with the policy.
• Include provisions for employee training, education, and awareness.
• Outline the disciplinary actions for non-compliance with the policy.
• Describe the process for reporting any suspected violations of the policy.
• Include a timeline for implementing the policy.

You can check this step off your list once all the necessary components have been outlined and documented.

Identifying the types of substances covered

• Identify all substances that are prohibited and/or restricted in the workplace
• Separate substances into categories (e.g. narcotics, alcohol, etc.)
• Take into consideration any local laws or regulations that might affect what substances must be covered in the policy
• Consider any special circumstances that might need to be addressed (e.g. medicinal marijuana, use of medical marijuana, etc.)
• Create a list of prohibited and restricted substances for inclusion in the policy
• Once the list of substances is complete, move on to the next step of outlining the types of drugs and alcohol that are prohibited and/or restricted.

Outlining the types of drugs and alcohol that are prohibited and/or restricted

• Identify the types of substances that are prohibited and/or restricted
• List the names of each substance and the associated penalties (if any)
• Determine what type of restrictions will be in place for each substance
• Include any legal implications, such as laws or regulations regarding the use of any of these substances
• Write out a clear and detailed policy outlining the types of substances that are prohibited and/or restricted within the workplace
• Make sure to include information on the consequences of violating the policy
• Once the policy is written, ensure that it is reviewed and approved by the appropriate personnel
• When the policy is finalized and approved, it is time to move on to the next step in creating a modern substance abuse policy.

Specifying any exemptions for certain types of substances

• Determine if there are any exceptions to the policy that should be noted
• Examine your company’s policies and procedures related to substance abuse
• Consider any state or federal regulations that must be adhered to
• Create a list of any exemptions that should be added to the policy
• Have the policy reviewed by your legal team for approval
• Update the policy document to include the exemptions
• Discuss the policy with your Human Resources team
• Make sure to communicate the policy to all employees
• When all of the above have been completed, you can check off this step and move on to the next.

Establishing enforcement guidelines

• Determine who is responsible for enforcing the policy
• Outline the process for reporting violations of the policy
• Develop and implement a system for tracking violations and enforcing consequences
• Establish regular training for supervisors, managers, and other parties responsible for enforcing the policy
• Ensure that the consequences for violating the policy are clear, fair, and consistent

Once the enforcement guidelines have been established, you can check this step off your list and move on to setting out consequences for violations of the policy.

Setting out consequences for violations of the policy

• Establish a clear plan for consequences for violations of the policy.
• Determine the severity of the violation and the corresponding consequences.
• Set out a range of disciplinary actions, ranging from verbal warnings to termination.
• Specify that any disciplinary action taken will be in accordance with applicable federal and state laws.
• Establish a process to track and document violations.

Once you have established the consequences for violations of the policy, you can check this off your list and move on to the next step.

Specifying the process for investigating and punishing violations

• Establish a process for how to deal with substance abuse violations, including investigations and determining appropriate disciplinary action
• Determine which staff members are responsible for handling the investigations and the subsequent disciplinary process
• Set the timeline for when investigations must be completed and when disciplinary action must take place
• Decide who will receive notifications throughout the investigation and disciplinary process
• Outline the process for appealing a disciplinary decision
• Once you have completed the above steps, you can move on to the next step which is developing an education program.

Developing an education program

• Create a comprehensive education program that addresses the dangers of substance abuse in the workplace
• Outline the types of materials and methods of education that will be used
• Develop a timeline for delivering the education program
• Outline the goals of the program
• Determine who will be responsible for delivering the education program
• Identify any outside resources that can be used to supplement the program
• Evaluate the program on a regular basis to ensure it is achieving its goals

When you can check off this step:

• When you have created a comprehensive education program that outlines the types of materials and methods of delivery, a timeline for delivering the program, goals, responsible parties and identified outside resources.
• When you have evaluated the program to ensure it is achieving its goals.

Offering training and information to employees on the dangers of substance abuse and how to seek help

• Research and compile information about the dangers of substance abuse and how to seek help
• Create a training program or presentation to deliver to employees
• Schedule training sessions or presentations for employees
• Document employee attendance at the training sessions or presentations
• You can check this off your list when all employees have received the training and information and you have documented their attendance.

Establishing how and when the education program will be administered

• Identify who will deliver the substance abuse education program (e.g., Human Resources, external consultant, etc.)
• Develop a timeline for when the education program will be administered (e.g., annually, quarterly, etc.)
• Establish the format of the education program (e.g., in-person, online, etc.)
• Schedule the substance abuse education program with the identified provider

Once the substance abuse education program has been scheduled and the format and timeline are determined, you can check this step off your list and move on to establishing drug and alcohol testing protocols.

Establishing drug and alcohol testing protocols

• Determine the type of tests that will be administered and the appropriate cutoff levels for each test
• Establish how the tests will be conducted (e.g., urine, blood, or hair sample)
• Establish how the tests will be administered (e.g., at a medical facility or by a third-party testing service)
• Establish how often the tests will be conducted (e.g., pre-employment, random, post-accident, etc.)
• Establish the consequences for a positive test result

You can check this off your list and move on to the next step when you have established the type of tests to be conducted, how the tests will be conducted, how the tests will be administered, how often the tests will be conducted, and the consequences for a positive test result.

Defining when and how tests will be conducted

• Outline the circumstances under which drug and alcohol tests will be conducted (e.g. pre-employment, random, reasonable suspicion, post-accident, etc.)
• Specify how tests will be conducted (e.g. urine, breathalyzer, etc.)
• Decide if and when follow-up tests will be conducted
• Note the time frame for when tests must be conducted and results compiled
• Determine who will administer the tests and what qualifications they must have
• Decide who will receive the results of the tests
• Once all of the above has been done, you can check this off your list and move on to the next step.

Specifying what substances will be tested and how often

• Create a list of substances that will be tested for
• Determine the frequency of testing for each substance
• Establish a protocol for testing for any additional substances
• Finalize the list of substances to be tested for and the frequency with which they will be tested
• Once the list of substances to be tested and the frequency with which they will be tested has been finalized, the step is complete and can be checked off the list.

Establishing a reporting procedure

• Develop a clear and detailed procedure for employees to report any substance abuse incidents
• Make sure that the reporting procedure is clearly outlined in the policy document
• Include instructions on how to report issues and to whom
• Provide contact information for any designated individuals or teams that employees can contact with confidential and anonymous reports
• Set out the steps that will be taken and the potential consequences of substance abuse
• Establish a timeline and set deadlines for when incidents should be reported
• Allow employees to report incidents without fear of retribution
• Once the procedure is established, ensure that all employees are aware of it by providing the policy document to all staff and conducting training sessions
• Check off this step when the reporting procedure is finalized, documented, and communicated to all staff.

Providing guidance on how to report and respond to incidents involving substance abuse

• Create a clear, concise system on how to report and respond to incidents involving substance abuse.
• Incorporate a policy that outlines the process of reporting any suspected incidents of substance abuse, including the expected course of action.
• Ensure that the policy highlights the consequences of failing to report or respond to incidents of substance abuse.
• Outline the roles and responsibilities of staff members when responding to incidents of substance abuse.
• Establish a confidential process for documenting and tracking reports.
• Train all staff on the substance abuse policy and ensure that everyone understands their role in responding to incidents.
• You can check this off your list once you have created the policy, trained staff, and established a process for documenting and tracking reports.

Explaining the protocol for documenting and tracking reports

• Define the protocol and processes for documenting and tracking reports of substance abuse
• Establish a system to ensure all reports are accurately recorded, tracked and responded to
• Create a form or template that clearly outlines the information needed to document incidents
• Designate a reliable system for securely storing and archiving reports
• Outline the timeline for when and how reports should be filed
• Create a process for regularly reviewing and updating the protocol for documenting and tracking reports
• Once the protocol has been established and agreed upon, communicate the expectations to all relevant stakeholders
• Check that all relevant stakeholders understand the protocol and processes for documenting and tracking reports
• Test the protocol and processes to ensure they are effective and efficient
• When the protocol and processes are fully established and tested, you can move on to the next step which is establishing an appeals process.

Establishing an appeals process

• Create an appeals process for employees who violate the Substance Abuse Policy.
• Ensure that the appeals process is clearly outlined and understood by all employees.
• Include a timeline and steps for the appeals process that follows the company’s standard procedures.
• Ensure that all parties involved in the appeals process are aware of the timeline and steps that are to be taken.
• Once the appeals process is established and in place, you can be confident that any violations of the Substance Abuse Policy will be handled properly.
• Check this off your list and move on to the next step once the appeals process is clearly documented and all parties are aware of the timeline and steps to be taken.

Setting out the process for appealing a violation or disciplinary action

• Establish a timeline for filing an appeal. This timeline should be clearly communicated to all employees who may be subject to a disciplinary action due to violations of the substance abuse policy.
• Outline the process for submitting an appeal. This should include the information required to be included in the appeal, how the appeal should be submitted, and who should be contacted with any questions about the process.
• Describe the review process for appeals. The review process should include who will review the appeal and what criteria will be used to evaluate it.
• Establish a timeline for responding to appeals. This timeline should be communicated to employees who have filed an appeal and should include a timeline for when a decision will be made.
• Check off this step when the process for appealing a violation or disciplinary action is clearly outlined and communicated to all employees.

Outlining the procedures for submitting an appeal

• Create a form for employees to fill out when appealing a violation or disciplinary action
• Develop a timeline for when the appeal must be submitted
• Set out the criteria that will be used to review the appeal
• Clarify the information that must be included in the appeal
• Outline the process for submitting the appeal to the appropriate parties
• Establish procedures for responding to the appeal within a certain time frame
• When the appeal procedure is complete, check it off your list and move on to the next step.

Establishing an evaluation and review process

• Establish a timeline for conducting reviews and evaluations of the substance abuse policy.
• Identify key stakeholders who need to be involved in the review process.
• Hold regular meetings with stakeholders to review and assess the effectiveness of the policy.
• Make sure all stakeholders understand their roles and responsibilities.
• Make sure there is clear communication between all stakeholders.
• Document the results of the review process.

Once you have established the timeline and identified the key stakeholders, have held meetings with the stakeholders and documented the results, you can check this off your list and move on to the next step.

Establishing procedures for regularly reviewing and assessing the effectiveness of the policy

• Establish a schedule for when the policy will be reviewed and assessed
• Establish procedures for collecting relevant data and feedback to assess the effectiveness of the policy
• Establish a process for analyzing the data and feedback collected
• Identify any areas of improvement and create corresponding action plans
• When you have established a schedule, procedures, and a process for assessing the effectiveness of the policy, you can check this step off your list and move on to the next step.

Defining how often the policy will be evaluated and revised

• Determine the timeline for evaluating the policy and make sure it is in line with any current federal, state, or local laws.
• Determine how often the policy should be evaluated and revised, such as every two years.
• Assign responsibility for monitoring, reviewing, and revising the policy to a specific individual or team.
• Establish a procedure for keeping records of revisions and updates.
• Establish a timeline for when the policy will be reviewed and revised.
• Check that the timeline is being followed.

When you can check this off your list and move on to the next step:

• When the timeline has been determined and the responsibility for monitoring, reviewing, and revising the policy has been assigned.
• When a procedure for keeping records of revisions and updates has been established.
• When the timeline for when the policy will be reviewed and revised has been established.

Developing a compliance program

• Establish a structure for the compliance program: assign roles and responsibilities, set goals, develop a timeline, etc.
• Define the components of the program: policies, procedures, and standards of behavior.
• Create a process to document and track compliance with the policy.
• Ensure that all employees understand and are aware of the policy and compliance program.
• Establish a system to review the policy and compliance program periodically to ensure that it meets the needs of the organization.
• Develop an enforcement process to address violations of the policy.

When you can check this off your list: You can check this step off your list when you have established a compliance program with all of the components listed above.

Establishing an internal system for tracking compliance with the policy

• Analyze the existing system and create performance metrics to measure compliance with the policy.
• Develop a system for tracking employee compliance with the policy.
• Ensure the system is secure and that all data is stored in a secure manner.
• Test the system to ensure it is functioning properly and that all data is being captured accurately.
• Train all relevant personnel on how to use the system.

When you can check this off your list and move on to the next step:
• When the system is tested, secure, and all personnel have been trained on the system.

Establishing a system for providing feedback to employees about their compliance

• Design a system for providing feedback to employees about their compliance with the policy.
• Ensure that the system is clear, consistent and has a clear timeline for providing feedback.
• Establish a procedure for how employees can provide feedback to the company about their compliance with the policy.
• Ensure that any feedback provided by employees is taken seriously and is acted upon in a timely manner.
• Review and evaluate the system on a regular basis to ensure that it is effective.

You can check this step off your list and move on to the next step when you have established a system for providing feedback to employees about their compliance with the policy, have a procedure for how employees can provide feedback to the company, and have reviewed and evaluated the system on a regular basis.

Establishing a disciplinary process

• Create a written disciplinary policy that outlines the consequences for policy violations
• Decide how and when a disciplinary system should be implemented
• Discuss the disciplinary policy with management and staff to ensure it is understood and accepted
• Develop a process and timeline for addressing policy violations
• Ensure the disciplinary process is applied consistently and fairly to all employees
• Once the disciplinary policy is finalized, communicate it to all employees and make it easily accessible
• Check off this step and move on to the next step of outlining the procedures for disciplining employees who violate the policy.

Outlining the procedures for disciplining employees who violate the policy

• Identify the appropriate disciplinary measures for employees who violate the policy
• Define the disciplinary process in the policy, including what steps and procedures should be taken
• Outline specific procedures for both minor and major violations
• Include any relevant government regulations that must be followed for employee discipline
• Include any legal requirements for due process when disciplining employees
• Specify the standard for determining when disciplinary action is necessary
• Establish a disciplinary team, if applicable, and outline their roles and responsibilities

When you can check this off your list:
Once you have outlined the procedures for disciplining employees who violate the policy and included any relevant government regulations, legal requirements, and standards for determining when disciplinary action is necessary, you can check this step off your list.

Specifying what punitive measures may be taken in the event of a violation

• Determine what disciplinary action may be taken if an employee violates the policy
• Consider factors such as the severity of the violation, the employee’s history with the company, and any mitigating circumstances
• Develop a range of disciplinary measures including verbal warnings, written warnings, suspension, or termination
• Make sure to provide employees with clear details regarding the disciplinary measures for violating the policy
• Include a process for appealing disciplinary measures
• Keep records of any disciplinary measures taken
• You can check this off your list and move on to the next step once you have determined the punitive measures that may be taken in the event of a violation.

FAQ

Q: How does a substance abuse policy differ from typical workplace health and safety regulations?

Asked by Kaylee on April 7th, 2022.
A: Substance abuse policies differ from traditional health and safety regulations in that they focus specifically on the prevention and response to misuse of substances in the workplace. Substance abuse policies typically include both an individual and collective responsibility to ensure the safety of everyone in the workplace. This means that employers should provide education and training on substance use, as well as provide resources and support for those who may be struggling with addiction or substance use. Additionally, substance abuse policies typically include clear rules and consequences for violations, which may include termination of employment or referral to a qualified treatment program.

Q: What are the potential legal implications of failing to implement a substance abuse policy?

Asked by John on February 15th, 2022.
A: Failing to implement a substance abuse policy can have serious legal implications for employers. In many jurisdictions, employers are required to have policies in place regarding substance use in the workplace, as well as adequate measures to ensure compliance with those policies. If an employer fails to have a policy in place or fails to properly enforce their existing policy, they may be held liable for any harm caused by an employee’s misuse of substances in the workplace. In addition, if employees are not properly educated on the risks associated with substance use, employers may be held liable for any negligence or harm caused by their employees.

Q: Are there any differences between UK, USA, and EU regulations when it comes to implementing a substance abuse policy?

Asked by Olivia on August 24th, 2022.
A: Yes, there are several differences between UK, USA, and EU regulations when it comes to implementing a substance abuse policy. In general, the United Kingdom has some of the most comprehensive regulations when it comes to preventing and responding to misuse of substances in the workplace. The UK Legal Services Act 2007 requires employers to have a written policy addressing the misuse of drugs or alcohol in the workplace, as well as provide appropriate training and support for employees who may be struggling with addiction or substance use. In contrast, US regulations vary state-by-state; some states require employers to have policies in place while other states do not have any specific regulations. Finally, EU regulations vary from country-to-country; some countries require employers to have specific policies in place while other countries may not have any specific regulations regarding substance use in the workplace.

Q: What types of education and training should be included in a modern substance abuse policy?

Asked by Noah on December 3rd, 2022.
A: A modern substance abuse policy should include education and training on a variety of topics related to misuse of substances in the workplace. This includes educating employees on the risks associated with using substances such as alcohol or drugs while at work; the signs and symptoms of addiction; how to seek help for those struggling with addiction; how to appropriately respond if an employee is under the influence of substances at work; and guidelines for reporting any suspected misuses of substances in the workplace. Additionally, employers should provide access to resources such as support groups or treatment centers for employees who may be struggling with addiction or substance use.

Q: How can companies ensure compliance with their existing substance abuse policy?

Asked by Madison on October 17th, 2022.
A: Companies can ensure compliance with their existing substance abuse policy by regularly monitoring their employees’ behavior and providing consequences for any violations. Companies should also make sure that their policies are clearly communicated and easily accessible so that all employees are aware of them. Additionally, companies should provide regular training sessions to ensure that everyone understands their responsibilities under the policy. Finally, companies should consider implementing drug testing programs or random testing programs to ensure compliance with their policy and deter employees from using substances while at work.

Q: What measures can companies take if they suspect an employee is misusing substances while at work?

Asked by Michael on May 22nd, 2022.
A: If a company suspects an employee is misusing substances while at work, they should take immediate action according to their existing substance abuse policy. Depending on the severity of the situation and company policy, this could range from providing counseling services or referring them for treatment if necessary; providing additional education about drug use; providing resources for those struggling with addiction; or taking disciplinary action such as suspension or termination if necessary. It is important for companies to take swift action when dealing with misuse of substances in order to maintain a safe working environment for all employees.

Q: How can companies create a culture where discussing addiction is not stigmatized?

Asked by Sarah on September 12th, 2022.
A: Companies can create a culture where discussing addiction is not stigmatized by ensuring that everyone feels comfortable talking about addiction openly within the workplace without fear of judgement or repercussion. This includes creating a safe space where employees can talk about addiction without fear of judgement or criticism from others; providing education about addiction and available resources; encouraging open dialogue about addiction between employees; promoting evidence-based methods for treating addiction; and offering support services such as counseling or treatment programs if necessary. By creating an open dialogue around addiction issues within the workplace, companies can help reduce stigma around discussing addiction while also providing support for those struggling with it.

Example dispute

Substance Abuse Policy Lawsuits:

• A plaintiff might raise a lawsuit referencing a substance abuse policy if they believe that the policy was violated in some way, resulting in harm or discrimination.
• The plaintiff will need to provide evidence that the substance abuse policy was violated and that the violation caused the harm or discrimination.
• Relevant legal documents in a case like this include the employee handbook, relevant state and federal regulations, and civil law.
• The information provided in the lawsuit will need to show that the policy was violated, and the action that resulted in the lawsuit being raised.
• Settlement in this type of case is often reached through negotiation or mediation between the parties, and damages can be calculated based on the severity of the violation.

Templates available (free to use)

Substance Abuse In Workplace Policy

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