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Employment Assistance & Performance Program Supervisor Handbook
Your employer has contracted with Resource Management Services, Inc. (RMS) for an Employee Assistance Program (E.A.P.). This is a program that provides short term assessment and referral counseling for employees and family members with personal problems. The employee with a personal or family problem is often a less productive employee. The E.A.P. can assist that employee to obtain confidential assistance for that problem. The E.A.P. is an investment in the people who work for the organization.
Employees or family members can call Resource Management Services, Inc. to request a personal appointment with an E.A.P. counselor. Appointments are available between 8:00 a.m. and 8:00 p.m. Monday through Thursday and 8:00 a.m. through 4:00 p.m. on Fridays. In some outlying areas availability varies. Emergency appointments are made available on an as needed basis. Appointments are provided in professional offices away from the worksite. Counselors are specialists in short-term assessments. l all are a minimum of Masters' level and additionally are licensed or certified in their respective field. Additional services include assistance with financial difficulties and phone consultation with an attorney for legal questions.
E.A.P. counseling is available for marital, family, alcohol, drug, emotional, financial, legal, work-related, stress, or other problems. There is no charge for the assessment. Often the problem can be resolved through the assessment process. If the employee or family member needs treatment, the E.A.P. counselor will refer the individual for that treatment. RMS is concerned that each client receives the assistance they need. Charges for treatment are the responsibility of the employee or family member and the E.A.P. counselor will assist the client in finding out what benefits the medical plan might cover. RMS has no financial interest in treatment resources and refers employees to resources that are most suited to their needs. Referrals might be to providers covered by their medical plan, self help groups, and treatment facilities which provide services on an "ability to pay" basis.
Contact between RMS and employees or family members is confidential. Records are maintained in accordance with the 1975 Federal Privacy Act, as amended, and other Federal and State regulations. RMS can only release information pertaining to a client at the written request of the client. The only exceptions are when there is a "clear and present danger" situation, or in the event of child or elder abuse is reported.
Supervisor Manual for Employee Assistance Program
The following information is intended to assist supervisors and managers when situations arise that require they direct an employee to the Employee Assistance Program. The reasons for the referral will vary, from beginning performance problems requiring no discipline to those on the verge of termination. Keep in mind that you should always work within your own corporate guidelines for disciplinary action. Please call us if you need one of the E.A.P. counselors to discuss the specifics of your situation with you. Our number is (309) 681-5652 or 800-333-2095.
Accessing the E.A.P.
E.A.P. is a service that provides brief counseling or assessment and referral for employees and family members who are covered under the organization's E.A.P. It is designed to assist workers in solving problems to help them maintain or regain their health and well-being.
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Self Referrals
Most people use the Employee Assistance Program (E.A.P.) on a self-referral basis; that is they learn about the program through employee orientation, brochures, posters and seminars or a letter to the employees' homes. Personal problems can distract from the energy and ability to do one's job effectively. Employees and family members are encouraged to use the program before those problems affect work performance. One of the goals of the E.A.P. is to have employees voluntarily refer themselves to the E.A.P., rather than the supervisor eventually referring them. The earlier a problem receives attention, the easier it is to resolve.
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Supervisory Referrals
At times an employee will approach a supervisor with a personal concern, or the supervisor may approach an employee with a problem concerning work performance. In such cases, the supervisor is encouraged to refer the employee to the E.A.P.. If a supervisor is concerned about an employee's performance or attendance, the E.A.P. is a resource directed towards resolving the problem. It is important to remember that an employee cannot be forced to use the E.A.P. or to seek counseling. Accepting or rejecting a referral to the E.A.P. is a decision made by the employee. However, if there is a performance problem, which is a basis for management action, the E.A.P. professional can work with both the supervisor and employee to help coordinate a plan for improvement. The supervisor maintains control. Any disciplinary action has to be based strictly upon work performance and in accordance with company policy. The E.A.P. professional acts as a consultant.
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Confidentiality
Confidentiality is the key to an effective Employee Assistance Program. Only if employees truly believe in the commitment to confidentiality, will they seek assistance before personal situations begin to affect work performance. Confidentiality is maintained for employees who utilize the E.A.P.. Communication with supervisors and management can occur only with the employee's written permission. Supervisors who require communication with the E.A.P. should discuss this with the E.A.P. and the employee at the time of referral. With the employee's written permission, the E.A.P. professional can provide the supervisor with information about attendance and compliance with a plan to address the performance issues. This is the only information the E.A.P. professional can share with the supervisor.
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Making a Supervisory Referral
A supervisor can make a referral at anytime. More typically, however, it occurs after one or two attempts to resolve an employee's work performance problem have been unsuccessful or if the performance problem is very serious. A supervisor can call the E.A.P. for a Supervisory Consultation at any time. Also, remember to consider and be compliant with relevant company policies and to involve your Human Resource Department in the decision making process.
When the employee's work performance has become a problem, which the supervisor and the employee have been unable to solve, consider contacting the E.A.P..
Here is a summary of the process when making a supervisory referral:
Call RMS Employee Assistance Program (E.A.P.) at (309) 681-5652 OR 800-333-2095 and state you are making a Supervisor Referral.
Explain the situation and provide the employee's name to the E.A.P. professional.
Meet with the employee and make the E.A.P. referral based on your documentation of the employee's work performance problem(s).
If you, the supervisor, will need to receive feedback regarding the employee's cooperation with the work performance plan, tell the employee s/he is expected to sign a Release of Information form provided by the E.A.P. professional.
The client must call the E.A.P. to schedule an appointment and should state that s/he was referred by his/her supervisor.
The E.A.P. professional will request written authorization (Release of Information) from the employee during the first session.
The E.A.P. professional will contact the supervisor, by or before the next working day, after the employee's first session to provide the "authorized" information, ONLY if the employee signed the Release of Information.
The E.A.P. professional may continue to contact the supervisor for a period of time to be jointly determined by the supervisor and the E.A.P. professional.
The Role of the Supervisor/Manager in E.A.P.
Company supervisors perform an essential role in the Employee Assistance Program (E.A.P.). Good supervision implies clear and open communication between the supervisor and the employee. Employees have the right to know and understand their specific work responsibilities and to be told in a timely manner when areas of work performance or attendance are in need of improvement. Once you are sure that your employees are thoroughly aware of their duties and responsibilities, it is your job as a supervisor to ensure your employees are performing to expected standards. As a supervisor, your only concern should be your employee's work performance. The E.A.P. can provide help for employees whose personal problems may be causing poor work performance.
Here describes some of the responsibilities of the supervisor:
Monitor work performance on an on-going basis. Supervisors need to be alert to changes in work patterns and habits of each employee. Identifying declining work performance is the supervisor's responsibility. All instances of declining performance should be documented.
Make informal and formal performance appraisals and evaluations to identify performance problems and determine solutions to those problems.
Determine the need for a "corrective interview" if the performance problem has not been resolved, usually after two formal attempts by the supervisor and employee. This is the meeting between the supervisor and the employee to discuss why attempts to improve work performance have not succeeded. Timing and procedure may vary. It is important to comply with your company's policy.
Define a reasonable period of time for the employee to bring his/her work performance up to an acceptable level. Failure by the employee to improve his/her work performance at this stage may result in normal disciplinary action in accordance with company policy, up to and including discharge. With a referral to the E.A.P., it is the E.A.P. professional's responsibility to provide guidance for the employee and consultation to the supervisor. It is the supervisor's obligation to supervise and take responsibility for the employment decisions.
Continue to observe work performance. If it improves, praise and encouragement can be extremely helpful during this potentially difficult period of readjustment.
The E.A.P. professionals are always available to help the supervisor/manager work through these steps. Call when in doubt. Resource Management Services, Inc. Employee Assistance Program (309) 681-5652 or (800) 333-2095.
The Supervisory Process
THE FOLLOWING PROCEDURES ARE SUGGESTED YOUR COMPANY'S EMPLOYEE ASSISTANCE PROGRAM WITH RESOURCE MANAGEMENT SERVICES. HOWEVER, IT IS IMPORTANT TO FOLLOW YOUR OWN ORGANIZATION'S GUIDELINES AND POLICIES.
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There Are Four Steps in the Process of Supervising an Employee |
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Step 1: Early Problem Identification
A. Patterns of Declining Work Performance
It is a supervisor's responsibility to recognize negative changes in employee behavior and work performance in the early stages and to respond promptly and constructively. Examples of problems you can watch for include the following:
Absenteeism
Multiple instances of unauthorized leave
Excessive sick leave
Absences, especially Mondays, Fridays, and days before and after holidays
Excessive tardiness, especially on Monday mornings or when returning from lunch
Peculiar and improbable excuses for absences
Continued absence from desk/post
Personal Behavior
Irritable, loses temper easily
Mood swings
Laziness
Decline in personal grooming
Unexplainable memory lapses
Verbal denial of performance problem
Borrowing money from fellow employees
Involvement with the law or wage attachments
Change in Work Performance
Missed deadlines
Mistakes due to lack of attention or poor judgment
Complaints from co-workers or customers
Improbable excuses for poor performance
Alternative periods of very high and very low productivity
Increased difficulty in handling complex assignments
Lower quality and quantity of work
Difficulty in recalling instructions, details, etc.
Inability to cope with unexpected change in routine
Employee Relations
Overreacts to real or imagined criticism
Complaints by co-workers of extra work they must do to compensate for the employee
Avoids co-workers and supervisors
B. Assessing Your Reaction
When work performance problems become evident, you should bring them to the attention of the employee as soon as possible. This process is often difficult and can be so when your previous attempts to handle the situation have not worked, when tension has increased or when communication becomes strained.
It is common to experience apprehension about confronting a troubled employee. Identify your feelings toward the employee and accept your feelings as normal responses to a stressful situation. What feelings do you experience when observing poor work performance by an employee?
- Anger? - Intimidation? - Frustration? - Fear? - Sympathy? -
You may want to discuss the problem and your feelings about it with an E.A.P. professional before dealing with the employee. The E.A.P. professional will offer suggestions regarding how to handle the situation.
Back to The Supervisory Process
Step 2: Documentation
As a supervisor, when you are faced with declining or erratic performance, you need to document observable, verifiable facts. Complete and accurate documentation is essential when dealing with an employee with performance problems.
Good Documentation Helps You To:
Provide objective, factual information. It shows the work performance picture over a period of time.
Be objective, fair, and consistent.
Show the employee that you are serious about the situation.
Stay with the performance facts and avoid counseling the employee on personal problems. A troubled employee may try to draw you into accepting excuses.
Support the corrective action process. Documentation is a necessity if you discipline an employee.
A. What to Document
Any decline in work performance (missed deadlines, increased mistakes, poor judgment, poor work quality, etc.). Also, positive observations of work performance.
Attendance records (tardiness, unexplained absences, etc.)
All managerial warnings and reprimands, both oral and written.
Recommendations given to the employee to solve the problem.
Expected and realistic time frame for improvement.
Specifics regarding if it is warning number one or two, whether oral or written and if a recommendation was made to contact the E.A.P..
If the supervisor is proceeding with administrative action.
B. How to Document
Write down acceptable, as well as unacceptable, work performance as it happens. Be clear, concise and include the date, time and specifics of the events.
Be objective. Record actual events, not impressions or hearsay.
Document incidents that are related only to behavior on the job! Remember: all documentation should be confidential and discussed only with the employee and, when necessary, the E.A.P. professional.
Back to The Supervisory Process
Step 3: Action Steps
A. Prepare
When you have observed deteriorating performance or unfavorable changes in work patterns your options to assist an employee include:
Discussing performance difficulties with the individual as soon as you become aware of them.
Discussing the matter with your immediate supervisor and/or Human Resources, particularly before discussing it a second time with the employee.
Contacting the E.A.P. to discuss the advisability and procedures for referral.
Keep in mind that your primary objective as a supervisor is to advise the employee of the specifics of his/her poor work performance and to get agreement with him/her on the method to obtain improved work performance. Avoid discussing the employee's personal problem(s).
To prepare for the meeting, define the problem and consider the following:
Does the employee have proper training to perform the work?
Are there environmental problems, i.e. noise ,that may be barriers to successful performance?
What are the motivating rewards or the disciplinary measures for failure?
How might the employee's work performance improve with help from an E.A.P. professional?
Plan the structure of the meeting, identifying goals and possible solutions, and outline the necessary steps required.
B. Anticipate the Employee's Reaction
You can prepare yourself for the meeting by assessing the situation from the employee's point of view. The employee may be scared, anxious, defensive, or even hostile. Some common ways people react to concerns about performance are:
Making excuses
Fabricating stories
Blaming another employee
Attempting to play you against someone else
Attempting to put you on the spot
Attempting to gain your sympathy
Trying to strike up a closer relationship with you
Awareness of these reactions will help you meet your goal. The employee must understand his/her work performance has deteriorated and he/she may face serious consequences if the problem is not resolved.
After the above resistances are overcome, you can begin the problem-solving phase.
C. The Performance Review Meeting
To facilitate the goals of the work performance review you can create a positive and constructive atmosphere by:
Scheduling an immediate appointment with the employee so s/he will not spend excessive time worrying about the meeting.
Making sure the meeting will be completely private with no interruptions from phone calls, visitors or other employees.
Allowing sufficient time for the meeting.
Bringing the job description, documentation of work performance and an E.A.P. brochure.
The meeting should include:
Being specific about the work performance problem.
Being fair by referring only to work performance, not a suspected personal problem.
Being clear and firm about the improvement expected in work performance by the follow-up meeting date.
Advising the employee that corrective action must be taken for unacceptable behavior and that further steps may be taken if the employee's performance does not improve within the agreed upon time.
Scheduling the follow-up meeting.
[ INSERT INFORMATION HERE THAT DESCRIBES THESE FOLLOWING THREE STEPS. THIS WAY IT GIVES A BREAK IN THE FLOW OF INFORMATION AND EVERYTHING IS EXPLAINED CORRECTLY ]
Initial Meeting
The first meeting with an employee is usually an informal, face-to-face encounter to let him/her know you are concerned about performance, tardiness, or whatever. This meeting should be in private and should be conducted as soon as possible after you begin to notice deterioration in work performance.
Be specific. If the problem centers on absenteeism or tardiness, for example, show the employee the attendance record of the period of time of concern. If the problem concerns quality or quantity of work, be sure the employee understands his/her duties, what you expect of his/her work performance, and specifically where the employee has failed to meet these standards.
This meeting may provide an ideal opportunity for you to review the employee's job description with him/her.
In addition to stating the problem, tell the employee you expect the problem to be resolved within a specific time frame. Ask if you can help in any way.
This is a time to REMIND the employee that the EAP is available, free and confidential, to help the employee address his/her work performance issues.
Additional Meetings
If, within a reasonable time period, work performance remains unsatisfactory, the supervisor should conduct a corrective interview. The format should be similar to the initial interview, except at this time a written report should be presented to, and signed by, the employee, indicating specific work performance problems and action agreed upon.
When additional meetings are called for, it is important the employee understands his/her job may be in danger.
It is advisable to RECOMMEND the employee utilize the EAP during this session, to help improve his/her work performance.
Effective Interview Phrases
The following phrases may assist you during the performance interview. Each attempts to convey a sense of respect, control, and a genuine desire to be of help.
"You've always done a good job."
"We have a problem to solve."
"I want you to be successful."
"We want to keep you on the job."
"We're not in this meeting to terminate or suspend you."
"Is there something I can do to help?"
"I hear your point of view."
"Can you offer suggestions to help solve this performance problem?"
"If personal problems are effecting your work performance, we'd like to help you."
"Let's discuss the advantages of the EAP."
"I'd like your commitment."
Back to The Supervisory Process
Step 4: Follow Up
After all discussions with the employee, including advising the individual of the availability of the EAP, you must continue to observe and document performance. It is important to adhere to follow-up meetings, as scheduled. The return to full responsibility might not be immediate; look for a general upward trend. Words of encouragement, recognition and support reinforce the process.
Back to The Supervisory Process
Summary
As you can see, this program emphasizes the company's genuine interest in its employees, its concern about the work performance of all employees, and its willingness to offer resources to help employees when their problems begin to interfere with work performance.
Remember, it is important to follow your own organization's guidelines and policies. In addition, we have offered the following four guidelines:
Troubled employees should be treated with utmost dignity and respect. They should be assured that all professional contacts would be kept confidential.
You, as a supervisor, should function as a professional member of management, concerned only with the work performance of those reporting to you. Don't let your personal feelings interfere with good supervisory practices. Also, don't be misled by sympathy-invoking tactics by the employee. Misguided "kindness" may lead to an unnecessary and serious delay in obtaining professional help.
The key to the success of your EMPLOYEE ASSISTANCE PROGRAM is with you, the supervisors and managers. In carrying out your supervisory and management responsibilities, however, you are being asked only to identify poor work performance, not to diagnose illness. Once you have identified the employee with a pattern of poor performance, professional help is available. We invite you to use it.
Additional Tips
For some extra tips, click here..
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Employee Assistance Performance Programs At-A-Glance... |
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