“SAMPLE” PROCEDURES FOR IDENTIFYING
“SAMPLE” GUIDE FOR IDENTIFYING
POTENTIAL PROBLEM EMPLOYEES
Please be aware that the “Sample” Guide for Identifying Potential Problem Employees is being furnished to you as a courtesy and the language therein should be considered that of a sample. Because the Guide for Identifying Potential Problem Employees is a sample, LUBA Workers’ Comp (LUBA) makes no claims, promises or guarantees about its accuracy, completeness or legal adequacy, nor provides any warranties, expressed or implied, with regard to its content. LUBA highly recommends that you consult legal counsel before implementing the guide for use in your operations.
1. Identifying Warning Signs. Supervisors should carefully observe and document the warning signs which indicate an employee’s personal problems may be adversely affecting job performance or on-the-job behavior.
Warning Signs That Deteriorating Job Performance or Erratic On-The-Job Behavior May Be Caused By Personal Problems
Physical Signs or Condition
Weariness, exhaustion
Unusual untidiness
Yawning excessively
Blank stare
Sleepiness (nodding)
Actions
Withdrawn or improperly talkative
Spends excessive amount of time on telephone
Argumentative
Has exaggerated sense of self-importance
Displays violent behavior
Avoids talking with supervisor regarding world issues
Accidents
Taking needless risks
Disregard for safety of others
Higher than average accident rate on the job
Work Patterns
Inconsistency in quality of work
High/low periods of productivity
Poor judgment/more mistakes that usual and general carelessness
Lapses in concentration
Difficulty in recalling instructions
Difficulty in remembering own mistakes
Using more time to complete work/missing deadlines
Increased difficulty in handling complex situations
Difficulty in sorting out priority items from non-essential ones
Increased personal phone calls
Mood
Appears to be depressed all the time or extremely anxious all the time
Irritable
Suspicious
Complains about others
Emotional unsteadiness
Absenteeism
Acceleration of absenteeism and tardiness especially Mondays, Fridays, before and after holidays
Frequent unreported absences, later explained as “emergencies”
Unusual or questionable excuses for absences
Unusually high incidences of colds, flu, upset stomach, headaches
Frequent use of unscheduled vacation time
Leaving work area more then necessary (e.g., frequent trips to water fountain or bathroom)
Unexplained disappearance from the job with difficulty in locating employee
Requesting to leave work early for various reasons
Relationship to Others on the Job
Overreaction to real or imagined criticism
Avoiding and withdrawing from peers
Complaints from co-workers
Borrowing money from fellow employees
Complaints of difficulties at home, such as separation, divorce and child
discipline problems
Persistent job transfer request
Refusal to accept authority
Frequent non-work related visits by strangers or employees from other areas
Unauthorized meetings with employees in remote work areas
A virtually endless variety of personal problems could produce these warning signs. Among the possible causes are alcohol and drug abuse. Because supervisors are not diagnostic experts, however, they should not attempt to identify the source of an employee’s personal problems. Nevertheless, supervisors must take further corrective action to improve the employee’s job performance or on-the-job behavior when standard supervisory efforts have failed.
2. Documentation. When a supervisor concludes that standard intervention techniques have not succeeded, and that the employee’s persistent on-the-job difficulties may be caused by personal problems, the supervisor shall complete the Warning Sign Checklist and prepare a written memorandum summarizing in narrative form the employee’s deteriorating job performance or erratic on-the-job behavior, as well as the supervisor’s past efforts to correct these deficiencies.
3. Concurrence By Next Level Manager. The supervisor should review the completed Warning Sign Checklist and written memorandum with the next higher level of management. If both levels of management concur, the supervisor will refer the employee for drug/alcohol testing.
4. Constructive Confrontation. After scheduling the collection of breath and urine specimens with collection site personnel, the supervisor shall meet with the employee and inform the employee of the need for an assessment of his/her use of alcohol or drugs. The supervisor shall not accuse or even suggest that the employee has an alcohol or drug problem. The supervisor should focus entirely on the deteriorated job performance or erratic on-the-job behavior. The supervisor should inform the employee of the warning signs which support his/her referral for mandatory assessments.
During the discussion with the employee, the supervisor should be specific and cite concrete facts and information. The supervisor should use descriptive statements and should not judge behavior or motives. The supervisor should establish and maintain eye contact, should show respect for the employee, and should not become angry or argumentative.
The supervisor should maintain control of the interview and keep the discussion centered on the facts supporting the supervisor’s decision. Although the supervisor should show a genuine concern for the employee’s feelings, the supervisor must not be deterred by the employee’s appeal to sympathy, hard luck stories, or promises to correct the problems.
The supervisor should explain to the employee that the company policy requires an assessment of alcohol and drug use in every case where prolonged deterioration in job performance or erratic on-the-job behavior is accompanied by significant warning signs of personal problems.
The supervisor should further inform the employee that refusal to submit a breath or urine specimen for testing or a positive test result for alcohol or drugs will constitute a violation of the company’s Drug and Alcohol Policy. The supervisor should indicate that a positive test result could lead to termination.
The supervisor should stress that discussion of any disciplinary action is premature and inappropriate until the test results are obtained.
The supervisor shall inform the employee that he/she must present photo identification at the specimen collection site. The supervisor should then immediately have the employee escorted to the collection site.
5. Consequence of Test Results. If the employee’s alcohol and drug test is negative, the supervisor will refer the employee to human resources for information and available mental health programs.
An employee who was mandatory referred for testing because of declining job performance or erratic on-the-job performance and who tests positive for alcohol or drugs will be terminated.
WARNING SIGN CHECKLIST
Physical Signs or Condition
_______ Weariness, exhaustion
_______ Unusual untidiness
_______ Yawning excessively
_______ Blank stare
_______ Slurred speech
_______ Sleepiness (nodding)
Actions
______ Withdrawn or improperly talkative
______ Spends excessive amount of time on telephone
______ Argumentative
______ Has exaggerated sense of self-importance
______ Displays violent behavior
______ Avoids talking with supervisor regarding world issues
Accidents
______ Taking needless risks
______ Disregard for safety of others
______ Higher than average accident rate on the job
Work Patterns
______ Inconsistency in quality of work
______ High/low periods of productivity
______ Poor judgment/more mistakes that usual and general carelessness
______ Lapses in concentration
______ Difficulty in recalling instructions
______ Difficulty in remembering own mistakes
______ Using more time to complete work/missing deadlines
______ Increased difficulty in handling complex situations
______ Difficulty in sorting out priority items from non-essential ones
______ Increased personal phone calls
Mood
______ Appears to be depressed all the time or extremely anxious all the time
______ Irritable
______ Suspicious
______ Complains about others
______ Emotional unsteadiness
Absenteeism
______ Acceleration of absenteeism and tardiness especially Mondays, Fridays, before
and after holidays
______ Frequent unreported absences, later explained as “emergencies”
______ Unusual or questionable excuses for absences
______ Unusually high incidences of colds, flu, upset stomach, headaches
______ Frequent use of unscheduled vacation time
______ Leaving work area more then necessary (e.g., frequent trips to water fountain or
bathroom)
______ Unexplained disappearance from the job with difficulty in locating employee
______ Requesting to leave work early for various reasons
Relationship to Others on the Job
______ Overreaction to real or imagined criticism
______ Avoiding and withdrawing from peers
______ Complaints from co-workers
______ Borrowing money from fellow employees
______ Complaints of difficulties at home, such as separation, divorce and child
discipline problems
______ Persistent job transfer request
______ Refusal to accept authority
______ Frequent non-work related visits by strangers or employees from other areas
______ Unauthorized meetings with employees in remote work areas
_______________________________ _____________________________
Employee’s Name Supervisor’s Name
______________________________
Supervisor’s Signature
______________________________
Date
CONSTRUCTIVE CONFRONTATION CHECKLIST
DO:
• Arrange for an adequate, uninterrupted period of time;
• Meet in private;
• Be straightforward. Use only concrete, documented facts, observations the employee cannot refute;
• Focus entirely on the deteriorated job performance or erratic on-the-job behavior;
• Use descriptive statements;
• Establish and maintain eye contact;
• Show respect for the employee;
• Maintain control of the discussion;
• Be honest and speak with authority;
• Accept no excuses;
• Explain company’s alcohol and drug abuse policy;
• Explain need for drug test;
• Explain consequences for both positive and negative test results.
DON’T:
• Become angry or argumentative;
• Sermonize or pontificate;
• Judge behavior or motives;
• Ask why the employee does certain things; “why” serves as an excuse;
• Be put off by sympathy-provoking tactics, which could include crying;
• Diagnose the problem;
• Accuse the employee of alcohol or drug abuse;
• Discuss possible disciplinary action.
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