Faculty and Staff Assistance Program

Substance Abuse and Supervisory Intervention

Substance use and abuse problems in the work environment have costly consequences for everyone involved – the employee, the employer and peers or colleagues. If it is suspected that an employee has a substance use or abuse problem because of deteriorating work performance, ignoring the situation will not help or make it go away.

Evaluating work performance is the focus of a supervisor, not the diagnosis of alcohol or other drug use/abuse. An important aspect of every supervisor's job is to be alert to observable changes in employee work performance and to exercise her/his right and responsibility to intervene. A successful intervention generally involves five steps: (1) identification, (2) documentation, (3) initial interview, (4) referral, and (5) follow-up.

IDENTIFICATION
Behaviors that might be indicative of possible abuse include:

1. Absenteeism. Excessive sick leave, Friday and Monday absences, repeated 2-4 day absences, excessive lateness on Monday or in returning from lunch, leaving work early, higher than average number of sick days.
2. High Accident Rate. Accidents – on and off job – that impact ability to perform work tasks.
3. Poor Work Relationships. Problems with other employees, overly sensitive to work performance critiques, withdrawal and/or avoidance of other employees.
4. Difficulty Concentrating. Performing job takes longer and longer time, work appearing to take greater effort.
5. Poor Judgment. An increase in on-the-job mistakes, poor decision making regarding assigned tasks.
6. Confusion. Difficulty in remembering instructions, denying mistakes, problem completing tasks.
7. Sporadic Job Performance. Obvious shifts in performance between very high to very low productivity.
8. Lowered Job Efficiency. Missing agreed upon deadlines, wasting materials and supplies, increased frequency of complaints from co-workers and 'customers'.

DOCUMENTATION
Documenting work performance is an important (and necessary) step in helping an employee who may be experiencing a substance abuse/use problem. The following guidelines can be helpful in gathering information:

1. Be Specific. Document date, time, place and specific incident or behavior.
2. Record Observations. When documenting, avoid interpretations, opinions or conclusions about incident or behavior.
3. Be Objective. Documentation must be fair and consistent with close attention paid to the facts – including good as well as poor performance.
4. Focus on Performance. All documentation must be directed to relevant performance issues and avoid any reference to personal problems.

INITIAL INTERVIEW
The first 'confrontation' with an employee is crucial in setting the tone for subsequent meetings as well as achieving a successful intervention. The following suggestions are helpful as the first meeting is scheduled:

1. Conduct in Private. The privacy of the employee is very important. In addition, it should be confidential in nature.
2. Share Observations. Present documentation to employee in an objective manner, indicting your concern for the deteriorating work performance.
3. Be Specific. Avoid generalizations, explaining clearly what you have observed and documented. In addition, be clear about your expectations regarding future work performance.
4. Obtain a Plan. Have employee indicate how s/he will improve job performance – explaining the consequences of continued poor performance.

REFERRAL
If the employee job performance does not improve, referral may be a necessary 'second' step. In meeting with an employee regarding continued poor work performance, the format should be similar to that of the initial interview. The following are important considerations in making a referral:

1. Refer Prior to Disciplinary Action. Inform employee that her/his job is in jeopardy and that confidential counseling is available through the Faculty and Staff Assistance Program (FSAP). You may want to follow-up the face-to-face meeting with a memo restating the availability of counseling.
2. Assisting Employee. It is often helpful if you as supervisor make initial contact with the FSAP for the employee. You may also want to accompany employee to FSAP for his/her first appointment. Discuss with employee the possibility of a signed consent allowing you to consult with FSAP provider regarding employee progress.
3. Follow-Up. Inform employee of when you will conduct a follow-up evaluation meeting.

FOLLOW-UP
The follow-up meeting is designed to assess progress in meeting job expectations and work performance. During this meeting, it is important to:

1. Share Documentation. Again, inform employee of the documentation you have explaining your observations.
2. Explain Consequences. If job performance has not improved, indicate to employee that s/he has been given several opportunities/chances and the only option remaining is for you to take disciplinary action.
3. Provide Encouragement. In addition to the disciplinary action, encourage employee to continue counseling or seek professional assistance if that has not been done. It is important for employee to understand that by seeking continuing or seeking counseling a first time, her/his job will not be in jeopardy – but that improvement in work performance is required.
4. Continue Documenting. Continued documentation of performance is essential for future evaluations.

It should be remembered that the above process is intended to 'restore' the employee's productivity and is not intended to be punitive. As supervisor, your intervention is critical and a referral should not be seen as a failure on your part. Rather, it is good management.

The staff of the University of Colorado at Boulder Faculty and Staff Assistance Program is available to consult with supervisors regarding interventions with employees. Please call 303.492.3020 or stop by the FSAP Office located in Room 200, Willard Hall.