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CHAPTER 2. PROGRAM GUIDELINES

2-1 Introduction. The EAP deals with the broad range of

personal-medical-behavioral problems that adversely affect job

performance or conduct. The EAP is designed to deliver

comprehensive, high quality clinical services, supervisory

training, management consultation, and employee educational

and informational programs appropriate to the defined needs of

the HUD employee population. The purpose of this chapter is

to cover the basic functions of HUD Headquarters and Field

Office EAPs, the general EAP components, and supervisory

guidelines concerning problem identification, employee

confrontation, and referral.

2-2 EAP Functional and Program Requirements. The following basic

functions are consistent with 5 CFR 792, Federal Employees\'

Health and.Counseling Programs.

A. Basic Functions

The basic functions of the HUD EAP for Headquarters

and Field Offices are to provide:

1\. problem/diagnostic and short-term counseling

for employees and their immediate family

members;

2\. referral for treatment and rehabilitation to

an appropriate community service organization;

3\. follow-up assistance to aid an employee in

achieving effective readjustment to,the job

during and after treatment;

4\. employee educational and informational programs

concerning employee personal-medical-behavioral

problems;

5\. consultation to managers, supervisors and

union representatives concerning problem

identification and EAP services; and

6\. supervisory/managerial training on the

utilization of EAP services and the

recognition of troubled employees.

B. Program Requirements

1\. General. Any employee experiencing personal

problems that may or may not impact work

performance or conduct can have access to the

EAP. The EAP assists employees with a wide

variety of problems such as:

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a\. chemical dependence (alcohol and drugs);

b\. emotional problems (depression, anxiety,

grief);

c\. legal and financial;

d\. family issues (marital, child/elder care,

divorce); and

e\. life/work stress.

Access to the program is through:

a\. Self-Referrals. Any employee or his/her

immediate family member may contact EAP

staff directly for assistance.

b\. Union Referrals. Any union

representative can refer an employee to

the program for assistance.

c\. Supervisory/Management Referrals. In a

situation where an employee\'s performance

is less than fully successful or engaging

in unacceptable conduct and a personal

problem is suspect, a supervisory

referral is appropriate.

d\. Medical Referrals. Employees referred by

private physicians and other medical

personnel may receive assistance from the

EAP.

2\. Program Components. When an employee is

referred to the EAP, the following steps

occur:

Step I - Problem Assessment. Psychosocial

assessments through EAP staff or an

outside diagnostic service are

conducted for any employee or family

member referred to the EAP. The

outcome of the assessment determines

the need to further refer the

employee or family member for

outside treatment or counseling by

an appropriate community resource.

Employees will be allowed up to 1

hour (or more as necessitated by

travel time) of excused absence for

each counseling session during the

assessment phase.

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Step II - Counseling/Treatment/Rehabilitation.

After problem assessment and the

determination of an appropriate resource,

a treatment plan is developed. This plan

will be jointly developed with the

employee and the EAP Counselor (service

provider). The plan includes the

identified disabling condition; source,

length and type of treatment; and any

specific accommodation to be made during

the employee\'s counseling/ treatment

period. If residential treatment or

prolonged treatment is necessary, the EAP

service provider submits the treatment

plan to the Headquarters EAP

Administrator for employees in

Headquarters and to Field EAP Liaison

Officers for employees in the Field. The

employee will prepare a written request

for accommodation to be submitted to

his/her supervisor. The Headquarters EAP

Administrator and Field EAP Liaison

Officers facilitate the flow of

information between the employee, service

provider and supervisor. Also, HUD EAP

staff and service providers will make the

employee aware of his/her rights to

confidentiality and the importance of

signing the form HUD 25015 (Appendix 1),

the Consent for Release of Patient

Information During or After

Treatment/Rehabilitation, Form HUD 25015-A

(Appendix 2), and the HUD EAP

Confidentiality Statement (Appendix 3).

Depending on the nature or

seriousness of the problem and the

length of the treatment period, some

written certification of program

progress and completion from a

medical or mental health

professional might be required

(i.e., chemical dependence). If

this is the case, the employee, upon

return to work, must bring with

him/her the required documentation

from his/her treatment provider.

Absences during duty hours for

treatment/rehabilitation must be

charged to the appropriate leave

category (e.g., sick or annual

leave, and leave-without-pay) in

accordance with leave regulations.

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Step III - Follow-Up. Employee follow-up

during and after treatment is

an essential component of the

EAP. The availability of

follow-up services helps to

ensure treatment success and

timely return to work. Follow-up

in an EAP is conducted by

EAP Counselors (service

providers). It is important

that counseling/treatment is

monitored at specified

intervals and periodic feedback

given to management. Feedback

to managers on the progress of

an employee in the program is

provided within the

confidentiality provisions. On

supervisory/management

referrals, an employee must be

made aware of the importance of

giving feed-back to his/her

supervisor, because success or

failure in an EAP could lead to

future personnel actions.

Step IV - Reintegration. After an extended

absence for treatment or

rehabilitation, the employee\'s

smooth transition back to the

workplace is important. It is a

cooperative effort between

supervisor and employee and this

process is facilitated by EAP staff.

All parties should play a part in

making the employee\'s adjustment

back to work after treatment a

smooth one. Any post-treatment

recommendations for a disabling

condition should be accommodated and

all efforts should be made to

minimize the impact of the

accommodation on the employee\'s

work.

2-3 Supervisory Guidelines

A. General. Supervisors are in a critical position to

observe and intervene in a preventive capacity

before employee problems seriously impair

performance and/or conduct. Therefore, supervisors

are in an excellent position to motivate employees

to seek assistance through the EAP. When normal

work counseling or supervisory measures have not

improved performance and/or conduct, then a formal

referral to the EAP is appropriate. Early

intervention is key to solving employee problems.

Postponing constructive and positive intervention

will only result in further performance or conduct

deterioration and more drastic

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or negative actions to be taken later.

B. Guidelines. The following guidelines are to be

utilized by supervisors in referring employees to

the EAP.

1\. Problem Identification. It is difficult to

identify all the behavioral indicators of a

troubled employee. Whether they appear

singularly or in combination, the symptoms of

a troubled employee could indicate a

significant problem. Warning signs such as

performance deterioration, poor attendance and

absenteeism, changes in attitude and physical

appearance, increases in health and safety

hazards, changes in employee behavior patterns

which exhibit the potential for workplace

violence or disruption, and preoccupation with

personal and family concerns are key

indicators of problems in their early stages.

Supervisors are not expected to be

diagnosticians. Identification of personal

problems should be solely related to the

impact they have on employee performance

and/or conduct.

2\. Documentation. When faced with declining or

erratic performance or conduct problems,

observable, verifiable facts about performance

or conduct should be documented.

Specifically, the supervisor should:

a\. be specific about the date, time, and

place of poor performance and/or

inappropriate conduct;

b\. write down what has been observed (not

opinions, conclusions, or subjective

comments);

c\. focus on performance/conduct issues, not

personal problems;

d\. provide objective, factual information

that shows the performance picture over a

period of time;

e\. keep information confidential \-- share

only with the employee; and

f\. support action to be taken by the

employee to correct the problem.

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3\. Constructive Confrontation. After a thorough review of any

documented performance or conduct problems and consultation

with the EAP staff, the supervisor is to constructively

confront the employee with what has been observed.

Discussions with the employee should include:

a\. the specific marginally successful or unacceptable

performance or unacceptable conduct;

b\. concern for any personal problems that may be

impacting the employee\'s performance or conduct;

c\. offering help through the EAP, if personal problems

exist; and

d\. reinforcing the importance of confidentiality.

At the end of this meeting, the employee should know what

performance deficiencies exist or what conduct is

unacceptable, what corrective action is needed and what help

is available through EAP. The employee must also clearly

understand that whether or not he/she accepts the offer of

help through EAP, that ultimately performance or conduct

must improve or further action may be warranted.

4\. Formal Referral. Referrals can be informal through the

confrontation meeting or formalized in writing by

memorandum. Supervisors should consult with EAP staff prior

to formal referral. The formal referral does not become a

part of the Official Personnel File (OPF) and is neither a

performance based action or disciplinary in nature. The

formal referral memorandum should include:

a\. a clear statement of the purpose of the memorandum;

b\. a statement which clearly indicates that this is not a

performance based or disciplinary action;

c\. a description of the marginally successful or

unacceptable performance or unacceptable conduct;

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d\. a statement of referral to EAP which includes a name

and telephone number of the EAP contact and, as

appropriate, the date, time and place of appointment;

and

e\. specific supportive actions to be taken by the

employee to correct the problem.

(See Appendix 4, Sample EAP Referral Memorandum).

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