How to Make a Referral

The EAP allows you to position yourself as a manager who encourages team members to take care of personal problems before work is affected. The EAP creates a fair, objective work environment by stressing your focus on performance expectations and the EAP’s focus on assisting with employee's personal problems. This way, you can evaluate employees on the quality of their work, rather than on their personal problems.

Other than an employee’s self-referral, the EAP offers three types of referrals. Please consult with your human resources department or management and your organization’s EAP policy to determine which of the following types apply:

• informal supervisory recommendation
• formal supervisory referral (voluntary)
• mandatory referral (required)

Although the majority of employees seek EAP assistance on their own, many would not do so without the support or encouragement of a supervisor or co-worker. An informal supervisory recommendation is a caring gesture to an employee who has a good performance record. In most of these cases, an employee confides in a supervisor about a specific personal problem. When confronted by an employee this way, supervisors risk nothing by suggesting that he or she may benefit from EAP services. In some more difficult cases, a supervisor will notice signs of personal problem but not have a good rapport with the employee. In this instance, a supervisor may want to be careful and avoid angry confrontations. In this situation, you may want to avoid singling out the employee and hand out EAP brochures to all employees.

Remember that your tone and encouragement might go a long way in providing "permission" for the employee to seek consultation. A supervisor can offer encouragement in many ways from providing an EAP brochure, offering to assist the employee in placing the initial call to the EAP, or merely rearranging an employee's work schedule to accommodate EAP appointments.

In cases of informal supervisory recommendations, employees are normally responsible for contacting the EAP. The EAP will treat this like any other self-referral in terms of confidentiality and privacy. Therefore, the supervisor will not hear from the EAP at all.

A formal supervisory referral is voluntary and associated with a pattern of deteriorating performance or conduct. Because of this, the supervisory referral usually is accompanied with corrective or disciplinary action. Corrective action would include a candid description of the performance shortcomings along with a clear message about the consequences that the employee might face should performance continue to deteriorate. In order to make a formal referral, you will need to take the following steps:

1. Call an EAP counselor and explain the employee’s work situation. By contacting the EAP first, EAP counselors can guide you in how to proceed with the referral and properly handle the employee. The counselor will ask you to describe in detail the performance problem, your thoughts, and whether you plan a corrective or disciplinary action.

2. Complete your documentation of the employee’s performance issues. Be sure to have a Human Resources representative on hand during the planning stage to ensure that the consequence that you expect to put in place can be carried out effectively.

3. Meet with the employee to discuss the performance problem and your course of action. Remember that you are responsible for tracking your employee’s performance and therefore, must be in control of the situation. During the meeting:

   • Acknowledge (if appropriate) the past good performance of the employee.

   • Review the employee's overall performance, noting the previous discussions you have had about performance standards.

   • Share the documented specifics of the performance problem.

   • Be realistic and fair. Do not accept behavior that is otherwise unacceptable by others in the department or group.

   • Explain clearly what you expect from the employee, both in terms of job duties and behavior.

   • Present a time frame for improvement and set up a follow-up performance evaluation to monitor progress.

   • Point out the consequences of failing to raise performance to acceptable standards.

   • Encourage the employee to use the EAP as an avenue for assistance. If the employee agrees to the referral, you may call the EAP for an appointment time while the employee is sitting with you, or you can suggest that the employee call to arrange his or her own appointment.

4. After your discussion, continue to monitor performance and carry out the subsequent planned performance discussions.

5. Expect a call from an EAP counselor to confirm whether or not the employee made it to the EAP office for the first appointment and if he or she has decided to continue treatment. Remember: Whether or not the employee continues to participate in the EAP, you should carry through with the planned consequences if performance does not improve.

At organizations with mandatory referral policies, supervisors may require an employee to see an EAP counselor as the result of a serious incident or problem that affects the safety of the employee or workplace. In such a referral, failure to cooperate with completing an EAP assessment normally results in job action up to and including termination of the employee's employment. A mandatory referral should be made only when one of the following conditions apply:

• There is an obvious, serious impairment of the employee’s functioning, where safety of the employee or the safety of others in the workplace is a serious concern.

• An informal supervisory referral is deemed inappropriate due to the nature of the problem.

• The employee is subject to a special drug, Department of Transportation, or chemical dependency and fitness-for-duty policy.

If an individual’s problem is beyond the scope of brief counseling, it may be necessary for the EAP to refer him or her to a specific resource such as an attorney, financial consultant, clinical therapist, community agency, or treatment center. In order to make a mandatory referral, you must follow the below steps:

1. Call and provide the EAP with complete information on the employee, situational facts, a work plan, and any other pertinent details that an EAP counselor may request. Remember that the EAP can be of most help when you consult with an EAP counselor first. Counselors will help you clearly identify the problem and assess what type of referral and action is needed.

2. Upon meeting the EAP counselor, the employee will be informed that all content of the sessions will be kept strictly confidential. However, the employee will also be informed that the counselor will be providing his or her supervisor with information on session attendance, cooperation in following the recommended plan of action, and any information on when and how long the employee will be absent from work. No information regarding the nature of the problem or the specific plan of action will be revealed.

3. Please note that the employee may choose to accept or reject a recommendation for treatment services with the understanding that the decision concerning such recommendations can be reported to the referring supervisor. A refusal to attend required EAP sessions would result in corrective action up to and including suspension or termination.