A Manager s Guide for Making Effective EAP Referrals

Transcription

1 A Manager s Guide for Making Effective EAP Referrals RETENTION PREVENTION SOLUTION Helping Organizations Retain And Enhance Employee Effectiveness Prevention of Workplace Risk Through Awareness And Documentation How To Make Effective Referrals To The EAP

2 EAP Contact Information Florida Operations: Corporate Office: 2965 W. State Road 434, Suite South Lake Vista Drive Longwood, FL Lewisville, TX Fax: Your Account Executive: Karen Averill, Senior Account Executive Horizon Florida Staff: Cynthia Quinton, Dir of Account Mgt Glory Kerr, Administrative Specialist Karen Averill, Senior Account Executive Lindsey Novinich, Account Executive Pam Pearson, Dir of Sales & Marketing Horizon Accounts Receivable (for payments and billing questions): Diane Finney, A/R Accountant Mail Payments to: Horizon Health EAP Behavioral Services, Accounts Receivable-Finance P. O. Box , Dallas, TX Please Note: To schedule training/workshop, please call or your Account Executive. To order promotional material, please call or your Account Executive. To request a debriefing after a critical incident (CISM), please contact your Account Executive or for immediate assistance call For management consultations or to make supervisor referrals, call For website linkage, please call or your Account Executive.

3 i Table of Contents 1 Helping Organizations Retain And Enhance Employees 1 The Manager s Role. 1 A Partner in the Process: Your EAP. 1 2 Prevention of Workplace Risk Through Awareness And Documentation 2 Documenting Performance Concerns. 2 Responding Effectively to Performance Problems. 3 Conducting a Corrective Interview. 3 Use The Three R s. 3 Behavioral Indicators. 4 3 How To Make Effective Referrals To The EAP 5 The Consultation. 5 Follow Up and Follow Through. 5 Providing Feedback. 6 Management Referral Pathways to Your EAP (Chart). 7 Your EAP: A Multiple Service Provider. 8

4 1 A Manager s Guide for Making Effective EAP Referrals 1 RETENTION Helping Organizations Retain And Enhance Employees This reference guide provides information that will help you focus on your employees performance and your role in maintaining your organization s management standards. This guide will also assist you with determining the appropriate time to call the Employee Assistance Program (EAP) for a consultation on employees with job performance issues. The consultation is the first step to help you to determine a course of action to help employees whose personal difficulties may be impacting their performance, or creating a safety or liability risk for the company. Finally, in conjunction with the EAP, this guide provides tools for managers and Human Resources staff to handle these types of issues. The Manager s Role As a manager, you have multiple responsibilities that include such tasks as monitoring your employees job performance, addressing performance problems, and ensuring job tasks are completed. You bring these elements together, resulting in the delivery of quality service to your customers. The single most important quality you possess as a manager is your ability to create an efficient and safe workplace. Objectivity allows you to make consistent observations and decisions when managing your employees. Your primary goal is to objectively: Recognize when employees have performance difficulties. Provide constructive feedback to employees about performance issues. Document according to your organization s personnel policies. Consult with your EAP. The consultation expert will assist you in determining if a management referral is needed or not. Monitor and follow up with employees regarding performance in ongoing evaluations. A Partner in the Process: Your EAP As part of your EAP benefit, managers and supervisors have immediate telephone access to unlimited, confidential management consultation. A Management Resource Consultant (MRC) is a valuable resource when dealing with employee performance issues, especially when it is evident that personal issues are affecting an employee s workplace performance or creating a safety risk. Common topics for management consultations include: Workplace referrals to the EAP. A traumatic incident that affects a group of employees. An employee in crisis in the workplace. A potentially violent employee.

5 2 Drug and alcohol issues. Potential employee layoffs. Absenteeism or presenteeism. Code of conduct issues. MRCs also have access to a reference library containing articles on current employment issues such as the Americans with Disabilities Act, sexual harassment, threat of violence, and substance abuse, as well as resources on mental health topics, that can be provided to you. 2 PREVENTION Prevention of Workplace Risk Through Awareness And Documentation An important part of your job is recognizing and documenting job performance issues. One of the most difficult tasks you face is to respond effectively, without compromising your objectivity, to those employees whose personal problems may be impacting job effectiveness. Appropriately documenting performance problems, consulting with the EAP as needed, and monitoring future performance are essential skills for every manager. Documenting Performance Concerns When documenting performance concerns, follow these suggested guidelines: Be specific regarding the date, time, and place of unsatisfactory job performance or workplace behavior. Provide actual observations in concrete, measurable terms whenever possible. Include examples of the employee s excellent work, as well as that which is below par. Keep records confidential and update them on a regular basis (daily, weekly, monthly). Avoid using labels or opinions; avoid diagnosing or inferences about personal issues. Be objective, fair, consistent, and respectful of the employee s privacy. Contact a Management Resource Consultant to ensure documentation is in place prior to any referral to the EAP.

6 3 A Manager s Guide for Making Effective EAP Referrals Responding Effectively to Performance Problems When employees present performance problems, your challenge is to respond effectively and proceed through the performance improvement process in an objective, professional manner. It is not unusual during a corrective interview for employees to become defensive and attempt to give personal reasons why their performance has been affected. This personal information places you at risk of losing your objectivity and treating employees in a subjective manner. Conducting a Corrective Interview When conducting a corrective interview, follow these suggested guidelines: Confront at the earliest indication of a recurrent pattern. Select a meeting time and location that ensure privacy. Gather and organize documentation, and define acceptable and unacceptable performance. Consult with your Human Resources department to assure the meeting is consistent with the policies and procedures of your organization. Focus on the behavior; do not judge the person. Provide objective, measurable performance or corrective action goals. Summarize the discussion (ask the employee what she/he heard you say and clarify any misunderstandings). Use the Three R s Respond to the emotions and issues the employee is sharing by actively listening, then, after consultation with an MRC... Refer the employee to the EAP as needed to address those emotions and issues, if recommended during the consultation with an MRC, and... Return to the job performance behavior risk concerns. The EAP provides employees with an opportunity to address personal issues that may be affecting their job performance. Utilizing the resources of the EAP gets you out of the position of counselor, allowing you to concentrate on their job performance. It also demonstrates your care and concern to employees, while not compromising your role as manager.

7 4 Behavioral Indicators The following list of behavioral indicators is provided to assist you in recognizing performance-based problems in the workplace. Any one of these behaviors may not necessarily be a concern to you as a manager. What is important to notice, however, is whether there has been a change in an employee s behavior or if your employee exhibits a pattern of multiple indicators. Your job is to identify problem behaviors, not necessarily to determine the problem s source or cause. Employee Name Place an X next to each characteristic you have repeatedly observed. Absenteeism: Repeated absences Excessive tardiness Leaving work early Increasingly improbable excuses for absences and/or tardiness Higher absenteeism due to illness Prolonged absences from work station Confusion or Difficulty in Concentration: Difficulty in recalling instructions or details Work requires greater effort Increasing difficulty in handling complex assignments Difficulty in recalling own mistakes Poor Relationships on the Job: Counterproductive reaction to real or imagined criticism Wild or unpredictable mood swings Unreasonable resentments and grudges Behaviors that are disruptive to others in the workplace Change in Work Patterns: Alternate periods of high and low productivity Jobs or tasks take more time than usual Increasing difficulty in getting job done Lowered Job Efficiency: Missed deadlines Mistakes due to inattention or poor judgment Repeatedly making ineffective decisions Complaints from customers/co-workers Blames poor job performance on others or external factors Needs constant supervision Safety: Higher than average on-the-job accidents Taking needless risks Disregarding the safety of others Other: Change in personal appearance or hygiene Loss of interest in job Borrowing money from co-workers

8 5 A Manager s Guide for Making Effective EAP Referrals 3 SOLUTION How To Make Effective Referrals To The EAP The Consultation When calling the EAP for a consultation regarding an employee, these four major areas will be reviewed: 1. General information, including: Your name Name of employee Work location Employee s job function/category 2. Description of the problem, including: Quality and quantity of work Absenteeism/tardiness Behavior/conduct Work-related or customer-related issues 3. History of the problem: When did the performance difficulty begin? Has the problem been discussed with your Employee Relations/Human Resources Department? Is the problem documented? 4. Action: Pending or past performance improvement plan Next steps if employee does not improve Follow Up and Follow Through After the consultation, if the EAP advises a referral, it is crucial that you continue to review performance and provide the employee with feedback during the period of time directly after the employee has been referred. Do not assume that since the employee is taking advantage of EAP services that the performance difficulty will be resolved. An individual who has been referred to the EAP is still accountable to correct work issues and may still require discipline as appropriate. During this phase, you should meet regularly with the employee to discuss the job performance issues that resulted in a referral to the EAP. These meetings need to be scheduled in advance and the criteria for improved performance need to be outlined in specific, measurable behaviors (e.g.: no tardiness for the next 60 days, fewer than two complaints per month from customers, a specific reduced error rate, improved communication with co-workers measured by the absence of complaints from co-

9 6 workers, etc.). An appropriate time frame for continued monitoring and follow-up will vary depending on the nature of the performance problem. However, keep in mind that this follow-up period needs to be in line with your organization s policies and procedures. Providing Feedback The following guidelines may be helpful in giving feedback to employees: Reinforce gains made by the employee, making a special effort to recognize areas of success. Remember the nature of your professional relationship and maintain your objectivity. Resist the impulse to ask about personal difficulties. Communicate to the employee the possible consequences of continued performance issues. When an employee is referred to the EAP, it is important to recognize his or her right to privacy. All communication regarding an employee after a referral to the EAP is subject to that employee s signed Release of Information (ROI), specifically allowing an MRC to communicate with you about the employee. This ROI is a part of the Management Referral Form that you will fill out with the MRC s assistance prior to referring the employee to the EAP. With the written consent of the employee, an MRC will provide you or your designee (as noted in the ROI) with information in the following areas: Attendance whether or not the employee has met with an EAP professional and the dates of attendance. Recommendations/Follow Through what the EAP recommends for your employee to complete his or her compliance. Compliance whether or not the employee is cooperative in utilizing EAP services.

10 7 A Manager s Guide for Making Effective EAP Referrals Management Referral Pathways to Your EAP (Chart) Informal Referral Criteria No work performance/behavior concern at present. Employee is typically a good performer. When to Consider Making this Referral Without supportive EAP services, the situational stress may result in breakdown in performance in the future. How to Make the Referral Give EAP brochure. Offer supportive acknowledgement of a problem in the employee s life. Emphasize that the suggestion to use the EAP is out of concern and support, rather than a work performance issue. Clarify that no information will be given to you by the EAP. Formal Referral There is a decline in work performance/behavior. The employee may be receiving performance coaching. The manager has observed problem behavior changes or patterns (see Behavioral Indicators on page 4). The manager wishes adjunct support from the EAP to address work performance/behavior concerns. Call the EAP and request a Management Consultation: Give pertinent information regarding work performance (see The Consultation on page 5). Inform employee of referral: Give EAP Brochure. Specify expected change. Specify feedback requested from the EAP. Ask the employee to sign a Release of Information (for more detail about ROI see page 6). Specify a time frame for employee to call the EAP. Mandatory Referral Mandatory referrals are made to the EAP only when an employer is at the corrective action or work performance stage where discipline or termination of the employee is imminent and there are mitigating circumstances that motivate the management of the Company to provide an opportunity for the employee to resolve their problem. Compliance with such a referral is mandatory and failure to follow through with the EAP referral evaluation, treatment, and service recommendations in full may be the basis for termination of employment. This should only be done where the Company policy provides for such a protocol. Reasons for Mandatory Referrals include: Violence or threats of violence in the work place (may include domestic violence/harassment). Sexual harassment in the work place. Age discrimination. Nation of origin discrimination. Suicidal evaluation. Hostile work environment. Drug/Alcohol in the work place or self reported to the work place. Notify your appropriate department of the suspected policy violation: Human Resources, Risk Management, Safety Office, or Employee Health Partner, with the appropriate department regarding the suspected policy violation, and: Call the EAP: Advise the EAP of applicable company policy and discuss scope of referral. Specify feedback required from the EAP. Require employee to sign a Release of Information. The employee s job is at risk if the employee does not follow through with the assessment and recommendations. Because there can be a great many factors that play into each of the situations described above, it is often helpful to first consult with an MRC before deciding what level of referral to make, as well as how to communicate the referral to the employee.

11 8 Your EAP: A Multiple Service Provider The services available to your organization through your Employee Assistance Program can support you in a variety of ways. It is important that you are aware of the many services, training programs, and consulting services available, as you are a vital link in the partnership between the EAP and your organization. Employee Services Services available to employees under the EAP benefit include: Confidential counseling/consultation services for personal issues such as family, relationship, emotional, alcohol/drug, work/career, legal/financial Web-based assistance and/or WorkLife services 24-hour telephone crisis response and appointment scheduling Employee orientations Management Services Services available for management include: Unlimited and on-demand supervisor consultation via telephone Supervisor training Employee referral to the EAP for performance concerns Critical incident debriefings and responses Event-triggered interventions (mergers, downsizings, traumas) Training and Organizational Services Training and organizational development services include: Work and Life Management Seminars Compliance Training o Alcohol/Drug (DOT required) o Sexual Harassment o Violence in the Workplace o Diversity Custom Group/Team and Organizational o Interventions o Conflict Resolution o Team Intervention o Team Building Managers and supervisors are encouraged to call for management consultations at any time.

12 EAP Website Resources for Managers The Employee Assistance Program website ( includes a useful tool for Managers and Supervisors. The MY WORKPLACE section of our website brings everything you need right to your fingertips. Click on Manager Resources in the MY WORKPLACE drop-down list for access to the following contents: Management Consultations Here you will find an explanation of: The Referral Process Access Information, and Policy Guideline Samples for - DOT - Substance Abuse - Threat of Violence - EAP - Guidelines for understanding Fitness-for- Duties Critical Incidents When your company experiences a natural disaster or violent trauma, you need to be able to access resources quickly. This section delivers: - Levels of Response to Critical Incidents - Time Lines in Deployment of Specialist(s) - Downloadable Articles to help you handle a variety of situations Training Services Keep your team informed with Horizon s Training list complete with descriptions of: - Orientations - Life/Work Management Training - Compliance Training - Organizational Development - Legal and Financial Seminars Resource Library Commonly used forms, explanations and articles for CISD and Management Referral. Frequently Accessed Forms This section currently houses the Management Referral Form. To access MY WORKPLACE, log onto:

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