Whose duty is it to ensure that policies are created to guide employees of an alcohol establishment?

A policy is a statement which underpins how human resource management issues will be dealt with in an organisation. It communicates an organisation’s values and the organisation’s expectations of employee behaviours and performance.

Workplace policies often reinforce and clarify standard operating procedure in a workplace. Well written policies help employers manage staff more effectively by clearly defining acceptable and unacceptable behaviour in the workplace, and set out the implications of not complying with those policies.

A workplace policy consists of a statement of purpose and one or more broad guidelines on action to be taken to achieve that purpose. The statement of purpose should be written in simple terms, free of jargon. The length of the policy may vary depending on the issue it addresses.

A policy may allow discretion in its implementation and the basis of that discretion should be stated as part of the policy. A policy may also be required where there is a diversity of interests and preferences, which could result in vague and conflicting objectives among those who are directly involved.

Not all workplace issues require a policy. Many routine matters can be dealt with through simple workplace procedures and processes being put in place.

Well-written workplace policies:

• are consistent with the values of the organisation
• comply with employment and other associated legislation
• demonstrate that the organisation is being operated in an efficient and businesslike manner
• ensure uniformity and consistency in decision-making and operational procedures
• add strength to the position of staff when possible legal actions arise
• save time when a new problem can be handled quickly and effectively through an existing policy
• foster stability and continuity
• maintain the direction of the organisation even during periods of change
• provide the framework for business planning
• assist in assessing performance and establishing accountability
• clarify functions and responsibilities.

It is crucial to have senior management support for the implementation or modification of a policy, especially where policies relate to employee behaviour. The endorsement and modelling of the behaviour by senior managers and supervisors will encourage staff to take the policies seriously. While management support for a policy is an important first step before actively seeking employee feedback on a proposed policy, the idea for the policy and some of its details may in fact come from staff.

Involve staff in developing and implementing workplace policies to promote stronger awareness, understanding and ownership of the outcome. Staff involvement also helps to determine how and when the policies might apply, and can assist in identifying possible unintentional outcomes of the policy.

Be explicit. Define key terms used in the policy at the beginning so that employees understand what is meant. The policy should explain what is acceptable and unacceptable behaviour in the workplace. You may wish to include specific examples to illustrate problem areas or unacceptable types of behaviours. For example:

An individual shall be deemed to be under the influence of alcohol if he/she exceeds a blood alcohol level of 0.05% (0.02% for heavy vehicle drivers).

Be clear about who the policy applies to. For example, does it only apply to employees of the company or to contractors and sub-contractors engaged to perform work on business premises? This is particularly important, for example, with occupational health and safety which covers everyone in the workplace.

The policy may also need to contain information about what to do if it is not possible to follow the policy. For example, if you have a policy relating to punctuality, you may need to include a procedure outlining what to do if the employee is going to be late.

The policy should also contain procedures to support the policy in its operation, such as the implications for not complying with the policy.

Example 1: Occupational health and safety

No employee is to commence work, or return to work while under the influence of alcohol or drugs. A breach of this policy is grounds for disciplinary action, up to and including termination of employment.

Example 2: Email policy

Using the organisation's computer resources to seek out, access or send any material of an offensive, obscene or defamatory nature is prohibited and may result in disciplinary action.

To be effective, policies need to be publicised and provided to all existing and new employees. This includes casual, part-time and full-time employees and those on maternity leave or career breaks.

Policies should be written in plain English and easily understood by all employees. Consider translating the policies into the appropriate languages for employees whose first language is not English.

Ensure all staff understand what the policies mean. Explain how to comply with the policies and the implications of not complying.

The policies may be explained to staff through information and/or training sessions, at staff meetings and during induction sessions for new staff. They should also be reiterated and discussed with staff regularly at staff meetings to ensure they remain relevant.

Copies of policies should be easily accessible. Copies may be kept in folders in a central location or staff areas, in staff manuals and available on the organisation's intranet system.

It is important that policies are applied consistently throughout the organisation. A breach of a policy should be dealt with promptly and according to the procedures set out in the policy. The consequence of the breach should also suit the severity of the breach – whether it be a warning, disciplinary action or dismissal.

Case study

An organisation which dismissed an employee for sexual harassment was subsequently ordered to re-employ the sacked staff member as they had failed to follow their own policy. The company had a policy of zero tolerance to sexual harassment but failed to exercise the provision when the policy was breached. The Commission hearing revealed that the company had breached its own policy when it issued the employee numerous unofficial warnings instead.

Review policies regularly to ensure they are current and in line with any changes within the organisation. Where policies are significantly changed they should be re-issued to all staff and the changes explained to them to ensure they understand the organisation's new directions. These changes should also be widely publicised.

A workplace policy should:

• set out the aim of the policy
• explain why the policy was developed
• list who the policy applies to
• set out what is acceptable or unacceptable behaviour
• set out the consequences of not complying with the policy
• provide a date when the policy was developed or updated.

Policies also need to be reviewed on a regular basis and updated where necessary. For example, if there is a change in equipment or workplace procedures you may need to amend your current policy or develop a new one.

Employment law changes, changes to your award or agreement may also require a review of your policies and procedures. Stay up to date with relevant changes by regularly checking Fair Work Ombudsman.

Here are some examples of common workplace policies that could assist your workplace:

• code of conduct
• recruitment policy
• internet and email policy
• mobile phone policy
• non-smoking policy
• drug and alcohol policy
• health and safety policy
• anti-discrimination and harassment policy
• grievance handling policy
• discipline and termination policy
• using social media.

Under the Work Health and Safety Act 2011 and the Liquor Act 1992, liquor licensees have a legal obligation to provide a safe environment for patrons, staff and the areas surrounding their licensed premises.

Creating a safer environment will not only lessen the risk of legal, health and social concerns but people will see you are committed to the responsible service of alcohol. If increased safety is assured, patrons will want to spend more time at your venue which means more profit to you.

Providing a safe environment and 'preserving amenity'

Under a new section of the Liquor Act 1992 (section 142ZZB), a licensee or permittee must provide and maintain a safe environment in and around the premises and take all reasonable steps to ensure:

• use of the premises does not adversely affect the amenity of the nearby area
• behaviour of persons entering or leaving the premises does not adversely affect the amenity of the nearby area
• relevant offences in or around the premises are prevented where the licensee or permittee knows or has reason to believe the offence is being or about to be committed.

A 'relevant offence' is one that may be reasonably expected to have an adverse impact on the health and safety of a person in or around the premises or the amenity of the area in which the premises are located.

The new requirements relating to preserving amenity and preventing the commission of offences clearly state that a licensee is to take 'reasonable steps', requiring a licensee to act in a manner that would be considered 'reasonable' in ensuring the local area is not disturbed and to prevent offences from occurring. Note: The Commissioner for Liquor and Gaming will issue a guideline on these requirements to help licensees comply with their responsibilities.

Risk management resources

No more risky business is a ready-made safety audit tool for licensees to use when reviewing the safety in and around a licensed venue. You can use it to establish a risk profile of your business and assess whether your venue is complying with basic legislative requirements and licence conditions. 'No more risky business' can also be used by an externally-appointed safety auditor.

Safety issues

Important safety issues for licensees to consider include the following (click on any of the shaded items below for more information):

Monitor and record entertainment noise 3m from the source, every hour, to ensure it does not exceed the noise levels outlined on your liquor licence. When providing entertainment you can minimise potential community impact by closing the doors and windows of your premises.

A licensee who has earned the respect of patrons through fair treatment and a sociable, no-nonsense manner will have fewer problems and the support of other customers in dealing with problems, which do arise from time to time. You should aim at a balance between social interaction with patrons and detached
authority when trouble arises, so that everyone understands who will have the last word.

Measures to control patron behaviour

• Refuse entry to unduly intoxicated people and minors.
• Consider engaging a security firm to provide appropriately licensed personnel to avoid, reduce or address violent or otherwise poor patron behaviour.
• Discourage unsafe practices that are likely to cause harm.
• Do not allow people to leave your premises with open containers of alcohol, such as a stubbies, cans or glass. This could be interpreted as tolerating patron consumption of liquor in a public place or while driving, both of which are against the law. By allowing a patron to remove liquor you may also
  be breaching the Liquor Act or a condition of your licence.
• Supervise taxi ranks outside of your premises. If fights tend to break out among people waiting in line, pre-plan by advising the taxi company of your closure times. Can taxis be alerted prior to closing to be available for patrons?
• Discourage groups of people from lingering and keep noise levels to a minimum. Disturbing neighbours can result in reduced trading hours or cancellation of your licence.

Licensees may refuse service to patrons because the:

• law requires it (e.g. if the person is a minor or unduly intoxicated or disorderly)
• safety of the patron is in jeopardy (e.g. from the consumption of liquor)
• safety of others is in jeopardy (e.g. from the consumption of liquor by a particular patron)
• licensee considers it warranted (provided it is not discriminatory).

Read more about refusal of service.

A RAMP outlines how a licensee will manage the premises in a way that will minimise harm caused by alcohol abuse and misuse.

Consider displaying your RAMP on your premises. This will show your patrons you are committed to the responsible service of alcohol.

Read more about the requirements for a RAMP.

• Trained staff provide an appearance of professionalism which demonstrates your commitment to the responsible service of alcohol.
• Staff who are informed and well trained will be less likely to place you in jeopardy of losing your licence.
• Staff who are friendly and well-mannered create an atmosphere that patrons respond to positively, and can decrease the risk of patron and staff assaults.
• Run regular staff meetings to discuss issues (e.g. how they have dealt with difficult patrons, responsible service of alcohol, etc.).
• Ensure all staff take responsibility for monitoring patron behaviour and potential consumption of liquor by unduly intoxicated patrons.
• Ensure staff regularly clear away empty glasses and open bottles.
• Record incidents in the register of crowd controllers. This will be especially helpful if court proceedings are necessary.
• Ensure a staff member on duty has first-aid training to deal with emergencies such as heart attacks and even simple injuries such as sprained ankles, cuts from broken glass and heat exhaustion.