Information Package Index

• Why have an Employee Assistance Program
• When should a supervisor make an EAP referral
• Can a supervisor require an employee to contact EAP?
• What kind of leave can be used for EAP appointments?
• How much time will it take?
• How should referrals be made?
• Support for the supervisor
• Contact info

Our Employee Assistance Program offers employees professional assistance in assessing their problems and needs. It also provides supervisors an opportunity to discuss difficult employee situations and get support for intervention.

Employees’ personal problems may be revealed in job performance or workplace behavior. This can have a negative effect on work productivity. Supervisors are responsible for monitoring and directing employee activity, and they are in unique positions to identify those employees whose work may be affected by personal problems. If an employee’s problems are apparent or identified, supervisors are obliged to inform the employee of the counseling resources available through EAP. The process of recognizing problem situations and responding with an EAP referral is a normal part of the supervisor’s role in assuring a productive work environment and promoting employee development.

There are two types of situations that would prompt a referral. In the first situation the supervisor addresses an employee whose work is deteriorating. This is called a formal supervisory referral. In the second situation the supervisor responds to an employee who has volunteered information about a personal problem, but their work is not affected. This is referred to as an informal supervisory referral. It is important to refer employees to EAP whenever a supervisor becomes aware of poor performance. Unsatisfactory or deteriorating work often takes these forms:

• Inconsistent productivity
• Wide variation in quality of work
• Poor attendance
• Frequent lateness
• Excessive sick leave
• Neglectful attitudes toward assignments and deadlines
• Irritability
• Avoidance of coworkers and supervisors

When responding to these kinds of work problems, supervisors need to look for behavior patterns, not single events. Single or isolated incidents may not warrant extreme concern; however, it is best to respond to an employee’s performance as early as possible.

A supervisor’s silence may allow inappropriate incidents to become habits; and problems left unaddressed are likely to become more serious. The sooner you respond to a workplace or performance problem, the sooner the problem will be resolved.

Confronting an employee with poor work performance can be an extremely uncomfortable task. However, a supervisor who confronts an employee with poor performance can be a strong source of motivation, compelling the employee to face the problem and change the behavior. Ignoring problem situations will not help the employee or the supervisor.

With an informal referral, it is important for a supervisor to maintain a neutral approach with the employee and not attempt to counsel or diagnose. The supervisor can acknowledge what has been shared and support the employee’s efforts to address the problems by suggesting the employee contact EAP.

One of the basic principles of the EAP is that the program should always be  used voluntarily. Ultimately the Employee Assistance Program encourages managers and union leaders to avoid introducing EAP as mandatory, and to focus responsibility instead on the employee to change his or her problematic behavior. The EAP is only one tool that an employee can choose in making important changes. An individual may use any number of tools to make those changes or may choose to do nothing and suffer the consequences.

Occasionally, an employee reports to the Employee Assistance Program under mandate from his or her boss to see an EAP counselor. Typically the mandatory referral by a manager or supervisor is based on good intentions: there is hope that problematic behaviors will lessen and job performance will improve.

The result of a mandatory referral, however, is often a superficial and resentful compliance with the supervisor's order, rather than a real commitment to changing or learning. Also, the employee may misperceive the EAP as a disciplinary tool rather than as an employee resource.

When an employee indicates that he or she feels forced to use the program, our practice is to inform the individual that services should be obtained voluntarily and that it is his or her prerogative whether to take advantage of EAP services. With this knowledge an employee may choose to follow though, but often the individual is too resentful to make good use of our service.

What kind of leave can be used for EAP appointments?

• Company time should be allowed for all supervisory referrals to EAP.
• Self-initiated use of EAP could be granted state time, annual or sick leave.
• Self-referrals who want to maintain confidentiality would request either annual or sick leave or arrange to use the EAP on personal time.
• On occasions when EAP refers the employee to community resources, the employee is expected to use sick leave for health-related issues and annual leave for all other concerns, i.e., financial, career, and marriage counseling.

How should referrals be made?
Most employees who use EAP services contact the program on their own. They seek help with their problems and recognize the benefits of using professional services. Sometimes family members or union leaders will make initial contacts for an employee. If the employee’s supervisor is making the referral, the following guidelines should be observed:

1. EAP referrals are most successful when balanced between genuine care for the individual and holding the employee accountable for acceptable job performance and workplace behavior. The best referral is informative, not judgmental. Inform the employee that EAP services are available and provide the name and phone number of a person in EAP to contact. Do not make assumptions about personal problems or attempt to label a personal problem for the employee.
2. Normally, referrals should be made in the context of work related behavior. For example, in a private meeting a supervisor can point out an employee’s declining job performance and suggest that, if there are any personal problems behind the declining performance, the employee may want to contact EAP, or a supervisor can meet to discuss an employee’s poor attendance record and recommend that they seek EAP assistance in an effort to resolve any problems that may be causing the poor attendance. Referral to EAP is not a disciplinary action and should not be viewed as a substitute for progressive discipline. Also, EAP referrals should never be referenced in an employee’s performance evaluation.
3. At the time a formal referral is being made, it is important for the supervisor to personally call EAP to inform the counselor of the circumstances surrounding the referral. Calling in the presence of the employee is recommended so the employee is aware of what is being conveyed. If supervisors do not advise EAP of the referral in advance, EAP may not be able to conduct an accurate or complete assessment.
4. Sensitivity to an employee’s right to confidentiality is very important, and therefore limited disclosure of the referral is extremely important. It may not be necessary to inform anyone that an EAP referral has been made.
5. It is important for supervisors to document their attempts to refer the employee as well as their concerns with performance. If an employee is disciplined or discharged, efforts to refer to the EAP may become an issue. It is important that the supervisor keep an objective record of:

1. Performance problems with dates and times
2. When they referred the employee to EAP
3. What was said
4. How the employee responded

This will enable the supervisor to respond to any questions about how referrals were handled. It is also helpful when speaking with the employee to have the documentation in front of you. It is possible that an employee may be defensive, upset or hostile when concerns are presented. Documentation can help in not being distracted from the main point: Work performance must improve!

6. Supervisors should be prepared to make more than one referral. Employees may not respond positively, but the supervisor needs to be persistent and continue making referrals at the appropriate time if performance is not improving.

If an employee is especially resistant, consider having someone else make the referral. Check with an agency personnel/labor relations director to determine if it is advisable to ask the employee’s union or association to make a follow-up EAP referral.

7. EAP is a voluntary program. Supervisors cannot force employees to seek assistance. Mandatory referrals compromise EAP’s position as a neutral care giver and deprive employees of the choice to avail themselves of the services.

Whether or not an employee accepts a referral to EAP, a supervisor should continue to monitor and document job performance and take whatever action is necessary to provide accountability and to motivate the employee to correct the deficiencies. It is important to not make idle threats. Explain clearly what will happen if work performance does not improve. A supervisor needs to be prepared to follow through on any action that is used as a warning. Otherwise credibility may be jeopardized.

8. EAP will contact the referring supervisor only when a client consents and signs a release form. The form will specify the nature of the information that can be disclosed. An EAP client may choose not to have any information shared with the referring supervisor. Again, whether or not an employee allows information to be disclosed, the supervisor should base future actions on the acceptability of job performance only. Assessment of the employee’s job performance should not be tied to the employee’s decision to utilize EAP.
   
   
9. Be honest, be firm -- and be respectful. A direct approach encourages respect on both sides, and is a clear indication that a supervisor can be trusted.

Support for the supervisor
Intervening with an employee can be one of the toughest parts of a supervisor’s job. Every supervisor has unique qualities, but there are also many common behaviors and beliefs about supervision. Common beliefs which may get in the way of dealing with a difficult employee include:

• "Don’t interfere in someone else’s business."
• "If I wait this out, eventually the problem will go away."
• "I don’t want to insult someone by suggesting outside help."

What can happen for many supervisors is that their intentions are good, but they are struggling with their personal beliefs, feeling inadequate or are simply baffled about how to begin dealing with an employee.

EAP is a confidential resource for supervisors to sort out the issues regarding an employee and receive coaching about how to intervene. In many difficult situations simply reassuring or confirming that action does need to be taken can be helpful.

It is common for a supervisor to be curious about an employee’s follow-through with EAP. Though the EAP cannot acknowledge a client’s follow-through without a signed release from the employee, a supervisor may want to ask the employee directly. Talking with the employee about their follow-through may be appropriate when the supervisor and employee meet to assess the status of performance concerns.

At any point in the process of referring an employee or contemplating a referral, the Employee Assistance Program is a resource for the supervisor.