Employee Assistance Program: Manager Referral & Administration Guide

Purpose

To give managers and HR a consistent, confidential process for referring employees to the Employee Assistance Program (EAP) and for handling EAP-related information appropriately.

When to consider a referral

Consider raising the EAP with an employee when:

• job performance, attendance, or workplace conduct has declined in a way that may be linked to a personal, family, or health-related issue;
• an employee discloses a personal difficulty (financial, family, legal, emotional, substance-related) that is affecting their work;
• an incident (for example, a positive drug/alcohol test, a safety incident, or a visible crisis at work) calls for a supportive next step alongside any disciplinary process.

The company does not intrude into employees' private lives. A referral is offered because performance or workplace safety is affected — not as a substitute for addressing the underlying performance issue directly.

Two referral paths

1. Self-referral

Employees and eligible family members can contact the EAP directly and confidentially at any time, without going through a manager. Managers and co-workers should feel comfortable simply reminding an employee that the EAP exists and is confidential.

2. Manager/supervisor referral

Use this path when job performance is affected and a supportive, documented step is appropriate alongside standard performance management:

1. Consult HR first, except in an emergency. HR should be involved in shaping any corrective-action plan that references EAP participation.
2. Speak with the employee privately. Describe the specific performance concerns objectively (avoid diagnosing or speculating about the underlying cause). Offer the EAP as a resource and, where appropriate, offer to help arrange the first appointment.
3. Make clear participation is voluntary. The employee may decline EAP services. Declining does not by itself lead to discipline — but performance concerns still need to improve through the normal corrective-action process regardless of whether the employee uses the EAP.
4. Do not make participation a condition of continued employment by itself; document the referral as a supportive resource offered alongside, not instead of, normal performance expectations.
5. Follow up on the underlying performance issue on the normal timeline — EAP referral does not pause or replace standard performance management steps.

Intake process (for employees contacting the EAP)

1. The employee or family member contacts the EAP provider's confidential intake line.
2. An EAP specialist gathers basic information to determine eligibility, understand the nature of the concern at a high level, and match the employee with an appropriately skilled counselor.
3. Emergency situations receive priority handling; the specialist can direct the caller to immediate crisis resources if needed.
4. Where the company uses region-specific or locally contracted EAP providers rather than a single national provider, HR should be able to point employees to the correct local contact information.

Confidentiality handling

• EAP participation, attendance, and content of counseling are confidential between the employee and the EAP provider, except where the employee authorizes disclosure, the law requires it (for example, valid legal process), or there is an imminent risk of serious harm to the employee or others.
• If a manager referral is involved and the employee chooses to authorize limited disclosure, the EAP may share only: dates/times of sessions attended, general prognosis, and recommendations — nothing more, and only with written authorization from the employee.
• Do not place any reference to EAP participation, referral, or session details in an employee's general personnel file. Keep any related documentation (for example, HR's notes on a manager referral) in a separate, restricted-access file.
• Managers should not ask the EAP provider, or the employee, for details beyond what is authorized for release.
• Where the EAP provides substance-use disorder counseling or treatment referral that qualifies as a "federally assisted" program under 42 CFR Part 2, any consent used to authorize disclosure back to a referring manager must meet Part 2's specific consent-content requirements (which are stricter than a general authorization) — confirm with the EAP vendor and counsel whether Part 2 applies to your program before relying on a generic authorization form.

Responsibilities

Role	Responsibility
Manager	Recognizes when a referral may help; consults HR before a formal referral; keeps the conversation focused on performance, not diagnosis; documents the referral appropriately without including clinical detail.
Human Resources	Advises managers on appropriate use of manager referrals; maintains the EAP vendor relationship and local-provider contact list; safeguards EAP-related records separately from personnel files.
EAP Provider	Delivers confidential intake, counseling, and referral services; discloses only what the employee has authorized.
Employee	Decides whether to use the EAP; if participating via manager referral, decides what (if anything) to authorize for release back to the employer.