HR 4.20 - Employee Assistance Program  
Responsible Office(s): Human Resources                                                                   Effective:  April 1, 1989

A. Purpose.

Explains the UNCW Employee Assistance Program.

B. Scope.

Primarily available to SPA employees with permanent appointments (on a self-referred or supervisor-referred basis) and to their immediate family members. However, any university employee may use this program on a request basis.

C. Policy.

1.    General Statement.
The University of North Carolina at Wilmington shall maintain an Employee Assistance Program (EAP) to assist employees in finding solutions to personal problems that may adversely affect job performance. The program provides information, assessment, advice, and referral.

The Employee Assistance Program shall not require or result in any special regulations, privileges, or exemptions from standard administrative practices applicable to job performance requirements. No employee shall have either job security or career opportunities jeopardized or guaranteed by active participation in the program.

2.    Purpose of the Program.
The purpose of the Employee Assistance Program is to combine sound management principles with a humanitarian approach to assist employees in finding solutions to personal problems that affect job performance and productivity. The program is both remedial and preventive and is designed to:

- Identify the problem at the earliest possible stage of development.
- Encourage voluntary participation and self-referral and motivate the individual to
   seek help.
- Refer the individual to the most appropriate community resource for assistance.

The goals of the program are to restore individual productivity; improve efficiency; and retain valued, experienced employees.

3.    University EAP Administrator.
The University EAP Administrator (located in the University Human Resources Department) shall be well informed on current personnel administration and general management principles and practices including job performance evaluation concepts and systems. The University EAP Administrator shall treat all information about employees discretely and confidentially. The University EAP Administrator shall be responsible for the following:

- Developing and maintaining viable working relationships with the staff of the State
  Employee Assistance Program (SEAP).
- Ensuring the communication of the program to employees and maintaining an
  effective level of program awareness among supervisors and employees.
- Identifying and referring employees in need of service to SEAP.
- Receiving supervisory referrals of employees with patterns of declining job
   performance; discussing program benefits, procedures, and alternatives available to
   employees; and making appointments for employee with SEAP.
- Being accessible to employees in such a manner that conferences can be conducted
   in a timely, confidential, and professional manner.

4.    State Employee Assistance Program (SEAP).
The State Employee Assistance Program (SEAP) is responsible for the following:

- Providing initial assessment and evaluation of all referrals (supervisory, self referrals,
   and employees' family members).
- Referring the individual(s) to the most appropriate available resource in a timely and
   efficient manner.
- Maintaining a network of community resources and being knowledgeable about
   available services and their costs.
- Serving as liaison with the University's EAP Administrator.
- Monitoring employee's attendance and completion of services.
- Ensuring discretion and confidentiality of information concerning program
   participants.
- Participating, as mutually determined, in the university's communication, employee
   awareness, and supervisory training programs.

5.    Responsibilities of University Management Regarding Employee Assistance Program.
Deans, Directors, and Department Heads are responsible for the following:

- Encouraging supervisory participation in EAP training.
- Considering EAP as an option for each employee whose work performance or
   conduct warrants disciplinary action.

NOTE: Managers or supervisors are NOT required to become knowledgeable about the employee's personal problems or attempt to diagnose.

6.    Responsibilities of the Employee.
It is the employee's responsibility to cooperate in the designed recovery plan and to record leave in accordance with the State Personal leave policies and university procedures. (See Policy statement 9.)

7.    Supervisory Training.
Supervisory training is essential for the efficient implementation of the Employee Assistance Program. Therefore, all supervisors shall undergo EAP training and orientation. The training will emphasize recognition of employee(s) with personal problems and recommend procedures for dealing with these situations in the work setting, as well as procedures for referral.

8.    Employee Awareness.
The University EAP Administrator is responsible for periodic awareness campaigns to the campus community, which shall serve to reinforce management's commitment to the Employee Assistance Program and to dispel employee and supervisory suspicions about the program's intent and results. Employee Assistance Program information shall also be included in employee orientation programs and materials.

9.    Leave.
An employee shall not be charged leave for the initial assessment with a SEAP Counselor. An employee may take vacation or sick leave as appropriate for continued treatment or rehabilitation, or the employee may request leave without pay. The scheduling of leave shall be coordinated between the employee and the supervisor. The SEAP Counselor can help the employee verify the need for leave to attend counseling should follow-up meetings be necessary. The employee is under no obligation to disclose the reason for leave. If confidentiality is in question, the employee may work through the University EAP Administrator.

10.    Program Cost.
There is no cost to the employee for assessment by the State Employee Assistance Program. However, any costs associated with additional services or treatment are the responsibility of the employee. When additional services are recommended, the employee or family member shall be given a choice of several agencies whenever possible. Special attention shall be given to the possible costs of available services in making referrals. Charges for some services may be covered by the state health plan.

11.    Confidentially of Records.
All information regarding an employee's participation in EAP shall be treated in strict confidence. No information regarding participation in EAP shall be kept in the employee's personnel file.

     a.    Self-Referral.   All information concerning self-referrals is strictly confidential and shall be released only upon request of the employee. The employee may contact SEAP for assistance without the knowledge of management of the university.

     b.    Supervisor Referral.   Where disciplinary action is concerned, the fact that an employee was given the option to participate in EAP or other related material shall not be kept in the employee's personnel file. The specific nature of an employee's problem or the treatment resource shall not be reported to the university by SEAP. The only information reported by the SEAP Counselor to the University EAP Administrator shall be the following:

- The frequency of appointments.
- Whether the employee is keeping appointments.
- Whether the services have or have not been concluded.

     c.    Records Maintained by SEAP.  The State EAP Office shall maintain data and records necessary for operation and periodic evaluation of the program. Participant data will be maintained both for supervisory referrals and employee "self" referrals.

12.    Employee Assistance Program and the Disciplinary Process.
The Employee Assistance Program complements the disciplinary process but is NOT a part of it. The supervisor shall not offer EAP services as an alternative to disciplinary action. When disciplinary action is appropriate and the supervisor determines that EAP services may be helpful, EAP services should be suggested as an adjunct to disciplinary action. The employee may be motivated only when it is recognized that consequences of not accepting help may include an alternative (dismissal) more intolerable than fear of treatment or exposure.

If, at any stage of the disciplinary process, the employee chooses to use EAP services, such use does not guarantee retention in the job. Participation in the program carries no special privileges. After a reasonable period of time, a satisfactory improvement in job performance must occur or applicable disciplinary action shall be implemented or continued as appropriate.

If an employee who has initiated the assistance process is dismissed, continued help through SEAP shall be available, although not necessarily continued coverage through the employee's health benefits plan.

D. Procedures.

The Employee Assistance Program has established two mechanisms for employees to obtain assistance. The two mechanisms (self-referral and supervisory referrals) are explained in detail below.

1.    Self Referral.

     a.    Any referral initiated by the employee in the absence of disciplinary action is considered a self-referral. Self-referral may also occur whenever an employee seeks help as the result of a suggestion by a supervisor or the University EAP Administrator.

     b.    To initiate a self-referral, the employee may call the SEAP office in Raleigh directly (phone 1-800-543-SEAP) or may request information/assistance from the University EAP Administrator. These individuals will provide additional information on the program and, when requested, schedule an appointment.

     c.    Following the initial assessment visit with the SEAP Counselor, the employee will normally have a scheduled meeting with the resource person suggested by the SEAP Counselor. The SEAP Counselor, whenever possible, will try to offer several options to the employee.

     d. Any information concerning a self-referral will only be released at the request of the emplo   yee. The management of the University will not have access to this information.

2.    Supervisory Referral.

     a.    If disciplinary action has begun against the employee, any referral to the Employee Assistance Program will be considered a supervisory referral.

     b.    Unlike self-referrals, which are strictly confidential, certain information from supervisory referrals can be released to the University with the written consent of the employee. (See Policy statement 11.) This consent will be obtained by the SEAP staff.

     c.    Supervisors are encouraged to seek help from the University EAP Administrator on particular cases at an early stage (i.e., the oral warning phase) in dealing with employees having personal problems. (See Procedure HR 6.10 for the University policy on SPA Employee Disciplinary Action.)

     d.    Throughout the disciplinary process, the supervisor should firmly but sincerely attempt to encourage the employee to seek assistance, guarding against misguided feelings of sympathy or personal hostility. The services of the Employee Assistance Program may be offered in conjunction with an oral warning, a written warning, or a final written warning.

     e.    The employee has the option of responding to one or more of the key persons involved in the referral process without following the routine chain of command. The employee may contact the University EAP Administrator in the University Personnel Department or the State Employee Assistance Program (SEAP) directly (phone 1-800-543-SEAP) without discussion or prior approval. The goal is to assist the employee in getting help via any referral route that is acceptable to the employee.

     f.    During a corrective interview or in other discussions with the employee, the supervisor may become aware of personal problems that the employee may be experiencing. The supervisor should not attempt to identify the problem(s) or to advise the employee on solutions. Identification of the problem(s) and recommendations for solution should be handled by a trained employee assistance specialist from SEAP.