Citation
Supervisor referrals to employee assistance programs

Material Information

Title:
Supervisor referrals to employee assistance programs
Creator:
Capece, Michael
Publication Date:
Language:
English
Physical Description:
x, 177 leaves : ; 28 cm.

Subjects

Subjects / Keywords:
Alcoholic beverages ( jstor )
Alcoholism ( jstor )
Employee assistance programs ( jstor )
Employee counseling ( jstor )
Employee supervision ( jstor )
Employees ( jstor )
Hospitals ( jstor )
Labor ( jstor )
Medical referrals ( jstor )
Social learning theory ( jstor )
Dissertations, Academic -- Sociology -- UF
Employee assistance programs -- Research ( lcsh )
Sociology thesis Ph. D

Notes

Thesis:
Thesis (Ph. D.)--University of Florida, 1991.
Bibliography:
Includes bibliographical references (leaves 169-176).
General Note:
Typescript.
General Note:
Vita.
Statement of Responsibility:
by Michael Capece.

Record Information

Source Institution:
University of Florida
Holding Location:
University of Florida
Rights Management:
Copyright [name of dissertation author]. Permission granted to the University of Florida to digitize, archive and distribute this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.
Resource Identifier:
026685754 ( ALEPH )
25350810 ( OCLC )
AJB3369 ( NOTIS )

Downloads

This item has the following downloads:


Full Text











SUPERVISOR


REFERRALS


TO EMPLOYEE


ASSISTANCE


PROGRAMS


MICHAEL


CAPECE


A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT
OF THE REQUIREMENTS FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY















ACKNOWLEDGMENTS


I would


like


thank


the


following


people


who


have


played


a significant


role


helping


prepare


dissertation


and


assisted


me during


program


the


University


of Florida.


First,


I want


thank


those


who


served


on my


committee:


. Constance


. Ronald


Akers


Shehan,


(chair),


. Richard


. Lonn


Hollinger


Lanza-Kaduce,


and


. Peter


Sherrard.


want


to especially


thank


Dr. Akers,


who


encouraged


and


was


always


available


me throughout


program


study,


and


also


Dr. Lanza-Kaduce


for


his


assistance


with


the


statistical


analysis.


I would


also


like


acknowledge


the


assistance


of Dr


Patrick


Gartin


who


helped


with


the


data


entry


phase


the


dissertation.


Much


was


learned


from


him


about


the


use


computer.


want


to thank


Nadine


Gilli


the


Department


Sociology


her


work


on the


preparation


the


dissertation.









A special


thank


you


goes


to Leslie


Clarke,


friend


and


colleague,


who


helped


make


the


distance


between


myself


and


university


more


tolerable


my parents,


who


told


me when


others


believed


different,


that


with


hard


work


can


accomplish


anything,


share


accomplishment


with


them.


And


finally,


wife,


Lynne:


one


has


played


more


significant


supported


me when


this


I needed


process


and


than


encouraged


she.


me when


wanted


give


hope


can


give


back


her


what


she


so unselfishly


given


me.


















TABLE


OF CONTENTS


pkg~


ACKNOWLEDGMENTS.........................................


LIST


OF TABLES..........................................


ABSTRACT ................... ............................viii

CHAPTERS


EMPLOYEE ASSISTANCE
PROCEDURE..........


PROGRAMS


BACKGROUND


AND


Introduction......
Antecedents Of Pre
Programs.......
The Basic Elements
Programs.......
Guidelines For Sup
Problem On the
Constructive Confr


S*sent *
sent


........
Employee


Employee
Employee


ervisors I
Job.......
ontation..


.A...a....
Assistance


Assistance .


. .. .C .C. .
n Identifying
* .. e.S .*.*.
.......... ..*


........
A
... ...
*........


Summary


And


Statement


Of The


Problem.


SUPERVISORY
ASSISTANCE


PARTICIPATION IN
PROGRAM..........


THE


S S C


Previous Research On Factors In
Referrals...................
Significance Of Present Study..


EMPLOYEE


Supervisors'


... .. .... ..
. S S .* S...C...


* *5* *
.....
0....


LABELLING AND
PERSPECTIVES


SOCIAL LEARNING THEORY
ON EMPLOYEE ASSISTANCE


AS
REFERRALS....


METHODOLOGY......................................


Sample......
Procedure...
Instrument..
Operational


. ... S *......0S. ...S. .SS5 ........ .
.. ... .S..S.. .. ...... ***......S .


a........
zation...


* S C C C 50555555 SSS.SSSSCS S 5555
* SSCSSCSC SSSCSSCC C S C *SS*S*S*











RESULTS


AND


DISCUSSIONS


OF THE


SOCIAL


LEARNING


ANALYSIS..


Discriminant


Functi


on Analys.s......
on Analysis


.. .C. ....5.

* .. C *.S.. ....


Regres


sion


Analysis..


RESULTS


AND


DISCUSSION


OF THE


LABELLING


ANALYSIS.....


......... 105


Labelling


Social


Variabli


Characteristi


......... 105


Of Referral


Controlling


For


Severity


Of The


Problem.


...... 111


CONCLUSIONS


AND


IMPLICATIONS


FOR


POLICY


AND


RESEARCH....


S. ...... 123


Policy


Implications....


Implications


Future


Research


S................ 125
................ 130


APPENDICES


SUPERVISOR'S


ROLE


: AN


EXAMPLE


OF CONFRONTATION


.. 133


EMPLOYEE


ASSISTANCE


PROGRAM


EVALUATION


SUPERVISOR


QUESTIONNAIRE.


........................ 136


REFERENCES......................


........................ 169


BIOGRAPHICAL


SKETCH............


........................ 177














LIST


OF TABLES


Table


pAge


Reliability And Item To
For Reinforcement


Scale
Scales


Correlations
. ... .S. S .S. S ... .. ..


Reliability And Item
For Definition


To
Scal


Sca
es.


Correlations


Zero-Order Correlations For The Social
Variables Meeting The Statistical
For Inclusion In The Discriminant
For Supervisory Referrals To The
Assistance Program...............


Learning
Criteria
Function
Employee


And Standard
Learning Vari
Criteria For
Function For
Employee Assi


Deviations For The Social
ables Meeting The Statistical
Inclusion In The Discriminant
Supervisory Referrals To The
stance Program...................


Standardized
Coeffic
Variabli
For Inc
Referra


Canon
ents
s Mee
usion
s To


ical Discriminant
For Each Of The S
ting The Statisti
In The Function
The Employee Assi


Function
social Learning
cal Criteria
For Supervisory
stance Program.


Actual Number
Classified In
The Overall P
Classified By


And Percentage Of Cases Correctly
The Use And Nonuse Groups, And
percentage Of Cases Correctly
The Function....................


Regression Of
Referrals


Number Of
On Social


Employee
Learning


Assistance
Variables.


Program
....... 101


Frequency Distribution Of The Job Classification
For The Last Referral Of An Employee To The
Employee Assistance Program................


Frequency Dis


tribution For Gender, Race,


And


Means


The









pag&


Frequency Distribution Of
The Last Referral Of
Employee Assistance


Frequency Distribution
In Years For The
To The Employee A


Educational Level For
An Employee To The
Program...................


Of Length Of Employment
Last Referral Of An Employee
assistance Program...........


Frequency Distribution
Problem For Which


For
The


Severity
Employee


Of
Was


Primary
Referred...


Frequency Distribution For Extent That The
Employee's Job Performance Was Affected By
The Primary Problem For Which The Employee
Was Referred To The Employee Assistance
Program.......................................


Frequency Distribution For Degree Of Pressure
Used By The Supervisor To Get The Last
Referral To The Employee Assistance Program...

Frequency Distribution Of The Number Of Negative
Job Related Behaviors Associated With The
Last Referral Of An Employee To The Employee
Assistance Program............................


Cross-tabulation Of
Classification
Problem For The
To The Employee


The Gender, Race And
With The Severity Of
Last Referral Of An
Assistance Program.


Job
The
Employee


Table















Abstract


the


of Dissertation


University


Presented


of Florida


the


Partial


Graduate


School


Fulfillment


Requirements


SUPERVISOR


the


REFERRALS


Degree


TO EMPLOYEE


Doctor


Philosophy


ASSISTANCE


PROGRAMS


Michael

May


Capece

1991


Chairman
Major De


Ronald


apartment


L. Akers,
: Sociology


Ph.D.


The


purpose


study


to locate


the


important


variables


the


deci


sions


supervisors


refer


employees


troubled


alcohol,


drug


or emotional


problems


to "employee


assistance


programs


self-administered


questionnaire


was


given


to a sample


of 90 supervi


sors


two


general


hospitals


Tampa


Bay


area.


Two


sociological


theories,


social


learning


theory


and


labelling


theory,


guided


the


research


Data


were


analyzed


discriminant


function


analysis


regression


analysis


and


frequency


distributions.


The


discriminant


function


analysis


was


performed


determine


variables


derived


from


social


learning


theory


could


explain


why


some


supervisors


refer


employees


with


drug


, alcohol


or emotional


problems


to the


employee


a a a


m









variable,


(referring


and


non-referring


behavior


the


supervisors)


Also,


the


discriminant


function


with


the


social


learning


variables


was


able


to successfully


classify


cases


into


the


referring


and


non-referring


groups


The


regre


ssion


analysis


was


performed


determine


how


well


social


learning


variables


could


explain


the


frequency


which


supervisors


refer


employees


the


employee

included


variance

The


instance

social


the


frequency


program.

learning


dependent


The re

variable


variable


distributions


gression


model,


which


, explained


(frequency


and


the


of referral)


cross-tabulations


were


presented


determine


the


deci


sion


refer


an employee


was


based


on the


social


characteristic


the


employee,


labelling


theory


would


posit,


or on the


severity


the


problem.


No significant


support


was


found


the


labelling


perspective.


There


was


some


support


for


the


contention


that


referral


decisions


Based


the


are


based


results


on the


the


severity


study,


three


the


main


problem.


policy


recommendations


were


made.


First,


the


research


clearly


shows


that


strong


organizational


support


the


program


needed


increase


supervisory


participation.


Second,


supervisors


who


have


referred


employees


the


program


can


as resources


those


supervisors


who


have


not


referred.








concerning


their


expectations


of how


helpful


the


program


will


the


employees.
















EMPLOYEE


ASSISTANCE


CHAPTER
PROGRAMS


BACKGROUND


AND


PROCEDURE


Introduction


The


problem


employee


drinking


and


drug


abuse


been


the


focus


of attention


industry


the


United


States


since


the


mid


1800s,


(Trice


and


Schonbrunn,


1981)


and


continues


to be


an important


issue


today


(Steele,


1988;


Trice


and


Sonnenstuhl,


1988).


Workers


who


use


drugs


alcohol


on the


are


one-third


less


productive,


and


three


times


more


likely


to be injured


than


those


employees


who


not


use.


These


employees


also


experience


more


instability


as well


and


as engage


as stealing cash,

It is believe


unemployment


more


products

d that o


(Kandel


on-the-job


and


and


Yamaguchi,


deviant


equipment


ne-fourth


the


behavior


(Hollinger,


workers


1987),

r such

1988)

n the


United


States


use


alcohol


or drugs


on the


with


cost


industry,


due


to lost


productivity,


estimated


at 16


to 17


billion


dollars


per


year


(Scanlon,


1986).


In a study


corporations,


Hollinger


(1988)


found


that


3.2%


hospital


employees,


7.6%


those


retail


and


- a S a a S a S an











The


National


Institute


on Alcoholism


and


Drug


Abuse


(NIAAA)


estimates


that


the


U.S.


economy


loses


approximately


billion


dollars


per


year


due


to lowered


worker


productivity


(NIAAA,


1987).


Industry


has


responded


establishing


employee


ass


instance


programs


(EAPs)


to deal


with


employee


alcohol,


drug,


and


emotional


problems


To establish


an EAP,


organizations


contract


with


a private


employee


ass


instance


company


which


provides


to the


employees


counseling


services


alcohol,


drug


and


emotional


problems.


There


are


two


types


employee


referrals


voluntarily


the


seeks


EAP:


self-referral


counseling)


and


which


supervisory


referral


which


supervisors,


as a result


employee'


deteriorating


performance,


recommends


the


employee


that


he/she


the


EAP)


. It i


the


second


type


of referral


that


the


present


research


interested


Although


the


the


functioning


issue


supervisory


an effective


referrals


employee


ass


central


instance


program


(Masi,


1984;


Myers,


1984;


Alpander,


1980;


Schaeffer,


1979;


Poley,


Lea


and


Vibe,


1979;


Walker,


1979


Blose,


1977;


Herbert,


1975


and


Hemmett,


1972


there


been


little


research


to determine


why


some


supervi


sors


refer


to the


EAP


others


not.


Because


the


centrality


issue











Specifically,


the


purpose


the


present


research


investigate


variables


in supervisors'


referrals


or non-


referral


to employee


assistance


programs.


The


selection


these


variable


theory-guided,


and


therefore


the


findings


have


theory


some


implications


to workplace


deci


the


sions


applicability


In particular,


sociological


social


learning


theory


and


labelling


theory


are


used


derive


variable


and


expectations


about


the


relationship


these


variables


to EAP


referral


deci


sions.


Social


learning


theory


draws


and


attention


to the


consequences


theory


draws


interactive


those


attention


making


the


network


referral


social


of supervisors


Labelling


characteristic


those


being


referred.


Chapter


One


will


trace


the


evolution


employee


ass


instance


program


from


1900


to its


present


day


structure.


It will


begin


discussing


the


antecedents


the


modern


employee


assistance


program,


highlighting


the


sociological


influences


that


helped


to shape


the


development


modern


program.


Then,


an overview


the


modern


program


will


be provided.


Chapter


Two


will


discuss


the


literature


concerning


the


supervisor'


role


employee


assistance


program


including


the


factors


which


prevent


the


supervisor


from











theory


and


labelling


theory


Chapter


Four


detail


research


methodology


the


study


Specifically,


chapter


will


discuss


the


sample,


the


research


instrument,


operationalization


concepts,


the


scaling


procedure


and


the


statistical


techniques


employed.


Chapters


Five


and


present


the


results


the


statistical


analyses.


Chapter


Five


deals


with


the


results


the


discriminant


function


analysis


and


the


regression


analysis


to determine


how


well


the


social


learning


variable


can


explain


supervisors'


referral


behavior


as well


the


frequency


with


which


supervisors


refer


the


program.


Chapter


Six


will


present


the


frequency


distributions


and


the


cross-tabulations


the


social


characteristic


the


last


employee


referred


the


EAP


and


the


severity


the


problem


which


the


employee


was


referred.


The


intent


examine


the


extent


which


the


deci


sian


to refer


employee


based


primarily


on the


social


characteristics


the


employee


rather


than


nature


the


problem


behavior


as labelling


theory


would


hypothesize.


In the


last


chapter


policy


recommendations


and


directions


future


research


will


discussed.


Antecedents


Of Present


Emolovee


Assistance


Proarams











1986).

housing,


These


programs


insurance,


provided


pension


plans,


employees


and


with


other


inexpensive


benefits


These


programs


were


designed


to help


industry


providing


stable


labor


force,


promoting


worker


loyalty


and


preventing


unionization


(Nelson


and


Campbell,


1972)


With


the


onset


the


depres


sion,


these


programs


diminished


because


the


depression'


negative


effects


on industry


and


unionism,


which


eliminated


the


company'


motivation


to continue


the


programs.


With


the


emergence


of personnel


counseling


during


the


1930S,


the


employee


assistance


movement


entered


a new


era.


Personnel


counseling


emerged


from


the


work


Elton


Mayo


(1923)


applied


workers


at Western


at Western


to act


Electric'


Electric,


as counselors


Hawthorne


program


These


Plant.


employed


counselors


was


shop


would


informally


talk


with


employees


about


their


personal


problems,


with


an emphasis


on listening


to the


employee


without


giving


advice.


However,


the


main


focus


of personnel


counseling

psychiatric


came


to be centered


clinics.


These


around


clinics


the


were


development

established


of

to


address


what


were


considered


to be employees'


irrational


beliefs


which


caused


strikes


and


decreased


productivity


(Sonnenstuhl


and


Trice,


1986).











emotional


problems


that


people


experienced


workplace.


There


were


two


approaches


dealing


with


emotional


problems.


The


first


approach


stressed


the


treatment


the


emotional


problems


that


worker


was


experiencing.


The


employees


could


seek


treatment


on their


own


or would


encouraged


management


to seek


treatment


their


emotional


problem.


The


second


approach


stressed


the


prevention


of emotional


problems.


Prevention


addressed


teaching


employees


healthy


beliefs


and


developing


healthy


work


environment.


In the


1940S


and


1950S,


industry


began


to address


the


issue of employee

employee assistance


drinking.

e programs


The

into


model

its


which would

current form


guide

was


greatly


influenced


shift


emphasis


(Sonnenstuhl


and


Trice,


1986;


Trice


and


Schonbrunn,


1981)


SThese


industrial


alcoholism


programs


focused


on how


drinking


was


adversely


affecting


workers'


productivity


Specifically,


owners


and


managers


became


concerned


about


effects


that


alcoholism


had


on absenteeism,


disability,


sickness


accident


loss.


Industry


reacted


the


need


to deal


with


employees'


alcohol


problems


implementing


informal


arrangements


between


company'


medical


department


and


members











Alcoholics


Anonymous


who


were


working


the


shop,


would


asked


to approach


the


employee


and


discuss


their


drinking


problem.


Following


the


guidelines


the


program,


the


member


would


talk


with


the


employees


about


their


experience


with

hoped


alcohol


that


and


the


benefits


AA member


could


of sobriety

informally


The


motivate


company


the


employee


to attend


an alcoholism


meetings


treatment


of Alcoholi


program


(Trice


and


Anonymous


or enter


Sonnenstuhl,


1985).


Goodyear


Tire


and


Rubber


Company


Akron,


Ohio


provides


an example


of a longstanding


industrial


alcoholism


program.

health b


Goodyear


benefits


has


to its


a long


employees


history


(Shain,


of providing


Survali


mental


and


Boutilier,


1986)


through


medical


department


utili


AA members


to intervene


with


employees


who


were


suspected


having


a drinking


problem.


The


program


centered


around


recovering


alcoholic


within


medical


department


Goodyear


who


had


been


sober


many


years


acted


as a


liaison


between


medical


department


and


other


recovering


alcoholics


that


worked


on the


shop


floor.


When


was


suspected


that


a particular


employee


had


problem


with


alcohol,


the


problem


was


reported


to the


medical


department.


Then


, the


AA liaison


the


medical











attend


meetings


of Alcoholics


Anonymous.


the


alcohol


problem

referral


Then,


was

was


the


deemed

made


employee


severe


the


was


enough

medical


strongly


the


AA member,


department


encouraged


of Goodyear


to admit


him/herself


an alcoholism


treatment


center


While


the


treatment


center,


the


employee


was


sited


regularly


the


AA liaison


from


medical


department


of Goodyear


Also


while


Alcoholics


treatment,

Anonymous


the


AA liaison


sponsor,


who


arranged


was


an employee


Goodyear


When


person


was


discharged


from


the


hospital,


the


medical


person'


department


progress


would


through


the


continue

Alcoholi


to monitor


the


Anonymous


sponsor


and


through


the


AA liaison


medical


department.


Thi


example


from


Goodyear


illustrates


the


type


informal


network


which


was


integral


to the


early


industrial


alcoholism


programs


in major


industry


SIt also


shows


how


the


medical


department


coordinated


with


the


established


resource


within


the


plant,


namely


those


already


involved


with


Primarily


through


these


informal


mechanisms,


Alcoholics


Anonymous


became


a major


influence


the


establishment


modern


more


day


employee


important


impact


assistance


on the


programs.


development


A formal


these


even


programs











Trice


and


Sonnenstuhl


(1985)


discuss


the


critical


contribution


that


AA made


to the


development


the


employee


assistance

employee


program.


assistance


Alcoholics

programs a


Anonymous


balance


provided


between


the


exercising


control


over


problems


on the


and


motivating


a person


seek


help.


was


seen


the


Goodyear


example,


because


members


were


working


conjunction


with


the


medical


department,


they


were


able


to exert


social


control


pointing


out


the


person


who


had


the


drinking


problem


that


continued


drinking


could


jeopardize


their


employment.


The


motivational


aspect


refers


to the


fact


that


those


already


established


the


program


were


approaching


employee


with


alcohol


experiences,


motivate


these


employees


problem.


AA members


to seek


Through


were


help


sharing


the


their


their


best


own


position


drinking


problem.


The


program


was


considered


clearly


focused


because


the


early


industrial


alcoholism


programs


concentrated


only


treating


people


with


alcohol


problems.


relying


on AA


members,


the


early


industrial


program


did


not


get


involved


with


marital,


family


or emotional


problems.


The


issue


the


importance


of using


natural


forces


workplace


deal


with


the


problem


of alcoholism


among


employees


relates


to the


fact


that


one


the


biggest


obstacles











person


and


help


the


person


deal


with


his


or her


drinking


problem


way


of breaking


through


the


denial.


AA members


used


natural


forces


the


workplace


to provide


environment


where


they


could


approach


the


employee


with


drinking

One

Anonymous


problem and

of the most


had


on the


confront

important


early


that


employee'


influences
S -


occupational


a


that


denial.

Alcoholics


lIcoholism


program


was


the


fact


that


was


cost


effective.


Alcoholi


Anonymous


a free


program


and


eliminates


any


treatment


costs


involved


working


with


the


alcoholic.


Even


when


employee


had


to be referred


into


an alcoholism


treatment


center,


AA would


prevent


provide


a relapse


back


a strong


aftercare


to drinking


Thi


program


would


to try

prevent


person


from


having


to be readmitted


to a treatment


facility


The


benefit


the


company


would


be a decrease


medical


costs.


Other


authors


also


see


the


rise


the


AA movement


having


fueled


the


early


employee


assistance


programs


(Scanlon,


1986)


AA defined


the


focus


the


program


(alcoholism),


the


recovery


program,


the


twelve


steps,


and


the


personnel


members)


to help


those


the


workplace


need


of assistance.


Thus,


in many


ways,


the


success


and


acceptance


of the


AA philosophy


as an approach


to alcoholism











Two


organizations,


the


National


Council


on Alcoholism,


formed


1944,


and


the


National


Institute


Alcohol


Abuse


and


Alcoholism


(NIAAA),


formed


1971,


gave


national


standing


to the


needs


of employee


ass


instance


programs.


The


major


influence


came


from


NIAAA;


the


agency


responsible


coining


economic


term


incentives


"Employee


to start


Assistance


employee


Program"


assistance


providing


programs


(Walsh,


separate


1982


Lotterhos,


branch,


sole


1975).


purpose


In 1971


of which


NIAAA


was


created


to promote


establishment


of employee


ass


instance


programs


fifty


states.


Each


state


was


given


a grant


of $50,000,


which


was


to be used


to hire


two


consultants


who


were


to be


put


into


place


to promote


programs


both


public


and


private


education


industry.


these


1972


consultants


, a training


was


grant


provided


was


at East


awarded


Carolina


University


most


At these


recent


educational


information


seminars,


in developing


experts


and


provided


promoting


employee


assistance


programs.


There


were


two


distinct


factions


among


those


who


attended


these


early


training


programs.


They


consisted


those

those


who

who


were

were


aligned

aligned


with

with


the

the


alcoholism


mental


movement


health


and


movement.


While


both


agreed


on the


process


and


importance


the











employees


would


improve


employees'


work


performance.


Also,


they


both


believed


that


the


supervisor,


through


process


of "constructive


confrontation"


could


help


motivate


employees


to seek


help


their


personal


problems.


What


they


disagreed


on was


what


type


of problem


on which


focus.


Those


aligned


with


the


alcoholism


movement


believed


that


the


employees


who


were


experiencing


problems


with


alcohol


should


be emphasized


the


employee


assistance


program.


Thus,


educating


supervisors


on the


proper


use


constructive


confrontation


should


an important


aspect


an employee


assistance


program.


The


mental


health


people


believed that

important, the


while


constructive


ultimate


goal


confrontation

an employee as


was


distance


program


was


to provide


an environment


that


encouraged


the


employee


to voluntarily


seek


help


(Sonnenstuhl


and


Trice,


1986)


Thus,


one


the


latent


aspects


the


establishment


NIAAA


and


the


grants


to establish


consultants


in all


fifty


states


was


the


fact


that


a schism


developed


the


employee


assistance


movement


between


those


who


believed


specific


occupational


alcoholism


programs


and


those


who


believed


what


termed


a "broad-brush"


program.


Broad-


brush


programs


are


defined


as programs


that


address


both











have


a significant


impact


on the


modern


employee


assistance


programs


debate


centers


around


two


issues,


namely


"voluntary"


versus


"involuntary"


referral


to the


employee


assistance


program


and


the


use


of constructive


confrontation.


The


issue


whether


to establish


alcohol


specific


programs


or broad-brush


programs


is still


debated


the


employee


assistance


literature


today


Roman


(1981),


Walsh


(1982


Masi


(1984)


and


Heyman


(1976),


discuss


the


establishment


of alcohol


specific


employee


assistance


programs.


above


take


view


based


on the


concern


that


the


broad-brush


programs


would


dilute


the


historical


focal


point


the


employee


assistance


program


which


has


been


on alcoholism.


These


writers


feel


that


including


problems


other


than


alcohol


an employee


assistance


program


would


lead


the


alcohol


problems


receiving


less


of a priority


than


would


receive


alcohol


specific


program.


Walsh


(198


raises


the


question


that


when


programs


shift


from


an alcohol


specific


focus


an all


encompassing


employee


assistance


program


model,


does


industry


become


too


involved


the


lives


their


employee


She


views


this


trend


as moving


towards


a type


industrial


social


engineering.











these


programs


often


will


not


address


important


issue


alcoholism


of denial.


Because


the


mental


health/broad-brush


programs


favor


voluntary


entrance


into


the


employee


assistance


program,


many


advocates


the


alcohol


specific


programs


feel


that,


because


denial


an important


part


alcoholic


mind


set,


many


alcoholics


would


not


come


into


treatment.


Masi


(1984)


sees


the


mental


health


type


employee


assistance


programs


resembling


a typical


family


counseling


agency,


which


accepts


people


on a self-referral


basi


Masi


feel


that,


the


trend


towards


a more


broad-brush


program


continues,


will


dilute


the


uniqueness


of employee


assistance


programs.


Heyman


(1976)


discus


ses


the


differences


work


improvement


those


employees


that


were


forced


to the


employee


assistance


program


and


those


who


chose


the


program


voluntarily


The


author


drew


a random


sample


approximately


people


who


entered


the


employee


assistance


program


either


voluntarily


or involuntarily


four


industrial


alcoholism


programs


the


New


York


City


area.


wanted


determine


amount


pressure


put


on the


person


into


the


employee


assistance


program


and


determine


improvement


their


work


performance


once


they


completed


program.


The


author


concluded


that


fewer











involuntarily


limited


way,


study


lends


support


to the


argument


that


alcohol


specific


programs


are


more


effective


than


the


broad-brush/mental


health


programs.


However,


the


author


indicates


that


people


who


entered


the


program


voluntarily


were


people


who


were


experiencing


early


entering


stages


treatment,


of alcoholism


their


therefore,


performance


before


was


same


state


of deterioration


as the


people


who


were


asked


involuntarily


In spite


, the


study


lends


support


to the


conclusion


that


intervention


with


those


who


are


experiencing


alcohol


problems


important


because


those


people


who


have


a drinking


problem


would


most


likely


not


have


entered


the


employee


assistance


program.


The


works


Sonnenstuhl


of Shain


(1984),


and


(1985)

Smart


Foote


(1974)


and

argue


Erfurt


(1981),


favor


shift


to the


more


mental


health/broad-brush


employee


assistance


program.


They


specifically


address


the


issue


whether


broad-brush/mental


health


employee


assi


stance


programs


dilute


effectiveness


treating


alcoholism.


The


most


current


study


one


Martin


Shainm


(1985)


effectiveness


broad-brush


program


as compared


alcohol


specific


program


on identification


rate


alcoholics,


program


utilization


rates


and


employees'











brush


programs


or that


alcoholics


would


not


be effectively


treated


the


broad-brush


programs,


is unfounded.


The


studies


Smart


(1974)


and


Foote


and


Erfurt


(1981)


also


support


the


conclusions


of Shain.


These


studies


also


found


that,


while


the


broad-brush


programs


did


not


provide


better


servi


ces


the


alcoholic


employee,


they


were


no less


effective.


It could


be concluded


from


this


review,


that


while


the


shift


that


evolved


from


establishment


and


implementation


of employee


assi


stance


programs


NIAAA


has


not


diluted


focus


provided


on alcoholism


an entry


, the


research


people


with


indicates


alcohol


that


problems


has


to enter


employee


assistance


program


greater


numbers.


The


employee


assistance


programs


that


are


being


implemented


today


reflect


the


concerns


occupational


alcoholism


program


proponents


as well


as the


mental


health/broad-brush


proponents.


These


programs


combine


the


voluntary


aspect


entering


employee


assistance


program


with


the


strong


empha


on supervisory


intervention


when


performance


deteriorates.


The


Basic


Elements


An Employee


Assistance


Program


The


contemporary


employee


assistance


program


been











Groeneveld,


1986;


Walsh


and


Yohay,


1987;


Wrich,


1982


and


Wright,


1985).


There


are


several


basic


principles


which


guide


the


employee


assistance


programs


They


include


dealing


with


the


problem


of social


stigma


associated


with


getting


help


resolution


an alcohol


the


problem,


or personal


supervisory


problem,


early


intervention


with


employee


when


the


problem


affecting


their


work


role,


and

the


insuring


employee


It i


confidentiality


assistance


program


philosophy


the


of all

(Resourc

employee


records

e EAP,


relating


1985)


assistance


program


that


there


no legitimate


reason


the


social


stigma


attached


seeking


help


an alcohol,


drug,


or personal


problem.


Therefore,


important


that


the


company


which


implements


an employee


assistance


program


minimizes


the


stigma


associated


two


ways.


with


First


seeking


the


help.


company


The


can


company


develop


can


a policy


that


those


who


utilize


the


program


will


not


jeopardi


zing


their


present


or an opportunity


promotion.


Second,


the


company


gives


the


employee'


the


choice


to utilize


reject


a referral


the


employee


assistance


program.


Confidentiality


records


related


to the


above


and


basic


to all


employee


assistance


programs.


assures


the


employee


that


the


nature


problem


and


any


treatment











Early


resolution


of a problem


also


of primary


concern


to the


company


which


implements


an employee


assistance


program.


It i


hoped


that


voluntary


use


employee


assistance


program


counseling


servi


ces


will


prevent


work


related


problems


Therefore,


the


best


interest


individual


and


the


company


are


served


the


program.


The


company


will


get


involved


with


an employee'


alcohol,


drug


or emotional


problem


only


when


the


employee


supervisor


requests


assistance


or when


the


problem


affects


the


employee'


performance.


Supervisors


are


encouraged


employee


to offer


assistance


a troubled


program.


employee


However,


a referral


not


the


intent


employee


assistance


program


to have


supervisors


actually


seeking


out


employees


with


problems.


Problems


are


recognized


There


when


are


the


two


employee'


types


performance


referrals


deteriorates.


an employee


assistance


program


see


Figure


: self-referrals


and


supervisory


referrals.


Self-referrals


are


the


type


referral


that


are


initiated


from


either


the


employee


or the


employee'


family


member


Self-referral


are


usually


initiated


through


consultation


with


the


employee'


supervisor


The


supervisor


then


refers


the


person


to the


employee a


assistance


counselor


or refers


the


employee


to the





















4-
'4 C
8 0 C
- C -~.4 '40

o 11.4
0~


4*


* C
C
00 3
45
Ut~.. S
Co
1~
40143
Xe a
a
Cii..

6
.003


*0
$4
CL..
i~1
C-4
iliac
-4.-
0.48 4.148
o
I~tI
6*e
*0
Lab 45 0 U


N


S
hi
a
'-4
o
a'


U
0
45
o -4
CC 0 .4 6
00 -4 0 $4
1445'4 9. I.. hi
0648
'bd-46
Ia
U 04800C
)Sj~ B
a
* nra a;tn~ S
Ilk ama:
ft ft ft S
- n 'no


* 6
U
~.0
Oj
I a
a:
C 0
9.4 -4
.1
@6
a
04


C
0CC
~'.-00
OC4IM
-uSc 0.
JJ4JJ4J.4~
C%4CCS I
aid 1.1.40
0~
A0CC~i'4
S ft a
.4 NMwm


45 $4


* a
14 4
* 0
$4
p u











the


employee


approaches


the


coordinator


employee


assistance


services


within


the


organization,


coordinator


discusses


the


objectives


employee


ass


distance


program


with


the


employee,


acquainting


him


or her


with


benefits


coordinator


will


available


explain


through


the


the


employee


program.


or the


The


family


member


that


service


completely


confidential


and


that


problem


not


the


concern


organization


or anyone


The


coordinator


also


explains


the


employee


or the


family


member


that


the


organization'


opinion


the


employee


will


not


diminish


because


the


employee


elects


participate


employee


assistance


program.


The


employee


assistance


coordinator


within


the


organization


will


also


stress


the


employee


that


many


people


have


used


the


service


and


have


found


effective.


The


employee


assistance


coordinator


within


the


organization


will


also


maintain


records


and


keep


contact


with


employee


determine


that


everything


sati


factory


(Indian


River


Community


Mental


Health


Center,


1982


Once


referred


to the


employee


assistance


counselor,


the


counselor


either


deals


with


the


issue


over


the


phone


arranges


an appointment


consultation


the


counselor'


office.


contacts,


verbal


or written,











complete


assessment,


the


employee


assistance


counselor


determines


whether


a referral


to another


prof


ess


ional,


such


as an attorney


or physician,


indicated


or whether


the


problem


can


be handled


within


employee


assistance


counselor'


office.


The


employee


assistance


counselor


can


also


make


a recommendation


referral


to inpatient


hospitalization


alcohol,


drug


or mental


health


issues.


Supervisory


a result


referral


an employee'


are


poor


initiated


performance.


a supervisor


The


supervisor


should


the


best


position


identify


poor


performance,


intervene


with


the


employees


and


refer


them


services


offered


the


employee


assistance


program.


The


basi


of a supervisor'


referral


to the


employee


assistance

performance


incident


program

on the


that


must

part


indicates


be either


the


the


a decline


employee


possibility


work


or a particular


of a personal


problem.


The


supervisor


then


approaches


the


employee


and


discusses


with


him


or her


the


incident


in question.


During


meeting,


the


supervisor


should


not


speculate


concerning


cause


performance


decline


or initiate


discussion


with


the


employee


about


any


personal


problems.


Should


unusual


pattern


performance


problems


arise


or a


particularly


unusual


incident


occur,


the


supervisor


may











After


particular


the


supervisor


incident


with


discusses


the


the


employee,


work


the


situation


supervisor


option


of informing


employee


the


professional


servi


ces


It i


available


that


point


through


the


that


employee


employee


assistance


may


choose


program.


to accept


or reject


the


offer


of a referral


to the


employee


assistance


program.


the


employee


chooses


to accept


referral,


employee


given


the


name


telephone


number


the


employee


appointment.


assistance


It i


counselor


not


and


unusual


asked


to make


a supervisor


to grant


the


employee


time


off


from


work


to meet


with


the


employee


assistance


counselor


an initial


consultation.


Subsequent


appointments


are


then


arranged


between


the


employee


the


employee


assistance


counselor


some


cases,


and


with


the


permi


ssion


employee,


employees


ass


instance


counselor


may


meet


with


the


supervisor


and


employee


to discuss


situation


further.


After


completing


the


assessment,


and


upon


securing


release


of information


form


from


the


employee,


the


employee


assistance


counselor


will


write


a letter


to the


supervisor,


specifying


a number


items


The


letter


will


note


that


employee


kept


the


appointment


as scheduled,


that


there


life


threatening


situation


dealt


with,


and


that


the











away


from


work


to enter


an inpatient


treatment


program


(Indian


River


Community


Mental


Health


Center,


1982


the


employee


rejects


offer


of a referral


employee


assistance


program,


and


work


problems


do not


occur


after


the


interview,


no further


action


is required.


At that


time,


the


supervi


sor


will


make


the


employee


aware


the


fact


that


employee


ass


instance


program


available


on a


self-referral


basi


should


the


employee


change


or her


mind


the


future.


the


work


problems


recur


and


the


person


not


followed


with


the


recommendation


the


employee


assistance


program,


the


supervisor


will


present


the


employee


with


a choice


between


accepting


the


employee


assistance


program


referral


or disciplinary


action.


The


disciplinary


action


cannot


deviate


from


the


guidelines


organization'


policy


concerning


sciplinary


action.


most


organizations,


there


are


grievance


procedures


the


employee


does


not


agree


with


the


supervisor'


recommendations.


Guidelines


Supervisors


In Identifvina


A Problem


On The


Job


above


overview


employee


ass


instance


program


a S a


A











employee'


performance


that


indicates


that


employee


assistance


program


referral


is appropriate.


There


are


very


specific


guidelines


that


the


supervisor


should


follow


order


to determine


when


an employee


need


of a referral


to the


employee


assistance


program


(This


section


on guidelines


., 1985,


EAP


Affiliate


referral


Manual


and


based


on Indian


on Resource


River


Community


Mental


Health


Center,


1982


Specifically,


the


supervisor


should


refer


an employee


the


employee


ass


stance


program


when


there


a continued


and


repetitive


deterioration


performance.


One


isolated


incident


should


the


not


reason


employee


why


assistance


a supervisor


program.


refers


Instead,


an employee


there


should


be a pattern


performance


deterioration


on the


part


the


employee.


The


exception


would


an especially


serious


incident,


such


as an employee


being


caught


drinking


on the


job.


One


sign


that


a referral


may


needed


absenteeism,


including


unauthorized


or excessive


use


of sick


leave,


persistent


tardiness


or late


returns


from


lunch


The


supervisor


should


also


aware


of strange


or improbable


excuses


these


absences.


Absences


from


the


post,


frequent


trips


the


bathroom,


long


coffee


breaks,


and











should


also


be noted


supervisor,


as well


as accidents


that


affect


employee'


performance.


The

employee'


supervisor


mental


should


status.


also

These


aware


changes


changes


include


the


difficulty


in concentration,


slowness


task


completion,


and


confusion


recalling


instructions


or details


a particular


assignment.


Also,


should


be noted


when


employees


have


difficulty


in correcting


mistakes


that


they


have


made


on the


job.


When


considering


a referral


the


employee


assistance


program,


the


supervisor


should


evaluate


the


work


performance


the


employee.


Thi


includes


evaluating


such


things


the


employee


having


inconsistent


periods


very


high


and


very

due


productivity,


to inattention


ssing


or poor


deadlines,


judgement,


making


wasting


mistakes


material


and


making


bad


deci


sions.


Finally


, the


employee'


relationships


with


other


employees


should


alert


the


supervisor


that


a referral


to the


employee


assistance


program


may


be indicated.


Friction


employee


relationships,


including


supervisor-employee


relationships,


usually


results


decreased


performance


and


efficiency


The


supervisor


should


aware


the


employee's


over-reaction


to real


or imagined


criticism,


wide











the


employee


borrowing


money


from


coworkers


and


complaints


about


employee


made


coworkers


The

employees


employee patterns

in general. But


described


the


above


supervisor


relate

in upper


to all

level


management


should


keep


mind


that,


addition


to the


above,


there


are


also


different


criteria


used


assess


the


need


for


a supervisor


under


their


charge


referred


the


employee


assistance


program.


For


example,


front


line


supervi


sor


may


begin


to let


safety


standards


slip,


issue


conflicting


instructions


employees,


use


employee


time


and


skills


inefficiently,


submit


their


incomplete


reports


supervisory


duties.


data,


On the


or generally


higher


become


supervisory


level


, patterns


of declining


work


performance


are


more


subtle.

schedules


Budgets

fail t


may


obe


begin


to be mismanaged,


coordinated,


or consumers


production


fail


receive


proper


when deciding

charge to the


service.

whether t

employee


Therefore,


.o refer a

assistance


upper


1


supervisor

program,


evel

unde

must


supervisors,

r their

concentrate


on the


deci


sion


making


aspects


the


supervisor'


position.


Supervisors


should


aware


the


fact


that


employees,


including


the


supervisors


themselves,


occasionally


exhibit


some


these


performance


problems.











particular


problem


that


employee


experiencing,


but


base


deci


sion


refer


the


employee


the


employee


assistance


program


on poor


performance.


When


the


supervi


sor


recogni


zes


that


an employee'


performance


deteriorating


the


supervisor


will


have


conference


with


the


employee


. The


procedure


used


the


supervisor


to discuss


poor


performance


called


"constructive


confrontation.


Constructive


Confrontation


The


use


"constructive


confrontation"


(Trice


and


Roman,


1978;


Trice


and


Beyer,


1982


Trice


and


Beyer,


1984)


central


procedure


referring


employees


employee


assistance


program


Constructive


confrontation


a process


which


a supervisor


confronts


the


employee


with


poor


performance,


but


provides


a constructive


solution


rather


than


a dismissal


It i


important


that


the


supervisor


not


make


any


attempt


to diagnose


cause


employee'


performance


problem


or attempt


to counsel


the


employee.


The


supervisor


not


a counselor


supervisor


follows


procedures


of constructive


confrontation,


the


discussion


with


the


employee


will


based


upon


objective


performance


rather


than


on vague


. If











not


avoid


this


confrontation


when


employee'


performance


indicates


that


such


a confrontation


order,


since


dealing


with


performance


part


a supervisor'


role.


Constructive


confrontation


has


three


components,


preparation,


discussion,


and


follow


through


(Indian


River


Community


Mental


Health


Center,


1982


Preparation


includes


documentation


aspects


poor


performance,


being


as specific

supervisor


poor


as pos


when


sible.


discussing


performance.


documentation


the


It i


observation


important


that


aids

the


the


the

employee'


supervisor


an "armchair


diagnostician.


The


concern


should


with


correcting


deficient


performance.


When


discussing


the


documentation


with


the


employee


, supervisors


should


preface


their


discussion


of performance


deficits


pointing


out


to the


employees


that


the


company


recogni


zes


their


value.


The


supervisors


should


keep


in mind


that


the


goal


the


discussion


to restore


the


employee


as a productive


member


the


organization


and


that


discussion


should


focus


on the


person'


performance


rather


than


on the


personal


characteristic


the


person


The


supervisor


should


follow


with


the


discussion


one


two


ways.


The


first


way


accept


a commitment


from


the











to make


a referral


to the


employee


assistance


program.


happens,


the


supervisor


either


call


the


employee


assistance


coordinator


within


the


organization


or call


the


employee assistance

appointment. Either


counselor


way,


directly


the


to set


supervisor


responsibility

performance,


to continue


documenting


to monitor


whether


the


has


employee'


improved


work


or has


continued


to deteriorate.


An example


provided


the


Appendix


confrontation


constructive


The


to create


object


an atmosphere


confrontation


process


constructive


for


positive


change.


The


supervisor


and


employee


should


agree


on an


improvement


program


which


has


been


documented


or the


supervisor


will


make


a specific


recommendation


the


employee


assistance


program.


McClellan


(1982


discusses


the


weaknesses


that


are


associated


with


the


process


constructive


confrontation.


First,


few


work


organizations


have


descriptions


that


are


completely


objective.


Some


subjectivity


ultimately


involved


the


process


Second,


prof


ess


ional


work


more


abstract


than


blue


collar


work.


Professional


work


involves


knowledge,


organizational


skills,


and


communication


information.


Because


fact,


difficult










difficult


their


supervisor


to spot


and


intervene


with


prof


ess


ional


troubled


employee.


and


Statement


the


Problem


The


early


EAPs


were


informal


nature


with


a strong


emphasis


employee


on the


problem


assistance


of alcoholism.


programs


have


Since


increased


1970s,


their


the


scope


include


problems


beyond


just


alcoholism,


such


as emotional


problems,


family


problems,


and


drug


abuse.


The


modern


employee


assistance


program


appears


to be a synthesi


mental


health


approach,


which


encourages


voluntary


referrals,


the


alcohol


specific


approach


which


encourages


supervisory


referral


It would


seem


that


the


modern


employee


assistance


program


leans


toward


the


mental


health


approach,


which


also


termed


the


broad-brush


program.


Manual


with


guideline


and


procedures


including


specific


techniques


such


as constructive


confrontation,


have


been


developed


for


training


supervisors


make


intelligent


referral


deci


sons


Whether


one


aligned


with


the


mental


health


perspective


or the


alcoholism


perspective


of employee


assistance


programs,


the


strength


or weakness


of the


program


lies


training


of supervisors


their


utilization











alcohol


specific


approach


utilized,


the


supervisor


best


position


to evaluate


, and


when


appropriate,


refer


an employee


to the


program.


Because


the


importance


of supervisors


EAPs


study


will


focus


on the


variables


that


explain


why


some


supervisors


refer


employees


to the


employee


assistance


program


and


others


do not


After


supervisors


are


trained


the


proper


guidelines


procedures


for


EAP


referral


, what


accounts


variation


those


referral


the


search


answers


this


question


which


forms


the


objective


this


research.















CHAPTER


SUPERVISORY


PARTICIPATION


IN THE


EMPLOYEE


ASSISTANCE


PROGRAM


The


issue


supervisory


participation


the


employee


ass


distance


Masi,

Poley


1984


et al


program


Myers,

. 1979


is a common


1984


Walker,


one


Alpander,


1978


in the


1980


ose


literature

Schaeffer,


1977


(see

1979;


Herbert,


1975


and


Hemmett,


1972


Therefore,


in the


previous


chapter supervisory

cornerstone of the


involvement


modern


was


employee


shown


to be


instance


the


program.


because


the


centrality


the


supervisory


referral


that


supervi


sors


' behavior


the


focus


the


present


study.


Previous


Research


On Factors


In Supervisors'
In Supervisors '


Referral


Myers


(1984)


discussed


two


aspects


that


prevent


supervisors


from


becoming


more


involved


referring


employees


to the


employee


ass


instance


program.


First,


Myers


believed


supervisors


not


refer


because


the


supervisors'


skill


deficienci


es.


These


skill


defic


ienci


include


ignorance


of employee


problems,


inability


- S


ass











produces


stress


the


supervisor,


inadequate


planning


related


to documentation


employees'


work


deficiencies


and


indeci


siveness


about


when


confront


an employee.


Second,


Myers


believed


that


supervisors


not


refer


employee


to the


employee


assistance


program


because


privacy


norm


and


avoidance


rationale.


Thi


relates


to the


supervisor'


belief


that


he/she


"playing


God"


and


acting


judgement


concerning


personal


matters


the


employee.


Many


supervisors


believe


that


what


employees


on their


own


time


little


concern


them.


Therefore,


they


view


supervisor


intervention


as an interference


the


personal


affairs


the


employee


Supervisors


also


fear


that


employees


will


file


complaints


against


them,


that


they


will


not


supported


the


management,


problem.


or are


leads


not

the


qualified


supervisors'


diagnose

percepti


an employee

on that


they


do not


want


to put


their


jeopardy


wrongfully


"accusing"


an employee


of having


a problem.


The


supervisor


feel


inadequate


to determine


when


or for


what


reason


refer


The


disagrees


supervisor


with


a deci


may


sion


feel


that,


refer


management


an employee


to the


employee


assi stance


program,


the


supervisor


will


embarrassed


and


will


lose


influence


with


those


employees










employee


ass


instance


program,


anger,


guilt,


fear,


ego


involvement


and


denial


Supervisors


may


experience


anger


dealing


with


the


employee,


especially


the


alcoholic


employee,


because


the


fact


that


they


may


have


approached


the


alcohol


informally,


and


as a result


those


meetings,


there


has


been


no positive


change


the


employee'


work


performance.


puts


the


supervisor


the


position


continually


adjusting


schedules


and


making


excuses


for


the


employee'


continued


poor


work


performance


Supervisors


can


also


feel


guilt


associated


with


working


with


the


alcoholic


employee.


They


often


find


themselves


feeling


guilty


about


the


fact


that


they


may


have


done


something


wrong


or that


they


are


unable


to handle


situation.


Because


these


guilty


avoid


feelings,


the


situations


supervisors


which


they


would


have


have


a tendency


confront


the


alcoholic


employee.


Phillips


and


Older


(1981)


also


contend


that


supervisors


feel


fear


when


working


with


the


alcoholic


employee.


Supervisors

alcoholic e


may


employee


fearful


and


of losing


of feedback


control


concerning


over


the


their


own


drinking,


whether


they


have


a problem


or not.


the


supervisor


the


employee


who


has


a problem


have


been


working


together


a long


period


time,


the


supervisor'










responsibility


the


employee'


poor


work


performance


and


poor


problem.

concerning


work


performance


Finally,

working


the

with


becomes


supervisor


supervisor'


may


alcoholic


experience

employee.


direct


denial

The


supervisor


may


cover


the


employee'


poor


work


performance,


make


excuses


absenteeism


or tardiness


job,


and


rescue


the


worker


from


disciplinary


action


when


other


supervisors


become


aware


the


employee'


poor


work


performance.


Instead


of confronting


the


employee


and


setting


limits,


the


supervisor


informally


gives


the


employee


"one


more


chance"


to correct


her/his


behavior.


Googins


and


Kurtz


(1980)


discuss


programmatic


and


organizational


barriers


which


impede


the


supervisor


from


becoming


involved


confronting


the


employee


who


experiencing


alcohol-related


problems


at work


The


authors


argue


that


knowledge


alcohol-related


problems


and


the


supervisor'


attitude


towards


employees


may


act


as barriers


supervisory


intervention.


According


to Googins


and


Kurtz


(1980)


the


factual


knowledge


alcohol


and


the


treatment


alcoholics


the


knowledge


the


company'


program


intervention,


and


the


knowledge


the


supervisor'


role


process


of a referral


operate


to determine


whether


or not


referral


are


made.


The


authors


predict


that










experiencing


an alcohol


problem.


The


authors


also


state


that


factual


alcoholism


needs


knowledge


be coupled


concerning


with


alcohol


skill


and


training


concerning


how


to intervene


with


a person


who


has


an alcohol


problem.


Googins


and


Kurtz


state


that


having


the


simple


knowledge


that


there


is an employee


assistance


program


existence


not


sufficient


to motivate


supervisors


utilize


the


employee


assistance


program.


There


must


also


a perception


that


the


program


of high


quality


and


that


the

The


employee would

supervisor must


receive

also D


help

erceiv


from e

e that


entering


the


program


program.

provides


equal


treatment


to all


employees


and


that


there


no bias


built


into


the


program


which


would


target


some


employees


over


others.


It is


important


supervisors


to know


what


the


organization


expects


from


them


when


they


have


employee


who


a drinking


problem.


The


supervisor


should


also


know


the


rights


that


employee.


Googins


and


Kurtz


argue


that


the


literature


inadequate


to determine


empirically


depth


knowledge


plays


an important


part


supervisors


referring


or not


referring


to the


employee


assistance


program.


The


authors


feel


that


research


the


area


the


best


means










Because


to intervene


the


with


emphasis


employees


put


who


on front


are


line


experiencing


supervisors


poor


performance,


supervisors'


knowledge


their


role


within


the


employee


assistance


program


of vital


importance.


The


issue


the


supervisor


documenting


poor


work


performance


could


an obstacle


the


supervisor


involved


the


referral


process


because


vague


performance


criteria.


The


supervisors


could


feel


that


the


performance


criteria


are


too


vague


to document


the


employee'


poor


work


performance


appropriately


enough


to make


a referral


to the


employee


assistance


sillusioned


program


with


This


the


could


process,


cause s

viewing


supervisors


as bein


to be

g too


demanding


and


their


view,


too


subjective


to intervene


with


an employee.


The


attitudes


concerning


the


alcoholic


and


the


effectiveness


the


program


can


also


a barrier


supervisor


being


involved


the


referral


process.


The


perception


which


of whether


to return


a problem


program


employee


an effective


to productivity


tool

may


more


important


than


the


supervisor'


feelings


about


the


employee.


Googins


and


Kurtz


(1980)


also


maintain


that


organizational


barriers


could


impede


a supervisor


from


being


involved


the


referral


an employee


the


employee










supervisor


perceives


that


the


organization


not


generally


supportive


their


supervisory


Thus,


an overall


satisfaction


supervisor


with


would


their


can


willing


influence


take


the


whether


additional


responsibility


of supervisory


intervention


with


an employee.


Googins


and


Kurtz


(1980)


believe


that


a supervisor


who


feel


that


they


are


not


an integral


part


the


supervisory


managerial


process


unlikely


to respond


favorably


management


directive


intervene


with


the


employee


. If


the


management


an organization


instructs


a supervisor


to be


involved


the


employee


ass


instance


referral


process


and


that


supervisor


was


not


involved


the


deci


sion


making


process,


they


may


feel


negatively


about


carrying


out


the


directives.


The


(1980)


most


analysis


relevant

to the


aspect

present


the


study


Googins


their


and Kurtz

view that


positive


reinforcement


supervisors


the


employee


ass


instance


program


will


enhance


that


role


while


recogni


zing


that


not


using


the


employee


ass


instance


program


when


one


their


employees


needs


help


could


result


a negative


sanction.


The


organization


must


aware


that


order


the


supervisor


be involved


the


referral


process


employee


ass


instance


program,


there


must


the


proper










program


and


positive


reinforcement


exists


doing


good


job,


perform


generally,


the


duti


the


supervisor


assigned


the


will


employee


motivated

assistance


program.


The


goal


the


Googins


and


Kurtz


(1981)


study


was


determine


what


variable


explained


the


difference


between


group


of supervisors


who


did


use


the


employee


assi stance


program


and


those


supervisors


who


did


not,


which


the


goal


present


research.


A sample


supervisors


were


selected,


had


referred


an employee


the


employee


assistance


program


and


had


not.


There


were


six


major


groups


of variable


that


were


identified


Googins


and


Kurtz


as potential


discriminators


between


the


referring


and


non-referring


supervisors.


These


groups


of variables


were


personal


characteristic


, which


included


age,


length


time


the


position,


and


years


with


the


company


The


second


group


of variables


measured


the


perceptions


the


supervisor'


the


role.


supervisor'


The


third


knowledge


group


the


variables


program


and


measured


alcoholism.


The


fourth


group


of variable


measured


the


supervisor'


perception


the


effectiveness


and


utility


program.


The


fifth


group


of variables


evaluated


the


informal


relationships


between


supervisors


that


could


lead


program











The


authors


tested


four


specific


hypotheses.


The


first


hypothesis


was


that


supervisors


will


participate


the


employee

assimilat


their


assistance


the


routine


program


employee

supervisor


to the


assistance

v behavior


extent

program

The


that


they


expectations


second


into


hypothesis


was


that


supervisors


who


are


knowledgeable


about


the


employee


assistance


program


and


the


dynamics


of alcoholism


will


problem


more


appear


likely


The


take


third


action


when


hypothesis


early


was


that


signs


supervisors


who


have


a positive


attitude


towards


the


employee


assistance


program


and


towards


the


problem


alcoholism,


will


more


likely


participate


the


employee


assi stance


program.


The


last


hypothesis,


concerning


the


organizational


structure,


states


that


the


organizational


climate


positive,


healthy


and


functioning


well,


supervisors


will


more


likely


to participate


the


employee


assistance


program.


Googins


Kurtz


(1981)


report


support


for


all


four


hypotheses.


Supervisors


who


referred


an employee


to the


employee


ass


instance


program


assimilated


the


role


expectations


employee


assistance


program


into


their


routine


supervisory


behavior


Referring


supervisors


were


much


more


likely


to report


that


they


routinely


involved











alcoholism


were


more


likely


to refer


employees


the


employee


assistance


program.


Those


supervisors


who


did


not


refer


an employee


to the


employee


assistance


program


perceived


the


employee


ass


instance


program


as being


ess


helpful


the


employees


than


the


supervisors


who


did


refer


When


supervisors


were


part


an informal


system


within


the


organizational


climate


where


they


got


support


encouragement


use


the


employee


assistance


program,


they


were


more


likely


to be involved


program.


Another


personal


important


characteristic


aspect


the


research


supervisor


concerned


Specifically,


variable


"years


with


the


company"


proved


to be


significant


discriminator


between


the


group


supervisors


who


used


the


employee


assistance


program


and


the


group


supervisors


who


did


not.


The


authors


attribute


this


the


fact


that


supervisors


with


more


years


on the


had


tendency


to be


more


secure


in their


overall


role


and


were


more


sophisticated


when


confronting


employees


with


their


poor


performance.


Specific


training


procedures


encourage


supervisors'


referral


to employee


assistance


programs


have


been


suggested


Campbell


and


Graham


(1980)


and


Myers


(1984)











supervisory


function.


The


supervisors


are


given


specific


instructions


concerning


performance


evaluations,


documentation,


the


constructive


confrontation


interview


with


employee,


and


how


make


the


employee


a referral


to the


employee


assistance


program.


The


issue


of following


with


the


employee


after


returning


from


the


employee


assistance


counselor


or the


inpatient


treatment


program


also


discussed


during


training.


Typically,


the


training


supervisors


are


given


includes


a thorough


review


the


disease


concept


of alcoholism


and


drug


addiction


and


an overview


mental


health


problems


that


people


face


such


as divorce,


marital


difficulties,


parenting


issues


and


stress.


They


are


made


aware


some


behavior


patterns


that


are


associated


with


alcoholism


and


drug


addiction


and


mental


health


problems


that


may


influence


performance.


The


training


is geared


towards


integrating


the


information


concerning


the


behaviors


associated


with


alcoholism,


drug


addiction


and


mental


health


issues


into


natural


flow


supervisor'


responsibilities.


Supervisors

appropriately do


are


cumen


also g

t when


iven


instructions


an employee'


on how


performance


fall


below


the


acceptable


level.


The


supervisors


are











Campbell


and


Graham


(1980)


discuss


a progressive


format


documentation


that


may


be used


in reaching


a deci


sion


refer


an employee


to the


employee


assistance


program.


Thi


format

before


consists


a supervisor


three


warnings


decides


tak


of increasing

e disciplinary


severity

action,


refers


the


employee


to the


employee


assistance


program.


Trice


and


Belasco


(1968)


used


a four


group


experimental


design


determine


the


effects


that


supervisory


training


had


on supervisory


behaviors.


The


first


group


received


pretest


the


training


The


second


group


received


the


training


with


no pretest


The


third


group


received


pretest

neither


with


no training


training


nor


And


pretest.


the

The


last g

sample


roup


received


consisted


front


line


supervisors


a large


organization


located


upstate


New


York


who


were


randomly


ass


signed


the


four


groups.


The


groups


given


the


pretest


were


asked


questions


concerning


their


general


attitudes


towards


alcoholism


emotional


disturbances.


The


groups


receiving


the


training


got


information


on how


to assist


general


workers


and


specifically,


alcoholic


employees.


The


research


found


that


changes


the


supervisors'


tendency


to refer


from


the


training


experience


alone


was


very


small.


The


most


significant


change


the


supervi


sors


from


the


training










alone


were


very


significant.


Trice


and


Belasco


(1968)


found


that


completion


the


pretest


items


alone


without


training


was


associated


with


dramatic


consistent


and


often


statistically


significant


changes


the


attitudes


and


actions


towards


the


problem


employee.


Gerstein


. (1989)


wanted


to investigate


the


relationship


between


the


employee


assistance


referral


training


and


the


supervisors'


interactions


with


troubled


employees.


The


independent


variables


were


the


groups'


participation


employee


assistance


training


and


their


attitudes


towards


the


employee


ass


instance


program.


The


dependant


variable


was


the


supervisors'


beliefs


about


troubled


employees.


Their


sample


industrial


supervisors


consisted


of mostly


white


males


ranging


from


age


Most


the


participants


had


been


employed


the


company


approximately


years


, on the


average,


and


had


two


or more


years


supervisory


experience.


measure


the


independent


variable,


the


researchers


asked


the


supervisors


whether


they


had


received


training


on how


to make


a referral


to the


employee


assi


stance


program


and


questions


concerning


their


perception


about


the


employee


assistance


program'


importance.


The


dependent


variable


was


measured


the


bystander-equity


model


supervisor


helping


behavior










Acrimoniousness


depicts


employees


who


appear


to be irritable


angry


and


who


have


difficulty


with


interpersonal


relationships


on the


job.


Industriousness


describes


employees


who


display


impaired


work


productivity


with


respect


to behaviors


like


time


management,


cooperation


and


competence.


Disaffection


indicative


an employee


who


experiencing


work


apathy,


alienation


and


discontent


Training


assistance


and


program


the

had


attitudes


mixed


towards


affects


the


employee


on whether


supervisor

identified


could


the


identify


BYTE


the


scale.


four

The


types

ability


worker


to identi


problems

fy the


impaired


worker


was


not


related


to supervisor'


positive


feelings


about


the


employee


ass


instance


program.


There


was


link


between


supervisory


training


and


the


ability


recognize


acrimoniousness


and


disaffection


which


were


displayed


impaired


workers.


The


authors


found


relationship


between


the


supervisors


participation


employee


assistance


training,


their


attitudes


towards


the


employee


assistance


program


and


their


ability


to recognize


behaviors


displayed


impaired


workers.


Significance


Of Present


Study


review


indicates


the


role


the


supervisor











supervisors


refer


employee


assistance


program


and


others


do not.


The


research


concerning


supervisory


referral


void


is sparse,


theory


inconclusive


to guide


and,


research.


the


The


most


present


part,


study


proposes


to add


the


research


concerning


supervisory


referral


the


employee


assistance


program


and


provide


some


conceptual


theoretical


focus


to the


research


aspect


of employee


assistance


programs


Specifically,


the


study


will


be interested


in accounting


why


some


supervisors


refer


to the


employee


assistance


program


and


others


not.


The


theoretical


guidance


comes


principally


from


two


sociological


theory


, social


learning


theory


and


labelling


theory


that


have


been


widely


used


studies


deviance.


The


supervisors'


behavior


response


to drug


and


alcohol


problems


on the


may


viewed


as a form


social


control


of deviance


to which


labelling


theory


may


applicable.


Referral


to the


employee


assistance


program


best


a mildly


stigmatizing


label


and


efforts


are


always


made


to avoid


unduly


tagging


employees


as having


problems


need


of correction.


Neverthel


ess


referral


are


deci


sions


made


about


employees


which


are


similar


to referral


and


treatment


deci


sions


made


health


care


and


correctional










others


about


what


to do to


or for


those


with


drug


and


alcohol


problems


(Krohn


and


Akers,


1977).
















LABELLING


AND


SOCIAL


ON EMPLOYEE


CHAPTER
LEARNING


THEORY


ASSISTANCE


AS PERSPECTIVES


REFERRALS


1960S,


the


popularity


labelling


theory


changed


from


the


emphasis


searching


the


the


cause


sociology


of deviant


of deviant


behavior


behavior


to the


social


reaction


and


attempts


to control


the


behavior


SThe


question


became


why


some


people


have


the


label


of deviant


applied


to them


and


what


consequences


exist


for


those


bearing


a deviant


label


SFrom


this


perspective,


deviance


was


seen


as being


socially


constructed


way


of interaction


between


those


who


engage


a particular


behavior


and


those


who


see


that


behavior,


label


deviant,


react


Both


drug


and


alcohol


problem


and


the


violation


work


performance


job.


rules


Supervisors


and


are


expectations


the


are


role


deviant


rule


acts


enforcers


on the


who


identify


, define,


and


react


to certain


employee


behavior


failing


to meet


referral


the


expectations


employee


and


taking


assistance


action


program,


constructive


confrontation)


to do something


about


so doing


they


are


labelling


certain


employees


as having


problems


and


- -A


at


- a


- '- --.


a











nonetheless,


an instance


social


labelling


and


labelling


theory


may


provide


some


answers


to the


question


of what


the


label


based


on and


what


variable


may


be operating


the


exerci


supervisors'


deci


sions


referring


or not


referring.


The


roots


of labelling


theory


can


be traced


to the


works o

example


f Tannenbaum


young


(1938)


people


and


coming


Lemert


(1951)


contact


with


Using

the c


the


criminal


justice


that


system,

supposed


Tannenbaum


to be


cautioned


correcting


that


behavior


the

may


institution


fact


producing


very


behavior


trying


prevent.


essence,


Tannenbaum


feel


that


the


adolescent


will


become


the


very


thing


that


he i


described


as being.


In 1951,


labelling


Edwin


Lemert


perspective


continued


illustrating


develop


the


the


process


which


severe


reaction


to a particular


norm


violating


behavior


would


cause


a reorganization


the


person'


"social


self,


thus


integrating


the


new


deviant


identity


Following


the


lead


of Tannenbaum,


Lemert


wanted


to point


out


that,


while


many


people


many


different


circumstances


engage


norm


violating


behavior,


those


that


are


singled


out


and


given


the


label


"deviant"


internalize


that


label


that


with


the


label.










sociology


of deviance


literature.


Becker


(1963,


states


"social


groups


create


deviance


making


rules


whose


infractions


constitute


deviance,


and


applying


those


to particular


people


and


labelling


them


as outsiders.


From


point


view,


deviance


not


a quality


the


act


the


person


commits,


but


rather


a consequence


the


application


others


and


sanctions


an offender


The


deviant


is one


to whom


the


label


has


successfully


been


applied;


In hi


deviant


writing,


behavior


Erikson


behavior


(1962


, p.


that


also


people


comments


so label


on the


change


of emphasis


from


individual


actor


to the


social


audience


stating


"deviance


not


a property


inherent


certain


forms


of behavior;


a property


conferred


upon


these f

witness


forms


them.


the

The


audiences

critical


which

barrier


directly


or indirectly


study


deviance,


then,


the


social


audience


rather


than


the


individual


determines


actor,


whether


since


or not


the


any


audience


episode


which


of behavior


eventually


or any


class


of episodes


labelled


deviant


Schur


(1971)


discusses


what


is meant


the


social


audience


and


identify


three


level


analysis


which


evaluate


the


social


audience.


According


to Schur,


the


first


level of


social


audience


society


at large,


which










control.


Schur


sees


these


as the


most


significant


the


labelers.


because


the


fact


that


the


agents


social


control


implement


the


broader


and


more


diffuse


social


definitions


through


organized


structures


and


institutionalized


illustrate


social


procedures.


level


control


agencies


Hawkins


of analysis


"the


and


noting


organizational


Tiedeman


that


prerequi


(1975)


many

sites


and


perpetrate


a pre-exis


ting


tendency


on the


part


trained


agents


to categorize


clients


and


inevitable


result


a social


system


wherein


many


those


who


come


be typed


as deviant


are


created


as such


through


their


encounters


with


the


social


process


sing


agencies


183)


The


whom


third


level


a person


of analysis


has


daily


comprises


interaction


those


and


individual


whom


with


he/she


constantly


labelled


in numerous


ways.


An example


this


social

or othe


audience


would


relatives,


significant


who


view


others,


a particular


husbands,


behavior


wives


as being


deviant


and


thus


refer


them


for


psychiatric


treatment


The


supervisors


study


are


a social


audience


intermediate


between


the


second


and


third


level.


Consistent


with


three


level


social


audience


the


central


concept


power


. Thi


an important


concept


labelling


perspective


because


a guiding











particular


person


or act


and


the


relative


lack


power


that


the


person


who


the


object


the


label


avoid


the


label


that


central


the


labelling


perspective.


Commenting


on the


issue


power,


Becker


(1973,


states,


interactionistt


theori


of deviance,


like


interactionist


theori


generally,


pay


attention


to how


social


actors


define


each


other


and


their


environments.


They


pay


particular


attention


to differentials


the


power


to define,


way


one


group


achieves


and


uses


power


to define


how


other


groups


will


be regarded,


understood


and


treated


To summari


in general,


social


the


social


control


audience


agents


and


consists

significant


of society

t others.


The


most


important


variable


that


determines


whether


one


will


be labelled


deviant


or not


the


social


audiences


relative


power


. Those


with


greater


social


power


will


ess


likely


to be


labelled


than


those


with


ess


power


even


the


same


act


Lilly


et al. (1989)


refer


the


two


main


propositions


labelling


theory


SThe


first


proposition


states


that


those


who


are


labelled


deviant


will


internalize


the


deviant


label,


become


what


they


have


been


so labelled,


and


increase


deviant


behavior


in the


future.


regard


labelling










affects


labelling


on the


social


actor


any


rate,


the


effect


labelling


as an independent


variable


not


interest


the


present


study,


rather


the


second


labelling


proposition.


The


second


proposition


states


that


not


the


seriousness


the


or severity


the


problem


that


produces


the


label


but


the


social


characteristics


those


believed


to have


engaged


the


behavior


. These


social


characteristics


are


viewed


indicating


greater


or 1


ess


social


power


and


hence


greater


less


likelihood


being


labelled.


proposition


has


also


been


tested


the


criminal


justice


system


studying


effects


the


extra-legal


factors


versus


legal


factors


offense


seriousness


on discretionary


deci


sions


police,


courts,


and


correctional


agenci


es.


The


findings


the


effects


of social


character


of offenders


such


class,


race


and


sex


on criminal


justice


deci


sions


have


been


mixed


The

referral,


proposition

treatment,


has

and


also


been


release


tested


deci


sons


on admi


ssion,


regarding


mental


patients


The


question


whether


factors


such


as age,


race,


sex,


and


marital


status


have


an impact


on who


labelled


as being


mentally


independent


illness


behavior


The


issue


is best


seen


the


work


of Walter


Gove











illness,


and


Thomas


Scheff


(1966,


1974,


1975),


who


argues


from


a labelling


perspective


that


the


illness


secondary


and


social


characteristic


of individual


primary


labelling


persons


as mentally


basic


question


put


forth,


then,


whether


a person


labelled


characteristic


as mentally


the


because


individual


the


social


indicative


the


person'


applied


power


based


and


on the


resources,


presumed


or whether


the


or diagnosed


label


severity


the


mental


illness


symptoms.


Scheff


argues


that


those


labelled


mentally


are


those


with


the


least


amount


of social


resources


and


therefore


the


least


powerful


society


When


decisions


concerning


referral


treatment,


admi


ssions


treatment,


discharges


from


treatment


are


made


.e.


the


label


applied,


they


are


not


made


the


basi


the


severity


an underlying


disease.


Gove


takes


the


view


that


there


is a real


disease


involved


and


that


deci


sions


regarding


the


referrals


to treatment,


admissions


treatment


and


discharges


from


treatment


are


simply


responses


that


illness.


The


label


mental


illness


applied


those


who


have


symptoms


recognized


psychiatrists


indicative


an underlying


mental


illness


or disease.


Krohn


Aklers


(1977)


a critical


review


of the











Krohn


and


Akers


ask


the


question,


which


set


variabli


, psychiatric


or extra-psychiatric,


are


the


deci


sons


of mental


health


agents


(psychiatrists,


physicians,


etc


regarding


treatment


needs


and


treatment


termination


more


strongly


related?"


(Krohn


and


Akers,


1977,


. 342


The


authors


state


that


much


the


research,


either


support


the


psychiatric


or labelling


perspective,


does


not


pay


adequate


attention


to the


utilization


of samples


predominately


voluntary


patients


and


involuntary


patients


committed


to institutions.


The


authors


also


feel


that


many


the


studies


not


possess


adequate


control


the


severity


the


psychiatric


illness.


Krohn


and


Akers


look


the


research


on voluntary


admissions


to psychiatric


institutions


and


the


release


voluntary


patients


from


psychiatric


institutions


as well


research


on involuntarily


committed


patients


and


their


discharge


from


psychiatric


institutions.


The


authors


highlighted


those


studies


which


adequately


controlled


the


level


psychiatric


illness


Krohn


and


Akers


begin


their


discussion


evaluating


research


on voluntary


admissions


into


psychiatric


hospitals.


Two


studi


one


Mendel


and


Rapport


(1969)


the


other


y Maisel


(1967)


both


adequately


controlled










number


of support


resources


patient


possessed.


The


next


area


that


Krohn


and


Akers


reviewed


concerned


research


on the


release


of voluntary


patients


from


a psychiatric


unit


Two


studi


that


provided


adequate


control


of psychiatric


illness


were


the


studies


Greenley


(197


and


the


study


Watt


Buglass


(1966)


Again


support


was


lacking


the


psychiatric


perspective


because


family


desires


were


found


influence


discharge


deci


sions


more


than


the


diagnosed


illness.


Next,


Krohn


Akers


examined


research


involuntarily


committed


patients.


Two


studies,


one


Wilde


(1968)


one


Wenger


and


Flether


(1969),


adequately


control


level


of psychiatric


illness,


and


found


that


being


committed


or avoiding


commitment


was


based


on whether


a patient


had


legal


representation.


Krohn


and


Akers


conclude


their


critique


the


literature


looking


the


research


on the


discharge


involuntary


patients


In a study


Piperno,


(1975)


the


author


studied


length


of hospitalization


patients


who


have


been


confined


for


being


criminally


insane.


Piperno


comes


to the


conclusion


"the


patient'


continued


commitment


apparently


based


on factors


other


then


the


patient'


treatment


performance.


Some


these


factors,


such


as age


and


socioeconomic


status,


are


ascriptive


nature


although











As a result


this


review


the


literature,


Krohn


and


Akers


concluded


that


majority


the


evidence


indicates


more


support


the


labelling


than


the


psychiatric


perspective.


In fact,


the


five


studies


reviewed


Krohn


and


Akers


(concerning


the


voluntary


admi


ssions


and


discharges


that


controlled


for


the


level


of psychiatric


illness),


only


one


was


consistent


with


the


psychiatric


perspective.


A total


eight


studi


were


reviewed


which


looked


involuntary


admissions


and


discharges.


None


supported


the


psychiatric


perspective


that


deci


sions


are


based


only


on the


nature


diagnosed


illness.


It i


Krohn


and


Akers


conclusion


that


the


extra-


psychiatric


social


variable


do affect


deci


sions


about


admitting


and


releasing


mental


patients.


The


authors


state,


"one


ess


likely


to be


labelled


mentally


and


continue


as an involuntary


mental


patient


or she


can


bring


legal


or other


resources


bear


in opposition


to commitment


and r

While


release

Krohn


decisions"

and Akers


(Krohn

conclude


and Akers,

that the


1977,

review


354)


of literature


indicates


that


there


is some


support


the


labelling


perspective


regarding


voluntary


commitment


and


diagnosis


mental


illness,


they


also


feel


that


the


research


provides


support


an alternative


perspective,


social


learning











In EAPs


no direct


decisions


are


made


the


supervisors


about


admi


ssions


or length


treatment


diagnosed


mental


illness.


However,


referral


supervisors


problems


that


make


may


deci


result


sons


from


regarding


alcohol,


drug


or emotional


problems.


sense


they


are


making


labelling


deci


sions


just


as the


mental


health


worker


made


labelling


decis


ions


in the


research


reviewed


Krohn


and


Akers.


involving


A study


some


EAP


the


referral


same


, then,


variable


can


as the


seen


research


mental


health


decisions


reviewed


Krohn


and


Akers


(1977)


Therefore,


both


labelling


and


social


learning


perspectives


could


aid


explaining


those


deci


sions.


The


version


of social


learning


theory


to which


Krohn


and


Akers


refer


a reformulation


of Sutherland'


theory


differential


association


(Burgess


and


Akers,


1966)


using


principles


of reinforcement


and


conditioning


(Skinner,


1953;


Bandura,


1977)


The


present


research


follows


the


lead


Krohn


and


Akers


in applying


social


learning


theory


labelling


decis


ions.


Before


specifying


how


that


will


done


a review


of social


learning


theory


order


Akers


social


(1985)


learning


presents


theory


the


as well


most

as th


current tr

e relevant


eatment


research


which


substantiates


the


theory


The


major


concepts


used










Reinforcement


the


process


which


a particular


reaction


encourages


the


behavior


to be emitted


the


future.


Thi


response


can


be in


the


toni


positive


reinforcement,


a pleasurable


experience,


or a negative


reinforcement;


the


removal


something


painful.


An example


of a positive

of negative r


reinforcement


enforcement


is social


the


approval.


avoidance


An example


of discipline.


Differential


reinforcement


a process


which


one


several


behaviors


reinforced


more


frequently


and


greater


amounts;


thereby


giving


a higher


probability


that


the


behavior


will


persist


the


future.


Punishment


the


opposite


of reinforcement


because


it decreases


the


rate


which


a particular


behavior


will


emitted


the


future.


Punishment


can


also


be positive


or negative.


Positive


punishment,


such


as a legal


sanction,


has


the


consequence


decreasing


being


the


fined


behavior


a traffic


Negative


violation,


punishment,


when


such


a reward


taken


away.


Imitation


a process


which


the


behavior


of another


person


modeled


Imitation


of model


as it


used


social


new


learning


behaviors


theory,


and


important


ess


the


important


initial


the


learning


maintenance


behavior.











Differential


association


relates


the


interaction


patterns


with


others


that


provide


definitions,


models


and


reinforcement


deviant


or conforming


behavior.


Social


learning


theory


has


been


empirically


tested


with


an adolescent


population


concerning


their


alcohol,


drug


and


smoking


behavior


(Akers


et al


1979;


Krohn


et al


1985;


Krohn


et al.,


1984;


Krohn


et al


1982;


Lanza-Kaduce


1984


and


Dembo


et al.,


1986).


With


social


bonding


theory


and


strain


theory,


the


theory


has


also


been


tested


determine


the


explanatory


power


of all


three


theories


(Akers


and


Cochran,


social


1985;


learning


Elliott


theory


has


et al.,


been


1985)


tested


with


SMore


recently,


an adult


population


(Akers


et al.


, 1989).


In the


1979


article


Akers


et al.,


the


authors


wanted


to determine

variables co


the


explanatory


ncerning


power


adolescent


the


alcohol


social


and


drug


learning

behavior


Data


were


collected


using


a self


report


questionnaire


which


was


administered


3,065


male


and


female


adolescents


attending


grades


7-12


seven


communities


three


midwestern


states.


Results


the


study


indicated


strong


support


the


social


learning


variable


differential


association,


differential


reinforcement,


definitions


and


imitation.











alcohol


the


variance


explained


the


abuse


alcohol


the


adolescents.


the


1985


study


Akers


and


Cochran,


authors


performed


a direct


comparison


the


explanatory


power


social


learning


theory,


social


bonding


theory


strain


theory


The


sample


consisted


the


same


7-12


graders


who


were


used


the


Akers


et al


. 1979


research.


In thi


research,


Akers


Cochran


specifically


studied


the


use


and


abuse of marijuana

multiple regression


the


analyst


adolescents.

is indicated


The r

strong


results


support


the

for


the


social


learning


variable


over


the


social


bonding


and


strain


the


variables.


variance,


The


the


social


social


learning


bonding


model


model


explained


explained


the


variance


and


the


strain


model


explained


the


variance


marijuana


use.


the


1989


article


Akers


et al


the


first


time,


the


authors


tested


social


learning


variables


with


an adult


population.


They


tested


the


theory


with


an elderly


population


to determine


the


social


learning


variables


can


explain


drinking


behavior


within


thi


population.


Other


than


imitation,


the


same


social


learning


concepts,


differential


association,


definitions


and


differential


reinforcement


were


measured.


The


authors


found


that











purpose


the


present


research,


social


learning


theory


not


being


used


to explain


the


deviant


behavior


(drug


or alcohol


abuse)


employees.


Instead,


being


applied


the


behavior


those


supervisors


who


are


a position


to label


that


behavior


and


make


deci


sions


about


those


believed


to have


engaged


the


behavior.


The


behavior


to be explained


the


social


learning


variabi


supervisors'


behavior


concerning


referral


of employees


the


employee


assistance


program.


Krohn


and


Akers


(1977)


argue


that


the


research


findings


mental


health


deci


sions


(admission


or discharge


deci


sions)


are


more


a result


the


rewarding


or punishing


consequences


those


deci


sions


than


are


the


psychiatric


symptoms


the


patient.


Krohn


and


Akers


state,


"the


learning


model


adds


an explanation


the


behavior


psychiatric


workers


as a function


past


learning


and


responses


to present


and


anticipated


stimuli"


(1977,


356)


The


deci


sion


to commit


retain


someone


into


psychiatric


care,


according


to social


learning


theory,


based


on what


behavior


would


produce


the


highest


rewards


and


least


cost


to the


psychiatrist


or other


mental


health


practitioner.


Social


learning


theory


would


state


that


the


extent










the


psychiatrist


or referring


agent.


Those


who


are


involuntarily


committed


have


social


resources


and


ess


power


and


are


less


able


cause


problems


or create


difficulties


for


the


psychiatrists.


Therefore,


the


psychiatrists


would


experience


higher


rewards


and


lower


costs


they


involuntarily


committed


person.


Those


with


higher


social


resources


and


more


power


are


more


likely


admitted


as voluntary


patients


because


the


psychiatrist


would


experience


less


rewards


and


greater


difficulty


attempting


to commit


such


persons


involuntarily,


while


taking


on well-to-do


patients


who


are


desirous


treatment


offers


rewards.


Consistent


with


research


social


that


the


learning


rewards


theory,


and


the


costs


expectation


that


supervisors


have


experienced


or anticipate


experiencing


they


refer


an employee


under


their


charge


the


employee


assistance


program


will


affect


their


referral


actions.


The


research


will


also


propose,


consistent


with


the


labelling


perspective,


that


the


supervisors'


deci


sions


to refer


employee


under


their


charge


the


employee


assistance


program


will


affected


the


social


characteristic


the


employee.


Supervisors


the


workplace


are


not


psychiatrists


and











referral


to the


employee


assistance


program.


The


supervisors


are


not


making


diagnosis


treatment


or discharge


deci


sions.


But,


they


are


making


referral


deci


sions


which,


in part,

abuse.


result


a label


Therefore,


social


of mental

1 learning


illness

theory


or substance


applicable


as an alternative


approach


in accounting


decis


ions


mental


health


workers,


should


also


provide


some


theoretical


referral


coherence


to the


the


employee


understanding


assistance


supervisory


program.


Labelling


and


social


learning


theory


(which


have


been


useful


understanding


criminal


justice


and


psychiatric


deci


sions)


should


provide


fruitful


propositions


regarding


employee


assistance


program


referral


They


hold


promise


offering


theoretically-based


models


supervisor


referral


where


little


theory


now


exists















CHAPTER


METHODOLOGY


Samol


sample


the


research


was


obtained


from


two


hospitals


public


the


, teaching


southeast.


hospital


One


with


the


hospitals


approximately


patient


beds


and


employs


approximately


3,000


people.


those


employed


approximately


are


considered


be in


supervisory


positions.


The


hospital


has


had


an employee


assis


tance


program


approximately


years.


The


other


hospital

hospital


is a 1,000


with


bed


private,


approximately


,000


religiously

employees.


affiliated


those


employed


approximately


are


considered


to be


supervisory


positions.


The


hospital


has


had


an employee


ass


distance


program


approximately


five


years.


Thus,


both


are


sizeable


organizations


, with


large


numbers


of employees,


well


established


employee


ass


instance


programs.


The


sample


was


originally


to be drawn


way


a two


step


process.


A introductory


letter


was


to be sent


the


supervisors


their


paycheck


envelope.


letter


was


a t -











letter


was


also


to ask


they


were


willing


to participate


the


research


study


In order


to get


an equal


number


from


each


group,


a sample


was


to be drawn


from


those


who


had


referred


an employee


to the


employee


assistance


program


and


those


who


had


not


referred


an employee


to the


employee


assistance


program.


The


researcher


was


then


contact


those


who


were


willing


to participate


and


they


were


to be


interviewed


individually.


After


several


meetings


with


the


people


the


personnel


department


the


public


hospital


became


obvious


that


procedure


was


not


going


to be effective


gathering


data.


The


people


at the


public


hospital


felt


that


since


method


patient


care


could


cause


process


considerable


and


could


disruption


be difficult


to the

to coordinate


an appropriate


time


the


researcher


and


each


supervisor


to meet,


would


be best


the


instrument


to be self-


administered


to the


supervisors


a group


situation.


an alternative


the


researcher


proposed


that


the


personnel


department


would


contact


the


vice


presidents


the


various


departments


to determine


the


time


and


date


that


the


supervisors


regularly


meet


and


during


that


meeting


the


researcher


would


administer


the


research


instrument.


proposal


was


accepted


and


procedure


was


used


to collect









67

Procedure


Ninety


supervisors


were


interviewed,


48 from


the


public


hospital


and


from


the


private


hospital


At both


the


public


and


private


hospital


supervisors


included


those


who


had


responsibility


oversee


the


work


the


line


staff


the


hospital'


dietary,


housekeeping,


nursing,


and


administration


services


At each


institution,


the


supervisors


were


given


a self-administered


questionnaire.


Each


time


the


questionnaire


was


administered,


was


explained


to the


supervisors


the


researcher


that


the


study


was


being


conducted


to evaluate


the


effectiveness


employee


ass


instance


program.


was


briefly


explained


that


an integral


part


the


employee


assistance


program


was


participation


on the


part


the


supervisors.


The


first


page


the


questionnaire


was


then


read


the


employees.


The


instructions


indicated


the


supervisors


that


the


questionnaire


was


designed


anonymity


and


respondents


were


to make


no identifying


marks


anywhere


on the


questionnaire.


was


also


explained


that


the


answers


they


were


give


were


part


an aggregate


total


so no


individual


responses


could


be identified.


Additionally,


supervisors


were


informed


that


they


did


not


want


- a a


n











questionnaire


was


pre-tested


the


public


hospital


with


supervisors


the


personnel


department.


result


the


pre-test


some


important


changes


were


made


research


instrument.


Because


some


the


instructions


were


vague


wording


was


changed


and


key


words


were


highlighted.


The


most


important


change


that


came


out


the


pre-test


was


addition


a definition


a referral


the


employee


assistance


program.


The


supervisors


were


instructed


that


a referral


to the


employee


assistance


counseling


program


includes


the


prof


ess


ional


counseling


that


is available


outside


the


hospital


as well


as services


the


hospital


which


deal


with


employees


who


are


experiencing


alcohol,


drug,


personal


or emotional


problems


which


are


interfering


with


the


employee'


work


performance.


Instrument


The


survey


instrument


consisted


67 questions


which,


the


most


part,


were


the


form


a five-point


Likert


scale


(see


Appendix


First,


the


instrument


gathered


some


demographic


information


. age


, sex,


race,


marital


status,


years


education


and


income)


about


each


supervisor


(questions


1-10)


Questions


11-13 dealt


with


overall


knowledge


and


use


the


employee


assistance


program.











the


supervisors


answered


yes,


they


continued


answer


questions.


they


answered


they


were


to advance


question


29 and


continue


with


the


remainder


the


questionnaire.


Questions


14-24 measured


variable


related


labelling,


such


as employees'


sex,


race,


marital


status,


title


and


years


education.


Female


gender,


minority


status,


unmarried


status,


low


status


and


education


are


taken


as indicating


social


power


. To


measure


the


severity


the


primary


and


secondary


problem


which


the


employee

questions


was referred

were asked


the


about


employee


supervisors


assistance

' perceived


program

severity


and


type


of problem


which


the


employee


was


referred


and


the


negative


related


behaviors


that


were


associated


with


primary


and


secondary


problem.


Questions


25-60 operational


ed the


social


learning


constructs


Questions


25-28


dealt


with


actual


reinforcement


that


the


supervisors


who


referred


an employee


the


employee


assistance


program


experienced


Questions


29-36


addressed


anticipated


reinforcement,


the


future,


supervisor


referred


an employee


the


employee


assi


stance


program.


supervisors


answered


these


questions


whether


they


had


referred


someone


or had


not


referred


someone


to the











the


other


supervisors


referred


an employee


the


employee


ass


instance


program.


Questions


38-40


asked


the


supervisors


to respond


asked

were


a series


concerning


asked


of questions


anticipated


to respond


similar


reinforcement.


to a series


the


The


of questions


questions


supervisors


concerning


how


other


supervisors


would


react


they


had


an employee


who


needed


help


and


needed


a referral


to the


employee


assistance


program,


but


they


did


not


refer


the


employee.


The


supervisors


were


asked


separate


questions


about


employees


with


alcohol,


drug


and


personal/emotional


problems.


Although


increased


the


length


the


research


instrument


was


felt


that


would


important


aspect


the


research.


Questions


41-57


addressed


the


supervisors'


personal


experiences


with


counseling


servi


ces


provided


the


employee


assistance


program,


counseling


provided


from


source


other


than


the


employee


assistance


program,


and


the


actual


and


anticipated


reinforcement


for


being


involved


counseling.


In questions


58-60,


the


supervisors


were


asked


how


they


would


respond


people


close


to them


were


referred


to counseling


The


remainder


the


questions,


questions


60-67


dealt


with


the


supervisor'


satisfaction,


how


supportive


the


institution


was


the


employee


assistance









71

Onerationalization


Reinforcement


defined


as a process


which


particular


reaction


encourages


the


behavior


be emitted


the


future.


response


can


be in


the


form


positive


reinforcement,


a pleasurable


experience,


or a negative


reinforcement,


the


removal


of something


painful


addition,


differential


reinforcement


defined


as the


balance of

supervisors


behavior


anticipated


expect


the


positive


to receive


purpose


and


for


this


negative


referral


study


reactions


or non-referral


reinforcement


includes


the


degree


to which


organizational


rewards


encourage


a particular


behavior.


The


first


group


reinforcement


variables


were


the


anticipated


social


reinforcement


from


other


supervisors


and


employees


that


supervisors


believe


they


would


receive


they


were


refer


an employee


to the


employee


assistance


program


(EAP)


* To


measure


the


degree


reinforcement


a five-point


Likert


scale


was


employed,


from


strongly


disapprove


to strongly


approve.


Reinforcement


measures


were


taken


for


the


three


different


types


referrals


discussed


Chapter


referral


an employee


an alcohol


problem,


referral


for


a drug


problem,


and


referral


an emotional


problem.


S a a


q a


A











sponsored


employee


assistance


counseling


program


and


the


following


people


knew


about


your


referral,


what


you


think


would


most


likely


be their


reaction


the


referral?"


supervisors


indicate


a high


responded


degree


strongly


approve


reinforcement


this

the


would

referring


behavior


. If


supervisors


responded


strongly


disapprove


would


indicate


a low


degree


of positive


reinforcement


a high


degree


of punishment)


the


referring


behavior


The


next


series


anticipated


reinforcement


measures


consisted


reinforcement


anticipated


from


other


supervisors,


employees


and


family


members


the


supervisors


were


to make


EAP


self-referral


Again


degree


the


counseling


of reinforcement


services


was


measured


a five-point


Likert


scale


respon


ses


to each


item,


and


the


items


were


separated


into


groups


of questions


concerning


alcohol,


drug


or emotional


problem.


An example


question


from


serin


reinforcement


measures


included


future


you


were


to receive


counseling


from


the


hospital


sponsored


employee


assistance


counseling


program


an alcohol


problem


what


you


think


would


most


likely


be the

people


reactions

included


the


family


following

members, f


people?"
S -


rlends,


a t


(the


other


list


supervisors


other


employees)


the


supervisors


responded


strongly










reinforcement,


or a high


degree


punishment


counseling.


The


next


series


of reinforcement


measures


examined


the


reinforcement


that


supervisors


anticipated


they


would


receive


from


other


supervisors,


other


employees


and


family


members


they


were


to receive


personal


counseling


from


source


other


than


the


employee


assistance


program.


Consistent


also


with


separated


the

into


preceding


three


measures,


groups


these


measures


of questions,


were


alcohol,


drug


or emotional


five-point


Likert


problems


scale


and


from


responses


strongly


were


disapprove


measured


to strongly


approve.


An example


a question


from


sen


reinforcement


measures


included


the


future


you


were


to receive


counseling


from


a source


other


than


the


hospital


sponsored


employee


assistance


counseling


program


emotional


problem


other


than


an alcohol


or drug


problem


what


you


think


would


most


likely


the


reaction


the


following


approve


people?"


would


the


indicate


supervisors


a high


responded


degree


strongly


of reinforcement


counseling.


supervisors


responded


strongly


disapprove


counseling.


would

These


indicate


two


a low


questions


degre

were


of reinforcement


viewed


measuring


greater


or 1


ess


reinforcement


referring


other










problems,


they


are


more


likely


to anticipate


positive


reactions


intervening


with


other


employees


also


seek


help


their


alcohol,


drug


or emotional


problems.


The


next


series


reinforcement


measures


explored


the


negative


supervisor


reactions


would


.g.,


the


be upset),


employee


that


or one'


supervisors


own


anticipated


receiving


from


other


supervisors


and


other


employees


they


were


to refer


an employee


the


employee


assistance


program,


compared


gratitude


anticipated


the


referred


supportive


employee


reactions


or the


such


approval


one'


the


supervisor


punishing


The


respondents


or supportive


behavior


were


they


asked


to check


anticipated


from


making


an EAP


referral


(see


Appendix


questions


35 and


The


amount


of institutional


support


or non-support


that


a supervisor


received


from


the


organization


concerning


the


employee


assistance


program


also


considered


an indicator


differential


reinforcement.


To evaluate


the


degree


organizational


support,


questions


were


asked


concerning


the


number


memos


the


supervi


sors


received


on the


employee


assistance


program,


informal


discussions


they


had


with


other


supervisors


regarding


the


employee


assistance


and


the


frequency of


employee


assistance


program


in-service


training











question


from


thi


series


reinforcement


measures


included


the


in-s


best


service


your


training


knowledge


which


how


explained


often


the


have


way


you


the


been


employee


assistance


program


utilized


the


supervisors?"


answer


of "very


often"


indicated


a high


degree


support


the


organization.


response


"never"


indicated


a low


degree


of organizational


support


for


the


employee


assistance


program.


Finally,


supervi


sors


were


asked


what


reactions


from


others


they


would


anticipate


for


not


referring


employees


employees


included


assistance


to determine


program


there


Thi


question


consistency


was


between


the


positive

referring


reactions

employees


the


supervisors


to the


employee


anticipated

assistance


receiving


program


and


anticipated


disapproving


reactions


not


referring.


As with


some


the


previous


measures


concerning


supervisory


referral


to the


employee


assistance


program,


three


groups


measures


were


used


to determine


the


anticipated


reinforcement


refraining


from


making


a referral


for


alcohol,


drug


or emotional


problem.


These


measures


also


used


a five-point


Likert


scale


which


ranged


from


strongly


disapprove


to strongly


approve.


example,


a question


from


series











problem


you


did


not


refer


them


the


following


people


knew


about


you


not


referring


them,


what


you


think


would


most


likely


be their


reaction


your


not


making


the


referral


response


of strongly


approve


would


indicate


high


degree


of reinforcement


not


making


the


referral


response


of strongly


approve


would


indicate


a low


degree


reinforcement


not


making


the


referral.


There


are


measures


of definitions


or attitudes


favorable


or unfavorable


to referral


SDefinitions


are


verbal


zations


which


define,


the


actor,


what


appropriate


and


what


inappropriate


in a social


situation.


The


first


two


questions


were


asked


about


the


supervisor'


endorsement


the


disease


concept


of alcohol


drug


abuse,


from


strongly


disagree


strongly


agree


that


alcohol


or drug


abuse


a disease.


Because


endorsement


the


disease


concept


and


the


idea


that


drug


addiction


and


alcoholism

supervisory


response


disease"

referral

"strongly


are


treatable


training

"strongly


would

to the


diseases

employee


agree"


indicate

employee


disagree"


would


to th


a definition

assistance

d indicate


a major


assistance

e statement


favorable


program.


a definition


part


programs,
"alcohol


to making a

response of

unfavorable


to making


a referral.











"strongly


agree"


would


indicate


a positive


definition


because


a referral


the


supervisors


would


be viewed


as a


helping


behavior,


believed


that


something


can,


fact,


be done


about


the


problem.


response


of "strongly


disagree"


would


indicate


an unfavorable


definition


toward


referral


because


alcohol


or drug


addicts


can


not


stop,


would


be futile


to refer


them


for


treatment.


The


third


measure


of definitions


consisted


separate


questions


about


the


supervisors'


views


on the


degree


responsibility


that


either


an alcoholic


or drug


addict


should


take


the


problems


addiction


has


caused.


response


of "strongly


agree"


would


indicate


that


the


addicted


person


responsible


doing


something


about


the


problems


caused


alcohol


or drug


abuse.


Under


the


disease


concept


the


development


of alcoholism


thought


to be


not


the


responsibility


the


alcoholic,


but


responding


positively


offers


of help


and


taking


steps


recover


are


the


alcoholic'


responsibility.


A fourth


measure


definitions


was


a series


three


questions


concerning


how


helpful


the


supervisors


felt


the


employee


assistance


program


would


be for


someone


experiencing


an alcohol,


drug


or emotional


problem.


The


responses


ranged


from


"not


helpful"


to "very


helpful










helpful"


response


would


indicate


a definition


unfavorable


making


a referral


. The


last


two


definition


measures


related


specifically


supervisors'


measure


the


overall


the


supervisors'


happiness


supervisors'


job.


with


These


their


dedication


included


as well


their


job.


the


as a


The


responses


ranged


from


"strongly


disagree"


to "strongly


agree"


(see


Appendix


questions


62h)


both


questions


a response


of "strongly


agree"


would


indicate


overall


happiness


with


their


and


a high


degree


dedication.


It is expected


that


supervisors


who


are


happy


with


their


jobs


and


have


a high


degree


dedication


are


more


likely


to incorporate


their


role


the


employee


assistance


program


into


their


general


supervisory


responsibilities.


Therefore,


an attitude


satisfaction


with


one'


supervisor


viewed


employee


as favorably


ass


instance


disposing


program


the


referrals


There


were


two


questions


measuring


differential


association.


Differential


association


defined


as the


interaction


patterns


with


others


that


provide


the


definitions,


model


and


reinforcement


for


a particular


behavior.


Differential


association


has


both


a behavioral


aspect


and


includes


a definitional


the


degree


aspect.


of association


The

with


behavioral


those


aspect


supervisors










organization


regarding


the


referral


employees


the


program.


The


first


measure


differential


association


consisted


supervisors'


colleagues


who


referred


the


employee


assistance


program.


The


separate


items


the


differential


association


measure


consisted


the


number


the


supervisors'


colleagues


which


they


most


respected,


with


whom


they


had


closest


relationship


with,


had


known


the


longest


had


associated


with


most


frequently,


who


had


referred


an employee


the


employee


assistance


program.


The


five-point


Likert


scale


ranged


from


none


(see


Appendix


question


question


relates


the


behavioral


aspect


differential


association.


The


other


measure


differential


association


was


a subjective


impression


the


priority


given


the


organization


the


employee


assistance


institutional


support


program, s

t measures


eparately

included


from

under


the

the


reinforcement


concept


Here


the


effort


to elicit


the


climate


of favorable


opinion


on employee


assistance


program'


prevailing


the


organization,


specifically


how


much


importance


question


the


asked


hospital


the


best


attached


your


to the


knowledge


program.


how


The


important


you


feel


the


employee


assistance


counseling


program











important"


would


indicate


a climate


unfavorable


to making


referral.


question


relates


the


definitional


aspect


of differential


association.


Scaling


Procedure


Because


the


measures


differential


association


are


not


included


the


discriminant


function


analysis


Chapter


Five,


due


response


rate,


the


differential


association


scales


are


not


reported


here.


The


individual


measures


of anticipated


reinforcement,


definitions


and


differential


association


were


scaled.


Tables


4.1 and


summarize


the


reliability


and


item


scale


correlations


for


each


the


scal


es.


The


item


total


scale


summary


statistics


item


reported


to total


Tables


correlations


4.1 and


each


includes


measure


the


the


range


scale


The


range


of alpha


values


when


the


item


deleted


each


measure


the


scale


and


the


overall


alpha


the


scale


also

well


reported.


each


The


individual


item

item


total


correlation


correlated


with


represents


the


how


overall


scale.


The


alpha


values


when


item


deleted


represents


the


change


the


overall


alpha


the


scale


a particular


item


not


included


scale.


The


alpha


represents


the


reliability


the


overall


scale.











Table


4.1:


Reliability And Item
Reinforcement Scales


To Scale


Correlations


For


Variables


Item to total
correlation range


Alpha if item
deleted


Alpha


REINFA
REINFD
REINFE
EAPREINA
EAPREIND
EAPREINE
OTHREINA
OTHREIND
OTHREINE
PUNISH
SUPPORT
INSTSUP
NOREFA
NOREFD
NOREFE


= 79


The


first


three


scales


Table


measures


perceived


differential


social


reinforcement


(approval


or disapproval)


that


supervisors


anticipated


receiving


they


were


refer


an employee


alcohol


to the


(REINFA),


employee

drug (REI


assistance


NFD)


program


or emotional


for


problem


(REINFE).


Each


these


reinforcement


scales


had


eight


items.


alphas


were


within


the


acceptable


limits.


The


next


set


three


scales


measured


the


amount


reinforcement


that


supervisors


believe


they


would


receive










emotional


problem


(EAPREINE)


Each


these


scales


had


four


items


the


alphas


were


within


the


acceptable


limits.


The


next


group


of scales


measured


the


amount


reinforcement


that


supervisors


believe


they


would


receive


they


sought


counseling


from


a source


other


than


the


employee


assistance


problem


program


(OTHREIND)


an alcohol


or an emotional


problem


problem


(OTHREINA),


(OTHREINE)


a drug


Each


these


alphas


scales


were


also


within


had


the


four


items.


acceptable


Again,


limits.


The


of the


scales


measuring


the


amount


of perceived


punishing


(PUNISH)


supportive


(SUPPORT)


behavior


supervisors


would


experience


making


a referral


scaled


reliably


There


were


five


items


in each


the


scal


es.


The


measure


of institutional


support


the


employee


assi


stance


program


(INSTSUP)


three


item


scale


with


an alpha


coefficient


indicating


the


scale


reliable.


The


last


three


scal


measured


the


amount


reinforcement


which


supervisors


would


experience


they


had


an employee


who


needed


a referral


to the


employee


assistance


program


an alcohol


problem


(NOREFA),


a drug


problem


(NOREFD)


or an emotional


problem


(NOREFE)


but


did


not


refer


the


employee


to the


employees


assistance


program.


Each


these


scales


had


eight


items,


the


alphas


being


within











Table


: Reliability
Definitions


And


Item


To Scale


Correlations


For


Scales


Item


total


Alpha


item


Variables


correlation


range


deleted


Alpha


DISEASE
STOPUSE


.5388
.9397
.8100


RESP


HELPFUL


.7911


.8750


.8448


.9131


.6672
.9689
.8948
.9168


= 79


Table


.2 summary


zes


the


reliability


and


item


to scale


correlations


the


definition


variables.


Three


the


four


scales


had


only


two


items


which


made


the


scale.


Therefore,


the


alpha


with


item


deleted


was


not


reported.


The


first


scale


measured


the


supervisor'


definition


alcohol


and


drug


addition


as a disease


(DISEASE)


The


second


scale


measured


the


attitude


that


the


supervisor


held


concerning


the


ability


people


with


alcohol


and


drug


problems


to stop


they


so desired


(STOPUSE)


The


third


scale


measured


the


amount


of responsibility


that


a drug


addict


or alcoholic


should


accept


the


problems


that


their


drinking


or drugs


have


created


(RESP).


The


last


definition


scale


was


the


amount


of helpfulness


that


the


supervisors


felt


the


employee


assistance


program


would










alphas


the


definition


scales


were


within


the


acceptable


limits.


Statistical


Techniques


The


statistical


techniques


that


will


used


to examine


these


hypotheses


are


frequency


distributions,


cross-


tabulations,


multivariate


regression


(Pedhazur,


1982)


and


discriminant


function


analysis


(Klecka,


1980)


Discriminant


function


analysis


a statistical


technique


used


when


the


researcher


studying


the


differences


between


two


or more


groups


with


present


respect t

research,


:o several


variables


dependent


simultaneously


variable


dichotomous


variable


defined


two


groups;


those


supervisors


who


have


referred


an employee


the


hospital


sponsored


employee


assistance


program


and


those


supervisors


who


have


not.


The


primary


independent


variables


the


discriminant


function


analysis


are


the


social


learning


variables;


differential


association,


reinforcement


and


definitions.


There


function


there


are


seven


analysis


should


: (1)


be at least


assumptions


there


two


for


must


cases


the


two


each


use


of discriminant


or more


group,


groups,


there


can


any


number


discriminating


variables,


provided


that











of other


discriminating


variables,


the


covariance


matrices


each


group


must


be equal


and


each


group


has


been


drawn


from


a population


with


a multivariate


normal


distribution


on the


scriminating


variable


es.


Most


the


assumptions


are


met


following


analysis.


has


two


groups;


there


were


more


than


two


cases


each


group;


there


were


fewer


discriminating


variable


than


cases;


the


intercorrelations


among


the


discriminating


variables


are


not


high


(see


Table


4.3);


the


covariance


matrices


are


not


significantly


different


at the


level


according


to the


BOX'


M (Box'


= 118


.07);


the


means


and


standard


deviations


the


discriminating


variables


suggest


they


are


not


highly


aberrant


(see


Table


4.4).


Klecka

considered


states

to be a


that


robus


discriminant

t statistical


function

technique


analysis

e and


therefore


can


tolerate


deviations


from


the


assumptions


(Klecka,


1980,


For


example,


when


interpreting


the


classification


results,


the


percent


cases


correctly


classified


assumption


large


the


(number


violation


not


the


harmful


normality


The


proportion


correct


classifications


will


also


inform


one


whether


substituting


ordinal


interval


level


data


greatly


reduces


accuracy.





























riJCJ-'
Wow
n~C'r4
.Q-r4W
02w

"flEd
'Go,
>02W

O'00
C H

C.C2
5.4
0
WCW

s-I


r4r4


$4q-4
'h-go,

[14

W-H

oww
*H4J-rI
.lJ.rI>

HOW
* C4

1.4 U Cl)
at,
O.r4 5.4
*I-)~0
W-H


-' I,


on.na
on--
orwa~
@0.4.40


* *
IsI


* I
I


* *
.4


I- I


I a I


- .- '-I .-u .-. n S -












































cwrzl
-r4~
Or-lW
a
H
0 0
HO
~I4W


fbi
0200



~

Wrl 4..)
C4~O


~I~rz4

S.


H~D4U~(flNO~O
OmOH'WHWLO
* *
N N N H







C44O~O4OOO~
* *
4nr)t-r--r-o~H
en en H H H





coNotDonDr)
a~Ncoo~oNt-Q
* *
rlQflHNNrI







HOt-tfl~H4O
Nc1o~Hccr~~oo
* a a S
ncnNNN~DO~C~J
nelrnrtrlH








I0 00 '0 v-I 0 H
OatHN%.0r4010
* S *
('4 v-I








IflH10OHC1tDO~
* a S S S S S

Cl (1 HH H


SC


r..


* S a
HC~JC1






O~CflNO
* 5 4
rI4







tfltHO
* S 4 5
HNN






ior-ino
ON tOO


c-I








tO 0 N tO
cOOHO
* S S S
r4CJClr4







wior-r~
00 C40
* S
wQrI4e











best


explain


the


differences


between


the


groups


being


studied.

analysis


the

used


present


research,


to determine


what


discriminant function

characteristics explain


the


difference


between


those


supervisors


who


have


referred


an employee


the


employee


assistance


program


and


those


supervisors


who


have


not


referred


an employee


to the


employee


assistance


program.


For


the


purpose


study


the


standardized


canonical


correlations


will


be evaluated


determine


which


variables


best


explain


referral


and


non-


referral


behavior


the


supervisors.


Classification


purpose


involves


of predicting


using


the


the


group


discriminant


into


function


which


particular


case


fall


For


the


present


research,


thi


includes


determining


whether


a particular


supervisor


would


fall


into


the


group


which


has


referred


or the


group


which


has


not


referred


the


employee


assistance


program.


Classification


results


will


evaluated


determining


the


percentage


supervisors


that


are


correctly


classified


function.


A Tau


statistic


is computed


which


shows


how


much


better


than


chance


the


discriminant


function


analysis


performs


classifying


cases


correctly.


Next,


an analysis


using


a regression


procedure


will


also


carried


out


to determine


how


well


social











discriminant


regression


function


analysis.


The


analysis

dependent


will


be used


variable


the


will


the


number


referral


the


employee


assistance


program,


which


will


separated


into


five


categories


: 0 referral


referral,


referrals,


referrals


and


or more


referral


The


number


referrals


was


truncated


after


four


because


few


supervisors


referred


an extremely


high


number


cases.


There


was


concern


that


these


"outliners"


would


unduly


affect


the


results,


especially


given


the


relatively


small


sample


size.


Regression


analysis


makes


several


assumptions


. The


first


set


assumption


addresses


specification


error


Specifically,


the


relationship


between


the


independent


and


dependent


variable


must


be linear,


no relevant


independent


variables


have


been


excluded


and


no irrelevant


variables


have


been


included.


The


second


assumption


indicates


that


independent


and


dependent


variables


are


accurately


measured


eliminating


measurement


error


SThe


third


set


assumptions


concern


the


error


term.


Specifically,


for


each


observation


the


expected


value


the


error


term


zero,


the


variance


the


error


term


constant


for


values


independent


variables,


the


error


terms


are


uncorrelated,


and


the


error


term


normally


distributed


(Lewis-Beck,











errors.


Others


have


argued


that


multiple


regression


robust


ordinal


data


are


used


instead


interval


data


(Kim,


1975;


Labovitz,


1971,


1970).


Finally,


determine


the


the


labelling


social


variables


will


characteristics


be evaluated


those


employees


referred


the


employee


assistance


program


can


help


explain


supervisors


referral


decisions.


The


social


characteristics


used


the


analysis


will


include


the


age,


race,


gender,


marital


status,


classification,


and


length


employment


the


employee


referred,


as well


as the


measures


the


severity


the


primary


problem.


These


data


present


a direct


examination


the


effects


labelling


on referral


deci


sions


. However,


insight


into


the


problem


can


be gained


examining


frequency


distributions


and


some


cross-tabulations


The


frequency


distributions


the


social


characteristics


the


employees


referred


will


be compared


the


probable


distribution


(the


actual


distribution


was


not


available),


the


hospitals


determine


a disproportionate


number


those


referred


have


social


characteristics


which


would


indicate


fewer


resources


and


ess


power


SCross-tabulations


between


gender,


race


and


classification


and


the


severity


the


problem


leading


to a referral


will


be done


to determine


whether




Full Text

PAGE 1

683(59,625 5()(55$/6 72 (03/2<(( $66,67$1&( 352*5$06 %\ 0,&+$(/ &$3(&( $ ',66(57$7,21 35(6(17(' 72 7+( *5$'8$7( 6&+22/ 2) 7+( 81,9(56,7< 2) )/25,'$ ,1 3$57,$/ )8/),//0(17 2) 7+( 5(48,5(0(176 )25 7+( '(*5(( 2) '2&725 2) 3+,/2623+< 81,9(56,7< 2) )/25,'$

PAGE 2

$&.12:/('*0(176 ZRXOG OLNH WR WKDQN WKH IROORZLQJ SHRSOH ZKR KDYH SOD\HG D VLJQLILFDQW UROH LQ KHOSLQJ WR SUHSDUH P\ GLVVHUWDWLRQ DQG DVVLVWHG PH GXULQJ P\ SURJUDP DW WKH 8QLYHUVLW\ RI )ORULGD )LUVW ZDQW WR WKDQN WKRVH ZKR VHUYHG RQ P\ FRPPLWWHH 'U 5RQDOG $NHUV FKDLUf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

PAGE 3

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

PAGE 4

7$%/( 2) &217(176 $&.12:/('*0(176 LL /,67 2) 7$%/(6 YL $%675$&7 D f 9OOO &+$37(56 (03/2<(( $66,67$1&( 352*5$06 %$&.*5281' $1' 352&('85( ,QWURGXFWLRQ $QWHFHGHQWV 2I 3UHVHQW (PSOR\HH $VVLVWDQFH 3URJUDPV 7KH %DVLF (OHPHQWV 2I $Q (PSOR\HH $VVLVWDQFH ,, *XLGHOLQHV )RU 6XSHUYLVRUV ,Q ,GHQWLI\LQJ $ 3UREOHP 2Q WKH -RE &RQVWUXFWLYH &RQIURQWDWLRQ 6XPPDU\ $QG 6WDWHPHQW 2I 7KH 3UREOHP 683(59,625< 3$57,&,3$7,21 ,1 7+( (03/2<(( $66,67$1&( 352*5$0 3UHYLRXV 5HVHDUFK 2Q )DFWRUV ,Q 6XSHUYLVRUVn 5HIHUUDOV 6LJQLILFDQFH 2I 3UHVHQW 6WXG\ /$%(//,1* $1' 62&,$/ /($51,1* 7+(25< $6 3(563(&7,9(6 21 (03/2<(( $66,67$1&( 5()(55$/6 0(7+2'2/2*< 6DPSOH 3URFHGXUH ,QVWUXPHQW 2SHUDWLRQDOL]DWLRQ 6FDOLQJ 3URFHGXUH 6WDWLVWLFDO 7HFKQLJXHV LY

PAGE 5

SDJH 5(68/76 $1' ',6&866,216 2) 7+( 62&,$/ /($51,1* $1$/<6,6 'LVFULPLQDQW )XQFWLRQ $QDO\VLV 5HJUHVVLRQ $QDO\VLV 5(68/76 $1' ',6&866,21 2) 7+( /$%(//,1* $1$/<6,6 /DEHOOLQJ 9DULDEOHV 6RFLDO &KDUDFWHULVWLFV 2I 5HIHUUDOV &RQWUROOLQJ )RU 6HYHULW\ 2I 7KH 3UREOHP ,OO &21&/86,216 $1' ,03/,&$7,216 )25 32/,&< $1' 5(6($5&+ 3ROLF\ ,PSOLFDWLRQV ,PSOLFDWLRQV )RU )XWXUH 5HVHDUFK $33(1',&(6 $ 683(59,625n6 52/( $1 (;$03/( 2) &21)5217$7,21 % (03/2<(( $66,67$1&( 352*5$0 (9$/8$7,21 683(59,625 48(67,211$,5( 5()(5(1&(6 %,2*5$3+,&$/ 6.(7&+ Y

PAGE 6

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

PAGE 7

7DEOH )UHTXHQF\ 'LVWULEXWLRQ 2I (GXFDWLRQDO /HYHO )RU 7KH /DVW 5HIHUUDO 2I $Q (PSOR\HH 7R 7KH (PSOR\HH $VVLVWDQFH 3URJUDP )UHTXHQF\ 'LVWULEXWLRQ 2I /HQJWK 2I (PSOR\PHQW ,Q
PAGE 8

$EVWUDFW RI 'LVVHUWDWLRQ 3UHVHQWHG WR WKH *UDGXDWH 6FKRRO RI WKH 8QLYHUVLW\ RI )ORULGD LQ 3DUWLDO )XOILOOPHQW RI WKH 5HTXLUHPHQWV IRU WKH 'HJUHH RI 'RFWRU RI 3KLORVRSK\ 683(59,625 5()(55$/6 72 (03/2<(( $66,67$1&( 352*5$06 %\ 0LFKDHO &DSHFH 0D\ &KDLUPDQ 5RQDOG / $NHUV 3K' 0DMRU 'HSDUWPHQW 6RFLRORJ\ 7KH SXUSRVH RI WKLV VWXG\ LV WR ORFDWH WKH LPSRUWDQW YDULDEOHV LQ WKH GHFLVLRQV E\ VXSHUYLVRUV WR UHIHU HPSOR\HHV WURXEOHG E\ DOFRKRO GUXJ RU HPRWLRQDO SUREOHPV WR HPSOR\HH DVVLVWDQFH SURJUDPV $ VHOIDGPLQLVWHUHG TXHVWLRQQDLUH ZDV JLYHQ WR D VDPSOH RI VXSHUYLVRUV LQ WZR JHQHUDO KRVSLWDOV LQ WKH 7DPSD %D\ DUHD 7ZR VRFLRORJLFDO WKHRULHV VRFLDO OHDUQLQJ WKHRU\ DQG ODEHOOLQJ WKHRU\ JXLGHG WKH UHVHDUFK 'DWD ZHUH DQDO\]HG E\ GLVFULPLQDQW IXQFWLRQ DQDO\VLV UHJUHVVLRQ DQDO\VLV DQG IUHTXHQF\ GLVWULEXWLRQV 7KH GLVFULPLQDQW IXQFWLRQ DQDO\VLV ZDV SHUIRUPHG WR GHWHUPLQH LI YDULDEOHV GHULYHG IURP VRFLDO OHDUQLQJ WKHRU\ FRXOG H[SODLQ ZK\ VRPH VXSHUYLVRUV UHIHU HPSOR\HHV ZLWK GUXJ DOFRKRO RU HPRWLRQDO SUREOHPV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP DQG RWKHUV GR QRW 7KH VRFLDO OHDUQLQJ YDULDEOHV H[SODLQHG b RI WKH YDULDQFH LQ WKH GHSHQGHQW f f f 9OOO

PAGE 9

YDULDEOH UHIHUULQJ DQG QRQUHIHUULQJ EHKDYLRU RI WKH VXSHUYLVRUVf $OVR WKH GLVFULPLQDQW IXQFWLRQ ZLWK WKH VRFLDO OHDUQLQJ YDULDEOHV ZDV DEOH WR VXFFHVVIXOO\ b RI WKH FDVHV LQWR WKH UHIHUULQJ DQG QRQUHIHUULQJ JURXSV 7KH UHJUHVVLRQ DQDO\VLV ZDV SHUIRUPHG WR GHWHUPLQH KRZ ZHOO WKH VRFLDO OHDUQLQJ YDULDEOHV FRXOG H[SODLQ WKH IUHTXHQF\ LQ ZKLFK VXSHUYLVRUV UHIHU HPSOR\HHV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH UHJUHVVLRQ PRGHO ZKLFK LQFOXGHG WKH VRFLDO OHDUQLQJ YDULDEOHV H[SODLQHG b RI WKH YDULDQFH LQ WKH GHSHQGHQW YDULDEOH IUHTXHQF\ RI UHIHUUDOf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

PAGE 10

FRQFHUQLQJ WKHLU H[SHFWDWLRQV RI KRZ KHOSIXO WKH SURJUDP ZLOO EH WR WKH HPSOR\HHV

PAGE 11

&+$37(5 (03/2<(( $66,67$1&( 352*5$06 %$&.*5281' $1' 352&('85( ,QWURGXFWLRQ 7KH SUREOHP RI HPSOR\HH GULQNLQJ DQG GUXJ DEXVH KDV EHHQ WKH IRFXV RI DWWHQWLRQ RI LQGXVWU\ LQ WKH 8QLWHG 6WDWHV VLQFH WKH PLG V 7ULFH DQG 6FKRQEUXQQ f DQG FRQWLQXHV WR EH DQ LPSRUWDQW LVVXH WRGD\ 6WHHOH 7ULFH DQG 6RQQHQVWXKO f :RUNHUV ZKR XVH GUXJV RU DOFRKRO RQ WKH MRE DUH RQHWKLUG OHVV SURGXFWLYH DQG WKUHH WLPHV PRUH OLNHO\ WR EH LQMXUHG WKDQ WKRVH HPSOR\HHV ZKR GR QRW XVH 7KHVH HPSOR\HHV DOVR H[SHULHQFH PRUH MRE LQVWDELOLW\ DQG XQHPSOR\PHQW .DQGHO DQG
PAGE 12

7KH 1DWLRQDO ,QVWLWXWH RQ $OFRKROLVP DQG 'UXJ $EXVH 1,$$$f HVWLPDWHV WKDW WKH 86 HFRQRP\ ORVHV DSSUR[LPDWHO\ ELOOLRQ GROODUV SHU \HDU GXH WR ORZHUHG ZRUNHU SURGXFWLYLW\ 1,$$$ f ,QGXVWU\ KDV UHVSRQGHG E\ HVWDEOLVKLQJ HPSOR\HH DVVLVWDQFH SURJUDPV ($3Vf WR GHDO ZLWK HPSOR\HH DOFRKRO GUXJ DQG HPRWLRQDO SUREOHPV 7R HVWDEOLVK DQ ($3 RUJDQL]DWLRQV FRQWUDFW ZLWK D SULYDWH HPSOR\HH DVVLVWDQFH FRPSDQ\ ZKLFK SURYLGHV WR WKH HPSOR\HHV FRXQVHOLQJ VHUYLFHV IRU DOFRKRO GUXJ DQG HPRWLRQDO SUREOHPV 7KHUH DUH WZR W\SHV RI UHIHUUDOV WR WKH ($3 VHOIUHIHUUDO LQ ZKLFK DQ HPSOR\HH YROXQWDULO\ VHHNV FRXQVHOLQJf DQG VXSHUYLVRU\ UHIHUUDOV LQ ZKLFK VXSHUYLVRUV DV D UHVXOW RI DQ HPSOR\HHnV GHWHULRUDWLQJ MRE SHUIRUPDQFH UHFRPPHQGV WR WKH HPSOR\HH WKDW KHVKH JR WR WKH ($3f ,W LV WKH VHFRQG W\SH RI UHIHUUDO WKDW WKH SUHVHQW UHVHDUFK LV LQWHUHVWHG LQ $OWKRXJK WKH LVVXH RI VXSHUYLVRU\ UHIHUUDOV LV FHQWUDO WR WKH IXQFWLRQLQJ RI DQ HIIHFWLYH HPSOR\HH DVVLVWDQFH SURJUDP 0DVL 0\HUV $OSDQGHU 6FKDHIIHU 3ROH\ /HD DQG 9LEH :DONHU %ORVH +HUEHUW DQG +HPPHWW f WKHUH KDV EHHQ OLWWOH UHVHDUFK WR GHWHUPLQH ZK\ VRPH VXSHUYLVRUV UHIHU WR WKH ($3 DQG RWKHUV GR QRW %HFDXVH RI WKH FHQWUDOLW\ RI WKH LVVXH RI VXSHUYLVRUVn UHIHUUDOV DQG WKH OLPLWHG UHVHDUFK LQ WKLV DUHD WKH SUHVHQW UHVHDUFK LV DQ DWWHPSW WR DGG WR WKH ERG\ RI NQRZOHGJH FRQFHUQLQJ VXSHUYLVRU\ ($3 UHIHUUDOV

PAGE 13

6SHFLILFDOO\ WKH SXUSRVH RI WKH SUHVHQW UHVHDUFK LV WR LQYHVWLJDWH WKH YDULDEOHV LQ VXSHUYLVRUVn UHIHUUDOV RU QRQn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nV UROH LQ WKH HPSOR\HH DVVLVWDQFH SURJUDP LQFOXGLQJ WKH IDFWRUV ZKLFK SUHYHQW WKH VXSHUYLVRU IURP EHFRPLQJ LQYROYHG LQ UHIHUULQJ HPSOR\HHV WR WKH SURJUDP &KDSWHU 7KUHH SURYLGHV DQ RYHUYLHZ RI WKH WZR VRFLRORJLFDO WKHRULHV WKDW ZLOO JXLGH WKH UHVHDUFK VRFLDO OHDUQLQJ

PAGE 14

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n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

PAGE 15

f 7KHVH SURJUDPV SURYLGHG HPSOR\HHV ZLWK LQH[SHQVLYH KRXVLQJ LQVXUDQFH SHQVLRQ SODQV DQG RWKHU EHQHILWV 7KHVH SURJUDPV ZHUH GHVLJQHG WR KHOS LQGXVWU\ E\ SURYLGLQJ D VWDEOH ODERU IRUFH SURPRWLQJ ZRUNHU OR\DOW\ DQG SUHYHQWLQJ XQLRQL]DWLRQ 1HOVRQ DQG &DPSEHOO f :LWK WKH RQVHW RI WKH GHSUHVVLRQ WKHVH SURJUDPV GLPLQLVKHG EHFDXVH RI WKH GHSUHVVLRQnV QHJDWLYH HIIHFWV RQ LQGXVWU\ DQG XQLRQLVP ZKLFK HOLPLQDWHG WKH FRPSDQ\nV PRWLYDWLRQ WR FRQWLQXH WKH SURJUDPV :LWK WKH HPHUJHQFH RI SHUVRQQHO FRXQVHOLQJ GXULQJ WKH V WKH HPSOR\HH DVVLVWDQFH PRYHPHQW HQWHUHG D QHZ HUD 3HUVRQQHO FRXQVHOLQJ HPHUJHG IURP WKH ZRUN RI (OWRQ 0D\R f DW :HVWHUQ (OHFWULFnV +DZWKRUQH 3ODQW $V LW ZDV DSSOLHG DW :HVWHUQ (OHFWULF WKH SURJUDP HPSOR\HG VKRS ZRUNHUV WR DFW DV FRXQVHORUV 7KHVH FRXQVHORUV ZRXOG LQIRUPDOO\ WDON ZLWK HPSOR\HHV DERXW WKHLU SHUVRQDO SUREOHPV ZLWK DQ HPSKDVLV RQ OLVWHQLQJ WR WKH HPSOR\HH ZLWKRXW JLYLQJ DGYLFH +RZHYHU WKH PDLQ IRFXV RI SHUVRQQHO FRXQVHOLQJ FDPH WR EH FHQWHUHG DURXQG WKH GHYHORSPHQW RI SV\FKLDWULF FOLQLFV 7KHVH FOLQLFV ZHUH HVWDEOLVKHG WR DGGUHVV ZKDW ZHUH FRQVLGHUHG WR EH HPSOR\HHVn LUUDWLRQDO EHOLHIV ZKLFK FDXVHG VWULNHV DQG GHFUHDVHG SURGXFWLYLW\ 6RQQHQVWXKO DQG 7ULFH f 2FFXSDWLRQDO PHQWDO KHDOWK SURJUDPV ZHUH WKH QH[W SKDVH LQ WKH GHYHORSPHQW RI WKH PRGHUQ HPSOR\HH DVVLVWDQFH SURJUDP 2FFXSDWLRQDO PHQWDO KHDOWK SURJUDPV HPSKDVL]HG WKH

PAGE 16

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f 7KHVH LQGXVWULDO DOFRKROLVP SURJUDPV IRFXVHG RQ KRZ GULQNLQJ RQ WKH MRE ZDV DGYHUVHO\ DIIHFWLQJ ZRUNHUVn SURGXFWLYLW\ 6SHFLILFDOO\ RZQHUV DQG PDQDJHUV EHFDPH FRQFHUQHG DERXW WKH HIIHFWV WKDW DOFRKROLVP KDG RQ DEVHQWHHLVP GLVDELOLW\ VLFNQHVV DQG DFFLGHQW ORVV ,QGXVWU\ UHDFWHG WR WKH QHHG WR GHDO ZLWK HPSOR\HHVn DOFRKRO SUREOHPV E\ LPSOHPHQWLQJ LQIRUPDO DUUDQJHPHQWV EHWZHHQ WKH FRPSDQ\nV PHGLFDO GHSDUWPHQW DQG PHPEHUV RI $OFRKROLFV $QRQ\PRXV $$f IRU D FRPSOHWH H[SODQDWLRQ RI WKH $OFRKROLFV $QRQ\PRXV SURJUDP VHH $OFRKROLFV $QRQ\PRXV f 7KH PHGLFDO GHSDUWPHQW ZRUNLQJ ZLWK PHPEHUV RI

PAGE 17

$OFRKROLFV $QRQ\PRXV ZKR ZHUH ZRUNLQJ LQ WKH VKRS ZRXOG EH DVNHG WR DSSURDFK WKH HPSOR\HHV DQG GLVFXVV WKHLU GULQNLQJ SUREOHP )ROORZLQJ WKH JXLGHOLQHV RI WKH $$ SURJUDP WKH $$ PHPEHU ZRXOG WDON ZLWK WKH HPSOR\HHV DERXW WKHLU H[SHULHQFH ZLWK DOFRKRO DQG WKH EHQHILWV RI VREULHW\ 7KH FRPSDQ\ KRSHG WKDW WKH $$ PHPEHU FRXOG LQIRUPDOO\ PRWLYDWH WKH HPSOR\HH WR DWWHQG PHHWLQJV RI $OFRKROLFV $QRQ\PRXV RU HQWHU DQ DOFRKROLVP WUHDWPHQW SURJUDP 7ULFH DQG 6RQQHQVWXKO f *RRG\HDU 7LUH DQG 5XEEHU &RPSDQ\ LQ $NURQ 2KLR SURYLGHV DQ H[DPSOH RI D ORQJVWDQGLQJ LQGXVWULDO DOFRKROLVP SURJUDP *RRG\HDU KDV D ORQJ KLVWRU\ RI SURYLGLQJ PHQWDO KHDOWK EHQHILWV WR LWV HPSOR\HHV 6KDLQ 6XUYDOL DQG %RXWLOLHU f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

PAGE 18

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n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f

PAGE 19

7ULFH DQG 6RQQHQVWXKO f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

PAGE 20

SHUVRQ DQG KHOS WKH SHUVRQ GHDO ZLWK KLV RU KHU GULQNLQJ SUREOHP E\ ZD\ RI EUHDNLQJ WKURXJK WKH GHQLDO $$ PHPEHUV XVHG WKH QDWXUDO IRUFHV RI WKH ZRUNSODFH WR SURYLGH DQ HQYLURQPHQW ZKHUH WKH\ FRXOG DSSURDFK WKH HPSOR\HH ZLWK D GULQNLQJ SUREOHP DQG FRQIURQW WKDW HPSOR\HHn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f $$ GHILQHG WKH IRFXV RI WKH SURJUDP DOFRKROLVPf WKH UHFRYHU\ SURJUDP WKH WZHOYH VWHSV DQG WKH SHUVRQQHO $$ PHPEHUVf WR KHOS WKRVH LQ WKH ZRUNSODFH LQ QHHG RI DVVLVWDQFH 7KXV LQ PDQ\ ZD\V WKH VXFFHVV DQG DFFHSWDQFH RI WKH $$ SKLORVRSK\ DV DQ DSSURDFK WR DOFRKROLVP WUHDWPHQW KHOSHG ODXQFK WKH IRUPDWLRQ RI WKH ILUVW OHJLWLPDWH HPSOR\HH DVVLVWDQFH SURJUDPV LQ VRPH RI WKH PDMRU LQGXVWULHV LQ WKH 8QLWHG 6WDWHV

PAGE 21

7ZR RUJDQL]DWLRQV WKH 1DWLRQDO &RXQFLO RQ $OFRKROLVP IRUPHG LQ DQG WKH 1DWLRQDO ,QVWLWXWH RI $OFRKRO $EXVH DQG $OFRKROLVP 1,$$$f IRUPHG LQ JDYH QDWLRQDO VWDQGLQJ WR WKH QHHGV RI HPSOR\HH DVVLVWDQFH SURJUDPV 7KH PDMRU LQIOXHQFH FDPH IURP 1,$$$ WKH DJHQF\ UHVSRQVLEOH IRU FRLQLQJ WKH WHUP (PSOR\HH $VVLVWDQFH 3URJUDP DQG SURYLGLQJ HFRQRPLF LQFHQWLYHV WR VWDUW HPSOR\HH DVVLVWDQFH SURJUDPV :DOVK /RWWHUKRV f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

PAGE 22

HPSOR\HHV ZRXOG LPSURYH WKH HPSOR\HHVn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f 7KXV RQH RI WKH ODWHQW DVSHFWV RI WKH HVWDEOLVKPHQW RI 1,$$$ DQG WKH JUDQWV WR HVWDEOLVK FRQVXOWDQWV LQ DOO ILIW\ VWDWHV ZDV WKH IDFW WKDW D VFKLVP GHYHORSHG LQ WKH HPSOR\HH DVVLVWDQFH PRYHPHQW EHWZHHQ WKRVH ZKR EHOLHYHG LQ VSHFLILF RFFXSDWLRQDO DOFRKROLVP SURJUDPV DQG WKRVH ZKR EHOLHYHG LQ ZKDW LV WHUPHG D EURDGEUXVK SURJUDP %URDGn EUXVK SURJUDPV DUH GHILQHG DV SURJUDPV WKDW DGGUHVV ERWK DOFRKROLVP DQG WKH SHUVRQDO SUREOHPV RI WKH HPSOR\HH 7KH HDUO\ GHEDWH EHWZHHQ WKH PHQWDO KHDOWK RU EURDGn EUXVKf SURSRQHQWV DQG WKH DOFRKROLVP SURSRQHQWV FRQWLQXHV WR

PAGE 23

KDYH D VLJQLILFDQW LPSDFW RQ WKH PRGHUQ HPSOR\HH DVVLVWDQFH SURJUDPV 7KLV GHEDWH FHQWHUV DURXQG WZR LVVXHV QDPHO\ YROXQWDU\ YHUVXV LQYROXQWDU\ UHIHUUDOV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP DQG WKH XVH RI FRQVWUXFWLYH FRQIURQWDWLRQ 7KH LVVXH RI ZKHWKHU WR HVWDEOLVK DOFRKRO VSHFLILF SURJUDPV RU EURDGEUXVK SURJUDPV LV VWLOO GHEDWHG LQ WKH HPSOR\HH DVVLVWDQFH OLWHUDWXUH WRGD\ 5RPDQ f :DOVK f 0DVL f DQG +H\PDQ f DOO GLVFXVV WKH HVWDEOLVKPHQW RI DOFRKRO VSHFLILF HPSOR\HH DVVLVWDQFH SURJUDPV $OO RI WKH DERYH WDNH WKLV YLHZ EDVHG RQ WKH FRQFHUQ WKDW WKH EURDGEUXVK SURJUDPV ZRXOG GLOXWH WKH KLVWRULFDO IRFDO SRLQW RI WKH HPSOR\HH DVVLVWDQFH SURJUDP ZKLFK KDV EHHQ RQ DOFRKROLVP 7KHVH ZULWHUV IHHO WKDW LQFOXGLQJ SUREOHPV RWKHU WKDQ DOFRKRO LQ DQ HPSOR\HH DVVLVWDQFH SURJUDP ZRXOG OHDG WR WKH DOFRKRO SUREOHPV UHFHLYLQJ OHVV RI D SULRULW\ WKDQ LW ZRXOG UHFHLYH LQ DQ DOFRKRO VSHFLILF SURJUDP :DOVK f UDLVHV WKH JXHVWLRQ WKDW ZKHQ SURJUDPV VKLIW IURP DQ DOFRKRO IRFXV WR DQ DOO HQFRPSDVVLQJ HPSOR\HH DVVLVWDQFH SURJUDP PRGHO GRHV LQGXVWU\ EHFRPH WRR LQYROYHG LQ WKH OLYHV RI WKHLU HPSOR\HHV" 6KH YLHZV WKLV WUHQG DV PRYLQJ WRZDUGV D W\SH RI LQGXVWULDO VRFLDO HQJLQHHULQJ 3URSRQHQWV RI DOFRKROVSHFLILF HPSOR\HH DVVLVWDQFH SURJUDPV DUH DOVR FRQFHUQHG DERXW WKH VKLIW WR WKH PRUH HQFRPSDVVLQJ PHQWDO KHDOWKEURDGEUXVK SURJUDPV EHFDXVH

PAGE 24

WKHVH SURJUDPV RIWHQ ZLOO QRW DGGUHVV WKH LPSRUWDQW LVVXH LQ DOFRKROLVP RI GHQLDO %HFDXVH WKH PHQWDO KHDOWKEURDGEUXVK SURJUDPV IDYRU YROXQWDU\ HQWUDQFH LQWR WKH HPSOR\HH DVVLVWDQFH SURJUDP PDQ\ DGYRFDWHV RI WKH DOFRKRO VSHFLILF SURJUDPV IHHO WKDW EHFDXVH GHQLDO LV DQ LPSRUWDQW SDUW RI WKH DOFRKROLF PLQG VHW PDQ\ DOFRKROLFV ZRXOG QRW FRPH LQWR WUHDWPHQW 0DVL f VHHV WKH PHQWDO KHDOWK W\SH HPSOR\HH DVVLVWDQFH SURJUDPV UHVHPEOLQJ D W\SLFDO IDPLO\ FRXQVHOLQJ DJHQF\ ZKLFK DFFHSWV SHRSOH RQ D VHOIUHIHUUDO EDVLV 0DVL IHHOV WKDW LI WKH WUHQG WRZDUGV D PRUH EURDGEUXVK SURJUDP FRQWLQXHV WKLV ZLOO GLOXWH WKH XQLJXHQHVV RI HPSOR\HH DVVLVWDQFH SURJUDPV +H\PDQ f GLVFXVVHV WKH GLIIHUHQFHV LQ ZRUN LPSURYHPHQW RI WKRVH HPSOR\HHV WKDW ZHUH IRUFHG WR JR WR WKH HPSOR\HH DVVLVWDQFH SURJUDP DQG WKRVH ZKR FKRVH WR JR WR WKH SURJUDP YROXQWDULO\ 7KH DXWKRU GUHZ D UDQGRP VDPSOH RI DSSUR[LPDWHO\ SHRSOH ZKR HQWHUHG WKH HPSOR\HH DVVLVWDQFH SURJUDP HLWKHU YROXQWDULO\ RU LQYROXQWDULO\ LQ IRXU LQGXVWULDO DOFRKROLVP SURJUDPV LQ WKH 1HZ
PAGE 25

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f )RRWH DQG (UIXUW f 6RQQHQVWXKO f DQG 6PDUW f DUJXH LQ IDYRU RI WKH VKLIW WR WKH PRUH PHQWDO KHDOWKEURDGEUXVK HPSOR\HH DVVLVWDQFH SURJUDP 7KH\ VSHFLILFDOO\ DGGUHVV WKH LVVXH RI ZKHWKHU WKH EURDGEUXVKPHQWDO KHDOWK HPSOR\HH DVVLVWDQFH SURJUDPV GLOXWH WKH HIIHFWLYHQHVV RI WUHDWLQJ DOFRKROLVP 7KH PRVW FXUUHQW VWXG\ LV WKH RQH E\ 0DUWLQ 6KDLQ f RQ WKH HIIHFWLYHQHVV RI WKH EURDGEUXVK SURJUDP DV FRPSDUHG WR WKH DOFRKRO VSHFLILF SURJUDP RQ LGHQWLILFDWLRQ UDWH RI DOFRKROLFV SURJUDP XWLOL]DWLRQ UDWHV DQG HPSOR\HHV DZDUHQHVV RI WKH SURJUDP 6KDLQ FRQFOXGHV WKDW WKH FRQFHUQV RI WKH SURSRQHQWV RI RFFXSDWLRQDO DOFRKROLVP SURJUDPV QDPHO\ WKDW DOFRKRO VHUYLFHV ZRXOG EH GLOXWHG E\ WKH EURDG

PAGE 26

EUXVK SURJUDPV RU WKDW DOFRKROLFV ZRXOG QRW EH HIIHFWLYHO\ WUHDWHG LQ WKH EURDGEUXVK SURJUDPV LV XQIRXQGHG 7KH VWXGLHV E\ 6PDUW f DQG )RRWH DQG (UIXUW f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

PAGE 27

*URHQHYHOG :DOVK DQG
PAGE 28

(DUO\ UHVROXWLRQ RI D SUREOHP LV DOVR RI SULPDU\ FRQFHUQ WR WKH FRPSDQ\ ZKLFK LPSOHPHQWV DQ HPSOR\HH DVVLVWDQFH SURJUDP ,W LV KRSHG WKDW YROXQWDU\ XVH RI WKH HPSOR\HH DVVLVWDQFH SURJUDP FRXQVHOLQJ VHUYLFHV ZLOO SUHYHQW ZRUN UHODWHG SUREOHPV 7KHUHIRUH WKH EHVW LQWHUHVW RI WKH LQGLYLGXDO DQG WKH FRPSDQ\ DUH VHUYHG E\ WKH SURJUDP 7KH FRPSDQ\ ZLOO JHW LQYROYHG ZLWK DQ HPSOR\HHnV DOFRKRO GUXJ RU HPRWLRQDO SUREOHP RQO\ ZKHQ WKH HPSOR\HH RU WKH VXSHUYLVRU UHTXHVWV DVVLVWDQFH RU ZKHQ WKH SUREOHP DIIHFWV WKH HPSOR\HHnV MRE SHUIRUPDQFH 6XSHUYLVRUV DUH HQFRXUDJHG WR RIIHU D WURXEOHG HPSOR\HH D UHIHUUDO WR WKH HPSOR\HH DVVLVWDQFH SURJUDP +RZHYHU LW LV QRW WKH LQWHQW RI WKH HPSOR\HH DVVLVWDQFH SURJUDP WR KDYH VXSHUYLVRUV DFWXDOO\ VHHNLQJ RXW HPSOR\HHV ZLWK SUREOHPV 3UREOHPV DUH UHFRJQL]HG ZKHQ WKH HPSOR\HHnV MRE SHUIRUPDQFH GHWHULRUDWHV 7KHUH DUH WZR W\SHV RI UHIHUUDOV WR DQ HPSOR\HH DVVLVWDQFH SURJUDP VHH )LJXUH f VHOIUHIHUUDOV DQG VXSHUYLVRU\ UHIHUUDOV 6HOIUHIHUUDOV DUH WKH W\SH RI UHIHUUDOV WKDW DUH LQLWLDWHG IURP HLWKHU WKH HPSOR\HH RU WKH HPSOR\HHnV IDPLO\ PHPEHU 6HOIUHIHUU£LV DUH XVXDOO\ LQLWLDWHG WKURXJK FRQVXOWDWLRQ ZLWK WKH HPSOR\HHnV VXSHUYLVRU 7KH VXSHUYLVRU WKHQ UHIHUV WKH SHUVRQ WR WKH HPSOR\HH DVVLVWDQFH FRXQVHORU RU UHIHUV WKH HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH FRRUGLQDWRU ZLWKLQ WKH RUJDQL]DWLRQ ZKR ZLOO WKHQ UHIHU WKH SHUVRQ WR WKH HPSOR\HH DVVLVWDQFH FRXQVHORU

PAGE 29

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

PAGE 30

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nV RSLQLRQ RI WKH HPSOR\HH ZLOO QRW GLPLQLVK EHFDXVH WKH HPSOR\HH HOHFWV WR SDUWLFLSDWH LQ WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH HPSOR\HH DVVLVWDQFH FRRUGLQDWRU ZLWKLQ WKH RUJDQL]DWLRQ ZLOO DOVR VWUHVV WR WKH HPSOR\HH WKDW PDQ\ SHRSOH KDYH XVHG WKH VHUYLFH DQG KDYH IRXQG LW HIIHFWLYH 7KH HPSOR\HH DVVLVWDQFH FRRUGLQDWRU ZLWKLQ WKH RUJDQL]DWLRQ ZLOO DOVR PDLQWDLQ UHFRUGV DQG NHHS LQ FRQWDFW ZLWK WKH HPSOR\HH WR GHWHUPLQH WKDW HYHU\WKLQJ LV VDWLVIDFWRU\ ,QGLDQ 5LYHU &RPPXQLW\ 0HQWDO +HDOWK &HQWHU f 2QFH UHIHUUHG WR WKH HPSOR\HH DVVLVWDQFH FRXQVHORU WKH FRXQVHORU HLWKHU GHDOV ZLWK WKH LVVXH RYHU WKH SKRQH RU DUUDQJHV IRU DQ DSSRLQWPHQW IRU FRQVXOWDWLRQ DW WKH FRXQVHORUnV RIILFH $OO FRQWDFWV YHUEDO RU ZULWWHQ EHWZHHQ WKH HPSOR\HH DQG WKH HPSOR\HH DVVLVWDQFH FRXQVHORU DUH KHOG LQ FRQILGHQFH XQOHVV WKH HPSOR\HH RU IDPLO\ PHPEHU UHTXHVWV WKDW WKH HPSOR\HU EH QRWLILHG $IWHU GRLQJ D

PAGE 31

FRPSOHWH DVVHVVPHQW WKH HPSOR\HH DVVLVWDQFH FRXQVHORU GHWHUPLQHV ZKHWKHU D UHIHUUDO WR DQRWKHU SURIHVVLRQDO VXFK DV DQ DWWRUQH\ RU SK\VLFLDQ LV LQGLFDWHG RU ZKHWKHU WKH SUREOHP FDQ EH KDQGOHG ZLWKLQ WKH HPSOR\HH DVVLVWDQFH FRXQVHORUnV RIILFH 7KH HPSOR\HH DVVLVWDQFH FRXQVHORU FDQ DOVR PDNH D UHFRPPHQGDWLRQ DQG UHIHUUDO WR LQSDWLHQW KRVSLWDOL]DWLRQ IRU DOFRKRO GUXJ RU PHQWDO KHDOWK LVVXHV 6XSHUYLVRU\ UHIHUUDOV DUH LQLWLDWHG E\ D VXSHUYLVRU DV D UHVXOW RI DQ HPSOR\HHnV SRRU MRE SHUIRUPDQFH 7KH VXSHUYLVRU VKRXOG EH LQ WKH EHVW SRVLWLRQ WR LGHQWLI\ SRRU MRE SHUIRUPDQFH LQWHUYHQH ZLWK WKH HPSOR\HHV DQG UHIHU WKHP IRU VHUYLFHV RIIHUHG E\ WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH EDVLV RI D VXSHUYLVRUn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f

PAGE 32

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

PAGE 33

DZD\ IURP ZRUN WR HQWHU DQ LQSDWLHQW WUHDWPHQW SURJUDP ,QGLDQ 5LYHU &RPPXQLW\ 0HQWDO +HDOWK &HQWHU f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nV SROLF\ FRQFHUQLQJ GLVFLSOLQDU\ DFWLRQ ,Q PRVW RUJDQL]DWLRQV WKHUH DUH JULHYDQFH SURFHGXUHV LI WKH HPSOR\HH GRHV QRW DJUHH ZLWK WKH VXSHUYLVRUnV UHFRPPHQGDWLRQV $ 3UREOHP 2Q 7KH -RE 7KH DERYH RYHUYLHZ RI WKH HPSOR\HH DVVLVWDQFH SURJUDP LOOXVWUDWHV WKH LPSRUWDQFH RI WKH VXSHUYLVRU LQ WKH ($3 SURJUDP $Q LPSRUWDQW FRPSRQHQW LQ WKH HPSOR\HH DVVLVWDQFH SURJUDP LV WUDLQLQJ RI VXSHUYLVRUV FRQFHUQLQJ ZKDW WR ORRN

PAGE 34

IRU LQ WKH HPSOR\HHnV MRE SHUIRUPDQFH WKDW LQGLFDWHV WKDW DQ HPSOR\HH DVVLVWDQFH SURJUDP UHIHUUDO LV DSSURSULDWH 7KHUH DUH YHU\ VSHFLILF JXLGHOLQHV WKDW WKH VXSHUYLVRU VKRXOG IROORZ LQ RUGHU WR GHWHUPLQH ZKHQ DQ HPSOR\HH LV LQ QHHG RI D UHIHUUDO WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KLV VHFWLRQ RQ JXLGHOLQHV IRU ($3 UHIHUUDOV LV EDVHG RQ 5HVRXUFH ($3 ,QF $IILOLDWH 0DQXDO DQG RQ ,QGLDQ 5LYHU &RPPXQLW\ 0HQWDO +HDOWK &HQWHU f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

PAGE 35

VKRXOG DOVR EH QRWHG E\ WKH VXSHUYLVRU DV ZHOO DV DFFLGHQWV RII WKH MRE WKDW DIIHFW WKH HPSOR\HHnV MRE SHUIRUPDQFH 7KH VXSHUYLVRU VKRXOG DOVR EH DZDUH RI FKDQJHV LQ WKH HPSOR\HHn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nV UHODWLRQVKLSV ZLWK RWKHU HPSOR\HHV VKRXOG DOHUW WKH VXSHUYLVRU WKDW D UHIHUUDO WR WKH HPSOR\HH DVVLVWDQFH SURJUDP PD\ EH LQGLFDWHG )ULFWLRQ LQ HPSOR\HH UHODWLRQVKLSV LQFOXGLQJ VXSHUYLVRUHPSOR\HH UHODWLRQVKLSV XVXDOO\ UHVXOWV LQ GHFUHDVHG MRE SHUIRUPDQFH DQG HIILFLHQF\ 7KH VXSHUYLVRU VKRXOG EH DZDUH RI WKH HPSOR\HHnV RYHUUHDFWLRQ WR UHDO RU LPDJLQHG FULWLFLVP ZLGH VZLQJV LQ PRUDOH XQUHDVRQDEOH UHVHQWPHQWV DQG DYRLGDQFH RI DVVRFLDWHV RQ WKH MRE 7KH VXSHUYLVRU VKRXOG DOVR EH DZDUH

PAGE 36

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nV SRVLWLRQ 6XSHUYLVRUV VKRXOG EH DZDUH RI WKH IDFW WKDW DOO HPSOR\HHV LQFOXGLQJ WKH VXSHUYLVRUV WKHPVHOYHV RFFDVLRQDOO\ H[KLELW VRPH RI WKHVH MRE SHUIRUPDQFH SUREOHPV 7KH SDWWHUQ RI MRE SHUIRUPDQFH SUREOHPV RYHU D SHULRG RI WLPH VHYHUDO ZHHNV RU PRQWKV VKRXOG EH QRWHG DQG GRFXPHQWHG 6XSHUYLVRUV DUH QRW H[SHFWHG WR GLDJQRVH WKH

PAGE 37

SDUWLFXODU SUREOHP WKDW HPSOR\HH LV H[SHULHQFLQJ EXW EDVH WKH GHFLVLRQ WR UHIHU WKH HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP RQ SRRU MRE SHUIRUPDQFH :KHQ WKH VXSHUYLVRU UHFRJQL]HV WKDW DQ HPSOR\HHnV MRE SHUIRUPDQFH LV GHWHULRUDWLQJ WKH VXSHUYLVRU ZLOO KDYH D FRQIHUHQFH ZLWK WKH HPSOR\HH 7KH SURFHGXUH XVHG E\ WKH VXSHUYLVRU WR GLVFXVV WKH SRRU MRE SHUIRUPDQFH LV FDOOHG FRQVWUXFWLYH FRQIURQWDWLRQ &RQVWUXFWLYH &RQIURQWDWLRQ 7KH XVH RI FRQVWUXFWLYH FRQIURQWDWLRQ 7ULFH DQG 5RPDQ 7ULFH DQG %H\HU 7ULFH DQG %H\HU f LV WKH FHQWUDO SURFHGXUH LQ UHIHUULQJ HPSOR\HHV WR DQ HPSOR\HH DVVLVWDQFH SURJUDP &RQVWUXFWLYH FRQIURQWDWLRQ LV D SURFHVV E\ ZKLFK D VXSHUYLVRU FRQIURQWV WKH HPSOR\HH ZLWK SRRU MRE SHUIRUPDQFH EXW SURYLGHV D FRQVWUXFWLYH VROXWLRQ UDWKHU WKDQ D GLVPLVVDO ,W LV LPSRUWDQW WKDW WKH VXSHUYLVRU QRW PDNH DQ\ DWWHPSW WR GLDJQRVH WKH FDXVH RI WKH HPSOR\HHnV MRE SHUIRUPDQFH SUREOHP RU DWWHPSW WR FRXQVHO WKH HPSOR\HH 7KH VXSHUYLVRU LV QRW D FRXQVHORU ,I WKH VXSHUYLVRU IROORZV WKH SURFHGXUHV RI FRQVWUXFWLYH FRQIURQWDWLRQ WKH GLVFXVVLRQ ZLWK WKH HPSOR\HH ZLOO EH EDVHG XSRQ REMHFWLYH SHUIRUPDQFH UDWKHU WKDQ RQ YDJXH UHIHUHQFHV WR WKH HPSOR\HHnV XQVDWLVIDFWRU\ ZRUN SHUIRUPDQFH 7KH JRDO RI FRQVWUXFWLYH FRQIURQWDWLRQ LV WR PRWLYDWH DQG QRW SXQLVK WKH HPSOR\HH 7KH VXSHUYLVRU PXVW

PAGE 38

QRW DYRLG WKLV FRQIURQWDWLRQ ZKHQ WKH HPSOR\HHnV MRE SHUIRUPDQFH LQGLFDWHV WKDW VXFK D FRQIURQWDWLRQ LV LQ RUGHU VLQFH GHDOLQJ ZLWK MRE SHUIRUPDQFH LV SDUW RI D VXSHUYLVRUnV UROH &RQVWUXFWLYH FRQIURQWDWLRQ KDV WKUHH FRPSRQHQWV SUHSDUDWLRQ GLVFXVVLRQ DQG IROORZ WKURXJK ,QGLDQ 5LYHU &RPPXQLW\ 0HQWDO +HDOWK &HQWHU f 3UHSDUDWLRQ LQFOXGHV GRFXPHQWDWLRQ RI DOO DVSHFWV RI SRRU MRE SHUIRUPDQFH EHLQJ DV VSHFLILF DV SRVVLEOH 7KLV GRFXPHQWDWLRQ DLGV WKH VXSHUYLVRU ZKHQ GLVFXVVLQJ WKH REVHUYDWLRQ RI WKH HPSOR\HHn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nV MRE SHUIRUPDQFH UDWKHU WKDQ RQ WKH SHUVRQDO FKDUDFWHULVWLFV RI WKH SHUVRQ 7KH VXSHUYLVRU VKRXOG IROORZ XS ZLWK WKH GLVFXVVLRQ LQ RQH RI WZR ZD\V 7KH ILUVW ZD\ DFFHSW D FRPPLWPHQW IURP WKH HPSOR\HH WR LPSURYH KLV RU KHU GHILFLHQW MRE SHUIRUPDQFH ,I WKDW LV WKH FDVH D SODQ IRU LPSURYHPHQW LV DUUDQJHG EHWZHHQ WKH VXSHUYLVRU DQG WKH HPSOR\HH 7KH VHFRQG ZD\ LV

PAGE 39

WR PDNH D UHIHUUDO WR WKH HPSOR\HH DVVLVWDQFH SURJUDP ,I WKLV KDSSHQV WKH VXSHUYLVRU HLWKHU FDOOV WKH HPSOR\HH DVVLVWDQFH FRRUGLQDWRU ZLWKLQ WKH RUJDQL]DWLRQ RU FDOOV WKH HPSOR\HH DVVLVWDQFH FRXQVHORU GLUHFWO\ WR VHW XS DQ DSSRLQWPHQW (LWKHU ZD\ LW LV WKH VXSHUYLVRUnV UHVSRQVLELOLW\ WR FRQWLQXH WR PRQLWRU WKH HPSOR\HHnV ZRUN SHUIRUPDQFH GRFXPHQWLQJ ZKHWKHU LW KDV LPSURYHG RU KDV FRQWLQXHG WR GHWHULRUDWH $Q H[DPSOH RI WKH FRQVWUXFWLYH FRQIURQWDWLRQ SURFHVV LV SURYLGHG LQ $SSHQGL[ $ 7KH REMHFW RI WKH FRQVWUXFWLYH FRQIURQWDWLRQ LV WR FUHDWH DQ DWPRVSKHUH IRU SRVLWLYH FKDQJH 7KH VXSHUYLVRU DQG WKH HPSOR\HH VKRXOG DJUHH RQ DQ LPSURYHPHQW SURJUDP ZKLFK KDV EHHQ GRFXPHQWHG RU WKH VXSHUYLVRU ZLOO PDNH D VSHFLILF UHFRPPHQGDWLRQ WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 0F&OHOODQ f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

PAGE 40

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f 7KHUHIRUH WKH UROH RI VXSHUYLVRU\ UHIHUUDOV UHPDLQV D FHQWUDO LVVXH LQ WKH HPSOR\HH DVVLVWDQFH OLWHUDWXUH :KHWKHU D EURDGEUXVK RU

PAGE 41

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

PAGE 42

&+$37(5 683(59,625< 3$57,&,3$7,21 ,1 7+( (03/2<(( $66,67$1&( 352*5$0 7KH LVVXH RI VXSHUYLVRU\ SDUWLFLSDWLRQ LQ WKH HPSOR\HH DVVLVWDQFH SURJUDP LV D FRPPRQ RQH LQ WKH OLWHUDWXUH VHH 0DVL 0\HUV $OSDQGHU 6FKDHIIHU 3ROH\ HW DO :DONHU %ORVH +HUEHUW DQG +HPPHWW f 7KHUHIRUH LQ WKH SUHYLRXV FKDSWHU VXSHUYLVRU\ LQYROYHPHQW ZDV VKRZQ WR EH LQ WKH FRUQHUVWRQH RI WKH PRGHUQ HPSOR\HH DVVLVWDQFH SURJUDP ,W LV EHFDXVH RI WKH FHQWUDOLW\ RI WKH VXSHUYLVRU\ UHIHUUDOV WKDW VXSHUYLVRUVn EHKDYLRU LV WKH IRFXV RI WKH SUHVHQW VWXG\ 3UHYLRXV 5HVHDUFK 2Q )DFWRUV ,Q 6XSHUYLVRUVn 5HIHUUDOV 0\HUV f GLVFXVVHG WZR DVSHFWV WKDW SUHYHQW VXSHUYLVRUV IURP EHFRPLQJ PRUH LQYROYHG LQ UHIHUULQJ HPSOR\HHV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP )LUVW 0\HUV EHOLHYHG VXSHUYLVRUV GR QRW UHIHU EHFDXVH RI WKH VXSHUYLVRUVn VNLOO GHILFLHQFLHV 7KHVH VNLOO GHILFLHQFLHV LQFOXGH LJQRUDQFH RI HPSOR\HH SUREOHPV LQDELOLW\ WR FRPPXQLFDWH SUREOHP DUHDV WR DQ HPSOR\HH ODFN RI LQLWLDWLYH WR FRQIURQW DQ HPSOR\HH EHFDXVH LW LV XQSOHDVDQW DQG

PAGE 43

SURGXFHV VWUHVV LQ WKH VXSHUYLVRU LQDGHTXDWH SODQQLQJ UHODWHG WR GRFXPHQWDWLRQ RI HPSOR\HHVn ZRUN GHILFLHQFLHV DQG LQGHFLVLYHQHVV DERXW ZKHQ WR FRQIURQW DQ HPSOR\HH 6HFRQG 0\HUV EHOLHYHG WKDW VXSHUYLVRUV GR QRW UHIHU DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP EHFDXVH RI D SULYDF\ QRUP DQG DYRLGDQFH UDWLRQDOH 7KLV UHODWHV WR WKH VXSHUYLVRUn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n SHUFHSWLRQ WKDW WKH\ GR QRW ZDQW WR SXW WKHLU MRE LQ MHRSDUG\ E\ ZURQJIXOO\ DFFXVLQJ DQ HPSOR\HH RI KDYLQJ D SUREOHP 7KH VXSHUYLVRU IHHOV LQDGHTXDWH WR GHWHUPLQH ZKHQ RU IRU ZKDW UHDVRQ WR 7KH VXSHUYLVRU PD\ IHHO WKDW LI PDQDJHPHQW GLVDJUHHV ZLWK D GHFLVLRQ WR UHIHU DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP WKH VXSHUYLVRU ZLOO EH HPEDUUDVVHG DQG ZLOO ORVH LQIOXHQFH ZLWK WKRVH HPSOR\HHV WKH\ VXSHUYLVH 3KLOOLSV DQG 2OGHU f SUHVHQW VXSHUYLVRUVn SV\FKRORJLFDO UHDVRQV IRU QRW DQ HPSOR\HH WR WKH

PAGE 44

HPSOR\HH DVVLVWDQFH SURJUDP DQJHU JXLOW IHDU HJR LQYROYHPHQW DQG GHQLDO 6XSHUYLVRUV PD\ H[SHULHQFH DQJHU LQ GHDOLQJ ZLWK WKH HPSOR\HH HVSHFLDOO\ WKH DOFRKROLF HPSOR\HH EHFDXVH RI WKH IDFW WKDW WKH\ PD\ KDYH DSSURDFKHG WKH DOFRKROLF LQIRUPDOO\ DQG DV D UHVXOW RI WKRVH PHHWLQJV WKHUH KDV EHHQ QR SRVLWLYH FKDQJH LQ WKH HPSOR\HHnV ZRUN SHUIRUPDQFH 7KLV SXWV WKH VXSHUYLVRU LQ WKH SRVLWLRQ RI FRQWLQXDOO\ DGMXVWLQJ VFKHGXOHV DQG PDNLQJ H[FXVHV IRU WKH HPSOR\HHnV FRQWLQXHG SRRU ZRUN SHUIRUPDQFH 6XSHUYLVRUV FDQ DOVR IHHO JXLOW DVVRFLDWHG ZLWK ZRUNLQJ ZLWK WKH DOFRKROLF HPSOR\HH 7KH\ RIWHQ ILQG WKHPVHOYHV IHHOLQJ JXLOW\ DERXW WKH IDFW WKDW WKH\ PD\ KDYH GRQH VRPHWKLQJ ZURQJ RU WKDW WKH\ DUH XQDEOH WR KDQGOH WKH VLWXDWLRQ %HFDXVH RI WKHVH JXLOW\ IHHOLQJV WKH VXSHUYLVRUV ZRXOG KDYH D WHQGHQF\ WR DYRLG VLWXDWLRQV LQ ZKLFK WKH\ KDYH WR FRQIURQW WKH DOFRKROLF HPSOR\HH 3KLOOLSV DQG 2OGHU f DOVR FRQWHQG WKDW VXSHUYLVRUV IHHO IHDU ZKHQ ZRUNLQJ ZLWK WKH DOFRKROLF HPSOR\HH 6XSHUYLVRUV PD\ EH IHDUIXO RI ORVLQJ FRQWURO RYHU WKH DOFRKROLF HPSOR\HH DQG RI IHHGEDFN FRQFHUQLQJ WKHLU RZQ GULQNLQJ ZKHWKHU WKH\ KDYH D SUREOHP RU QRW ,I WKH VXSHUYLVRU DQG WKH HPSOR\HH ZKR KDV D SUREOHP KDYH EHHQ ZRUNLQJ WRJHWKHU IRU D ORQJ SHULRG RI WLPH WKH VXSHUYLVRUnV HJR PD\ EH LQYROYHG 7KH VXSHUYLVRUV PD\ IHHO WKDW WKH HPSOR\HHnV VXFFHVV RU IDLOXUH LV D UHIOHFWLRQ RI WKHLU RZQ MRE SHUIRUPDQFH ,Q WKLV VLWXDWLRQ WKH VXSHUYLVRU WDNHV

PAGE 45

UHVSRQVLELOLW\ IRU WKH HPSOR\HHnV SRRU ZRUN SHUIRUPDQFH DQG WKLV SRRU ZRUN SHUIRUPDQFH EHFRPHV WKLV VXSHUYLVRUnV GLUHFW SUREOHP )LQDOO\ WKH VXSHUYLVRU PD\ H[SHULHQFH GHQLDO FRQFHUQLQJ ZRUNLQJ ZLWK WKH DOFRKROLF HPSOR\HH 7KH VXSHUYLVRU PD\ FRYHU XS IRU WKH HPSOR\HHnV SRRU ZRUN SHUIRUPDQFH PDNH H[FXVHV IRU DEVHQWHHLVP RU WDUGLQHVV RQ WKH MRE DQG UHVFXH WKH ZRUNHU IURP GLVFLSOLQDU\ DFWLRQ ZKHQ RWKHU VXSHUYLVRUV EHFRPH DZDUH RI WKH HPSOR\HHnV SRRU ZRUN SHUIRUPDQFH ,QVWHDG RI FRQIURQWLQJ WKH HPSOR\HH DQG VHWWLQJ OLPLWV WKH VXSHUYLVRU LQIRUPDOO\ JLYHV WKH HPSOR\HH RQH PRUH FKDQFH WR FRUUHFW KHUKLV EHKDYLRU *RRJLQV DQG .XUW] f GLVFXVV SURJUDPPDWLF DQG RUJDQL]DWLRQDO EDUULHUV ZKLFK LPSHGH WKH VXSHUYLVRU IURP EHFRPLQJ LQYROYHG LQ FRQIURQWLQJ WKH HPSOR\HH ZKR LV H[SHULHQFLQJ DOFRKROUHODWHG SUREOHPV DW ZRUN 7KH DXWKRUV DUJXH WKDW NQRZOHGJH RI DOFRKROUHODWHG SUREOHPV DQG WKH VXSHUYLVRUnV DWWLWXGH WRZDUGV HPSOR\HHV PD\ DFW DV EDUULHUV WR VXSHUYLVRU\ LQWHUYHQWLRQ $FFRUGLQJ WR *RRJLQV DQG .XUW] f WKH IDFWXDO NQRZOHGJH RI DOFRKRO DQG WKH WUHDWPHQW RI DOFRKROLFV WKH NQRZOHGJH RI WKH FRPSDQ\nV SURJUDP IRU LQWHUYHQWLRQ DQG WKH NQRZOHGJH RI WKH VXSHUYLVRUnV UROH LQ WKH SURFHVV RI D UHIHUUDO DOO RSHUDWH WR GHWHUPLQH ZKHWKHU RU QRW UHIHUUDOV DUH PDGH 7KH DXWKRUV SUHGLFW WKDW LI D VXSHUYLVRU LV ZHOO LQIRUPHG DQG KDV IDFWXDO NQRZOHGJH FRQFHUQLQJ DOFRKRO DQG DOFRKROLVP WKH VXSHUYLVRU ZRXOG EH PRUH OLNHO\ WR LQWHUYHQH ZLWK DQ HPSOR\HH ZKR LV

PAGE 46

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

PAGE 47

%HFDXVH RI WKH HPSKDVLV SXW RQ IURQW OLQH VXSHUYLVRUV WR LQWHUYHQH ZLWK HPSOR\HHV ZKR DUH H[SHULHQFLQJ SRRU MRE SHUIRUPDQFH VXSHUYLVRUVn NQRZOHGJH RI WKHLU UROH ZLWKLQ WKH HPSOR\HH DVVLVWDQFH SURJUDP LV RI YLWDO LPSRUWDQFH 7KH LVVXH RI WKH VXSHUYLVRU GRFXPHQWLQJ SRRU ZRUN SHUIRUPDQFH FRXOG EH DQ REVWDFOH IRU WKH VXSHUYLVRU WR EH LQYROYHG LQ WKH UHIHUUDO SURFHVV EHFDXVH RI YDJXH SHUIRUPDQFH FULWHULD 7KH VXSHUYLVRUV FRXOG IHHO WKDW WKH SHUIRUPDQFH FULWHULD DUH WRR YDJXH WR GRFXPHQW WKH HPSOR\HHn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nV IHHOLQJV DERXW WKH HPSOR\HH *RRJLQV DQG .XUW] f DOVR PDLQWDLQ WKDW RUJDQL]DWLRQDO EDUULHUV FRXOG LPSHGH D VXSHUYLVRU IURP EHLQJ LQYROYHG LQ WKH UHIHUUDO RI DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH DXWKRUV IHHO WKDW VXSHUYLVRUV ZKR DUH GLVVDWLVILHG ZLWK WKHLU MRE ZRXOG KDYH D WHQGHQF\ WR DYRLG EHLQJ LQYROYHG LQ DQ\ QHZ SURJUDPV HVSHFLDOO\ LI WKH

PAGE 48

VXSHUYLVRU SHUFHLYHV WKDW WKH RUJDQL]DWLRQ LV QRW JHQHUDOO\ VXSSRUWLYH RI WKHLU VXSHUYLVRU\ UROH 7KXV DQ RYHUDOO VDWLVIDFWLRQ ZLWK WKHLU MRE FDQ LQIOXHQFH ZKHWKHU WKH VXSHUYLVRU ZRXOG EH ZLOOLQJ WR WDNH RQ WKH DGGLWLRQDO UHVSRQVLELOLW\ RI VXSHUYLVRU\ LQWHUYHQWLRQ ZLWK DQ HPSOR\HH *RRJLQV DQG .XUW] f EHOLHYH WKDW D VXSHUYLVRU ZKR IHHOV WKDW WKH\ DUH QRW DQ LQWHJUDO SDUW RI WKH VXSHUYLVRU\ RU PDQDJHULDO SURFHVV LV XQOLNHO\ WR UHVSRQG IDYRUDEO\ WR D PDQDJHPHQW GLUHFWLYH WR LQWHUYHQH ZLWK WKH HPSOR\HH ,I WKH PDQDJHPHQW RI DQ RUJDQL]DWLRQ LQVWUXFWV D VXSHUYLVRU WR EH LQYROYHG LQ WKH HPSOR\HH DVVLVWDQFH UHIHUUDO SURFHVV DQG WKDW VXSHUYLVRU ZDV QRW LQYROYHG LQ WKH GHFLVLRQ PDNLQJ SURFHVV WKH\ PD\ IHHO QHJDWLYHO\ DERXW FDUU\LQJ RXW WKH GLUHFWLYHV 7KH PRVW UHOHYDQW DVSHFW RI WKH *RRJLQV DQG .XUW] f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

PAGE 49

SURJUDP DQG LI SRVLWLYH UHLQIRUFHPHQW H[LVWV IRU GRLQJ D JRRG MRE JHQHUDOO\ WKH VXSHUYLVRU ZLOO EH PRWLYDWHG WR SHUIRUP WKH GXWLHV DVVLJQHG E\ WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH JRDO RI WKH *RRJLQV DQG .XUW] f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nV UROH 7KH WKLUG JURXS RI YDULDEOHV PHDVXUHG WKH VXSHUYLVRUnV NQRZOHGJH RI WKH SURJUDP DQG RI DOFRKROLVP 7KH IRXUWK JURXS RI YDULDEOHV PHDVXUHG WKH VXSHUYLVRUnV SHUFHSWLRQ RI WKH HIIHFWLYHQHVV DQG XWLOLW\ RI WKH SURJUDP 7KH ILIWK JURXS RI YDULDEOHV HYDOXDWHG WKH LQIRUPDO UHODWLRQVKLSV EHWZHHQ VXSHUYLVRUV WKDW FRXOG OHDG WR SURJUDP XVH 7KH VL[WK JURXS RI YDULDEOHV PHDVXUHG WKH VXSHUYLVRUnV SHUFHSWLRQV RI WKH RUJDQL]DWLRQ VSHFLILFDOO\ ZKHWKHU LW ZDV D SRVLWLYH RU QHJDWLYH SHUFHSWLRQ

PAGE 50

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f UHSRUW VXSSRUW IRU DOO IRXU K\SRWKHVHV 6XSHUYLVRUV ZKR UHIHUUHG DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP DVVLPLODWHG WKH UROH H[SHFWDWLRQV RI WKH HPSOR\HH DVVLVWDQFH SURJUDP LQWR WKHLU URXWLQH VXSHUYLVRU\ EHKDYLRU 5HIHUULQJ VXSHUYLVRUV ZHUH PXFK PRUH OLNHO\ WR UHSRUW WKDW WKH\ URXWLQHO\ LQYROYHG WKHPVHOYHV LQ SHUIRUPDQFH SUREOHPV WR D JUHDWHU H[WHQW WKDQ QRQ UHIHUULQJ VXSHUYLVRUV 7KH VXSHUYLVRUV ZKR ZHUH PRUH NQRZOHGJHDEOH DERXW WKH HPSOR\HH DVVLVWDQFH SURJUDP DQG

PAGE 51

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n UHIHUUDOV WR HPSOR\HH DVVLVWDQFH SURJUDPV KDYH EHHQ VXJJHVWHG E\ &DPSEHOO DQG *UDKDP f DQG 0\HUV f 7KH WUDLQLQJ FRQVLVWV ILUVW RI HGXFDWLRQ FRQFHUQLQJ DOFRKROLVP GUXJ DGGLFWLRQ DQG RWKHU PHQWDO KHDOWK SUREOHPV DQG WKH LQFRUSRUDWLRQ RI UHIHUUDO LQWR WKH

PAGE 52

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nV UHVSRQVLELOLWLHV 6XSHUYLVRUV DUH DOVR JLYHQ LQVWUXFWLRQV RQ KRZ WR DSSURSULDWHO\ GRFXPHQW ZKHQ DQ HPSOR\HHnV MRE SHUIRUPDQFH IDOOV EHORZ WKH DFFHSWDEOH OHYHO 7KH VXSHUYLVRUV DUH HQFRXUDJHG WR EH DV VSHFLILF DV SRVVLEOH ZKHQ GRFXPHQWLQJ WKH SRRU MRE SHUIRUPDQFH 7KH\ DUH DVNHG WR NHHS D UHFRUG RI WKH WLPH WKH SODFH DQG WKH EHKDYLRU WKDW ZDV REVHUYHG

PAGE 53

&DPSEHOO DQG *UDKDP f GLVFXVV D SURJUHVVLYH IRUPDW RI GRFXPHQWDWLRQ WKDW PD\ EH XVHG LQ UHDFKLQJ D GHFLVLRQ WR UHIHU DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KLV IRUPDW FRQVLVWV RI WKUHH ZDUQLQJV RI LQFUHDVLQJ VHYHULW\ EHIRUH D VXSHUYLVRU GHFLGHV WR WDNH GLVFLSOLQDU\ DFWLRQ RU UHIHUV WKH HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7ULFH DQG %HODVFR f XVHG D IRXU JURXS H[SHULPHQWDO GHVLJQ WR GHWHUPLQH WKH HIIHFWV WKDW VXSHUYLVRU\ WUDLQLQJ KDG RQ VXSHUYLVRU\ EHKDYLRUV 7KH ILUVW JURXS UHFHLYHG D SUHWHVW LQ WKH WUDLQLQJ 7KH VHFRQG JURXS UHFHLYHG WKH WUDLQLQJ ZLWK QR SUHWHVW 7KH WKLUG JURXS UHFHLYHG D SUHWHVW ZLWK QR WUDLQLQJ $QG WKH ODVW JURXS UHFHLYHG QHLWKHU WUDLQLQJ QRU SUHWHVW 7KH VDPSOH FRQVLVWHG RI IURQW OLQH VXSHUYLVRUV LQ D ODUJH RUJDQL]DWLRQ ORFDWHG LQ XSVWDWH 1HZ
PAGE 54

DORQH ZHUH YHU\ VLJQLILFDQW 7ULFH DQG %HODVFR f IRXQG WKDW FRPSOHWLRQ RI WKH SUHWHVW LWHPV DORQH ZLWKRXW WUDLQLQJ ZDV DVVRFLDWHG ZLWK GUDPDWLF FRQVLVWHQW DQG RIWHQ VWDWLVWLFDOO\ VLJQLILFDQW FKDQJHV LQ WKH DWWLWXGHV DQG DFWLRQV WRZDUGV WKH SUREOHP HPSOR\HH *HUVWHLQ HW DO f ZDQWHG WR LQYHVWLJDWH WKH UHODWLRQVKLS EHWZHHQ WKH HPSOR\HH DVVLVWDQFH UHIHUUDO WUDLQLQJ DQG WKH VXSHUYLVRUVn LQWHUDFWLRQV ZLWK WURXEOHG HPSOR\HHV 7KH LQGHSHQGHQW YDULDEOHV ZHUH WKH JURXSVn SDUWLFLSDWLRQ LQ HPSOR\HH DVVLVWDQFH WUDLQLQJ DQG WKHLU DWWLWXGHV WRZDUGV WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH GHSHQGDQW YDULDEOH ZDV WKH VXSHUYLVRUVn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nV LPSRUWDQFH 7KH GHSHQGHQW YDULDEOH ZDV PHDVXUHG E\ WKH E\VWDQGHUHJXLW\ PRGHO RI VXSHUYLVRU KHOSLQJ EHKDYLRU %<7(f %<7( LV FRPSULVHG RI IRXU GLVWLQFW VHWV RI EHKDYLRUV LQGLFDWLYH RI WURXEOHG ZRUNHUV 5HVLVWDQFH LQFOXGHV WDUGLQHVV DEVHQWHHLVP DQG WDVN DYRLGDQFH

PAGE 55

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n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

PAGE 56

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n EHKDYLRU LQ UHVSRQVH WR GUXJ DQG DOFRKRO SUREOHPV RQ WKH MRE PD\ EH YLHZHG DV D IRUP RI VRFLDO FRQWURO RI GHYLDQFH WR ZKLFK ODEHOOLQJ WKHRU\ PD\ EH DSSOLFDEOH 5HIHUUDO WR WKH HPSOR\HH DVVLVWDQFH SURJUDP LV DW EHVW D PLOGO\ VWLJPDWL]LQJ ODEHO DQG HIIRUWV DUH DOZD\V PDGH WR DYRLG XQGXO\ WDJJLQJ HPSOR\HHV DV KDYLQJ SUREOHPV LQ QHHG RI FRUUHFWLRQ 1HYHUWKHOHVV UHIHUUDOV DUH GHFLVLRQV PDGH DERXW HPSOR\HHV ZKLFK DUH VLPLODU WR UHIHUUDO DQG WUHDWPHQW GHFLVLRQV PDGH E\ KHDOWK FDUH DQG FRUUHFWLRQDO ZRUNHUV 6RFLDO OHDUQLQJ WKHRU\ KDV EHHQ XVHG WR DFFRXQW IRU GHYHORSPHQW RI GUXJ DQG DOFRKRO DEXVH EXW LW DOVR SURYLGHV D SHUVSHFWLYH IRU XQGHUVWDQGLQJ GHFLVLRQV PDGH E\

PAGE 57

RWKHUV DERXW ZKDW WR GR WR RU IRU WKRVH ZLWK GUXJ DQG DOFRKRO SUREOHPV .URKQ DQG $NHUV f

PAGE 58

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f WR GR VRPHWKLQJ DERXW LW ,Q VR GRLQJ WKH\ DUH ODEHOOLQJ FHUWDLQ HPSOR\HHV DV KDYLQJ SUREOHPV DQG LQ QHHG RI KHOS ,Q WKLV FDVH WKH ODEHO LV QRW LQWHQGHG WR VWLJPDWL]H RU WR LQGLFDWH VHULRXV GHYLDQFH ,W LV

PAGE 59

QRQHWKHOHVV DQ LQVWDQFH RI VRFLDO ODEHOOLQJ DQG ODEHOOLQJ WKHRU\ PD\ SURYLGH VRPH DQVZHUV WR WKH TXHVWLRQ RI ZKDW WKH ODEHO LV EDVHG RQ DQG ZKDW YDULDEOHV PD\ EH RSHUDWLQJ LQ WKH H[HUFLVH RI VXSHUYLVRUVn GHFLVLRQV LQ UHIHUULQJ RU QRW UHIHUULQJ 7KH URRWV RI ODEHOOLQJ WKHRU\ FDQ EH WUDFHG WR WKH ZRUNV RI 7DQQHQEDXP f DQG /HPHUW f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nV VRFLDO VHOI WKXV LQWHJUDWLQJ WKH QHZ GHYLDQW LGHQWLW\ )ROORZLQJ WKH OHDG RI 7DQQHQEDXP /HPHUW ZDQWHG WR SRLQW RXW WKDW ZKLOH PDQ\ SHRSOH LQ PDQ\ GLIIHUHQW FLUFXPVWDQFHV HQJDJH LQ QRUP YLRODWLQJ EHKDYLRU WKRVH WKDW DUH VLQJOHG RXW DQG JLYHQ WKH ODEHO GHYLDQW LQWHUQDOL]H WKDW ODEHO DQG WKH UROHV WKDW JR ZLWK WKH ODEHO %HFNHU f (ULNVRQ f .LWVXVH f DQG 6FKXU f IXUWKHU GHYHORSHG WKH ODEHOOLQJ SHUVSHFWLYH DQG WRRN LW LQWR LWV SURPLQHQFH DV D VLJQLILFDQW IRUFH LQ WKH

PAGE 60

VRFLRORJ\ RI GHYLDQFH OLWHUDWXUH %HFNHU S f VWDWHV VRFLDO JURXSV FUHDWH GHYLDQFH E\ PDNLQJ UXOHV ZKRVH LQIUDFWLRQV FRQVWLWXWH GHYLDQFH DQG E\ DSSO\LQJ WKRVH UXOHV WR SDUWLFXODU SHRSOH DQG ODEHOOLQJ WKHP DV RXWVLGHUV )URP WKLV SRLQW RI YLHZ GHYLDQFH LV QRW D TXDOLW\ RI WKH DFW WKH FRPPLWV E\ RWKHUV RI UXOHV DQG VDQFWLRQV WR DQ RIIHQGHU 7KH GHYLDQW LV RQH WR ZKRP WKH ODEHO KDV VXFFHVVIXOO\ EHHQ DSSOLHG GHYLDQW EHKDYLRU LV EHKDYLRU WKDW SHRSOH VR ODEHO ,Q KLV ZULWLQJ (ULNVRQ S f FRPPHQWV FKDQJH RI HPSKDVLV IURP WKH LQGLYLGXDO DFWRU WR WKH VRFLDO DXGLHQFH VWDWLQJ GHYLDQFH LV QRW D SURSHUW\ LQKHUHQW LQ FHUWDLQ IRUPV RI EHKDYLRU LW LV D SURSHUW\ FRQIHUUHG XSRQ WKHVH IRUPV E\ WKH DXGLHQFHV ZKLFK GLUHFWO\ RU LQGLUHFWO\ ZLWQHVV WKHP 7KH FULWLFDO EDUULHU LQ WKH VWXG\ RI GHYLDQFH WKHQ LV WKH VRFLDO DXGLHQFH UDWKHU WKDQ WKH LQGLYLGXDO DFWRU VLQFH LW LV WKH DXGLHQFH ZKLFK HYHQWXDOO\ GHWHUPLQHV ZKHWKHU RU QRW DQ\ HSLVRGH RI EHKDYLRU RU DQ\ FODVV RI LV ODEHOOHG GHYLDQW 6FKXU f GLVFXVVHV ZKDW LV PHDQW E\ WKH VRFLDO DXGLHQFH DQG LGHQWLILHV WKUHH OHYHOV RI DQDO\VLV E\ ZKLFK WR HYDOXDWH WKH VRFLDO DXGLHQFH $FFRUGLQJ WR 6FKXU WKH ILUVW OHYHO RI WKH VRFLDO DXGLHQFH LV VRFLHW\ DW ODUJH ZKLFK LQFOXGHV WKH LQWHUZRYHQ JURXSV IURP ZKLFK HPHUJH JHQHUDO UHDFWLRQV WR YDULRXV IRUPV RI EHKDYLRU 7KH VHFRQG OHYHO RI DQDO\VLV LQFOXGHV RIILFLDO DQG RUJDQL]DWLRQDO DJHQWV RI

PAGE 61

FRQWURO 6FKXU VHHV WKHVH DV WKH PRVW VLJQLILFDQW RI WKH ODEHOHUV 7KLV LV EHFDXVH RI WKH IDFW WKDW WKH DJHQWV RI VRFLDO FRQWURO LPSOHPHQW WKH EURDGHU DQG PRUH GLIIXVH VRFLDO GHILQLWLRQV WKURXJK RUJDQL]HG VWUXFWXUHV DQG LQVWLWXWLRQDOL]HG SURFHGXUHV +DZNLQV DQG 7LHGHPDQ f LOOXVWUDWH WKLV OHYHO RI DQDO\VLV E\ QRWLQJ WKDW LQ PDQ\ VRFLDO FRQWURO DJHQFLHV WKH RUJDQL]DWLRQDO SUHUHJXLVLWHV IL[ DQG SHUSHWUDWH D SUHH[LVWLQJ WHQGHQF\ RQ WKH SDUW RI WUDLQHG DJHQWV WR FDWHJRUL]H FOLHQWV DQG WKH LQHYLWDEOH UHVXOW LV D VRFLDO V\VWHP ZKHUHLQ PDQ\ RI WKRVH ZKR FRPH WR EH W\SHG DV GHYLDQW DUH FUHDWHG DV VXFK WKURXJK WKHLU HQFRXQWHUV ZLWK WKH VRFLDO SURFHVVLQJ DJHQFLHV S f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

PAGE 62

SDUWLFXODU SHUVRQ RU DFW DQG WKH UHODWLYH ODFN RI SRZHU WKDW WKH SHUVRQ ZKR LV WKH REMHFW RI WKH ODEHO KDV WR DYRLG WKH ODEHO WKDW LV FHQWUDO WR WKH ODEHOOLQJ SHUVSHFWLYH &RPPHQWLQJ RQ WKH LVVXH RI SRZHU %HFNHU S f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f UHIHU WR WKH WZR PDLQ SURSRVLWLRQV LQ ODEHOOLQJ WKHRU\ 7KH ILUVW SURSRVLWLRQ VWDWHV WKDW WKRVH ZKR DUH ODEHOOHG GHYLDQW ZLOO LQWHUQDOL]H WKH GHYLDQW ODEHO EHFRPH ZKDW WKH\ KDYH EHHQ VR ODEHOOHG DQG LQFUHDVH GHYLDQW EHKDYLRU LQ WKH IXWXUH ,Q WKLV UHJDUG ODEHOOLQJ LV VHHQ DV DQ LQGHSHQGHQW YDULDEOH 7KH DXWKRUV LQGLFDWH WKDW HPSLULFDO WHVWLQJ RI WKLV SURSRVLWLRQ KDV \LHOGHG PL[HG UHVXOWV 7KH DXWKRUV DUH FDXWLRXV QRW WR GLVFRXQW WKH

PAGE 63

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f ZKR WDNHV D WUDGLWLRQDO SV\FKLDWULF SHUVSHFWLYH LQ DUJXLQJ WKDW UHIHUUDO DQG WUHDWPHQW GHFLVLRQV DUH EDVHG RQO\ RQ W\SH DQG VHULRXVQHVV RI WKH PHQWDO

PAGE 64

LOOQHVV DQG 7KRPDV 6FKHII f ZKR DUJXHV IURP D ODEHOOLQJ SHUVSHFWLYH WKDW WKH LOOQHVV LV VHFRQGDU\ DQG WKH VRFLDO FKDUDFWHULVWLFV RI LQGLYLGXDOV LV SULPDU\ LQ ODEHOOLQJ SHUVRQV DV PHQWDOO\ LOO 7KH EDVLF TXHVWLRQ SXW IRUWK WKHQ LV ZKHWKHU D SHUVRQ LV ODEHOOHG DV PHQWDOO\ LOO EHFDXVH RI WKH VRFLDO FKDUDFWHULVWLFV RI WKH LQGLYLGXDO DV LQGLFDWLYH RI WKH SHUVRQn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f LQ D FULWLFDO UHYLHZ RI WKH UHVHDUFK OLWHUDWXUH DWWHPSW WR HYDOXDWH ZKHWKHU WKH SV\FKLDWULF RU WKH ODEHOOLQJ PRGHO EHVW H[SODLQV WKH GHFLVLRQ WR KRVSLWDOL]H DQG UHWDLQ PHQWDO KHDOWK SDWLHQWV

PAGE 65

.URKQ DQG $NHUV DVN WKH TXHVWLRQ WR ZKLFK VHW RI YDULDEOHV SV\FKLDWULF RU H[WUDSV\FKLDWULF DUH WKH GHFLVLRQV RI PHQWDO KHDOWK DJHQWV SV\FKLDWULVWV SK\VLFLDQV HWFf UHJDUGLQJ WUHDWPHQW QHHGV DQG WUHDWPHQW WHUPLQDWLRQ PRUH VWURQJO\ UHODWHG" .URKQ DQG $NHUV S f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f DQG WKH RWKHU E\ 0DLVHO f ERWK DGHTXDWHO\ FRQWUROOHG IRU SV\FKLDWULF LPSDLUPHQW .URKQ DQG $NHUV FRQFOXGH WKDW WKHVH WZR VWXGLHV VXSSRUW WKH ODEHOOLQJ SHUVSHFWLYH EHFDXVH WKH GHFLVLRQ WR KRVSLWDOL]H D SDWLHQW ZDV LQIOXHQFHG E\ WKH

PAGE 66

QXPEHU RI VXSSRUW UHVRXUFHV WKH SDWLHQW SRVVHVVHG 7KH QH[W DUHD WKDW .URKQ DQG $NHUV UHYLHZHG FRQFHUQHG UHVHDUFK RQ WKH UHOHDVH RI YROXQWDU\ SDWLHQWV IURP D SV\FKLDWULF XQLW 7ZR VWXGLHV WKDW SURYLGHG DGHTXDWH FRQWURO RI SV\FKLDWULF LOOQHVV ZHUH WKH VWXGLHV E\ *UHHQOH\ f DQG WKH VWXG\ E\ :DWW DQG %XJODVV f $JDLQ VXSSRUW ZDV ODFNLQJ IRU WKH SV\FKLDWULF SHUVSHFWLYH EHFDXVH IDPLO\ GHVLUHV ZHUH IRXQG WR LQIOXHQFH GLVFKDUJH GHFLVLRQV PRUH WKDQ WKH GLDJQRVHG LOOQHVV 1H[W .URKQ DQG $NHUV H[DPLQHG WKH UHVHDUFK RQ LQYROXQWDULO\ FRPPLWWHG SDWLHQWV 7ZR VWXGLHV RQH E\ :LOGH f DQG RQH E\ :HQJHU DQG )OHWKHU f DGHTXDWHO\ FRQWURO IRU OHYHO RI SV\FKLDWULF LOOQHVV DQG IRXQG WKDW EHLQJ FRPPLWWHG RU DYRLGLQJ FRPPLWPHQW ZDV EDVHG RQ ZKHWKHU D SDWLHQW KDG OHJDO UHSUHVHQWDWLRQ .URKQ DQG $NHUV FRQFOXGH WKHLU FULWLTXH RI WKH OLWHUDWXUH E\ ORRNLQJ DW WKH UHVHDUFK RQ WKH GLVFKDUJH RI LQYROXQWDU\ SDWLHQWV ,Q D VWXG\ E\ 3LSHUQR f WKH DXWKRU VWXGLHG WKH OHQJWK RI KRVSLWDOL]DWLRQ IRU SDWLHQWV ZKR KDYH EHHQ FRQILQHG IRU EHLQJ FULPLQDOO\ LQVDQH 3LSHUQR FRPHV WR WKH FRQFOXVLRQ WKH SDWLHQWnV FRQWLQXHG FRPPLWPHQW LV DSSDUHQWO\ EDVHG RQ IDFWRUV RWKHU WKHQ WKH SDWLHQWnV WUHDWPHQW SHUIRUPDQFH 6RPH RI WKHVH IDFWRUV VXFK DV DJH DQG VRFLRHFRQRPLF VWDWXV DUH DVFULSWLYH LQ QDWXUH DOWKRXJK WKH\ PD\ EH SHUFHLYHG E\ WKH VWDII DV EHLQJ LPSRUWDQW FRQVLGHUDWLRQV LQ WKH SDWLHQWnV UHOHDVH 3LSHUQR S f

PAGE 67

$V D UHVXOW RI WKLV UHYLHZ RI WKH OLWHUDWXUH .URKQ DQG $NHUV FRQFOXGHG WKDW WKH PDMRULW\ RI WKH HYLGHQFH LQGLFDWHV PRUH VXSSRUW IRU WKH ODEHOOLQJ WKDQ WKH SV\FKLDWULF ,Q IDFW RI WKH ILYH VWXGLHV UHYLHZHG E\ .URKQ DQG $NHUV FRQFHUQLQJ WKH YROXQWDU\ DGPLVVLRQV DQG GLVFKDUJHV WKDW FRQWUROOHG IRU WKH OHYHO RI SV\FKLDWULF LOOQHVVf RQO\ RQH ZDV FRQVLVWHQW ZLWK WKH SV\FKLDWULF $ WRWDO RI HLJKW VWXGLHV ZHUH UHYLHZHG ZKLFK ORRNHG DW WKH LQYROXQWDU\ DGPLVVLRQV DQG GLVFKDUJHV 1RQH VXSSRUWHG WKH SV\FKLDWULF SHUVSHFWLYH WKDW GHFLVLRQV DUH EDVHG RQO\ RQ WKH QDWXUH RI WKH GLDJQRVHG LOOQHVV ,W LV .URKQ DQG $NHUV FRQFOXVLRQ WKDW WKH H[WUDn SV\FKLDWULF VRFLDO YDULDEOHV GR DIIHFW GHFLVLRQV DERXW DGPLWWLQJ DQG UHOHDVLQJ PHQWDO 7KH DXWKRUV VWDWH ,, RQH LV OHVV OLNHO\ WR EH ODEHOOHG PHQWDOO\ LOO DQG FRQWLQXH DV DQ LQYROXQWDU\ PHQWDO SDWLHQW LI KH RU VKH FDQ EULQJ OHJDO RU RWKHU UHVRXUFHV WR EHDU LQ RSSRVLWLRQ WR FRPPLWPHQW DQG UHOHDVH GHFLVLRQV .URKQ DQG $NHUV S f :KLOH .URKQ DQG $NHUV FRQFOXGH WKDW WKH UHYLHZ RI OLWHUDWXUH LQGLFDWHV WKDW WKHUH LV VRPH VXSSRUW IRU WKH ODEHOOLQJ UHJDUGLQJ YROXQWDU\ FRPPLWPHQW DQG GLDJQRVLV RI PHQWDO LOOQHVV WKH\ DOVR IHHO WKDW WKH UHVHDUFK SURYLGHV VXSSRUW IRU DQ DOWHUQDWLYH SHUVSHFWLYH VRFLDO OHDUQLQJ WKHRU\ 7KDW LV UHIHUUDOV DGPLVVLRQV DQG GLVFKDUJHV DUH EDVHG RQ KRZ FRVWO\ RU UHZDUGLQJ WKH\ DUH IRU WKRVH PDNLQJ WKH GHFLVLRQ

PAGE 68

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f 7KHUHIRUH ERWK ODEHOOLQJ DQG VRFLDO OHDUQLQJ SHUVSHFWLYHV FRXOG DLG LQ H[SODLQLQJ WKRVH GHFLVLRQV 7KH YHUVLRQ RI VRFLDO OHDUQLQJ WKHRU\ WR ZKLFK .URKQ DQG $NHUV UHIHU LV D UHIRUPXODWLRQ RI 6XWKHUODQGnV WKHRU\ RI GLIIHUHQWLDO DVVRFLDWLRQ %XUJHVV DQG $NHUV f XVLQJ SULQFLSOHV RI UHLQIRUFHPHQW DQG FRQGLWLRQLQJ 6NLQQHU %DQGXUD f 7KH SUHVHQW UHVHDUFK IROORZV WKH OHDG RI .URKQ DQG $NHUV LQ DSSO\LQJ VRFLDO OHDUQLQJ WKHRU\ WR ODEHOOLQJ GHFLVLRQV %HIRUH VSHFLI\LQJ KRZ WKDW ZLOO EH GRQH D UHYLHZ RI VRFLDO OHDUQLQJ WKHRU\ LV LQ RUGHU $NHUV f SUHVHQWV WKH PRVW FXUUHQW WUHDWPHQW RI VRFLDO OHDUQLQJ WKHRU\ DV ZHOO DV WKH UHOHYDQW UHVHDUFK L ZKLFK VXEVWDQWLDWHV WKH WKHRU\ 7KH PDMRU FRQFHSWV XVHG LQ VRFLDO OHDUQLQJ WKHRU\ DUH UHLQIRUFHPHQW SXQLVKPHQW LPLWDWLRQ GLIIHUHQWLDO UHLQIRUFHPHQW GHILQLWLRQV DQG GLIIHUHQWLDO DVVRFLDWLRQ

PAGE 69

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

PAGE 70

'LIIHUHQWLDO DVVRFLDWLRQ UHODWHV WR WKH LQWHUDFWLRQ SDWWHUQV ZLWK RWKHUV WKDW SURYLGH WKH GHILQLWLRQV PRGHOV DQG UHLQIRUFHPHQW IRU GHYLDQW RU FRQIRUPLQJ EHKDYLRU 6RFLDO OHDUQLQJ WKHRU\ KDV EHHQ HPSLULFDOO\ WHVWHG ZLWK DQ DGROHVFHQW SRSXODWLRQ FRQFHUQLQJ WKHLU DOFRKRO GUXJ DQG VPRNLQJ EHKDYLRU $NHUV HW DO .URKQ HW DO .URKQ HW DO .URKQ HW DO /DQ]D.DGXFH HW DO DQG 'HPER HW DO f :LWK VRFLDO ERQGLQJ WKHRU\ DQG VWUDLQ WKHRU\ WKH WKHRU\ KDV DOVR EHHQ WHVWHG WR GHWHUPLQH WKH H[SODQDWRU\ SRZHU RI DOO WKUHH WKHRULHV $NHUV DQG &RFKUDQ (OOLRWW HW DO f 0RUH UHFHQWO\ VRFLDO OHDUQLQJ WKHRU\ KDV EHHQ WHVWHG ZLWK DQ DGXOW SRSXODWLRQ $NHUV HW DO f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b RI WKH YDULDQFH LQ PDULMXDQD XVH DQG b LQ WKH DEXVH RI PDULMXDQD )LIW\ILYH SHUFHQW RI WKH YDULDQFH ZDV H[SODLQHG FRQFHUQLQJ WKH XVH RI

PAGE 71

DOFRKRO DQG b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b RI WKH YDULDQFH WKH VRFLDO ERQGLQJ PRGHO H[SODLQHG b RI WKH YDULDQFH DQG WKH VWUDLQ PRGHO H[SODLQHG b RI WKH YDULDQFH LQ PDULMXDQD XVH ,Q WKH DUWLFOH E\ $NHUV HW DO IRU WKH ILUVW WLPH WKH DXWKRUV WHVWHG WKH VRFLDO OHDUQLQJ YDULDEOHV ZLWK DQ DGXOW SRSXODWLRQ 7KH\ WHVWHG WKH WKHRU\ ZLWK DQ HOGHUO\ SRSXODWLRQ WR GHWHUPLQH LI WKH VRFLDO OHDUQLQJ YDULDEOHV FDQ H[SODLQ GULQNLQJ EHKDYLRU ZLWKLQ WKLV SRSXODWLRQ 2WKHU WKDQ LPLWDWLRQ WKH VDPH VRFLDO OHDUQLQJ FRQFHSWV GLIIHUHQWLDO DVVRFLDWLRQ GHILQLWLRQV DQG GLIIHUHQWLDO UHLQIRUFHPHQW ZHUH PHDVXUHG 7KH DXWKRUV IRXQG WKDW b RI WKH YDULDQFH LQ HOGHUO\ GULQNLQJ ZDV H[SODLQHG E\ WKH VRFLDO OHDUQLQJ YDULDEOHV DQG b RI WKH YDULDQFH ZDV H[SODLQHG FRQFHUQLQJ DOFRKRO DEXVH DPRQJ WKH HOGHUO\

PAGE 72

)RU WKH SXUSRVH RI WKH SUHVHQW UHVHDUFK VRFLDO OHDUQLQJ WKHRU\ LV QRW EHLQJ XVHG WR H[SODLQ WKH GHYLDQW EHKDYLRU GUXJ RU DOFRKRO DEXVHf RI HPSOR\HHV ,QVWHDG LW LV EHLQJ DSSOLHG WR WKH EHKDYLRU RI WKRVH VXSHUYLVRUV ZKR DUH LQ D SRVLWLRQ WR ODEHO WKDW EHKDYLRU DQG PDNH GHFLVLRQV DERXW WKRVH EHOLHYHG WR KDYH HQJDJHG LQ WKH EHKDYLRU 7KH EHKDYLRU WR EH H[SODLQHG E\ WKH VRFLDO OHDUQLQJ YDULDEOHV LV VXSHUYLVRUVn EHKDYLRU FRQFHUQLQJ UHIHUUDO RI HPSOR\HHV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP .URKQ DQG $NHUV f DUJXH WKDW WKH UHVHDUFK ILQGLQJV IRU PHQWDO KHDOWK GHFLVLRQV DGPLVVLRQ RU GLVFKDUJH GHFLVLRQVf DUH PRUH D UHVXOW RI WKH UHZDUGLQJ RU SXQLVKLQJ FRQVHTXHQFHV RI WKRVH GHFLVLRQV WKDQ DUH WKH SV\FKLDWULF V\PSWRPV RI WKH SDWLHQW .URKQ DQG $NHUV VWDWH WKH OHDUQLQJ PRGHO DGGV DQ H[SODQDWLRQ RI WKH EHKDYLRU RI SV\FKLDWULF ZRUNHUV DV D IXQFWLRQ RI SDVW OHDUQLQJ DQG UHVSRQVHV WR SUHVHQW DQG DQWLFLSDWHG VWLPXOL S f 7KH GHFLVLRQ WR FRPPLW DQG UHWDLQ VRPHRQH LQWR SV\FKLDWULF FDUH DFFRUGLQJ WR VRFLDO OHDUQLQJ WKHRU\ LV EDVHG RQ ZKDW EHKDYLRU ZRXOG SURGXFH WKH KLJKHVW UHZDUGV DQG WKH OHDVW FRVW WR WKH SV\FKLDWULVW RU RWKHU PHQWDO KHDOWK SUDFWLWLRQHU 6RFLDO OHDUQLQJ WKHRU\ ZRXOG VWDWH WKDW WKH H[WHQW WR ZKLFK ODEHOV DUH DSSOLHG RQ WKH EDVLV RI VRFLDO SRZHU GHSHQGV RQ WKH UHVRXUFHV WKDW FDQ EH EURXJKW WR EHDU WR DIIHFW KRZ FRVWO\ RU UHZDUGLQJ VXFK GHFLVLRQV ZLOO EH IRU

PAGE 73

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n GHFLVLRQV WR UHIHU DQ HPSOR\HH XQGHU WKHLU FKDUJH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP ZLOO EH DIIHFWHG E\ WKH VRFLDO FKDUDFWHULVWLFV RI WKH HPSOR\HH 6XSHUYLVRUV LQ WKH ZRUNSODFH DUH QRW SV\FKLDWULVWV DQG DUH QRW PDNLQJ GHFLVLRQV UHJDUGLQJ LQYROXQWDU\ FRPPLWPHQW IRU PHQWDO LOOQHVV 7KH\ DUH UHIHUULQJ ZRUNHUV ZKR KDYH ZRUNUHODWHG SUREOHPV ZKLFK WKH\ EHOLHYH FDQ EH KHOSHG E\ D

PAGE 74

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f VKRXOG SURYLGH IUXLWIXO SURSRVLWLRQV UHJDUGLQJ HPSOR\HH DVVLVWDQFH SURJUDP UHIHUUDOV 7KH\ KROG SURPLVH DV RIIHULQJ WKHRUHWLFDOO\EDVHG PRGHOV RI VXSHUYLVRU UHIHUUDOV ZKHUH OLWWOH WKHRU\ QRZ H[LVWV

PAGE 75

&+$37(5 0(7+2'2/2*< 7KH VDPSOH IRU WKH UHVHDUFK ZDV REWDLQHG IURP WZR KRVSLWDOV LQ WKH VRXWKHDVW 2QH RI WKH KRVSLWDOV LV D SXEOLF WHDFKLQJ KRVSLWDO ZLWK DSSUR[LPDWHO\ SDWLHQW EHGV DQG HPSOR\V DSSUR[LPDWHO\ SHRSOH 2I WKRVH HPSOR\HG DSSUR[LPDWHO\ DUH FRQVLGHUHG WR EH LQ VXSHUYLVRU\ SRVLWLRQV 7KH KRVSLWDO KDV KDG DQ HPSOR\HH DVVLVWDQFH SURJUDP IRU DSSUR[LPDWHO\ VL[ \HDUV 7KH RWKHU KRVSLWDO LV D EHG SULYDWH UHOLJLRXVO\ DIILOLDWHG KRVSLWDO ZLWK DSSUR[LPDWHO\ HPSOR\HHV 2I WKRVH HPSOR\HG DSSUR[LPDWHO\ DUH FRQVLGHUHG WR EH LQ VXSHUYLVRU\ SRVLWLRQV 7KH KRVSLWDO KDV KDG DQ HPSOR\HH DVVLVWDQFH SURJUDP IRU DSSUR[LPDWHO\ ILYH \HDUV 7KXV ERWK DUH VL]HDEOH RUJDQL]DWLRQV ZLWK ODUJH QXPEHUV RI HPSOR\HHV DQG ZHOO HVWDEOLVKHG HPSOR\HH DVVLVWDQFH SURJUDPV 7KH VDPSOH ZDV RULJLQDOO\ WR EH GUDZQ E\ ZD\ RI D WZR VWHS SURFHVV $ LQWURGXFWRU\ OHWWHU ZDV WR EH VHQW WR WKH VXSHUYLVRUV LQ WKHLU SD\FKHFN HQYHORSH 7KLV OHWWHU ZDV WR DVN ZKHWKHU WKH VXSHUYLVRU KDG HYHU UHIHUUHG DQ HPSOR\HH XQGHU WKHLU FKDUJH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH

PAGE 76

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

PAGE 77

3URFHGXUH 1LQHW\ VXSHUYLVRUV ZHUH LQWHUYLHZHG IURP WKH SXEOLF KRVSLWDO DQG IURP WKH SULYDWH KRVSLWDO $W ERWK WKH SXEOLF DQG SULYDWH KRVSLWDO VXSHUYLVRUV LQFOXGHG WKRVH ZKR KDG UHVSRQVLELOLW\ WR RYHUVHH WKH ZRUN RI WKH OLQH VWDII LQ WKH KRVSLWDOn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

PAGE 78

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nV ZRUN SHUIRUPDQFH ,QVWUXPHQW 7KH VXUYH\ LQVWUXPHQW FRQVLVWHG RI TXHVWLRQV ZKLFK IRU WKH PRVW SDUW ZHUH LQ WKH IRUP RI D ILYHSRLQW /LNHUW VFDOH VHH $SSHQGL[ %f )LUVW WKH LQVWUXPHQW JDWKHUHG VRPH GHPRJUDSKLF LQIRUPDWLRQ HJ DJH VH[ UDFH PDULWDO VWDWXV \HDUV RI HGXFDWLRQ DQG LQFRPHf DERXW HDFK VXSHUYLVRU TXHVWLRQV f 4XHVWLRQV GHDOW ZLWK RYHUDOO NQRZOHGJH DQG XVH RI WKH HPSOR\HH DVVLVWDQFH SURJUDP 4XHVWLRQ SURYLGHG D GLFKRWRPRXV PHDVXUH RI WKH GHSHQGHQW YDULDEOH FRQFHUQLQJ ZKHWKHU WKH VXSHUYLVRUV KDG HYHU UHIHUUHG DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP ,I

PAGE 79

WKH VXSHUYLVRUV DQVZHUHG \HV WKH\ FRQWLQXHG WR DQVZHU TXHVWLRQV ,I WKH\ DQVZHUHG QR WKH\ ZHUH WR DGYDQFH WR TXHVWLRQ DQG FRQWLQXH ZLWK WKH UHPDLQGHU RI WKH TXHVWLRQQDLUH 4XHVWLRQV PHDVXUHG YDULDEOHV UHODWHG WR ODEHOOLQT VXFK DV HPSOR\HHVn VH[ UDFH PDULWDO VWDWXV MRE WLWOH DQG \HDUV RI HGXFDWLRQ )HPDOH THQGHU PLQRULW\ VWDWXV XQPDUULHG VWDWXV ORZ MRE VWDWXV DQG ORZ HGXFDWLRQ DUH WDNHQ DV LQGLFDWLQT ORZ VRFLDO SRZHU 7R PHDVXUH WKH VHYHULW\ RI WKH SULPDU\ DQG VHFRQGDU\ SUREOHP IRU ZKLFK WKH HPSOR\HH ZDV UHIHUUHG WR WKH HPSOR\HH DVVLVWDQFH SURTUDP TXHVWLRQV ZHUH DVNHG DERXW VXSHUYLVRUVn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nV NQRZOHGJH RI KRZ PDQ\ RI

PAGE 80

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n SHUVRQDO H[SHULHQFHV ZLWK WKH FRXQVHOLQJ VHUYLFHV SURYLGHG E\ WKH HPSOR\HH DVVLVWDQFH SURJUDP FRXQVHOLQJ SURYLGHG IURP D VRXUFH RWKHU WKDQ WKH HPSOR\HH DVVLVWDQFH SURJUDP DQG WKH DFWXDO DQG DQWLFLSDWHG UHLQIRUFHPHQW IRU EHLQJ LQYROYHG LQ FRXQVHOLQJ ,Q TXHVWLRQV WKH VXSHUYLVRUV ZHUH DVNHG KRZ WKH\ ZRXOG UHVSRQG LI SHRSOH FORVH WR WKHP ZHUH UHIHUUHG WR FRXQVHOLQJ 7KH UHPDLQGHU RI WKH TXHVWLRQV TXHVWLRQV GHDOW ZLWK WKH VXSHUYLVRUnV MRE VDWLVIDFWLRQ KRZ VXSSRUWLYH WKH LQVWLWXWLRQ ZDV RI WKH HPSOR\HH DVVLVWDQFH SURJUDP DQG WKH VXSHUYLVRUnV GHILQLWLRQV RI DOFRKRO GUXJV DQG SHUVRQDOHPRWLRQDO SUREOHPV

PAGE 81

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f 7R PHDVXUH WKH GHJUHH RI UHLQIRUFHPHQW D ILYHSRLQW /LNHUW VFDOH ZDV HPSOR\HG IURP VWURQJO\ GLVDSSURYH WR VWURQJO\ DSSURYH 5HLQIRUFHPHQW PHDVXUHV ZHUH WDNHQ IRU WKH WKUHH GLIIHUHQW W\SHV RI UHIHUUDOV GLVFXVVHG LQ &KDSWHU UHIHUUDO RI DQ HPSOR\HH IRU DQ DOFRKRO SUREOHP UHIHUUDO IRU D GUXJ SUREOHP DQG UHIHUUDO IRU DQ HPRWLRQDO SUREOHP $Q H[DPSOH RI D TXHVWLRQ IURP WKLV VHULHV RI UHLQIRUFHPHQW PHDVXUHV LQFOXGHG ,I LQ WKH IXWXUH \RX ZHUH WR UHIHU DQ HPSOR\HH XQGHU \RXU FKDUJH WR WKH KRVSLWDO

PAGE 82

VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP DQG WKH IROORZLQJ SHRSOH NQHZ DERXW \RXU UHIHUUDO ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKHLU UHDFWLRQ WR WKH UHIHUUDO" ,I WKH VXSHUYLVRUV UHVSRQGHG VWURQJO\ DSSURYH WKLV ZRXOG LQGLFDWH D KLJK GHJUHH RI UHLQIRUFHPHQW IRU WKH UHIHUULQJ EHKDYLRU ,I WKH VXSHUYLVRUV UHVSRQGHG VWURQJO\ GLVDSSURYH WKLV ZRXOG LQGLFDWH D ORZ GHJUHH RI SRVLWLYH UHLQIRUFHPHQW RU D KLJK GHJUHH RI SXQLVKPHQWf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f ,I WKH VXSHUYLVRUV UHVSRQGHG VWURQJO\ DSSURYH WKLV ZRXOG LQGLFDWH D KLJK GHJUHH RI UHLQIRUFHPHQW IRU FRXQVHOLQJ ,I WKH VXSHUYLVRUV UHVSRQGHG VWURQJO\ GLVDSSURYH WKLV ZRXOG LQGLFDWH D ORZ GHJUHH RI

PAGE 83

UHLQIRUFHPHQW RU D KLJK GHJUHH RI SXQLVKPHQW IRU FRXQVHOLQJ 7KH QH[W VHULHV RI UHLQIRUFHPHQW PHDVXUHV H[DPLQHG WKH UHLQIRUFHPHQW WKDW VXSHUYLVRUV DQWLFLSDWHG WKH\ ZRXOG UHFHLYH IURP RWKHU VXSHUYLVRUV RWKHU HPSOR\HHV DQG IDPLO\ PHPEHUV LI WKH\ ZHUH WR UHFHLYH SHUVRQDO FRXQVHOLQJ IURP D VRXUFH RWKHU WKDQ WKH HPSOR\HH DVVLVWDQFH SURJUDP &RQVLVWHQW ZLWK WKH SUHFHGLQJ PHDVXUHV WKHVH PHDVXUHV ZHUH DOVR VHSDUDWHG LQWR WKUHH JURXSV RI TXHVWLRQV IRU DOFRKRO GUXJ RU HPRWLRQDO SUREOHPV DQG UHVSRQVHV ZHUH PHDVXUHG E\ D ILYHSRLQW /LNHUW VFDOH IURP VWURQJO\ GLVDSSURYH WR VWURQJO\ DSSURYH $Q H[DPSOH RI D TXHVWLRQ IURP WKLV VHULHV RI UHLQIRUFHPHQW PHDVXUHV LQFOXGHG ,I LQ WKH IXWXUH \RX ZHUH WR UHFHLYH FRXQVHOLQJ IURP D VRXUFH RWKHU WKDQ WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU DQ HPRWLRQDO SUREOHP RWKHU WKDQ DQ DOFRKRO RU GUXJ SUREOHP ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKH UHDFWLRQ RI WKH IROORZLQJ SHRSOH" ,I WKH VXSHUYLVRUV UHVSRQGHG VWURQJO\ DSSURYH WKLV ZRXOG LQGLFDWH D KLJK GHJUHH RI UHLQIRUFHPHQW IRU FRXQVHOLQJ ,I WKH VXSHUYLVRUV UHVSRQGHG VWURQJO\ GLVDSSURYH WKLV ZRXOG LQGLFDWH D ORZ GHJUHH RI UHLQIRUFHPHQW IRU FRXQVHOLQJ 7KHVH WZR TXHVWLRQV ZHUH YLHZHG DV PHDVXULQJ JUHDWHU RU OHVV UHLQIRUFHPHQW IRU UHIHUULQJ RWKHU HPSOR\HHV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP EHFDXVH LW LV EHOLHYHG WKDW LI VXSHUYLVRUV DUH UHLQIRUFHG IRU HQJDJLQJ LQ FRXQVHOLQJ WR VROYH WKHLU RZQ DOFRKRO GUXJ RU HPRWLRQDO

PAGE 84

SUREOHPV WKH\ DUH PRUH OLNHO\ WR DQWLFLSDWH SRVLWLYH UHDFWLRQV IRU LQWHUYHQLQJ ZLWK RWKHU HPSOR\HHV WR DOVR VHHN KHOS IRU WKHLU DOFRKRO GUXJ RU HPRWLRQDO SUREOHPV 7KH QH[W VHULHV RI UHLQIRUFHPHQW PHDVXUHV H[SORUHG WKH QHJDWLYH UHDFWLRQV HJ WKH HPSOR\HH RU RQHnV RZQ VXSHUYLVRU ZRXOG EH XSVHWf WKDW VXSHUYLVRUV DQWLFLSDWHG UHFHLYLQJ IURP RWKHU VXSHUYLVRUV DQG RWKHU HPSOR\HHV LI WKH\ ZHUH WR UHIHU DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP FRPSDUHG WR DQWLFLSDWHG VXSSRUWLYH UHDFWLRQV VXFK DV WKH JUDWLWXGH RI WKH UHIHUUHG HPSOR\HH RU WKH DSSURYDO RI RQHnV VXSHUYLVRU 7KH UHVSRQGHQWV ZHUH DVNHG WR FKHFN DOO WKH SXQLVKLQJ RU VXSSRUWLYH EHKDYLRU WKH\ DQWLFLSDWHG IURP PDNLQJ DQ ($3 UHIHUUDO VHH $SSHQGL[ % TXHVWLRQV DQG f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

PAGE 85

TXHVWLRQ IURP WKLV VHULHV RI UHLQIRUFHPHQW PHDVXUHV LQFOXGHG 7R WKH EHVW RI \RXU NQRZOHGJH KRZ RIWHQ KDYH \RX EHHQ WR LQVHUYLFH WUDLQLQJ ZKLFK H[SODLQHG WKH ZD\ WKH HPSOR\HH DVVLVWDQFH SURJUDP LV WR EH XWLOL]HG E\ WKH VXSHUYLVRUV" $Q DQVZHU RI YHU\ RIWHQ LQGLFDWHG D KLJK GHJUHH RI VXSSRUW E\ WKH RUJDQL]DWLRQ $ UHVSRQVH RI QHYHU LQGLFDWHG D ORZ GHJUHH RI RUJDQL]DWLRQDO VXSSRUW IRU WKH HPSOR\HH DVVLVWDQFH SURJUD )LQDOO\ VXSHUYLVRUV ZHUH DVNHG ZKDW UHDFWLRQV IUR RWKHUV WKH\ ZRXOG DQWLFLSDWH IRU QRW UHIHUULQJ HPSOR\HHV WR WKH HPSOR\HHV DVVLVWDQFH SURJUDP 7KLV TXHVWLRQ ZDV LQFOXGHG WR GHWHUPLQH LI WKHUH LV FRQVLVWHQF\ EHWZHHQ WKH SRVLWLYH UHDFWLRQV WKH VXSHUYLVRUV DQWLFLSDWHG UHFHLYLQJ IRU UHIHUULQJ HPSOR\HHV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP DQG WKH DQWLFLSDWHG GLVDSSURYLQJ UHDFWLRQV IRU QRW UHIHUULQJ $V ZLWK VRPH RI WKH SUHYLRXV PHDVXUHV FRQFHUQLQJ VXSHUYLVRU\ UHIHUUDOV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP WKUHH JURXSV RI PHDVXUHV ZHUH XVHG WR GHWHUPLQH WKH DQWLFLSDWHG UHLQIRUFHPHQW IRU UHIUDLQLQJ IURP PDNLQJ D UHIHUUDO IRU DQ DOFRKRO GUXJ RU HPRWLRQDO SUREOHP 7KHVH PHDVXUHV DOVR XVHG D ILYHSRLQW /LNHUW VFDOH ZKLFK UDQJHG IURP VWURQJO\ GLVDSSURYH WR VWURQJO\ DSSURYH )RU H[DPSOH D TXHVWLRQ IURP WKLV VHULHV RI UHLQIRUFHPHQW PHDVXUHV LQFOXGHG ,I \RX KDG VRPHRQH XQGHU \RXU FKDUJH ZKR LV LQ QHHG RI D UHIHUUDO WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU D GUXJ

PAGE 86

SUREOHP DQG \RX GLG QRW UHIHU WKHP DQG WKH IROORZLQJ SHRSOH NQHZ DERXW \RX QRW UHIHUULQJ WKHP ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKHLU UHDFWLRQ WR \RXU QRW PDNLQJ WKH UHIHUUDO"f $ UHVSRQVH RI VWURQJO\ DSSURYH ZRXOG LQGLFDWH D KLJK GHJUHH RI UHLQIRUFHPHQW IRU QRW PDNLQJ WKH UHIHUUDO $ UHVSRQVH RI VWURQJO\ GLVDSSURYH ZRXOG LQGLFDWH D ORZ GHJUHH RI UHLQIRUFHPHQW IRU QRW PDNLQJ WKH UHIHUUDO 7KHUH DUH VL[ PHDVXUHV RI GHILQLWLRQV RU DWWLWXGHV IDYRUDEOH RU XQIDYRUDEOH WR UHIHUUDO 'HILQLWLRQV DUH YHUEDOL]DWLRQV ZKLFK GHILQH IRU WKH DFWRU ZKDW LV DSSURSULDWH DQG ZKDW LV LQDSSURSULDWH LQ D VRFLDO VLWXDWLRQ 7KH ILUVW WZR TXHVWLRQV ZHUH DVNHG DERXW WKH VXSHUYLVRUn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

PAGE 87

VWURQJO\ DJUHH ZRXOG LQGLFDWH D SRVLWLYH GHILQLWLRQ EHFDXVH D UHIHUUDO E\ WKH VXSHUYLVRUV ZRXOG EH YLHZHG DV D KHOSLQJ EHKDYLRU LI LW LV EHOLHYHG WKDW VRPHWKLQJ FDQ LQ IDFW EH GRQH DERXW WKH SUREOHP $ UHVSRQVH RI VWURQJO\ GLVDJUHH ZRXOG LQGLFDWH DQ XQIDYRUDEOH GHILQLWLRQ WRZDUG UHIHUUDO EHFDXVH LI DOFRKROLFV RU GUXJ DGGLFWV FDQ QRW VWRS LW ZRXOG EH IXWLOH WR UHIHU WKHP IRU WUHDWPHQW 7KH WKLUG PHDVXUH RI GHILQLWLRQV FRQVLVWHG RI VHSDUDWH TXHVWLRQV DERXW WKH VXSHUYLVRUVn YLHZV RQ WKH GHJUHH RI UHVSRQVLELOLW\ WKDW HLWKHU DQ DOFRKROLF RU GUXJ DGGLFW VKRXOG WDNH IRU WKH SUREOHPV WKH DGGLFWLRQ KDV FDXVHG $ UHVSRQVH RI VWURQJO\ DJUHH ZRXOG LQGLFDWH WKDW WKH DGGLFWHG SHUVRQ LV UHVSRQVLEOH IRU GRLQJ VRPHWKLQJ DERXW WKH SUREOHPV FDXVHG E\ WKH DOFRKRO RU GUXJ DEXVH 8QGHU WKH GLVHDVH FRQFHSW WKH GHYHORSPHQW RI DOFRKROLVP LV WKRXJKW WR EH QRW WKH UHVSRQVLELOLW\ RI WKH DOFRKROLF EXW UHVSRQGLQJ SRVLWLYHO\ WR RIIHUV RI KHOS DQG WDNLQJ VWHSV WR UHFRYHU DUH WKH DOFRKROLFnV UHVSRQVLELOLW\ $ IRXUWK PHDVXUH RI GHILQLWLRQV ZDV D VHULHV RI WKUHH TXHVWLRQV FRQFHUQLQJ KRZ KHOSIXO WKH VXSHUYLVRUV IHOW WKH HPSOR\HH DVVLVWDQFH SURJUDP ZRXOG EH IRU VRPHRQH H[SHULHQFLQJ DQ DOFRKRO GUXJ RU HPRWLRQDO SUREOHP 7KH UHVSRQVHV UDQJHG IURP QRW KHOSIXO WR YHU\ KHOSIXO )ROORZLQJ *RRJLQV DQG .XUW] f D UHVSRQVH E\ VXSHUYLVRUV WKDW WKH SURJUDP ZRXOG EH YHU\ KHOSIXO ZDV WDNHQ DV D GHILQLWLRQ IDYRUDEOH WR PDNLQJ D UHIHUUDO $ QRW

PAGE 88

KHOSIXO UHVSRQVH ZRXOG LQGLFDWH D GHILQLWLRQ XQIDYRUDEOH WR PDNLQJ D UHIHUUDO 7KH ODVW WZR GHILQLWLRQ PHDVXUHV UHODWHG VSHFLILFDOO\ WR WKH VXSHUYLVRUVn MRE 7KHVH LQFOXGHG WKH VXSHUYLVRUVn RYHUDOO KDSSLQHVV ZLWK WKHLU MRE DV ZHOO DV D PHDVXUH RI WKH VXSHUYLVRUVn GHGLFDWLRQ WR WKHLU MRE 7KH UHVSRQVHV UDQJHG IURP VWURQJO\ GLVDJUHH WR VWURQJO\ DJUHH VHH $SSHQGL[ % TXHVWLRQV F DQG Kf )RU ERWK TXHVWLRQV D UHVSRQVH RI VWURQJO\ DJUHH ZRXOG LQGLFDWH DQ RYHUDOO KDSSLQHVV ZLWK WKHLU MRE DQG D KLJK GHJUHH RI MRE GHGLFDWLRQ ,W LV H[SHFWHG WKDW VXSHUYLVRUV ZKR DUH KDSS\ ZLWK WKHLU MREV DQG KDYH D KLJK GHJUHH RI MRE GHGLFDWLRQ DUH PRUH OLNHO\ WR LQFRUSRUDWH WKHLU UROH LQ WKH HPSOR\HH DVVLVWDQFH SURJUDP LQWR WKHLU JHQHUDO VXSHUYLVRU\ 7KHUHIRUH DQ DWWLWXGH RI VDWLVIDFWLRQ ZLWK RQHn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f IRXQG LQ WKH

PAGE 89

RUJDQL]DWLRQ UHJDUGLQJ WKH UHIHUUDO RI HPSOR\HHV WR WKH SURJUDP 7KH ILUVW PHDVXUH RI GLIIHUHQWLDO DVVRFLDWLRQ FRQVLVWHG RI WKH VXSHUYLVRUVn FROOHDJXHV ZKR UHIHUUHG WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH VHSDUDWH LWHPV LQ WKH GLIIHUHQWLDO DVVRFLDWLRQ PHDVXUH FRQVLVWHG RI WKH QXPEHU RI WKH VXSHUYLVRUVn FROOHDJXHV ZKLFK WKH\ PRVW UHVSHFWHG ZLWK ZKRP WKH\ KDG WKH FORVHVW UHODWLRQVKLS ZLWK KDG NQRZQ WKH ORQJHVW DQG KDG DVVRFLDWHG ZLWK PRVW IUHTXHQWO\ ZKR KDG UHIHUUHG DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH ILYHSRLQW /LNHUW VFDOH UDQJHG IURP QRQH WR DOO VHH $SSHQGL[ % TXHVWLRQ f 7KLV TXHVWLRQ UHODWHV WR WKH EHKDYLRUDO DVSHFW RI GLIIHUHQWLDO DVVRFLDWLRQ 7KH RWKHU PHDVXUH RI GLIIHUHQWLDO DVVRFLDWLRQ ZDV D VXEMHFWLYH LPSUHVVLRQ RI WKH SULRULW\ JLYHQ E\ WKH RUJDQL]DWLRQ RI WKH HPSOR\HH DVVLVWDQFH SURJUDP VHSDUDWHO\ IURP WKH LQVWLWXWLRQDO VXSSRUW PHDVXUHV LQFOXGHG XQGHU WKH UHLQIRUFHPHQW FRQFHSW +HUH WKH HIIRUW LV WR HOLFLW WKH FOLPDWH RI IDYRUDEOH RSLQLRQ RQ HPSOR\HH DVVLVWDQFH SURJUDPnV SUHYDLOLQJ LQ WKH RUJDQL]DWLRQ VSHFLILFDOO\ KRZ PXFK LPSRUWDQFH WKH KRVSLWDO DWWDFKHG WR WKH SURJUDP 7KH TXHVWLRQ DVNHG 7R WKH EHVW RI \RXU NQRZOHGJH KRZ LPSRUWDQW GR \RX IHHO WKH HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP LV WR WKH KRVSLWDO" $ UHVSRQVH RI YHU\ LPSRUWDQW LQGLFDWHV D SHUFHSWLRQ RI VXSSRUW E\ WKH KRVSLWDO DQG ZRXOG EH D FOLPDWH IDYRUDEOH WR PDNLQJ D UHIHUUDO $ UHVSRQVH RI QRW

PAGE 90

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

PAGE 91

6, 7DEOH 5HOLDELOLW\ $QG ,WHP 7R 6FDOH &RUUHODWLRQV )RU 5HLQIRUFHPHQW 6FDOHV 9DULDEOHV ,WHP WR WRWDO $OSKD LI LWHP FRUUHODWLRQ UDQJH GHOHWHG $OSKD 5(,1)$ f§ f§ 5(,1)' f§ f§ 5(,1)( f§ f§ f§ ($35(,1$ f§ f§ ($35(,1' f§ f§ ($35(,1( f§ f§ 27+5(,1$ f§ f§ 27+5(,1' f§ f§ 27+5(,1( f§ f§ 381,6+ f§ f§ 6833257 f§ f§ ,167683 f§ f§ 125()$ f§ f§ 125()' f§ f§ 125()( f§ f§ 1 7KH ILUVW WKUHH VFDOHV LQ 7DEOH PHDVXUHV SHUFHLYHG GLIIHUHQWLDO VRFLDO UHLQIRUFHPHQW DSSURYDO RU GLVDSSURYDOf WKDW VXSHUYLVRUV DQWLFLSDWHG UHFHLYLQJ LI WKH\ ZHUH WR UHIHU DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP IRU DQ DOFRKRO 5(,1)$f GUXJ 5(,1)'f RU HPRWLRQDO SUREOHP 5(,1)(f (DFK RI WKHVH UHLQIRUFHPHQW VFDOHV KDG HLJKW LWHPV $OO RI WKH DOSKDV ZHUH ZLWKLQ WKH DFFHSWDEOH OLPLWV 7KH QH[W VHW RI WKUHH VFDOHV PHDVXUHG WKH DPRXQW RI UHLQIRUFHPHQW WKDW VXSHUYLVRUV EHOLHYH WKH\ ZRXOG UHFHLYH LI WKH\ SHUVRQDOO\ XVHG WKH HPSOR\HH DVVLVWDQFH SURJUDP IRU DQ DOFRKRO SUREOHP ($35(,1$f D GUXJ SUREOHP ($35(,1'f RU DQ

PAGE 92

HPRWLRQDO SUREOHP ($35(,1(f (DFK RI WKHVH VFDOHV KDG IRXU LWHPV $OO RI WKH DOSKDV ZHUH ZLWKLQ WKH DFFHSWDEOH OLPLWV 7KH QH[W JURXS RI VFDOHV PHDVXUHG WKH DPRXQW RI UHLQIRUFHPHQW WKDW VXSHUYLVRUV EHOLHYH WKH\ ZRXOG UHFHLYH LI WKH\ VRXJKW FRXQVHOLQJ IURP D VRXUFH RWKHU WKDQ WKH HPSOR\HH DVVLVWDQFH SURJUDP IRU DQ DOFRKRO SUREOHP 27+5(,1$f D GUXJ SUREOHP 27+5(,1'f RU DQ HPRWLRQDO SUREOHP 27+5(,1(f (DFK RI WKHVH VFDOHV DOVR KDG IRXU LWHPV $JDLQ DOO RI WKH DOSKDV ZHUH ZLWKLQ WKH DFFHSWDEOH OLPLWV 7KH VFDOHV PHDVXULQJ WKH DPRXQW RI SHUFHLYHG SXQLVKLQJ 381,6+f RU VXSSRUWLYH 6833257f EHKDYLRU VXSHUYLVRUV ZRXOG H[SHULHQFH IRU PDNLQJ D UHIHUUDO DOO VFDOHG UHOLDEO\ 7KHUH ZHUH ILYH LWHPV LQ HDFK RI WKH VFDOHV 7KH PHDVXUH RI LQVWLWXWLRQDO VXSSRUW IRU WKH HPSOR\HH DVVLVWDQFH SURJUDP ,167683f LV D WKUHH LWHP VFDOH ZLWK DQ DOSKD FRHIILFLHQW LQGLFDWLQJ WKH VFDOH LV UHOLDEOH 7KH ODVW WKUHH VFDOHV PHDVXUHG WKH DPRXQW RI UHLQIRUFHPHQW ZKLFK VXSHUYLVRUV ZRXOG H[SHULHQFH LI WKH\ KDG DQ HPSOR\HH ZKR QHHGHG D UHIHUUDO WR WKH HPSOR\HH DVVLVWDQFH SURJUDP IRU DQ DOFRKRO SUREOHP 125()$f D GUXJ SUREOHP 125()'f RU DQ HPRWLRQDO SUREOHP 125()(f EXW GLG QRW UHIHU WKH HPSOR\HH WR WKH HPSOR\HHV DVVLVWDQFH SURJUDP (DFK RI WKHVH VFDOHV KDG HLJKW LWHPV DOO RI WKH DOSKDV EHLQJ ZLWKLQ WKH DFFHSWDEOH OLPLWV

PAGE 93

7DEOH 5HOLDELOLW\ $QG ,WHP 7R 6FDOH &RUUHODWLRQV )RU 'HILQLWLRQV 6FDOHV 9DULDEOHV ,WHP WR WRWDO FRUUHODWLRQ UDQJH $OSKD LI LWHP GHOHWHG $OSKD ',6($6( 672386( 5(63 +(/3)8/ f§ f§ 1 7DEOH VXPPDUL]HV WKH UHOLDELOLW\ DQG LWHP WR VFDOH FRUUHODWLRQV IRU WKH GHILQLWLRQ YDULDEOHV 7KUHH RI WKH IRXU VFDOHV KDG RQO\ WZR LWHPV ZKLFK PDGH XS WKH VFDOH 7KHUHIRUH WKH DOSKD ZLWK LWHP GHOHWHG ZDV QRW UHSRUWHG 7KH ILUVW VFDOH PHDVXUHG WKH VXSHUYLVRUnV GHILQLWLRQ RI DOFRKRO DQG GUXJ DGGLWLRQ DV D GLVHDVH ',6($6(f 7KH VHFRQG VFDOH PHDVXUHG WKH DWWLWXGH WKDW WKH VXSHUYLVRU KHOG FRQFHUQLQJ WKH DELOLW\ RI SHRSOH ZLWK DOFRKRO DQG GUXJ SUREOHPV WR VWRS LI WKH\ VR GHVLUHG 672386(f 7KH WKLUG VFDOH PHDVXUHG WKH DPRXQW RI UHVSRQVLELOLW\ WKDW D GUXJ DGGLFW RU DOFRKROLF VKRXOG DFFHSW IRU WKH SUREOHPV WKDW WKHLU GULQNLQJ RU GUXJV KDYH FUHDWHG 5(63f 7KH ODVW GHILQLWLRQ VFDOH ZDV WKH DPRXQW RI KHOSIXOQHVV WKDW WKH VXSHUYLVRUV IHOW WKH HPSOR\HH DVVLVWDQFH SURJUDP ZRXOG EH WR W DQ HPSOR\HH WKDW WKH\ UHIHUUHG +(/3)8/f 7KH ILUVW WKUHH VFDOHV KDG WZR LWHPV WKHUHIRUH WKH DOSKD LI LWHP GHOHWHG LV QRW UHSRUWHG 7KH +(/3)8/ VFDOH KDG WKUHH LWHPV 7KH

PAGE 94

DOSKDV IRU DOO RI WKH GHILQLWLRQ VFDOHV ZHUH ZLWKLQ WKH DFFHSWDEOH OLPLWV 6WDWLVWLFDO 7HFKQLTXHV 7KH VWDWLVWLFDO WHFKQLTXHV WKDW ZLOO EH XVHG WR H[DPLQH WKHVH K\SRWKHVHV DUH IUHTXHQF\ GLVWULEXWLRQV FURVVn WDEXODWLRQV PXOWLYDULDWH UHJUHVVLRQ 3HGKD]XU f DQG GLVFULPLQDQW IXQFWLRQ DQDO\VLV .OHFND f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f WKHUH PXVW EH WZR RU PRUH JURXSV f WKHUH VKRXOG EH DW OHDVW WZR FDVHV LQ HDFK JURXS f WKHUH FDQ EH DQ\ QXPEHU RI GLVFULPLQDWLQJ YDULDEOHV SURYLGHG WKDW LW LV OHVV WKDQ WKH WRWDO QXPEHU RI FDVHV PLQXV WZR f GLVFULPLQDWLQJ YDULDEOHV DUH PHDVXUHG DW WKH LQWHUYDO OHYHO f QR GLVFULPLQDWLQJ YDULDEOH FDQ EH D OLQHDU FRPELQDWLRQ

PAGE 95

RI RWKHU GLVFULPLQDWLQJ YDULDEOHV f WKH FRYDULDQFH PDWULFHV IRU HDFK JURXS PXVW EH HTXDO DQG f HDFK JURXS KDV EHHQ GUDZQ IURP D SRSXODWLRQ ZLWK D PXOWLYDULDWH QRUPDO GLVWULEXWLRQ RQ WKH GLVFULPLQDWLQJ YDULDEOHV 0RVW RI WKH DVVXPSWLRQV DUH PHW LQ WKH IROORZLQJ DQDO\VLV ,W KDV WZR JURXSV WKHUH ZHUH PRUH WKDQ WZR FDVHV LQ HDFK JURXS WKHUH ZHUH IDU IHZHU GLVFULPLQDWLQJ YDULDEOHV WKDQ FDVHV WKH LQWHUFRUUHODWLRQV DPRQJ WKH GLVFULPLQDWLQJ YDULDEOHV DUH QRW KLJK VHH 7DEOH f WKH FRYDULDQFH PDWULFHV DUH QRW VLJQLILFDQWO\ GLIIHUHQW DW WKH OHYHO DFFRUGLQJ WR WKH %R[nV 0 %R[nV 0 3 f WKH PHDQV DQG VWDQGDUG GHYLDWLRQV RI WKH GLVFULPLQDWLQJ YDULDEOHV VXJJHVW WKH\ DUH QRW KLJKO\ DEHUUDQW VHH 7DEOH f .OHFND VWDWHV WKDW GLVFULPLQDQW IXQFWLRQ DQDO\VLV LV FRQVLGHUHG WR EH D UREXVW VWDWLVWLFDO WHFKQLTXH DQG WKHUHIRUH FDQ WROHUDWH GHYLDWLRQV IURP WKH DVVXPSWLRQV .OHFND S f )RU H[DPSOH ZKHQ LQWHUSUHWLQJ WKH FODVVLILFDWLRQ UHVXOWV LI WKH SHUFHQW RI FDVHV FRUUHFWO\ FODVVLILHG LV ODUJH WKH YLRODWLRQ RI WKH QRUPDOLW\ DVVXPSWLRQ QXPEHU f LV QRW KDUPIXO 7KH SURSRUWLRQ RI FRUUHFW FODVVLILFDWLRQV ZLOO DOVR LQIRUP RQH ZKHWKHU VXEVWLWXWLQJ RUGLQDO IRU LQWHUYDO OHYHO GDWD JUHDWO\ UHGXFHV DFFXUDF\ 'LVFULPLQDQW IXQFWLRQ DQDO\VLV SURYLGHV IRU WZR VHSDUDWH SURFHGXUHV LQWHUSUHWDWLRQ DQG FODVVLILFDWLRQ ,QWHUSUHWDWLRQ LQYROYHV GHWHUPLQLQJ ZKDW FKDUDFWHULVWLFV

PAGE 96

7DEOH =HUR2UGHU &RUUHODWLRQV )RU 7KH 6RFLDO /HDUQLQJ 9DULDEOHV 0HHWLQJ 7KH 6WDWLVWLFDO &ULWHULD )RU ,QFOXVLRQ ,Q 7KH 'LVFULPLQDQW )XQFWLRQ )RU 6XSHUYLVRU\ 5HIHUUDOV 7R 7KH (PSOR\HH $VVLVWDQFH 3URJUDP 5(,1)$ 5(,1)' 5(1)( +(/3)8/ ($535(,1$ ($35(,1' ($35(,1( ',6($6( 72386( ,167683 1238+,6+0(17 -2%6$7 0,+7$ 0,1(' rr 0,1(( rr rr +(/3)8/ .$30,1$ r ($30,1' rr r rr %$30,1( rr rr ',6($6( VWRSXVE ,167683 r 12381,6+0(17 -2%6$7 O}m R U! r VLJQLILFDQW DW WKD ODYDO ff VLJQLILFDQW DW WKD ODYDO

PAGE 97

7DEOH 0HDQV $QG 6WDQGDUG 'HYLDWLRQV )RU 7KH 6RFLDO /HDUQLQJ 9DULDEOHV 0HHWLQJ 7KH 6WDWLVWLFDO &ULWHULD )RU ,QFOXVLRQ ,Q 7KH 'LVFULPLQDQW )XQFWLRQ )RU 6XSHUYLVRU\ 5HIHUUDOV 7R 7KH (PSOR\HH $VVLVWDQFH 3URJUDP *URXS 5HIHUUDO *URXS 7RWDO 1R 5HIHUUDO ; 6' ; 6' ; 6' 5HLQIRUFHPHQW 5(,1)$ 5(,1)' 5(,1)( ($35(,1$ ($35(,1' ($35(,1( ,16783 12381,6+0(17 'HILQLWLRQV ',6($6( 672386( +(/3)8/ -2%6$7 1 W b D

PAGE 98

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n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

PAGE 99

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f &RQFHUQLQJ WKH YLRODWLRQ RI WKH DVVXPSWLRQV 3HGKD]XU f VWDWHV WKDW UHJUHVVLRQ DQDO\VLV LV FRQVLGHUHG UREXVW H[FHSW IRU PHDVXUHPHQW DQG VSHFLILFDWLRQ

PAGE 100

HUURUV 2WKHUV KDYH DUJXHG WKDW PXOWLSOH UHJUHVVLRQ LV UREXVW LI RUGLQDO GDWD DUH XVHG LQVWHDG RI LQWHUYDO GDWD .LP /DERYLW] f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f LQ WKH KRVSLWDOV WR GHWHUPLQH LI D GLVSURSRUWLRQDWH QXPEHU RI WKRVH UHIHUUHG KDYH VRFLDO FKDUDFWHULVWLFV ZKLFK ZRXOG LQGLFDWH IHZHU UHVRXUFHV DQG OHVV SRZHU &URVVWDEXODWLRQV EHWZHHQ JHQGHU UDFH DQG MRE FODVVLILFDWLRQ DQG WKH VHYHULW\ RI WKH SUREOHP OHDGLQJ WR D UHIHUUDO ZLOO EH GRQH WR GHWHUPLQH ZKHWKHU WKRVH ZLWK IHZHU UHVRXUFHV DQG OHVV SRZHU DUH PRUH OLNHO\ WR EH UHIHUUHG ZKHQ WKHLU SUREOHPV DUH OHVV VHYHUH

PAGE 101

&+$37(5 5(68/76 $1' ',6&866,21 2) 7+( 62&,$/ /($51,1* $1$/<6,6 7KH VWXG\ LV JXLGHG E\ VRFLDO OHDUQLQJ WKHRU\ DQG ODEHOOLQJ WKHRU\ EXW LW LV QRW GHVLJQHG WR EH D IRUPDO WHVW RI HLWKHU WKHRU\ ,QVWHDG ZH ZLOO H[DPLQH WKH UHVSHFWLYH XWLOLW\ RI WKHVH WZR SHUVSHFWLYHV LQ WKH ($3 UHIHUUDO SURFHVV /HW XV LQ WKLV FKDSWHU QRZ UHYLHZ WKH SUHGLFWLYH XWLOLW\ RI WKH VRFLDO OHDUQLQJ WKHRU\ YDULDEOHV 6RFLDO OHDUQLQJ WKHRU\ ZRXOG LQGLFDWH WKDW VXSHUYLVRUV ZKR UHIHU HPSOR\HHV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP KDYH H[SHULHQFHG UHLQIRUFHPHQW VXSSRUWLYH RI PDNLQJ UHIHUUDOV DQG KDYH IDYRUDEOH GHILQLWLRQV WRZDUG FRXQVHOLQJ DQG KHOSLQJ HPSOR\HHV ZLWK SUREOHPV 7KHVH VXSHUYLVRUV DOVR GLIIHUHQWLDOO\ LQWHUDFW RU LGHQWLI\ ZLWK WKRVH VXSHUYLVRUV ZKR KDYH UHIHUUHG HPSOR\HHV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP ,W LV H[SHFWHG WKDW WKH PRUH WKH DFW RI UHIHUULQJ DQ HPSOR\HH LQ QHHG RI KHOS WR WKH HPSOR\HH DVVLVWDQFH SURJUDP LV GLIIHUHQWLDOO\ UHLQIRUFHG SDVW RU DQWLFLSDWHGf DQG WKH PRUH VXSHUYLVRUV KROG GHILQLWLRQV IDYRUDEOH WRZDUG FRXQVHOLQJ DQG KHOSLQJ WKRVH ZLWK SUREOHPV WKH PRUH OLNHO\ WKH\ DUH WR UHIHU )XUWKHUPRUH LW LV H[SHFWHG WKDW WKH

PAGE 102

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b RI WKH WRWDO 1 D GHFLVLRQ KDG WR EH PDGH ZKHWKHU WKLV PHDVXUH RI GLIIHUHQWLDO DVVRFLDWLRQ ZRXOG EH LQFOXGHG LQ WKH DQDO\VHV 7KH EHKDYLRUDO DVSHFW RI GLIIHUHQWLDO DVVRFLDWLRQ LV VLJQLILFDQWO\ UHODWHG WR UHIHUUDO GHFLVLRQV +RZHYHU EHFDXVH RI WKH VPDOO VDPSOH VL]H WKH ORVV RI FDVHV LV VLJQLILFDQW DQG WKH PHDVXUH ZDV GURSSHG IURP ERWK WKH GLVFULPLQDQW IXQFWLRQ DQDO\VLV DQG WKH

PAGE 103

UHJUHVVLRQ DQDO\VLV $ VHSDUDWH GLVFULPLQDQW IXQFWLRQ DQDO\VLV DQG UHJUHVVLRQ DQDO\VLV ZDV GRQH ZKLFK LQFOXGHG WKH EHKDYLRUDO DVSHFW RI GLIIHUHQWLDO DVVRFLDWLRQ ,Q WKH GLVFULPLQDQW IXQFWLRQ DQDO\VLV WKLV PHDVXUH RI GLIIHUHQWLDO DVVRFLDWLRQ ZDV LQFOXGHG LQ WKH IXQFWLRQ ZLWK D FDQRQLFDO GLVFULPLQDQW IXQFWLRQ FRHIILFLHQW RI $OO RI WKH VDPH YDULDEOHV WKDW DUH LQ WKH IXQFWLRQ ZLWK WKH EHKDYLRUDO DVSHFW RI GLIIHUHQWLDO DVVRFLDWLRQ LQFOXGHG DUH DOVR LQ WKH IXQFWLRQ ZKHQ WKLV PHDVXUH RI GLIIHUHQWLDO DVVRFLDWLRQ LV QRW LQFOXGHG LQ WKH DQDO\VLV :KHQ WKH EHKDYLRUDO DVSHFW RI GLIIHUHQWLDO DVVRFLDWLRQ ZDV LQFOXGHG LQ WKH DQDO\VLV WKH H[SODLQHG YDULDQFH RI WKH PRGHO LQFUHDVHG b ,Q WKH UHJUHVVLRQ DQDO\VLV ZKLFK LQFOXGHG WKH EHKDYLRUDO DVSHFW RI GLIIHUHQWLDO DVVRFLDWLRQ WKH YDULDEOH ZDV VLJQLILFDQW DW WKH OHYHO $OVR ZKHQ WKLV PHDVXUH RI GLIIHUHQWLDO DVVRFLDWLRQ ZDV LQFOXGHG WKH HIIHFW RI WKH UHLQIRUFHPHQW YDULDEOH VLJQLILFDQW LQ WKH UHJUHVVLRQ DQDO\VLV ZLWKRXW GLIIHUHQWLDO DVVRFLDWLRQf ZDV HOLPLQDWHG ,QFOXGLQJ WKH EHKDYLRUDO DVSHFW RI GLIIHUHQWLDO DVVRFLDWLRQ GLG QRW DIIHFW WKH HIIHFWV RI WKH RWKHU YDULDEOHV ,W LQFUHDVHG WKH DPRXQW RI H[SODLQHG YDULDQFH RI WKH PRGHO E\ b 7KHUHIRUH WKH YDULDEOH PD\ EH H[FOXGHG RQ WKH JURXQGV RI ORZ UHVSRQVH UDWH WR WKH TXHVWLRQ ZLWKRXW GRLQJ VHYHUH GDPDJH WR WKH RYHUDOO H[SODLQHG YDULDQFH ,WV DEVHQFH IURP WKH UHJUHVVLRQ DQG WKH GLVFULPLQDQW IXQFWLRQ DQDO\VLV

PAGE 104

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b RI WKH YDULDQFH LQ WKH GHSHQGHQW YDULDEOH WKLV LV FDOFXODWHG E\ VTXDULQJ WKH RYHUDOO FDQRQLFDO GLVFULPLQDQW IXQFWLRQ FRHIILFLHQW RI f 7KH IXQFWLRQ

PAGE 105

ZDV VLJQLILFDQW DW WKH OHYHO $V VWDWHG SUHYLRXVO\ ZKHQ WKH GLIIHUHQWLDO DVVRFLDWLRQ PHDVXUH GURSSHG IURP WKH DQDO\VLV ZDV LQFOXGHG LQ WKH IXQFWLRQ WKH DPRXQW RI H[SODLQHG YDULDQFH LQFUHDVHG E\ b 7DEOH LV D OLVW RI WKH VWDQGDUGL]HG FDQRQLFDO GLVFULPLQDQW IXQFWLRQ FRHIILFLHQWV IRU WKH LQGHSHQGHQW YDULDEOHV WKDW PHW WKH VWDWLVWLFDO FULWHULD WR EH LQFOXGHG LQ WKH GLVFULPLQDQW IXQFWLRQ 7KH WDEOH VKRZV WKDW WKH WKUHH VWURQJHVW UHLQIRUFHPHQW YDULDEOHV ZKLFK SUHGLFW XVH DQG QRQXVH RI WKH HPSOR\HH DVVLVWDQFH UHIHUUDO SURFHVV ZHUH f UHLQIRUFHPHQW WKDW VXSHUYLVRUV ZRXOG H[SHULHQFH LI WKH\ SHUVRQDOO\ XVHG WKH HPSOR\HH DVVLVWDQFH SURJUDP IRU D GUXJ SUREOHP ($35(,1'f f UHLQIRUFHPHQW WKDW VXSHUYLVRUV ZRXOG UHFHLYH LI WKH\ UHIHUUHG DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP IRU D GUXJ SUREOHP 5(,1)'f DQG WKH f UHLQIRUFHPHQW VXSHUYLVRUV ZRXOG UHFHLYH LI WKH\ UHIHUUHG DQ HPSOR\HH WR WKH SURJUDP IRU DQ DOFRKRO SUREOHP 5(,1)$f 7KH QH[W WZR VWURQJHVW UHLQIRUFHPHQW YDULDEOHV ZHUH LQVWLWXWLRQDO VXSSRUW ,167683f DQG WKH UHLQIRUFHPHQW VXSHUYLVRUV ZRXOG UHFHLYH LI WKH\ SHUVRQDOO\ XVHG WKH HPSOR\HH DVVLVWDQFH VHUYLFHV IRU DQ HPRWLRQDO SUREOHP ($35(,1(f )LQDOO\ UHFHLYLQJ QR SXQLVKLQJ IHHGEDFN 12381,6+0(17f UHLQIRUFHPHQW IRU SHUVRQDOO\ XVLQJ WKH HPSOR\HH DVVLVWDQFH FRXQVHOLQJ VHUYLFHV IRU DQ DOFRKRO SUREOHP ($35(,1$f DQG WKH UHLQIRUFHPHQW IRU UHIHUULQJ DQ

PAGE 106

HPSOR\HH WR WKH SURJUDP IRU DQ HPRWLRQDO SUREOHP 5(,1)(f ZHUH LQFOXGHG LQ WKH IXQFWLRQ 7DEOH DOVR VKRZV WKH VWDQGDUGL]HG FDQRQLFDO GLVFULPLQDQW IXQFWLRQ FRHIILFLHQWV IRU WKH GHILQLWLRQ YDULDEOHV LQFOXGHG LQ WKH IXQFWLRQ 7KH WZR VWURQJHVW GHILQLWLRQ YDULDEOHV SUHGLFWLQJ XVH DQG QRQXVH RI WKH HPSOR\HH DVVLVWDQFH UHIHUUDO SURFHVV ZHUH WKH SHUFHSWLRQ WKDW DOFRKROLFV RU GUXJ DEXVHUV FRXOG VWRS RQ WKHLU RZQ LI WKH\ ZDQWHG WR 672386(f DQG WKH SHUFHLYHG KHOSIXOQHVV WKDW WKH HPSOR\HH DVVLVWDQFH SURJUDP ZRXOG EH WR WKRVH HPSOR\HHV ZKR HQWHUHG WKH SURJUDP +(/3)8/f 2WKHU GHILQLWLRQ YDULDEOHV LQFOXGHG LQ WKH IXQFWLRQ ZHUH WKH VXSHUYLVRUVn RYHUDOO MRE VDWLVIDFWLRQ -2%6$7f DQG WKH VXSHUYLVRUVn SHUFHSWLRQ RI DOFRKROLVP DQG GUXJ DGGLFWLRQ DV D GLVHDVH ',6($6(f :LWKLQ WKH RYHUDOO VRFLDO OHDUQLQJ PRGHO WKH YDULDEOHV ZKLFK EHVW SUHGLFW XVH DQG QRQXVH RI WKH HPSOR\HH L YDULDEOHV UHLQIRUFHPHQW IRU UHIHUULQJ DQ HPSOR\HH IRU DQ DOFRKRO DQG GUXJ SUREOHP 5(,1)$ 5(,1)'f DQG WKH UHLQIRUFHPHQW IRU SHUVRQDOO\ XVLQJ WKH HPSOR\HH DVVLVWDQFH FRXQVHOLQJ VHUYLFHV IRU D GUXJ SUREOHP ($35(,1'f 7KLV ZRXOG EH FRQVLVWHQW ZLWK WKH VRFLDO FRQWH[W LQ ZKLFK WKH VDPSOH ZDV GUDZQ ,Q KRVSLWDOV WKHUH LV DQ DZDUHQHVV RI WKH LPSDFW WKDW GUXJ DQG DOFRKRO DEXVH FRXOG SOD\ LQ SDWLHQW FDUH 0DQ\ RI WKH SURIHVVLRQDO JURXSV QXUVHV GRFWRUVf

PAGE 107

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

PAGE 108

7DEOH 7KH $FWXDO 1XPEHU $QG 3HUFHQWDJH 2I &DVHV &RUUHFWO\ &ODVVLILHG ,Q 7KH 8VH $QG 1RQXVH *URXSV $QG 7KH 2YHUDOO 3HUFHQWDJH 2I &DVHV &RUUHFWO\ &ODVVLILHG %\ 7KH )XQFWLRQ $FWXDO JURXS FDVHV 3UHGLFWHG 8VH JURXS PHPEHUVKLS 1RQXVH *URXS UHIHUUDOf b b *URXS QRQUHIHUUDOf b b 3HUFHQW RI JURXSHG FDVHV FRUUHFWO\ FODVVLILHG b 1 WKHVH FDVHV RU b 7KH IXQFWLRQ XQVXFFHVVIXOO\ FODVVLILHG VL[ RI WKH FDVHV RU b *URXS WZR LQFOXGHV WKH WKLUW\RQH VXSHUYLVRUV ZKR GLG QRW XVH WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH IXQFWLRQ VXFFHVVIXOO\ FODVVLILHG WZHQW\ FDVHV RU b DQG XQVXFFHVVIXOO\ FODVVLILHG HOHYHQ FDVHV RU b 7KH RYHUDOO SHUFHQW RI JURXS FDVHV FRUUHFWO\ FODVVLILHG ZDV b RU VL[W\WKUHH RI WKH HLJKW\ FDVHV :KLOH WKH SHUFHQW RI JURXS FDVHV FRUUHFWO\ FODVVLILHG E\ WKH GLVFULPLQDQW IXQFWLRQ LV QHDUO\ b D VHSDUDWH DQDO\VLV QHHGV WR EH GRQH WR GHWHUPLQH KRZ PXFK EHWWHU WKDQ FKDQFH WKLV b LV 7KH IRUPXOD WR GHWHUPLQH KRZ PXFK EHWWHU WKDQ FKDQFH WKH IXQFWLRQ SHUIRUPHG LQYROYHV WKH UDWLR EHWZHHQ WKH DFWXDO QXPEHU RI FDVHV FRUUHFWO\ FODVVLILHG

PAGE 109

PLQXV WKH QXPEHU RI FDVHV FRUUHFWO\ FODVVLILHG E\ FKDQFH GLYLGHG E\ WKH WRWDO QXPEHU RI FDVHV PLQXV WKH QXPEHU RI FDVHV FRUUHFWO\ FODVVLILHG E\ FKDQFH 7KH VWDWLVWLFDO FRPSXWDWLRQ QRW VKRZQf LQGLFDWHV WKDW LI RQH ZHUH WR IOLS D FRLQ WKXV KDYLQJ HTXDO RGGV RI SXWWLQJ D VXSHUYLVRU LQ WKH UHIHUUDO RU QRQUHIHUUDO FDWHJRU\ WKH GLVFULPLQDQW IXQFWLRQ GRHV b EHWWHU WKDQ WKH HYHQ RGGV WKDW RQH ZRXOG JHW E\ VLPSO\ IOLSSLQJ D FRLQ 7KXV WKH b RI WKH JURXS FDVHV FRUUHFWO\ FODVVLILHG ZRXOG EH FRQVLGHUHG b EHWWHU WKDQ FKDQFH OHQGLQJ PRUH FUHGLELOLW\ WR WKH UHVXOWV 7KH UHVXOWV RI WKH GLVFULPLQDQW IXQFWLRQ DQDO\VLV VKRZ WKDW WKH VRFLDO OHDUQLQJ PRGHO LV DEOH WR GLVWLQJXLVK EHWZHHQ ZKLFK VXSHUYLVRUV ZLOO XVH WKH HPSOR\HH DVVLVWDQFH SURJUDP DQG ZKLFK VXSHUYLVRUV ZLOO QRW XVH WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KLV LV LQGLFDWHG E\ WKH KLJK FDQRQLFDO FRUUHODWLRQ FRHIILFLHQW DQG E\ WKH KLJK SHUFHQWDJH RI FDVHV FRUUHFWO\ FODVVLILHG E\ WKH IXQFWLRQ DQG WKH IDFW WKDW WKH b RI FDVHV FRUUHFWO\ FODVVLILHG LV b EHWWHU WKDQ FKDQFH 5HJUHVVLRQ $QDO\VLV $QRWKHU ZD\ WR DSSURDFK WKH DQDO\VLV ZDV WR GHWHUPLQH KRZ ZHOO WKH VRFLDO OHDUQLQJ YDULDEOHV FRXOG H[SODLQ KRZ IUHTXHQWO\ VXSHUYLVRUV UHIHUUHG HPSOR\HHV WR WKH HPSOR\HH DVVLVWDQFH SURJUDP UDWKHU WKDQ VLPSO\ UHIHUUDO YHUVXV QR UHIHUUDO $OO RI WKH VDPH YDULDEOHV WKDW ZHUH XVHG LQ WKH GLVFULPLQDQW IXQFWLRQ DQDO\VLV ZHUH HQWHUHG LQWR D

PAGE 110

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f DQG EHOLHI WKDW GUXJ RU DOFRKRO DEXVHUV FRXOG VWRS RQ WKHLU RZQ 672386(f 7ZR DUH UHLQIRUFHPHQW YDULDEOHV LQVWLWXWLRQDO VXSSRUW ,167683f DQG DQWLFLSDWHG UHLQIRUFHPHQW IRU

PAGE 111

7DEOH 5HJUHVVLRQ 2I 1XPEHU 2I (PSOR\HH $VVLVWDQFH 3URJUDP 5HIHUUDOV 2Q 6RFLDO /HDUQLQJ 9DULDEOHV 9DULDEOH %HWD 7 6LJ 7 +(/3)8/ 672386( ,167683 5(,1)( &2167$17 $GMXVWHG 5 6TXDUH $QDO\VLV RI 9DULDQFH ') 6XP RI 6TXDUHV 0HDQ 6TXDUH 5HJUHVVLRQ 5HVLGXDO ) 6LJQLI ) UHIHUULQJ DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 5(,1)(f 7KH PRGHO H[SODLQHG b RI WKH YDULDQFH LQ WKH GHSHQGHQW YDULDEOH 7KXV DV ZLWK WKH GLVFULPLQDQW IXQFWLRQ DQDO\VLV WKH UHJUHVVLRQ DQDO\VLV LQGLFDWHV WKDW WKH VRFLDO OHDUQLQJ PRGHO OHDGV WR VHOHFWLRQ RI YDULDEOHV ZKLFK DUH LPSRUWDQW LQ XQGHUVWDQGLQJ HPSOR\HH DVVLVWDQFH SURJUDP

PAGE 112

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nV RZQ UHVSRQVLELOLW\ OHDGV WR WKH FRQFOXVLRQ WKDW DQ ($3 UHIHUUDO LV XQQHFHVVDU\ 7KH HPSOR\HH VKRXOG VKDSHXS RQ KLVKHU RZQ 7KLV ZRXOG REYLRXVO\ EH LQ DJUHHPHQW ZLWK WKH VWDWHPHQW WKDW VRPHRQH FDQ VWRS LI KHVKH ZDQWV WR D GHILQLWLRQ XQIDYRUDEOH QRW IDYRUDEOH DV RULJLQDOO\ VXSSRVHG WR ($3 UHIHUUDOV 7KH QHJDWLYH EHWD DVVRFLDWHG ZLWK WKH +(/3)8/ YDULDEOH LQGLFDWHV WKDW WKHUH LV DQ LQYHUVH UHODWLRQVKLS EHWZHHQ WKH SHUFHSWLRQ RI KRZ KHOSIXO WKH SURJUDP ZLOO EH DQG WKH QXPEHU RI

PAGE 113

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

PAGE 114

VLJQLILFDQW LQ WKH VXSHUYLVRUVn GHFLVLRQV WR UHIHU RU QRW WR UHIHU DQG LQ WKH IUHTXHQF\ ZLWK ZKLFK UHIHUUDOV DUH PDGH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP LQ D KRVSLWDO RUJDQL]DWLRQ :LWKLQ WKH VRFLDO OHDUQLQJ PRGHO WKH UHLQIRUFHPHQW YDULDEOHV SURYH WR EH WKH PRVW LPSRUWDQW YDULDEOHV 6XSSRUW ZDV TXDOLILHG VRPHZKDW E\ WKH ILQGLQJ WKDW WKH UHODWLRQVKLS EHWZHHQ WKH SHUFHSWLRQ RI KHOSIXOQHVV RI WKH SURJUDP SUHVXPHG WR EH D GHILQLWLRQ IDYRUDEOH WR UHIHUUDOf ZDV LQYHUVHO\ UHODWHG WR WKH IUHTXHQF\ RI HPSOR\HH DVVLVWDQFH SURJUDP UHIHUUDOV

PAGE 115

&+$37(5 5(68/76 $1' ',6&866,21 2) 7+( /$%(//,1* $1$/<6,6 /DEHOOLQJ 9DULDEOHV 7KH DQDO\VLV LQ WKLV QH[W FKDSWHU FRQFHUQV WKH ODEHOOLQJ YDULDEOHV 5HFDOO WKDW WKH ODEHOOLQJ SHUVSHFWLYH HPSKDVL]HV WKH WHQGHQF\ IRU VRFLDO FRQWURO GHFLVLRQV WR EH EDVHG PRUH RQ UHODWLYH SRZHU DQG SRVLWLRQ DV LQGLFDWHG E\ WKH VRFLDO FKDUDFWHULVWLFV WKDQ RQ WKH EHKDYLRU RI WKRVH EHLQJ ODEHOOHG /DEHOOLQJ WKHRU\ ZRXOG K\SRWKHVL]H WKDW WKRVH HPSOR\HHV UHIHUUHG WR WKH HPSOR\HH DVVLVWDQFH SURJUDP ZRXOG KDYH IHZHU VRFLDO UHVRXUFHV DQG SRZHU WKDQ WKRVH ZKR ZHUH QRW HYHQ WKRXJK WKHLU GUXJ DOFRKRO RU RWKHU SUREOHPV ZHUH VLPLODU 7KRVH ZLWK OHVV VRFLDO SRZHU DUH DVVXPHG WR EH XQDEOH WR DYRLG WKH ODEHO RI QHHGLQJ KHOS DQG OHVV DEOH WR DYRLG WKH UHIHUUDO WR WKH HPSOR\HH DVVLVWDQFH SURJUDP LI WKHLU SUREOHPV EHFRPH NQRZQ WR D VXSHUYLVRU $V QRWHG KRZHYHU ZH KDYH QR PHDVXUHV RI WKH VRFLDO FKDUDFWHULVWLFV RI WKRVH QRW UHIHUUHG DQG WKH PHDVXUHV RI WKRVH ZKR ZHUH UHIHUUHG DUH OLPLWHG 7KHUHIRUH RXU DQDO\VLV RI UHIHUUDOV IURP D ODEHOOLQJ SHUVSHFWLYH LV OLPLWHG

PAGE 116

6L[ PHDVXUHV RI WKH VRFLDO FKDUDFWHULVWLFV RI WKRVH UHIHUUHG ZHUH XVHG LQ WKLV VWXG\ 7KHVH DUH WKH UHIHUUHG HPSOR\HHn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b FRPLQJ IURP WKH XQVNLOOHG DQG OHVV WKDQ b IURP WKH VXSHUYLVRU\ OHYHO 7DEOH )UHTXHQF\ 'LVWULEXWLRQ 2I 7KH -RE &ODVVLILFDWLRQ )RU 7KH /DVW 5HIHUUDO 2I $Q (PSOR\HH 7R 7KH (PSOR\HH $VVLVWDQFH 3URJUDP -RE &ODVVLILFDWLRQ 3HUFHQW 8QVNLOOHG 6NLOOHG 3URIHVVLRQDO 6XSHUYLVRU\ 727$/ 0HDQ 6WG 'HY

PAGE 117

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b FRPLQJ IURP WKH RWKHU FDWHJRU\ ZKLFK LQFOXGHG EODFN +LVSDQLF DQG RWKHU 0RVW ZRUNHUV LQ WKH WZR KRVSLWDOV DUH ZKLWH H[DFW SHUFHQWDJHV XQDYDLODEOHf DQG WKLV GLVWULEXWLRQ GRHV QRW LQGLFDWH D GLVSURSRUWLRQDWH QXPEHU RI ZKLWH RU QRQZKLWH HPSOR\HHV DPRQJ WKH UHIHUUDOV 7KLV LV

PAGE 118

7DEOH )UHTXHQF\ 'LVWULEXWLRQ )RU *HQGHU 5DFH $QG 0DULWDO 6WDWXV 2I 7KH /DVW 5HIHUUDO 2I $Q (PSOR\HH 7R 7KH (PSOR\HH $VVLVWDQFH 3URJUDP *HQGHU 3HUFHQW 0DOH )HPDOH 727$/ 0HDQ 6WG 'HY 1 5DFH 3HUFHQW 2WKHU :KLWH 727$/ 0HDQ 6WG 'HY 1 PLVVLQJ FDVHf 0DULWDO 6WDWXV 3HUFHQW 2WKHU 0DUULHG 727$/ 0HDQ 6WG 'HY 1

PAGE 119

LQFRQVLVWHQW ZLWK ZKDW LV H[SHFWHG E\ WKH ODEHOOLQJ SHUVSHFWLYH VLQFH QRQZKLWHV DUH VHHQ DV KDYLQJ IHZHU VRFLDO UHVRXUFHV DQG OHVV SRZHU DQG ZRXOG KDYH KLJKHU UDWHV RI UHIHUUDO 7DEOH DOVR VKRZV WKH PDULWDO VWDWXV RI WKH HPSOR\HHV UHIHUUHG WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH KLJKHU SHUFHQWDJH RI WKRVH UHIHUUHG ZHUH LQ WKH RWKHU FDWHJRU\ VLQJOH GLYRUFHG RU ZLGRZHG 7KLV JURXS FRQVWLWXWHG DSSUR[LPDWHO\ b RI WKRVH ZKR ZHUH UHIHUUHG WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KLV LV FRQVLVWHQW ZLWK WKH ODEHOOLQJ SHUVSHFWLYH VLQFH WKRVH ZKR DUH QRW PDUULHG DUH VHHQ DV KDYLQJ OHVV VRFLDO SRZHU DQG UHVRXUFHV DQG WKXV PRUH HDVLO\ ODEHOOHG +RZHYHU KDYH QR GDWD RQ WKH GLVWULEXWLRQ E\ PDULWDO VWDWXV DPRQJ HPSOR\HHV 7KH KLJK WXUQRYHU LQ D KRVSLWDO VHWWLQJ DV ZHOO DV LQ WKH QXUVLQJ SURIHVVLRQf PHDQV D KLJK SHUFHQWDJH DUH \RXQJ DQG XQPDUULHG DQG WKLV LV UHIOHFWHG LQ WKH SHUFHQW RI UHIHUUDOV ZKR DUH XQPDUULHG 7DEOH SUHVHQWV WKH IUHTXHQF\ GLVWULEXWLRQ IRU WKH HGXFDWLRQDO OHYHO RI WKRVH HPSOR\HHV ZKR ZHUH UHIHUUHG WR WKH HPSOR\HH DVVLVWDQFH SURJUDP $ GLVSURSRUWLRQDWH QXPEHU RI WKH HPSOR\HHV ZKR ZHUH UHIHUUHG KDG DWWHQGHG VRPH FROOHJH b KROGLQJ DQ $VVRFLDWH 'HJUHH RU KLJKHU 2Q WKH VXUIDFH WKLV LV FRQWUDU\ WR ZKDW WKH ODEHOOLQJ SHUVSHFWLYH ZRXOG H[SHFW WKDW WKH OHVV HGXFDWHG ZRXOG KDYH IHZHU VRFLDO UHVRXUFHV DQG OHVV SRZHU DQG WKHUHIRUH DUH PRUH OLNHO\ WR

PAGE 120

EH UHIHUUHG +RZHYHU WKH GLVWULEXWLRQ LV FRQVLVWHQW ZLWK WKH IDFW WKDW D KLJK SURSRUWLRQ RI HPSOR\HHV DUH VNLOOHG DQG SURIHVVLRQDO SHRSOH DQG WKH UHIHUUDOV PD\ VLPSO\ UHIOHFW WKH JHQHUDO HGXFDWLRQDO OHYHO RI HPSOR\HHV LQ ERWK KRVSLWDOV 7DEOH )UHTXHQF\ 'LVWULEXWLRQ 2I (GXFDWLRQDO /HYHO )RU 7KH /DVW 5HIHUUDO 2I $Q (PSOR\HH 7R 7KH (PSOR\HH $VVLVWDQFH 3URJUDP (GXFDWLRQ /HYHO b 3HUFHQW /HVV WKDQ +6 +6 JUDG 6RPH FROOHJH $$ RU HTXLYDOHQW %$%6 RU HTXLYDOHQW *UDG RU SURIHVVLRQDO GHJUHH 727$/ 0HDQ 6WG 'HY 1 7DEOH SUHVHQWV WKH GLVWULEXWLRQ FRQFHUQLQJ WKH OHQJWK RI HPSOR\PHQW RI WKRVH ZKR ZHUH UHIHUUHG WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KH PDMRULW\ RI WKH HPSOR\HHV ZKR ZHUH UHIHUUHG KDG IRXU RU OHVV \HDUV RQ WKH MRE ZLWK b RI WKRVH KDYLQJ RQH \HDU RU OHVV )URP D ODEHOOLQJ SHUVSHFWLYH WKLV ZRXOG EH H[SHFWHG VLQFH QHZ KLUHV RQ WKH

PAGE 121

,OO MRE PHDQV OHVV SRZHU +RZHYHU LW FRXOG EH D UHIOHFWLRQ RI WKH KLJKHU WXUQRYHU UDWH IRXQG DPRQJ KRVSLWDO HPSOR\HHV 7DEOH )UHTXHQF\ 'LVWULEXWLRQ 2I /HQJWK 2I (PSOR\PHQW ,Q
PAGE 122

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f WKH VHYHULW\ RI WKH SUREOHP WKDW WKH HPSOR\HH ZDV H[SHULHQFLQJ WKDW SURPSWHG D UHIHUUDO WR WKH HPSOR\HH DVVLVWDQFH SURJUDP f WKH H[WHQW WR ZKLFK WKH HPSOR\HHnV MRE ZDV DGYHUVHO\ DIIHFWHG E\ WKH SULPDU\ SUREOHP f WKH DPRXQW RI SUHVVXUH DSSOLHG E\ WKH VXSHUYLVRU WRZDUGV WKH HPSOR\HH WR JR WR WKH HPSOR\HH DVVLVWDQFH SURJUDP DQG f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

PAGE 123

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bf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

PAGE 124

7DEOH VKRZV WKH IUHTXHQF\ GLVWULEXWLRQ IRU WKH UHVSRQVHV WR WKH TXHVWLRQ DVNHG RI WKH VXSHUYLVRUV ZKR UHIHUUHG DQ HPSOR\HH WR WKH HPSOR\HH DVVLVWDQFH SURJUDP RQ WKH H[WHQW WR ZKLFK WKH HPSOR\HHnV MRE SHUIRUPDQFH ZDV DIIHFWHG E\ WKH SULPDU\ SUREOHP 7KH VXSHUYLVRUV UHVSRQGHG WR D IRXUSRLQW /LNHUW VFDOH UDQJLQJ IURP JUHDWO\ DIIHFWHG WR QRW DIIHFWHG -XVW XQGHU b RI WKH VXSHUYLVRUV LQGLFDWHG WKDW WKH MRE SHUIRUPDQFH RI WKH HPSOR\HH WKDW ZDV UHIHUUHG WR WKH HPSOR\HH DVVLVWDQFH SURJUDP ZDV VRPHZKDW DIIHFWHG E\ WKH SULPDU\ SUREOHP 2QO\ D IHZ VXSHUYLVRUV IHOW WKDW WKH MRE SHUIRUPDQFH ZDV PLQLPDOO\ DIIHFWHG DQG D VLJQLILFDQW QXPEHU RI VXSHUYLVRUV IHOW WKDW WKH MRE SHUIRUPDQFH ZDV JUHDWO\ DIIHFWHG 7DEOH )UHTXHQF\ 'LVWULEXWLRQ )RU ([WHQW 7KDW 7KH (PSOR\HHnV -RE 3HUIRUPDQFH :DV $IIHFWHG %\ 7KH 3ULPDU\ 3UREOHP )RU :KLFK 7KH (PSOR\HH :DV 5HIHUUHG 7R 7KH (PSOR\HH $VVLVWDQFH 3URJUDP (IIHFW RQ -RE 3HUFHQW *UHDWO\ DIIHFWHG 6RPHZKDW DIIHFWHG 0LQLPDOO\ DIIHFWHG 727$/ 0HDQ 6WG 'HY 1 PLVVLQJ FDVHf

PAGE 125

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nV RU GUXJ DEXVHUn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b RI WKH HPSOR\HHV ZHUH HLWKHU VWURQJO\ HQFRXUDJHG RU IRUFHG WR JR WR WKH HPSOR\HH DVVLVWDQFH SURJUDP $ PDMRULW\ RI WKH HPSOR\HHV VHQW WR WKH HPSOR\HH DVVLVWDQFH SURJUDP ZHUH HLWKHU PLQLPDOO\ HQFRXUDJHG WR JR RU YROXQWDULO\ HQWHUHG WKH SURJUDP 7KLV FRQWUDGLFWV WKH DVVXPSWLRQ WKDW WKH VHYHULW\ RI WKH SUREOHP LV WKH SULPDU\ UHDVRQ ZK\ D UHIHUUDO LV PDGH DOWKRXJK WKH UHVXOW LV QRW DV LPSRUWDQW DV WKH ILUVW WZR

PAGE 126

7DEOH )UHTXHQF\ 'LVWULEXWLRQ )RU 'HJUHH 2I 3UHVVXUH 8VHG %\ 7KH 6XSHUYLVRU 7R *HW 7KH /DVW 5HIHUUDO 7R 7KH (PSOR\HH $VVLVWDQFH 3URJUDP 'HJUHH RI 3UHVVXUH 3HUFHQW )RUFHG WR JR 6WURQJO\ SUHVVXUHG VRPHZKDW SUHVVXUHG 0LQLPDOO\ SUHVVXUHG 9ROXQWDU\ 727$/ 0HDQ 6WG 'HY 1 YDULDEOHV GLVFXVVHG DERYH ,W LV SRVVLEOH WKDW EHFDXVH WKH VHYHULW\ RI WKH SUREOHP DQG WKH ZD\ WKH SUREOHP ZDV DIIHFWLQJ WKH HPSOR\HHnV MRE ZDV REYLRXV WR WKH HPSOR\HH EHLQJ UHIHUUHG GHQLDO QRW EHLQJ DV LPSRUWDQW DV H[SHFWHGf WKHUH ZDV OLWWOH UHVLVWDQFH WR JR WR WKH HPSOR\HH DVVLVWDQFH SURJUDP RQ WKH SDUW RI WKH HPSOR\HH 7KH ODVW YDULDEOH PHDVXUHV WKH QXPEHU RI QHJDWLYH MRE UHODWHG EHKDYLRUV DVVRFLDWHG ZLWK WKH ODVW UHIHUUDO WR WKH HPSOR\HH DVVLVWDQFH SURJUDP 7KHUH ZHUH HLJKW QHJDWLYH MRE UHODWHG EHKDYLRUV WKDW WKH VXSHUYLVRU FRXOG LQGLFDWH ZHUH DVVRFLDWHG ZLWK WKHLU ODVW UHIHUUDO WR WKH HPSOR\HH DVVLVWDQFH SURJUDP ,QFOXGHG LQ WKH OLVW RI QHJDWLYH MRE UHODWHG EHKDYLRUV ZHUH DEVHQWHHLVP KLJK UDWH RI DFFLGHQWV

PAGE 127

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n WR UHIHU PRUH IHPDOHV QRQZKLWHV DQG WKRVH ZLWK XQVNLOOHG MREV UHJDUGOHVV RI WKH VHYHULW\ RI WKH SUREOHP GLIIHUHQWLDO UHIHUUDO ZRXOG EH HVSHFLDOO\ H[SHFWHG ZKHQ WKH SUREOHP LV PLQLPDOO\ VHYHUH 7DEOH LQGLFDWHV WKDW IHPDOHV QRQZKLWHV DQG WKRVH LQ XQVNLOOHG MREV ZHUH QRW UHIHUUHG GLVSURSRUWLRQDWHO\ ZKHQ WKH SUREOHP UHIHUUHG IRU ZDV PLQLPDOO\ VHYHUH RU QRW VHYHUH

PAGE 128

7DEOH )UHTXHQF\ 'LVWULEXWLRQ 2I 7KH 1XPEHU 2I 1HJDWLYH -RE 5HODWHG %HKDYLRUV $VVRFLDWHG :LWK 7KH /DVW 5HIHUUDO 2I $Q (PSOR\HH 7R 7KH (PSOR\HH $VVLVWDQFH 3URJUDP 1XPEHU RI 1HJDWLYH %HKDYLRUV 3HUFHQW 727$/ 0HDQ 6WG 'HY 1 ,Q DGGLWLRQ WKH FKLVTXDUH IRU HDFK FURVVWDEXODWLRQ LV QRQn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

PAGE 129

7DEOH &URVVWDEXODWLRQ 2I 7KH *HQGHU 5DFH $QG -RE &ODVVLILFDWLRQ :LWK 7KH 6HYHULW\ 2I 7KH 3UREOHP )RU 7KH /DVW 5HIHUUDO 2I $Q (PSOR\HH 7R 7KH (PSOR\HH $VVLVWDQFH 3URJUDP 6HYHULW\ RI 3UREOHP 9HU\ 6RPHZKDW 0LQLPDOO\ 1RW 5RZ 6HYHUH 6HYHUH 6HYHUH 6HYHUH 6HYHUH 7RWDO *(1'(5 0DOH )HPDOH &ROXPQ 7RWDO &KL6TXDUH ') 6LJQLILFDQFH 0LQ () &HOOV ZLWK () RI bf 1

PAGE 130

7DEOH f§&RQWLQXHG 9HU\ 6HYHUH 6HYHUH 6HYHULW\ RI 3UREOHP 6RPHZKDW 0LQLPDOO\ 6HYHUH 6HYHUH 1RW 6HYHUH 5RZ 7RWDO 5$&( 1RQ:KLWH :KLWH &ROXPQ 7RWDO &KL6TXDUH ') 6LJQLILFDQFH 0LQ () &HOOV ZLWK () RI bf 1 PLVVLQJ FDVHf

PAGE 131

7DEOH f§&RQWLQXHG 6HYHULW\ RI 3UREOHP 9HU\ 6HYHUH 6HYHUH 6RPHZKDW 0LQLPDOO\ 6HYHUH 6HYHUH 1RW 6HYHUH 5RZ 7RWDO -2% &/$66,),&$7,21 f 8QVNLOOHG 6NLOOHG 3URIHVVLRQDO 6XSHUYLVRU\ &ROXPQ 7RWDO &KL6TXDUH ') 6LJQLILFDQFH 0LQ () &HOOV ZLWK () f 2I bf 1

PAGE 132

ZKR ZLOO EH UHIHUUHG WR WKH SURJUDP &OHDUO\ LQ RUGHU WR GR DQ LQGHSWK DQDO\VLV RI WKH ODEHOOLQJ SHUVSHFWLYH D UHVHDUFK LQVWUXPHQW ZRXOG KDYH WR EH FRQVWUXFWHG WKDW SRVVHVVHG D VHULHV RI YDOLG PHDVXUHV FRQFHUQLQJ ODEHOOLQJ FRQWUROOLQJ IRU WKH VHYHULW\ RI WKH SUREOHP 7KHVH PHDVXUHV FDQ QRZ EH HQWHUHG LQWR D PRUH VRSKLVWLFDWHG VWDWLVWLFDO DQDO\VLV WKDQ ZDV SRVVLEOH KHUH

PAGE 133

&+$37(5 &21&/86,216 $1' ,03/,&$7,216 )25 32/,&< $1' 5(6($5&+ ,W KDV EHHQ VKRZQ WKDW VXSHUYLVRUV SOD\ DQ LPSRUWDQW UROH LQ HPSOR\HH DVVLVWDQFH SURJUDPV 7KH\ DUH LQ D SRVLWLRQ WR HYDOXDWH DQ HPSOR\HHnV MRE SHUIRUPDQFH DQG PDNH D UHFRPPHQGDWLRQ WR WKH HPSOR\HH WR VHHN KHOS WR GHDO ZLWK WKH DOFRKRO GUXJ RU HPRWLRQDO SUREOHP WKDW PD\ EH WKH FDXVH RI WKH SRRU MRE SHUIRUPDQFH %HFDXVH WKH VXSHUYLVRUn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

PAGE 134

GR QRW DV ZHOO DV H[SODLQLQJ WKH IUHTXHQF\ LQ ZKLFK VXSHUYLVRUV UHIHU 7KH VRFLDO OHDUQLQJ YDULDEOHV ZHUH IRXQG WR H[SODLQ VXSHUYLVRUVn UHIHUUDO GHFLVLRQV 7KH UHLQIRUFHPHQW WKDW VXSHUYLVRUV DQWLFLSDWHG UHFHLYLQJ LI WKH\ UHIHUUHG DQ HPSOR\HH WR WKH SURJUDP DQG WKH UHLQIRUFHPHQW WKH VXSHUYLVRUV DQWLFLSDWHG UHFHLYLQJ IRU SHUVRQDOO\ XVLQJ WKH VHUYLFHV RI WKH HPSOR\HH DVVLVWDQFH SURJUDP SURYHG WR EH PRVW VLJQLILFDQW IRU H[SODLQLQJ XVH DQG QRQXVH E\ WKH VXSHUYLVRUV ,Q DGGLWLRQ WKH RUJDQL]DWLRQDO VXSSRUW IRU WKH SURJUDP DQG WKH SHUFHLYHG KHOSIXOQHVV RI WKH SURJUDP WR WKH HPSOR\HHV UHIHUUHG DOVR KHOSHG WR H[SODLQ VXSHUYLVRUVn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

PAGE 135

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n HPSOR\HH DVVLVWDQFH SURJUDP UHIHUUDOV 7KH ODEHOOLQJ SHUVSHFWLYH ZDV QRW SDUWLFXODUO\ XVHIXO DOWKRXJK LW VKRXOG EH QRWHG WKDW WKH GDWD GLG QRW DOORZ IRU DQ DGHTXDWH DQDO\VLV RI WKH ODEHOOLQJ YDULDEOHV 3ROLF\ ,PSOLFDWLRQV %DVHG RQ WKH UHVHDUFK ILQGLQJV WKHUH DUH D QXPEHU RI SROLF\ UHFRPPHQGDWLRQV WR HQFRXUDJH PRUH VXSHUYLVRU\ SDUWLFLSDWLRQ LQ WKH SURJUDP 0DQDJHUV QHHG WR EH DZDUH WKDW WKH GHJUHH RI VXSSRUW IRU WKH SURJUDP E\ PDQDJHPHQW DSSHDUV WR EH YHU\ LPSRUWDQW ,QQRYDWLYH ZD\V RI

PAGE 136

FRPPXQLFDWLQJ VXSSRUW IRU WKH SURJUDP QHHG WR EH GHYHORSHG WR OHW WKH VXSHUYLVRUV NQRZ WKDW WKH RUJDQL]DWLRQ ZDQWV DQG H[SHFWV WKH VXSHUYLVRUV WR LQWHJUDWH WKH SURJUDPn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

PAGE 137

SURJUDP 7KH JURXS GLVFXVVLRQ FRXOG FRQVLVW RI WKH JURXS OHDGHU UHODWLQJ WR WKH RWKHU VXSHUYLVRUV ZKDW WKH SURFHVV RI UHIHUULQJ DQ HPSOR\HH ZDV OLNH DQG WKH EHQHILWV WKDW WKH HPSOR\HH VXSHUYLVRU DQG RUJDQL]DWLRQ UHFHLYHG EHFDXVH RI WKH UHIHUUDO 7KH IRFXV RI WKH WUDLQLQJ ZRXOG EH OHVV RQ FRQWHQW HGXFDWLRQ DQG LQIRUPDWLRQ DERXW GUXJV DOFRKRO DQG HPRWLRQDO SUREOHPVf DQG PRUH RQ WKH SURFHVV DQG RXWFRPH EHQHILWVf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

PAGE 138

HPSOR\HH LPSURYHPHQW IRU WKH GLIIHUHQW SUREOHPV DQ HPSOR\HH FDQ EH UHIHUUHG IRU ,W LV VWUHVVHG LQ WKH VXSHUYLVRU\ WUDLQLQJ WKDW HPSOR\HHV ZKR DUH H[SHULHQFLQJ D GUXJ RU DOFRKRO SUREOHP ZLOO GHQ\ WKDW WKH\ KDYH D SUREOHP 7KHUH LV UHDVRQ WR EHOLHYH WKDW WKH FRQFHSW RI GHQLDO PD\ KDYH RXWOLYHG LWV XVHIXOQHVV %HFDXVH WKH UHLQIRUFHPHQW E\ WKH RUJDQL]DWLRQ DQG IURP RWKHU HPSOR\HHV ZDV D SRZHUIXO SUHGLFWRU RI VXSHUYLVRUVn UHIHUUDO EHKDYLRU LW PD\ EH WKDW WKH VDPH W\SH RI UHLQIRUFHPHQW ZLOO PRWLYDWH HPSOR\HHV WR VHHN KHOS IRU DQ DOFRKRO RU GUXJ SUREOHP RQ D VHOIUHIHUUDO EDVLV :KLOH WKH SUHVHQW VWXG\ GLG QRW VSHFLILFDOO\ DGGUHVV WKLV LVVXH LW PD\ EH WKDW WKLV OLQH RI UHDVRQLQJ FDQ EH LQFOXGHG LQ IXWXUH HPSOR\HH DVVLVWDQFH SURJUDP UHVHDUFK $OWKRXJK QRW VWXGLHG KHUH D UHYLHZ RI WKH OLWHUDWXUH LQGLFDWHV WKDW VXSHUYLVRUVn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

PAGE 139

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

PAGE 140

,PSOLFDWLRQV )RU )XWXUH 5HVHDUFK )XWXUH UHVHDUFK ZKLFK XVHV WKH VRFLDO OHDUQLQJ DQG ODEHOOLQJ YDULDEOHV WR H[SODLQ VXSHUYLVRUVn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n UHIHUUDOV ,W PD\ DOVR EH KHOSIXO WR LQGHSHQGHQWO\ PHDVXUH WKH SHUFHLYHG KHOSIXOQHVV DV UHSRUWHG E\ WKH VXSHUYLVRUV DQG HPSOR\HHV ZKR KDYH HQWHUHG WKH SURJUDP WR GHWHUPLQH LI WKH\ SHUFHLYH WKH KHOSIXOQHVV RI WKH SURJUDP GLIIHUHQWO\ 7KLV ZRXOG DOVR EH D ZD\ RI GHWHUPLQLQJ LI WKH SURJUDP LV HIIHFWLYH DW DOO

PAGE 141

6LQFH GLIIHUHQWLDO DVVRFLDWLRQ LV VXFK DQ LPSRUWDQW DVSHFW RI VRFLDO OHDUQLQJ WKHRU\ WKH UHVHDUFK LQVWUXPHQW QHHGV WR EH SUHWHVWHG ZLWK D ODUJHU VDPSOH WR WU\ DQG GHWHUPLQH ZK\ WKHUH ZHUH VR PDQ\ QRQUHVSRQVHV WR WKH TXHVWLRQ 7KH TXHVWLRQ VKRXOG EH SODFHG LQ D GLIIHUHQW SODFH LQ WKH LQVWUXPHQW WR GHWHUPLQH LI WKH SODFHPHQW RI WKH TXHVWLRQ ZDV WKH SUREOHP %HFDXVH RI WKH VWUHQJWK RI WKH RUJDQL]DWLRQDO VXSSRUW PHDVXUH IXWXUH UHVHDUFK QHHGV WR H[DPLQH ZKLFK VSHFLILF EHKDYLRUV RQ WKH SDUW RI PDQDJHPHQW DUH VHHQ DV EHLQJ WKH PRVW VXSSRUWLYH RI WKH SURJUDP )RU H[DPSOH VHSDUDWH TXHVWLRQV FRXOG DVN DERXW PDQDJHPHQWnV LQYROYHPHQW LQ WUDLQLQJ QHZVOHWWHUV RU GLUHFW SDUWLFLSDWLRQ LQ WKH )XWXUH UHVHDUFK VKRXOG DOVR DGGUHVV WKH TXHVWLRQ RI ZKHWKHU NQRZOHGJH JDLQHG E\ WKH WUDLQLQJ RU WKH UHLQIRUFHPHQW LV PRUH LPSRUWDQW LQ GHWHUPLQLQJ VXSHUYLVRU UHIHUUDO EHKDYLRU $OVR EHWWHU PHDVXUHV FRQFHUQLQJ WKH LQWHJUDWLRQ RI WKH VXSHUYLVRUVn HPSOR\HH DVVLVWDQFH UROH LQWR WKHLU JHQHUDO VXSHUYLVRU\ UHVSRQVLELOLWLHV QHHGV WR EH H[SORUHG )LQDOO\ WKH SUHVHQW UHVHDUFK ZDV OLPLWHG WR WKH VRFLDO FKDUDFWHULVWLFV RI WKH ODVW UHIHUUDO $ PRUH WKRURXJK H[DPLQDWLRQ RI ODEHOOLQJ FRXOG EH GRQH LI WKH VRFLDO FKDUDFWHULVWLFV RI DOO WKRVH HPSOR\HHV UHIHUUHG FRXOG EH VDPSOHG IURP WKH FRXQVHORU SURYLGLQJ WKH FRXQVHOLQJ VHUYLFHV 7KLV ZRXOG SURYLGH D EHWWHU RSSRUWXQLW\ WR

PAGE 142

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n UHIHUUDOV EXW RWKHU DVSHFWV RI ($3nV VKRXOG OHDG WR D EHWWHU XQGHUVWDQGLQJ RI ZKHQ VXFK SURJUDPV IXQFWLRQ ZHOO DQG ZKHQ WKH\ GR QRW

PAGE 143

$33(1',; $ 683(59,625n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nV DWWHQGDQFH 8QGHU WKH HPSOR\HH DVVLVWDQFH SURJUDP JXLGHOLQHV DEVHQWHHLVP LV D MRE SHUIRUPDQFH SUREOHP QR PDWWHU KRZ HIIHFWLYH WKH HPSOR\HH PD\ DSSHDU WR EH ZKLOH DW ZRUN -RKQnV VXSHUYLVRU $OODQ -RQHV GHFLGHV WR LQTXLUH DERXW -RKQnV FXUUHQW GHYLDWLRQ IURP KLV QRUPDO SDWWHUQ RI ZRUN $OODQ -RKQ P\ UHFRUGV VKRZ WKDW DIWHU JRLQJ IRU VL[ \HDUV ZLWK KDUGO\ PLVVLQJ ZRUN \RX KDYH DOUHDG\ EHHQ DEVHQW VL[ WLPHV WKLV \HDU ,V WKHUH VRPH SUREOHP ZH FDQ KHOS \RX ZLWK" -RKQ 1R $OODQ LWnV MXVW D WHPSRUDU\ WKLQJ DQG FDQ WDNH FDUH RI LW P\VHOI $OODQ :HOO WKDWnV ILQH -RKQf§, PHDQ WKDW \RX FDQ WDNH FDUH RI LWf§EHFDXVH \RXnUH LPSRUWDQW WR RXU ZRUN LQ WKH 'HSDUWPHQW :H ZDQW \RX WR

PAGE 144

NQRZ WKDW ZHnUH ZLOOLQJ WR KHOS \RX WKRXJK LI WKHUHnV VRPH SUREOHP FDXVLQJ \RX WR PLVV ZRUN 7KH VXSHUYLVRU GRHV QRW KDYH PXFK FKRLFH EXW WR DFFHSW WKH HPSOR\HHnV SURPLVH DW IDFH YDOXH DQG REVHUYH ZKHWKHU RU QRW KH UHDOO\ FDQ UHVROYH WKH SUREOHP RQ KLV RZQ /HWn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nW KDG WKDW SUREOHP LQ WKH SDVW ,Q 0D\ \RX GLGQnW PLVV DQ\ ZRUN EXW LQ -XQH \RX PLVVHG DQRWKHU GD\ DQG QRZ \HVWHUGD\ \RX ZHUH RII ZRUN DJDLQ -RKQ \RXnUH D YDOXDEOH HPSOR\HHf§WKH 'HSDUWPHQW QHHGV \RXf§DQG ZH GRQnW ZDQW WR ORVH \RXU VHUYLFHV DV DQ HPSOR\HH ZRQnW KDYH DQ\ FKRLFH KRZHYHU XQOHVV VRPHWKLQJ LV GRQH DERXW \RXU UHFHQW DWWHQGDQFH SDWWHUQ 1RZ LWnV QRQH RI P\ EXVLQHVV ZKDW WKH FDXVH RI \RXU DEVHQWHHLVP LVf§HYHQ LI GLG NQRZ ZKDW WKH FDXVH LV ,nP QRW VXUH FRXOG DGYLVH \RX SURSHUO\ 6R ZDQW \RX WR WDNH DGYDQWDJH RI D UHVRXUFH RXU 'HSDUWPHQW KDV PDGH DYDLODEOH WR DOO HPSOR\HHV ZDQW \RX WR JR DQG WDON ZLWK WKH (PSOR\HH $VVLVWDQFH &RRUGLQDWRU DW WKLV PRUQLQJ ,nYH DOUHDG\ PDGH DQ DSSRLQWPHQW IRU \RX WR VHH KLP 7KH ($3 &RRUGLQDWRU KDV ZRUNHG YHU\ VXFFHVVIXOO\ ZLWK D QXPEHU RI HPSOR\HHV ZKR KDYH KDG MRE SHUIRUPDQFH SUREOHPV VLPLODU WR \RXUV

PAGE 145

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nV VDWLVIDFWLRQ ,I DQ HPSOR\HH GRHV QRW PHHW FULWHULD RI +565 QRUPDO SHUVRQQHO DFWLRQV VKRXOG EH WDNHQ 2QH ILQDO SRLQW 7KH 'HSDUWPHQW UHFRJQL]HV WKDW HPSOR\HHV KDYH SUREOHPV 2XU FRQFHUQ LV QRW WR MXGJH D SHUVRQ QRU HYHQ WKH IDFW WKDW D SUREOHP H[LVWV 2XU FRQFHUQ LV ZKHQ WKH SUREOHP DIIHFWV MRE SHUIRUPDQFH DQG ZKHWKHU VRPHWKLQJ LV EHLQJ GRQH WR FRUUHFW WKH VLWXDWLRQ :H ZDQW WR KHOS
PAGE 146

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rf 3OHDVH UHVSRQG WR WKH TXHVWLRQV E\ SODFLQJ DQ ; RQ WKH OLQH f RU LQ WKH EUDFNHWV > @f QH[W WR WKH UHVSRQVH ZKLFK FRPHV FORVHVW WR EHLQJ WUXH IRU \RX $ IHZ TXHVWLRQV DVN WKDW \RX ZULWH D ZRUG QXPEHU RU EULHI GHVFULSWLRQ

PAGE 147

)RU WKH SXUSRVH RI WKLV VWXG\ UHIHUUDO WR WKH HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP LV GHILQHG DV WKRVH HPSOR\HHV WKDW SDUWLFLSDWH LQ HLWKHU WKH SURIHVVLRQDO FRXQVHOLQJ WKDW LV DYDLODEOH RXWVLGH WKH KRVSLWDO RU WKRVH UHIHUUDOV WKDW DUH KDQGOHG LQWHUQDOO\ ZLWKLQ WKH KRVSLWDO 5HIHUUDOV KDQGOHG ZLWKLQ WKH KRVSLWDO DUH HPSOR\HHV \RX UHIHU WR \RXU VXSHUYLVRU SHUVRQQHO RU DQ\ RWKHU SHUVRQ RU GHSDUWPHQW LQ WKH KRVSLWDO WKDW GHDO ZLWK HPSOR\HHV ZKR DUH H[SHULHQFLQJ DOFRKRO GUXJ RU SHUVRQDOHPRWLRQDO SUREOHPV WKDW DUH LQWHUIHULQJ ZLWK WKH HPSOR\HHnV ZRUN SHUIRUPDQFH 7KDQN \RX IRU \RXU SDUWLFLSDWLRQ r 7KH VXUYH\ ZLOO EHJLQ E\ DVNLQJ VRPH JHQHUDO EDFNJURXQG TXHVWLRQV 3OHDVH SODFH DQ ; RU SURYLGH WKH LQIRUPDWLRQ LQ WKH VSDFH SURYLGHG :KDW \HDU ZHUH \RX ERUQ" \HDUf :KDW LV \RXU VH[" PDOH IHPDOH :KDW LV \RXU UDFH RU HWKQLFLW\" %ODFN :KLWH +LVSDQLF RWKHU :KDW LV \RXU SUHVHQW PDULWDO VWDWXV" PDUULHG ZLGRZHG GLYRUFHG VLQJOH QHYHU PDUULHG

PAGE 148

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

PAGE 149

:KLFK RQH RI WKH IROORZLQJ SUHVHQW MRE FRPH XQGHU" 3DWLHQW 6HUYLFHV +XPDQ 5HVRXUFHV 0HGLFDO $IIDLUV )LQDQFH )DFLOLWLHV 'HYHORSPHQW 0DWHULDOV 0DQDJHPHQW 2WKHU GHSDUWPHQWV GRHV \RXU ,QIRUPDWLRQ 6HUYLFHV 2SHUDWLRQV 3ODQQLQJ %XVLQHVV 'HYHORSPHQW $IILOLDWHG 6HUYLFHV 5HKDELOLWDWLRQ r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
PAGE 150

3OHDVH SURYLGH WKH IROORZLQJ LQIRUPDWLRQ FRQFHUQLQJ WKH ODVW UHIHUUDO \RX PDGH WR KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP ,Q HDFK FDVH DQVZHU WR WKH EHVW RI \RXU UHFROOHFWLRQ ZKDW ZDV WUXH DW WKH WLPH RI WKH UHIHUUDO $7KH MRE WLWOH RI WKH HPSOR\HH DW WKH WLPH RI WKH UHIHUUDO % 7KH HPSOR\HHnV VH[ PDOH IHPDOH & 7KH HPSOR\HHnV UDFH ZKLWH EODFN KLVSDQLF RWKHU 7KH HPSOR\HHnV PDULWDO VWDWXV DW WKH WLPH RI WKH UHIHUUDO PDUULHG GLYRUFHG VLQJOH QHYHU PDUULHGf ZLGRZHG VHSDUDWHG ( 7KH HGXFDWLRQ OHYHO RI WKLV HPSOR\HH DW WKH WLPH RI WKH UHIHUUDO OHVV WKDQ WK JUDGH OHVV WKDQ KLJK VFKRRO KLJK VFKRRO JUDGXDWH VRPH FROOHJH $$ GHJUHH RU HJXLYDOHQW %$ %6 GHJUHH RU HTXLYDOHQW SRVW JUDGXDWH RU SURIHVVLRQDO VFKRRO GHJUHH

PAGE 151

) +RZ ORQJ KDG WKLV HPSOR\HH EHHQ HPSOR\HG DW WKH KRVSLWDO DW WKH WLPH RI WKH UHIHUUDO" RI \HDUV :KDW ZDV WKH SULPDU\ UHDVRQ IRU \RXU ODVW UHIHUUDO RI DQ HPSOR\HH WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP" DOFRKRO GUXJV SHUVRQDOHPRWLRQDO RWKHU VSHFLI\f +RZ VHYHUH ZRXOG \RX VD\ WKH SULPDU\ SUREOHP ZDV" 9HU\ 6RPHZKDW 0LQLPDOO\ 1RW 6HYHUH 6HYHUH 6HYHUH 6HYHUH 6HYHUH > @ > @ > @ > @ :KDW ZHUH WKH QHJDWLYH MRE UHODWHG EHKDYLRUV DVVRFLDWHG ZLWK WKH SULPDU\ SUREOHP WKDW FDOOHG WKH SUREOHP WR \RXU DWWHQWLRQ" FKHFN DOO WKDW DSSO\f DEVHQWHHLVP SK\VLFDO LOOQHVV RQ WKH MRE KLJK UDWH RI MRE DFFLGHQWV GLIILFXOW\ LQ FRPSOHWLQJ MRE WDVNV GLIILFXOW\ LQ IROORZLQJ LQVWUXFWLRQV GHFUHDVLQJ MRE HIILFLHQF\ SRRU UHODWLRQVKLSV ZLWK RWKHU HPSOR\HHV WRR PXFK XVH RI VLFN WLPH RWKHU VSHFLI\f

PAGE 152

:KDW ZHUH WKH VHFRQGDU\ UHDVRQV IRU PDNLQJ \RXU ODVW UHIHUUDO WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP" DOFRKRO GUXJV SHUVRQDOHPRWLRQDO RWKHU VSHFLI\f +RZ VHYHUH ZRXOG \RX VD\ WKH VHFRQGDU\ SUREOHP ZDV" 9HU\ 6RPHZKDW 0LQLPDOO\ 1RW 6HYHUH 6HYHUH 6HYHUH 6HYHUH 6HYHUH > @ > @ > @ > @ > @ :KDW ZHUH WKH QHJDWLYH MRE UHODWHG EHKDYLRUV DVVRFLDWHG ZLWK WKH VHFRQGDU\ SUREOHP WKDW FDOOHG WKH SUREOHP WR \RXU DWWHQWLRQ" DEVHQWHHLVP SK\VLFDO LOOQHVV RQ WKH MRE KLJK UDWH RI MRE DFFLGHQWV GLIILFXOW\ LQ FRPSOHWLQJ WDVNV GLIILFXOW\ IROORZLQJ LQVWUXFWLRQV SRRU UHODWLRQVKLSV ZLWK RWKHU HPSOR\HHV WRR PXFK XVH RI VLFN WLPH RWKHU VSHFLI\f 7R ZKDW H[WHQW ZDV WKH HPSOR\HHnV MRE SHUIRUPDQFH DGYHUVHO\ DIIHFWHG E\ WKH SULPDU\ SUREOHP IRU ZKLFK WKH\ ZHUH UHIHUUHG" *UHDWO\ 6RPHZKDW 0LQLPDOO\ 1RW $IIHFWHG $IIHFWHG $IIHFWHG $IIHFWHG

PAGE 153

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f r 7KH IROORZLQJ JURXS RI TXHVWLRQV GHDO ZLWK ZKDW LQ \RXU RSLQLRQ WKH OLNHO\ UHDFWLRQ RI RWKHUV ZRXOG EH WR WKH ODVW UHIHUUDO \RX PDGH WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP ,W LV UHFRJQL]HG WKDW WKH UHIHUUDOV WR WKH SURJUDP DUH FRQILGHQWLDO WKHUHIRUH WKH TXHVWLRQV DVN WKDW \RX LQGLFDWH ZKDW WKH UHDFWLRQ ZRXOG EH LI WKDW LQIRUPDWLRQ ZRXOG EH PDGH DYDLODEOH 3OHDVH SODFH DQ ; RU SURYLGH WKH LQIRUPDWLRQ LQ WKH VSDFH SURYLGHG

PAGE 154

,I WKH IROORZLQJ SHRSOH NQHZ DERXW \RXU ODVW UHIHUUDO WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP ZKDW GR \RX WKLQN ZRXOG KDYH PRVW OLNHO\ EHHQ WKHLU UHDFWLRQ WR WKH UHIHUUDO" 3OHDVH UHVSRQG IRU HDFK VHW RI SHUVRQV HYHQ WKRXJK WKH VDPH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH PRVW RWKHU VXSHUYLVRUV > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ PRVW RI WKH VXSHUYLVRUV KDYH NQRZQ WKH ORQJHVW > @ PRVW RI WKH VXSHUYLVRUV DVVRFLDWH ZLWK PRVW IUHJXHQWO\ > @ PRVW RWKHU HPSOR\HHV > @ PRVW RI WKH HPSOR\HHV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ PRVW RI WKH HPSOR\HHV KDYH NQRZQ WKH ORQJHVW > @ PRVW RI WKH HPSOR\HHV DVVRFLDWH ZLWK PRVW IUHJXHQWO\ > @ > @ > @ > @ > @ > @ > @ > @ > @

PAGE 155

,I WKH IROORZLQJ SHRSOH NQHZ DERXW \RXU ODVW UHIHUUDO WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP GR \RX WKLQN \RX ZRXOG KDYH H[SHULHQFHG DQ\ RI WKH IROORZLQJ QHJDWLYH UHDFWLRQV WR WKH UHIHUUDO" FKHFN DOO WKDW DSSO\f HPSOR\HH ZDV XSVHW RWKHU HPSOR\HHV \RX VXSHUYLVH ZRXOG EH XSVHW RWKHU HPSOR\HHV RWKHU WKDQ WKH RQHV \RX VXSHUYLVHf ZRXOG EH XSVHW \RXU VXSHUYLVRU ZRXOG EH XSVHW RWKHU VXSHUYLVRUV ZRXOG EH XSVHW QR QHJDWLYH UHDFWLRQV ,I WKH IROORZLQJ SHRSOH NQHZ DERXW \RXU ODVW UHIHUUDO WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP GR \RX WKLQN \RX ZRXOG KDYH H[SHULHQFHG DQ\ RI WKH IROORZLQJ SRVLWLYH UHDFWLRQV WR WKH UHIHUUDO" FKHFN DOO WKDW DSSO\f HPSOR\HH ZDV JUDWHIXO RWKHU HPSOR\HHV \RX VXSHUYLVH ZRXOG VXSSRUW \RX RWKHU HPSOR\HHV RWKHU WKDQ WKH RQHV \RX VXSHUYLVHf ZRXOG VXSSRUW \RX \RXU VXSHUYLVRU ZRXOG VXSSRUW \RX RWKHU VXSHUYLVRUV ZRXOG VXSSRUW \RX QR SRVLWLYH UHDFWLRQ +RZ KHOSIXO GR \RX WKLQN WKH SURJUDP ZDV WR WKH ODVW HPSOR\HH \RX UHIHUUHG" 1RW 6RPHZKDW 1R +HOSIXO 9HU\ +HOSIXO +HOSIXO &KDQJH +HOSIXO > @ > @ > @ > @ > @

PAGE 156

r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f 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH PRVW RWKHU VXSHUYLVRUV > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV KDYH NQRZQ WKH ORQJHVW > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV DVVRFLDWH ZLWK PRVW IUHTXHQWO\ > @ > @ > @ > @ > @ PRVW RWKHU HPSOR\HHV > @ > @ > @ > @ > @

PAGE 157

6WURQJO\ $SSURYH 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 'LVDSSURYH PRVW RI WKH HPSOR\HHV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ PRVW RI WKH HPSOR\HHV KDYH NQRZQ WKH ORQJHVW > @ > @ > @ > @ > @ PRVW RI WKH HPSOR\HHV DVVRFLDWH ZLWK PRVW IUHJXHQWO\ > @ > & @ & @ > @ +RZ KHOSIXO GR \RX WKLQN WKH HPSOR\HH DVVLVWDQFH SURJUDP ZRXOG EH ZLWK KHOSLQJ DQ HPSOR\HH H[SHULHQFLQJ DQ DOFRKRO SUREOHP" 1RW +HOSIXO > @ 6RPHZKDW +HOSIXO > @ 1R &KDQJH > @ +HOSIXO > @ 9HU\ +HOSIXO > @ ,I LQ WKH IXWXUH \RX ZHUH WR UHIHU DQ HPSOR\HH XQGHU \RXU FKDUJH WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU D GUXJ SUREOHP DQG WKH IROORZLQJ SHRSOH NQHZ DERXW \RXU UHIHUUDO ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKHLU UHDFWLRQ WR WKH ‘! 3OHDVH UHVSRQG IRU HDFK VHW RI SHUVRQV HYHQ WKRXJK WKH VDPH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH PRVW RWKHU VXSHUYLVRUV > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @

PAGE 158

6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH PRVW RI WKH VXSHUYLVRUV KDYH NQRZQ WKH ORQJHVW > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV DVVRFLDWH ZLWK PRVW IUHTXHQWO\ > @ > @ > @ > @ > @ PRVW RWKHU HPSOR\HHV > @ > @ > @ > @ > @ PRVW RI WKH HPSOR\HHV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ PRVW RI WKH HPSOR\HHV KDYH NQRZQ WKH ORQJHVW > @ > @ > @ > @ > @ PRVW RI WKH HPSOR\HHV DVVRFLDWH ZLWK PRVW IUHTXHQWO\ > @ > @ > @ W @ > @ +RZ KHOSIXO GR \RX WKLQN WKH HPSOR\HH DVVLVWDQFH SURJUDP ZRXOG EH ZLWK KHOSLQJ DQ HPSOR\HH H[SHULHQFLQJ D GUXJ SUREOHP" 1RW 6RPHZKDW 1R +HOSIXO 9HU\ +HOSIXO +HOSIXO &KDQJH +HOSIXO > @ > @ > @ > @ > @

PAGE 159

,I LQ WKH IXWXUH \RX ZHUH WR UHIHU DQ HPSOR\HH XQGHU \RXU FKDUJH WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU DQ DQ DQG WKH IROORZLQJ SHRSOH NQHZ DERXW \RXU UHIHUUDO ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKHLU UHDFWLRQ WR WKH ‘" 3OHDVH UHVSRQG IRU HDFK VHW RI SHUVRQV HYHQ WKRXJK WKH VDPH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH PRVW RWKHU VXSHUYLVRUV > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV KDYH NQRZQ WKH ORQJHVW > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV DVVRFLDWH ZLWK PRVW IUHTXHQWO\ > @ > @ > @ > @ > @ PRVW RWKHU HPSOR\HHV > @ > @ > @ > @ > @ PRVW RI WKH HPSOR\HHV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ PRVW RI WKH HPSOR\HHV KDYH NQRZQ WKH ORQJHVW > @ > @ > @ > @ > @

PAGE 160

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f FKHFN HPSOR\HH ZRXOG EH XSVHW RWKHU HPSOR\HHV \RX VXSHUYLVH ZRXOG EH XSVHW RWKHU HPSOR\HHV RWKHU WKDQ WKH RQHV \RX VXSHUYLVHf ZRXOG EH XSVHW \RXU VXSHUYLVRU ZRXOG EH XSVHW RWKHU VXSHUYLVRUV ZRXOG EH XSVHW QR QHJDWLYH UHDFWLRQV

PAGE 161

,I LQ WKH IXWXUH \RX ZHUH WR UHIHU DQ HPSOR\HH WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP DQG WKH IROORZLQJ SHRSOH NQHZ DERXW \RXU UHIHUUDO GR \RX WKLQN \RX ZRXOG H[SHULHQFH DQ\ RI WKH IROORZLQJ SRVLWLYH UHDFWLRQV WR WKH UHIHUUDO" FKHFN DOO WKDW DSSO\f HPSOR\HH ZRXOG EH JUDWHIXO RWKHU HPSOR\HHV \RX VXSHUYLVH ZRXOG VXSSRUW \RX RWKHU HPSOR\HHV RWKHU WKDQ WKH RQHV \RX VXSHUYLVHf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

PAGE 162

OHVV WKDQ PRUH WKDQ QRQH KDOI KDOI KDOI QRQH PRVW RI WKH VXSHUYLVRUV DVVRFLDWH ZLWK PRVW IUHTXHQWO\ > @ > @ > @ > @ > @ r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f ,I \RX KDG VRPHRQH XQGHU \RXU FKDUJH ZKR LV LQ QHHG RI D UHIHUUDO WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU DQ DOFRKRO SUREOHP DQG \RX GLG QRW UHIHU WKHP DQG WKH IROORZLQJ SHRSOH NQHZ DERXW \RX QRW UHIHUULQJ WKHP ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKHLU UHDFWLRQ WR \RX QRW PDNLQJ WKH UHIHUUDO" 3OHDVH UHVSRQG WR HDFK VHW RI SHUVRQV HYHQ WKRXJK VRPH RI WKH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH PRVW RWKHU VXSHUYLVRUV > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV KDYH NQRZQ WKH ORQJHVW > @ > @ > @ > @ > @

PAGE 163

6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURLAJO\ 'LVDSSURYH $SSURYH PRVW RI WKH VXSHUYLVRUV DVVRFLDWH ZLWK PRVW IUHTXHQWO\ > @ > @ > @ > @ > @ PRVW RWKHU HPSOR\HHV > @ > @ > @ > @ > @ PRVW RI WKH HPSOR\HHV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ PRVW RI WKH HPSOR\HHV KDYH NQRZQ WKH ORQJHVW > @ > @ > @ > @ > @ PRVW RI WKH HPSOR\HHV DVVRFLDWH ZLWK PRVW IUHTXHQWO\ > @ > @ > @ > @ > @ ,I \RX KDG VRPHRQH XQGHU \RXU FKDUJH ZKR LV LQ QHHG RI D UHIHUUDO WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU D GUXJ SUREOHP DQG \RX GLG QRW UHIHU WKHP DQG WKH IROORZLQJ SHRSOH NQHZ DERXW \RX QRW UHIHUULQJ WKHP ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKHLU UHDFWLRQ WR \RX QRW PDNLQJ WKH UHIHUUDO" 3OHDVH UHVSRQG WR HDFK VHW RI SHUVRQV HYHQ WKRXJK VRPH RI WKH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH PRVW RWKHU VXSHUYLVRUV > @ > @ > @ > @ > @

PAGE 164

6WURQJO\ 'LVDSSURYH 1HXWUDO 'LVDSSURYH $SSURYH 6WURQJO\ $SSURYH PRVW RI WKH VXSHUYLVRUV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ W @ PRVW RI WKH VXSHUYLVRUV KDYH NQRZQ WKH ORQJHVW > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV DVVRFLDWH ZLWK PRVW IUHTXHQWO\ > @ PRVW RWKHU HPSOR\HHV > @ PRVW RI WKH HPSOR\HHV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ PRVW RI WKH HPSOR\HHV KDYH NQRZQ WKH ORQJHVW > @ PRVW RI WKH HPSOR\HHV DVVRFLDWH ZLWK PRVW IUHTXHQWO\ > @ > @ > @ > @ > @ > @ W @ > @ > @

PAGE 165

,I \RX KDG VRPHRQH XQGHU \RXU FKDUJH ZKR LV LQ QHHG RI D UHIHUUDO WR WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU D SUREOHP DQ DQG \RX GLG QRW UHIHU WKHP DQG WKH IROORZLQJ SHRSOH NQHZ DERXW \RX QRW UHIHUULQJ WKHP ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKHLU UHDFWLRQ WR \RX QRW PDNLQJ WKH UHIHUUDO" 3OHDVH UHVSRQG WR HDFK VHW RI SHUVRQV HYHQ WKRXJK VRPH RI WKH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO 'LVDSSURYH $SSURYH 6WURQJO\ $SSURYH PRVW RWKHU VXSHUYLVRUV > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV KDYH NQRZQ WKH ORQJHVW > @ > @ > @ > @ > @ PRVW RI WKH VXSHUYLVRUV DVVRFLDWH ZLWK PRVW IUHJXHQWO\ > @ > @ > @ > @ @ PRVW RWKHU HPSOR\HHV > @ > @ > @ > @ W @ PRVW RI WKH HPSOR\HHV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > PRVW RI WKH HPSOR\HHV KDYH NQRZQ WKH ORQJHVW > @ > > > >

PAGE 166

6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH PRVW RI WKH HPSOR\HHV DVVRFLDWH ZLWK PRVW IUHTXHQWO\ > @ > @ > @ > @ > @ r ZLOO QRZ DVN D VHULHV RI TXHVWLRQV FRQFHUQLQJ \RXU SHUVRQDO XVH RI WKH HPSOR\HH DVVLVWDQFH SURJUDP DQGRU RWKHU FRXQVHOLQJ VHUYLFHV 3OHDVH SODFH DQ ; RU SURYLGH WKH LQIRUPDWLRQ LQ WKH VSDFH SURYLGHGf +DYH \RX HYHU UHFHLYHG FRXQVHOLQJ IURP WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP" \HV ,I \RX DQVZHU \HV WR WKLV TXHVWLRQ JR WR TXHVWLRQ DQG FRQWLQXH ZLWK WKH TXHVWLRQQDLUHf QR ,I \RX DQVZHU QR WR WKLV TXHVWLRQ JR WR TXHVWLRQ DQG FRQWLQXH ZLWK WKH TXHVWLRQQDLUHf +RZ PDQ\ WLPHV KDYH \RX UHFHLYHG FRXQVHOLQJ IURP WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP" RI WLPHV ,I \RX KDYH UHFHLYHG FRXQVHOLQJ IURP WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP ZHUH \RX UHIHUUHG E\ \RXU VXSHUYLVRU" \HV QR ,I \RX KDYH UHFHLYHG FRXQVHOLQJ IURP WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP KRZ KHOSIXO GR \RX WKLQN LW ZDV" 1RW 6RPHZKDW 1R +HOSIXO 9HU\ +HOSIXO +HOSIXO &KDQJH +HOSIXO > @ > @ > @ > @ W @

PAGE 167

:KDW ZDV WKH QDWXUH RI WKH SUREOHP" DOFRKRO GUXJV SHUVRQDOHPRWLRQDO RWKHU VSHFLI\f ,I \RX KDYH UHFHLYHG FRXQVHOLQJ IURP WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP DQG WKH IROORZLQJ SHRSOH NQHZ DERXW LW ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKHLU UHDFWLRQ" 3OHDVH UHVSRQG IRU HDFK VHW RI SHUVRQV HYHQ WKRXJK WKH VDPH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf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f 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH IDPLO\ PHPEHUV > @ @ > @ > @ > @

PAGE 168

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f 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH IDPLO\ PHPEHUV > @ > @ @ > @ > @ IULHQGV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ VXSHUYLVRUV ZRUN ZLWK > @ > @ > @ > @ > @ RWKHU HPSOR\HHV ZRUN ZLWK > @ > @ > @ > @ @

PAGE 169

,I LQ WKH IXWXUH \RX ZHUH WR UHFHLYH FRXQVHOLQJ IURP WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU DQ HPRWLRQDOSHUVRQDO SUREOHP RWKHU WKDQ DQ DOFRKROGUXJ SUREOHP ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKH UHDFWLRQ RI WKH IROORZLQJ SHRSOH" 3OHDVH UHVSRQG WR HDFK RI WKH VHWV RI SHUVRQV HYHQ WKRXJK WKH VDPH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH IDPLO\ PHPEHUV > @ > @ > @ > @ > @ IULHQGV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ VXSHUYLVRUV ZRUN ZLWK > @ > @ > @ > @ > @ RWKHU HPSOR\HHV ZRUN ZLWK > @ > @ > @ > @ > @ +DYH \RX HYHU UHFHLYHG FRXQVHOLQJ IURP D VRXUFH RWKHU WKDQ WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP" \HV ,I \RX DQVZHU \HV WR WKLV TXHVWLRQ JR WR TXHVWLRQ DQG FRQWLQXH ZLWK WKH TXHVWLRQQDLUHf QR ,I \RX DQVZHU QR WR WKLV TXHVWLRQ JR WR TXHVWLRQ DQG FRQWLQXH ZLWK WKH TXHVWLRQQDLUHf +RZ PDQ\ WLPHV KDYH \RX UHFHLYHG FRXQVHOLQJ IURP D VRXUFH RWKHU WKDQ WKH HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP VSRQVRUHG E\ WKH KRVSLWDO" RI WLPHV

PAGE 170

,I \RX KDYH UHFHLYHG FRXQVHOLQJ IURP DQRWKHU VRXUFH KRZ KHOSIXO GR \RX WKLQN WKH FRXQVHOLQJ ZDV" 1RW 6RPHZKDW 1R +HOSIXO +HOSIXO +HOSIXO &KDQJH W @ > @ > @ > @ :KDW ZDV WKH QDWXUH RI WKH SUREOHP" DOFRKRO GUXJV SHUVRQDOHPRWLRQDO RWKHU VSHFLI\f ,I \RX KDYH UHFHLYHG FRXQVHOLQJ IURP DQ RXWVLGH VRXUFH DQG WKH IROORZLQJ SHRSOH NQHZ DERXW LW ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKHLU UHDFWLRQ" 3OHDVH UHVSRQG WR HDFK VHW RI SHUVRQV HYHQ WKRXJK WKH VDPH LQGLYLGXDO PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH IDPLO\ PHPEHUV > @ > @ > @ > @ > @ IULHQGV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ VXSHUYLVRUV ZRUN ZLWK > @ > @ > @ > @ > @ RWKHU HPSOR\HHV ZRUN ZLWK > @ > @ > @ > @ > @ 9HU\ +HOSIXO > @

PAGE 171

,I LQ WKH IXWXUH \RX ZHUH WR UHFHLYH FRXQVHOLQJ IURP D VRXUFH RWKHU WKDQ WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU DQ DOFRKRO SUREOHP ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKH UHDFWLRQ RI WKH IROORZLQJ SHRSOH" 3OHDVH UHVSRQG WR HDFK VHW RI SHUVRQV HYHQ WKRXJK WKH VDPH LQGLYLGXDO PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH IDPLO\ PHPEHUV > @ > @ @ > @ > @ IULHQGV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ VXSHUYLVRUV ZRUN ZLWK > @ > @ > @ > @ > @ RWKHU HPSOR\HHV ZRUN ZLWK > @ > @ > @ > f > @ ,I LQ WKH IXWXUH \RX ZHUH WR UHFHLYH FRXQVHOLQJ IURP D VRXUFH RWKHU WKDQ WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU D GUXJ SUREOHP ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKH UHDFWLRQ RI WKH IROORZLQJ SHRSOH" 3OHDVH UHVSRQG WR HDFK VHW RI SHUVRQV HYHQ WKRXJK WKH VDPH LQGLYLGXDO PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH IDPLO\ PHPEHUV > @ > @ > @ > @ W @ IULHQGV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ VXSHUYLVRUV ZRUN ZLWK > @ > @ > @ > @ > @

PAGE 172

6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH RWKHU HPSOR\HHV ZRUN ZLWK > @ > @ > @ > @ > @ ,I LQ WKH IXWXUH \RX ZHUH WR UHFHLYH FRXQVHOLQJ IURP D VRXUFH RWKHU WKDQ WKH KRVSLWDO VSRQVRUHG HPSOR\HH DVVLVWDQFH FRXQVHOLQJ SURJUDP IRU DQ HPRWLRQDOSHUVRQDO SUREOHP RWKHU WKDQ DQ DOFRKROGUXJ SUREOHP ZKDW GR \RX WKLQN ZRXOG PRVW OLNHO\ EH WKH UHDFWLRQ RI WKH IROORZLQJ SHRSOH" 3OHDVH UHVSRQG WR HDFK VHW RI SHUVRQV HYHQ WKRXJK WKH VDPH LQGLYLGXDO PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH IDPLO\ PHPEHUV > @ > @ > @ > @ > @ IULHQGV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ VXSHUYLVRUV ZRUN ZLWK > @ > @ > @ > @ > @ RWKHU HPSOR\HHV ZRUN ZLWK > @ > @ > @ > @ > @ r ZLOO QRZ DVN \RX VRPH JHQHUDO TXHVWLRQV FRQFHUQLQJ WKH HPSOR\HH DVVLVWDQFH SURJUDP 3OHDVH SODFH DQ ; RU SURYLGH WKH LQIRUPDWLRQ LQ WKH VSDFH SURYLGHG

PAGE 173

,I WKH IROORZLQJ SHRSOH KDG DQ DOFRKRO SUREOHP KRZ ZRXOG \RX PRVW OLNHO\ UHDFW LI WKHLU VXSHUYLVRU UHIHUUHG WKHP WR FRXQVHOLQJ" 3OHDVH UHVSRQG WR DOO RI WKH VHWV RI SHUVRQV HYHQ WKRXJK VRPH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH IDPLO\ PHPEHUV > @ > @ > @ > @ > @ IULHQGV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ VXSHUYLVRUV ZRUN ZLWK > @ > @ > @ > @ > @ HPSOR\HHV ZRUN ZLWK > @ > @ > @ > @ > @ ,I WKH IROORZLQJ SHRSOH KDG D GUXJ SUREOHP KRZ ZRXOG \RX PRVW OLNHO\ UHDFW LI WKHLU VXSHUYLVRU UHIHUUHG WKHP WR FRXQVHOLQJ" 3OHDVH UHVSRQG WR DOO RI WKH VHWV RI SHUVRQV HYHQ WKRXJK VRPH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH IDPLO\ PHPEHUV > @ > @ @ > @ > @ IULHQGV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ VXSHUYLVRUV ZRUN ZLWK > @ > @ > @ > @ > @ HPSOR\HHV ZRUN ZLWK > @ > @ > @ @ > @

PAGE 174

,I WKH IROORZLQJ SHRSOH KDG DQ HPRWLRQDOSHUVRQDO SUREOHP RWKHU WKDQ DQ DOFRKROGUXJ SUREOHP KRZ ZRXOG \RX PRVW OLNHO\ UHDFW LI WKHLU VXSHUYLVRU UHIHUUHG WKHP WR FRXQVHOLQJ" 3OHDVH UHVSRQG WR DOO RI WKH VHWV RI SHUVRQV HYHQ WKRXJK VRPH LQGLYLGXDOV PD\ EH LQFOXGHG LQ PRUH WKDQ RQH VHWf 6WURQJO\ 'LVDSSURYH 1HXWUDO $SSURYH 6WURQJO\ 'LVDSSURYH $SSURYH IDPLO\ PHPEHUV > @ > @ > @ > @ > @ IULHQGV KDYH WKH FORVHVW UHODWLRQVKLS ZLWK > @ > @ > @ > @ > @ VXSHUYLVRUV ZRUN ZLWK > @ > @ > @ > @ > @ HPSOR\HHV ZRUN ZLWK > @ > @ > @ > @ > @ 7R WKH EHVW RI \RXU NQRZOHGJH IRU HDFK RI WKH IROORZLQJ KRZ OLNHO\ LV LW WKDW HDFK ZRXOG LQWHUIHUH ZLWK ZRUN" 9HU\ /LNHO\ DOFRKRO DEXVH > @ GUXJ DEXVH > @ SHUVRQDO HPRWLRQDO SUREOHPV > @ 6RPHZKDW /LNHO\ > @ 1HXWUDO > @ 8QOLNHO\ > @ 1RW $SSURYH > @

PAGE 175

+RZ ZRXOG \RX UHVSRQG WR WKH IROORZLQJ VWDWHPHQWV" 6WURQJO\ 'LVDJUHH DP DEOH WR KHOS HPSOR\HHV ZLWK SHUVRQDO SUREOHPV > @ GRQnW IHHO KDYH WKH VNLOOV WR GHDO ZLWK HPSOR\HHV SHUVRQDO SUREOHPV > @ )RU WKH PRVW SDUW DP KDSS\ ZLWK P\ MRE > @ DP ZRUNLQJ SULPDULO\ IRU D SD\FKHFN > @ IHHO FDQ XVH P\ RZQ MXGJHPHQW RQ WKH MRE > @ 7KH VDODU\ UHFHLYH LV DGHTXDWH WR P\ WUDLQLQJ DQG IHHO VKRXOG ZRUN H[WUD WLPH HYHQ ZKHQ ZLOO QRW JHW SDLG > @ 1HXWUDO 6WURQJO\ $JUHH

PAGE 176

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

PAGE 177

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

PAGE 178

6WURQJO\ 'LVDJUHH 1HXWUDO $JUHH 6WURQJO\ 'LVDJUHH $JUHH PHQWDO HPRWLRQDO SUREOHPV DUH D VLJQ RI ZHDNQHVV > @ > @ > @ > @ > @ SHRSOH ZLWK SHUVRQDO HPRWLRQDO SUREOHPV FDQ JHW EHWWHU LI WKH\ ZDQW WR > @ > @ > @ > @ > @ r 3OHDVH SURYLGH DQ\ FRPPHQWV \RX KDYH DERXW WKLV UHVHDUFK DV ZHOO DV DQ\ DGGLWLRQDO LQIRUPDWLRQ \RX PD\ IHHO LV LPSRUWDQW WR WKH VWXG\ 7KDQN \RX

PAGE 179

5()(5(1&(6 'HYLDQW %HKDYLRU $ 6RFLDO /HDUQLQJ %HOPRQW &$ :DGVZRUWK $NHUV 5 f $NHUV 5 DQG &RFKUDQ f XVH $ WHVW RI WKUHH WKHRULHV $GROHVFHQW PDULMXDQD RI GHYLDQW EHKDYLRU $NHUV 5 .URKQ 0 /DQ]D.DGXFH / DQG 5DGRVHYLFK f 6RFLDO OHDUQLQJ DQG GHYLDQW EHKDYLRU $ VSHFLILF WHVW RI D JHQHUDO WKHRU\ $PHULFDQ 0 $NHUV 5 /D *UHFD $ &RFKUDQ DQG 6HOOHUV & f 6RFLDO OHDUQLQJ WKHRU\ DQG DOFRKRO EHKDYLRU DPRQJ WKH HOGHUO\ 6RFLRORJLFDO 4XDUWHUO\ $OFRKROLFV $QRQ\PRXV f 1HZ
PAGE 180

'HPER 5 *UDQGRQ /D 9RLH / 6FKPHLGHU DQG %XUJRV : f 3DWLHQWV DQG GUXJV UHYLVLWHG 6RPH IXUWKHU VXSSRUW RI VRFLDO OHDUQLQJ WKHRU\ &ULPLQRORJ\ 'LFNPDQ (PHQHU : DQG +XWFKLVRQ : f 6SULQJILHOG ,/ &KDUOHV & 7KRPDV (OOLRWW +XL]LQJD DQG $JHWRQ 6 f 'UXJ 8VH %HYHUO\ +LOOV ([SODLQLQJ &$ 6DJH (ULNVRQ f 1RWHV RQ WKH VRFLRORJ\ RI GHYLDQFH 6RFLDO 3UREOHPV )RRWH $ DQG (UIXUW f (IIHFWLYHQHVV RI FRPSUHKHQVLYH HPSOR\HH DVVLVWDQFH SURJUDPV DW UHDFKLQJ DOFRKROLFV -RXUQDO RI 'UXJ ,VVXHV *HUVWHLQ / (LFKHQKRIHU %D\HU 9DOXWLV : DQG -DQNRZVNL f ($3 UHIHUUDO WUDLQLQJ DQG VXSHUYLVRUVn EHOLHIV DERXW WURXEOHG ZRUNHUV (PSOR\HH $VVLVWDQFH 4XDUWHUO\ *RRJLQV % DQG .XUW] 1 f )DFWRUV LQKLELWLQJ VXSHUYLVRU\ UHIHUUDOV WR RFFXSDWLRQDO DOFRKROLVP LQWHUYHQWLRQ SURJUDPV -RXUQDO RI 6WXGLHV RQ $OFRKROLVP *RRJLQV % DQG .XUW] 1 f 'LVFULPLQDWLQJ DQG QRQSDUWLFLSDWLQJ VXSHUYLVRUV LQ RFFXSDWLRQDO DOFRKROLVP SURJUDPV -RXUQDO RI 'UXJ ,VVXHV *RYH : f 6RFLHWDO UHDFWLRQ DV DQ H[SODQDWLRQ RI PHQWDO LOOQHVV $Q HYDOXDWLRQ $PHULFDQ 6RFLRORJLFDO 5HYLHZ *RYH : f 7KH ODEHOOLQJ WKHRU\ RI PHQWDO LOOQHVV $ UHSO\ WR VFKHII $PHULFDQ 6RFLRORJLFDO 5HYLHZ *RYH : f /DEHOOLQJ DQG 0HQWDO ,OOQHVV $ &ULWLJXH ,Q :DOWHU 5 *RYH (Gf SS f 1HZ
PAGE 181

+HPPHWW f :KDW FDQ VXSHUYLVRUV GR DERXW DOFRKROLF VXERUGLQDWHV" 6XSHUYLVRU\ 0DQDJHPHQW +HUEHUW + f $OFRKROLVP 7KH VXSHUYLVRUnV UROH LQ UHKDELOLWDWLRQ 6XSHUYLVRU\ 0DQDJHPHQW +H\PDQ 0 f 5HIHUUDO WR DOFRKROLVP SURJUDPV LQ LQGXVWU\ -RXUQDO RI 6WXGLHV RQ $OFRKRO +ROOLQJHU 5 f :RUNLQJ XQGHU WKH LQIOXHQFH :8,f &RUUHODWHV RI HPSOR\HHVn XVH RI DOFRKRO DQG RWKHU GUXJV 7KH -RXUQDO RI $SSOLHG %HKDYLRUDO 6FKLHQFH ,QGLDQ 5LYHU &RPPXQLW\ 0HQWDO +HDOWK &HQWHU f (PSOR\HH $VVLVWDQFH 3URJUDP 0DQXDO 9HUR %HDFK )/ ,QGLDQ 5LYHU &RPPXQLW\ 0HQWDO +HDOWK &HQWHU .DQGHO DQG
PAGE 182

.URKQ 0 6NLQQHU : 0DVVH\ DQG $NHUV 5 f 6RFLDO OHDUQLQJ WKHRU\ DQG DGROHVFHQW FLJDUHWWH VPRNLQJ $ ORQJLWXGLQDO VWXG\ 6RFLDO 3UREOHPV /DERYLW] 6 f 7KH DVVLJQPHQW RI QXPEHUV WR UDQN RUGHU FDWHJRULHV $PHULFDQ 6RFLRORJLFDO 5HYLHZ /DERYLW] 6 UDQNV LW f ,Q GHIHQVH RI DVVLJQLQJ $PHULFDQ 6RFLRORJLFDO 5HYLHZ QXPEHUV WR /DQ]D.DGXFH / $NHUV 5 .URKQ 0 DQG 5DGRVHYLFK 0 f &HVVDWLRQ RI DOFRKRO DQG GUXJ XVH DPRQJ DGROHVFHQWV $ VRFLDO OHDUQLQJ PRGHO 'HYLDQW %HKDYLRU /HPHUW ( f 6RFLDO 3DWKRORJ\ 1HZ
PAGE 183

0HQGHO : DQG 5DSSRUW 6 f 'HWHUPLQDQWV RI WKH GHFLVLRQ IRU 3V\FKLDWULF KRVSLWDOL]DWLRQ $UFKLYHV RI 0\HUV f (VWDEOLVKLQJ DQG :HVWSRUW &7 4XRUXP 1HOVRQ DQG &DPSEHOO 6 f 7D\ORULVP YHUVXV ZHOIDUH ZRUN LQ $PHULFDQ LQGXVWU\ + / *DXOW DQG WKH %DQFURIWV %XVLQHVV +LVWRU\ 5HYLHZ 1HZFRPE 0 f 'UXJ 8VH LQ 'RYHU 0$ $XEXUQ +RXVH 1,$$$ f WKH 8 6 $OFRKRO DQG +HDOWK 6L[WK 6SHFLDO 5HSRUW WR :DVKLQJWRQ '& 8 6 *RYHUQPHQW 3ULQWLQJ 2IILFH 3HGKD]XU ( f 0XOWLSOH 5HJUHVVLRQ LQ %HKDYLRUDO 1HZ
PAGE 184

6FKHII 7 f 5HSO\ WR &KDXQFH\ DQG *RYH $PHULFDQ 6RFLRORJLFDO 5HYLHZ 6FKXU ( f /DEHOOLQJ 'HYLDQW %HKDYLRU ,WV 6RFLRORJLFDO ,PSOLFDWLRQV 1HZ
PAGE 185

7ULFH + DQG %H\HU f :RUNUHODWHG RXWFRPHV RI WKH FRQVWUXFWLYHFRQIURQWDWLRQ VWUDWHJ\ LQ D MREEDVHG DOFRKROLVP SURJUDP -RXUQDO RI 6WXGLHV RQ $OFRKRO 7ULFH + DQG 5RPDQ 3 f 6SLULWV DQG 'HPRQV DW :RUN $OFRKRO DQG 2WKHU 'UXJV RQ WKH -RE 1HZ
PAGE 186

:ULJKW f 3ROLF\ DQG SURFHGXUH 7KH HVVHQWLDO HOHPHQWV LQ D ($3 ,Q 6 .ODUUHLFK )UDQFHN DQG & 7KH +XPDQ 5HVRXUFHV 0RRUH (GVf 7KH +XPDQ SS f 1HZ
PAGE 187

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

PAGE 188

, FHUWLI\ WKDW KDYH UHDG WKLV VWXG\ DQG WKDW LQ P\ RSLQLRQ LW FRQIRUPV WR DFFHSWDEOH VWDQGDUGV RI VFKRODUO\ SUHVHQWDWLRQ DQG LV IXOO\ DGHTXDWH LQ VFRSH DQG TXDOLW\ D GLVVHUWDWLRQ IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ 5RQDOG / &KDLU 3URIHVVRU RI 6RFLRORJ\ FHUWLI\ WKDW KDYH UHDG WKLV VWXG\ DQG WKDW LQ P\ RSLQLRQ LW FRQIRUPV WR DFFHSWDEOH VWDQGDUGV RI VFKRODUO\ SUHVHQWDWLRQ DQG LV IXOO\ DGHTXDWH LQ VFRSH DQG TXDOLW\ DV $VVRFLDWH 3URIHVVRU RI 6RFLRORJ\ FHUWLI\ WKDW KDYH UHDG WKLV VWXG\ DQG WKDW LQ P\ RSLQLRQ LW FRQIRUPV WR DFFHSWDEOH VWDQGDUGV RI VFKRODUO\ SUHVHQWDWLRQ DQG LV IXOO\ DGHTXDWH LQ VFRSH DQG TXDOLW\ DV D GLVVHUWDWLRQ IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ LFKDUG & +ROOLQ 6RFLRORJ\ FHUWLI\ WKDW KDYH UHDG WKLV VWXG\ DQG WKDW LQ P\ RSLQLRQ LW FRQIRUPV WR DFFHSWDEOH VWDQGDUGV RI VFKRODUO\ SUHVHQWDWLRQ DQG LV IXOO\ DGHTXDWH LQ VFRSH DQG TXDOLW\ D GLVVHUWDWLRQ IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ &RQVWDQFH / 6KHKDQ $VVRFLDWH 3URIHVVRU RI 6RFLRORJ\ FHUWLI\ WKDW KDYH UHDG WKLV VWXG\ DQG WKDW LQ P\ RSLQLRQ LW FRQIRUPV WR DFFHSWDEOH VWDQGDUGV RI VFKRODUO\ SUHVHQWDWLRQ DQG LV IXOO\ DGHTXDWH LQ VFRSH DQG TXDOLW\ DV D GLVVHUWDWLRQ IRU WKH $VVLVWDQW 3URIHVVRU RI &RXQVHORU (GXFDWLRQ

PAGE 189

7KLV GLVVHUWDWLRQ ZDV VXEPLWWHG WR WKH *UDGXDWH )DFXOW\ RI WKH 'HSDUWPHQW RI 6RFLRORJ\ LQ WKH &ROOHJH RI /LEHUDO $UWV DQG 6FLHQFHV DQG WR WKH *UDGXDWH 6FKRRO DQG ZDV DFFHSWHG DV SDUWLDO IXOILOOPHQW RI WKH UHJXLUHPHQWV IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ 0D\ 'HDQ *UDGXDWH 6FKRRO

PAGE 190

81,9(56,7< 2) )/25,'$


xml version 1.0 encoding UTF-8
REPORT xmlns http:www.fcla.edudlsmddaitss xmlns:xsi http:www.w3.org2001XMLSchema-instance xsi:schemaLocation http:www.fcla.edudlsmddaitssdaitssReport.xsd
INGEST IEID EF90JZHQC_ZAP6O2 INGEST_TIME 2011-09-13T12:59:26Z PACKAGE AA00002099_00001
AGREEMENT_INFO ACCOUNT UF PROJECT UFDC
FILES


SUPERVISOR REFERRALS TO EMPLOYEE ASSISTANCE PROGRAMS
By
MICHAEL CAPECE
A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT
OF THE REQUIREMENTS FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY
UNIVERSITY OF FLORIDA
1991

ACKNOWLEDGMENTS
I would like to thank the following people who have
played a significant role in helping to prepare my
dissertation and assisted me during my program at the
University of Florida.
First, I want to thank those who served on my
committee: Dr. Ronald Akers (chair), Dr. Lonn Lanza-Kaduce,
Dr. Constance Shehan, Dr. Richard Hollinger and Dr. Peter
Sherrard.
I want to especially thank Dr. Akers, who encouraged me
and was always available to me throughout my program of
study, and also Dr. Lanza-Kaduce for his assistance with the
statistical analysis.
I would also like to acknowledge the assistance of Dr.
Patrick Gartin who helped with the data entry phase of the
dissertation. Much was learned from him about the use of a
computer.
I want to thank Nadine Gillis in the Department of
Sociology for her work on the preparation of the
dissertation.
ii

A special thank you goes to Leslie Clarke, friend and
colleague, who helped make the distance between myself and
the university more tolerable.
To my parents, who told me when others believed
different, that with hard work I can accomplish anything, I
share this accomplishment with them.
And finally, to my wife, Lynne: No one has played a
more significant role in this process than she. She
supported me when I needed it and encouraged me when I
wanted to give up. I hope I can give back to her what she
has so unselfishly given me.
iii

TABLE OF CONTENTS
page
ACKNOWLEDGMENTS ii
LIST OF TABLES vi
ABSTRACT viii
CHAPTERS
1 EMPLOYEE ASSISTANCE PROGRAMS BACKGROUND AND
PROCEDURE 1
Introduction 1
Antecedents Of Present Employee Assistance
Programs 4
The Basic Elements Of An Employee Assistance
Programs 16
Guidelines For Supervisors In Identifying A
Problem On the Job 23
Constructive Confrontation 27
Summary And Statement Of The Problem 30
2 SUPERVISORY PARTICIPATION IN THE EMPLOYEE
ASSISTANCE PROGRAM 32
Previous Research On Factors In Supervisors'
Referrals 32
Significance Of Present Study 45
3 LABELLING AND SOCIAL LEARNING THEORY AS
PERSPECTIVES ON EMPLOYEE ASSISTANCE REFERRALS.... 48
4 METHODOLOGY 65
Sample 65
Procedure 67
Instrument 68
Operationalization 71
Scaling Procedure 80
Statistical Technigues 84
iv

page
5 RESULTS AND DISCUSSIONS OF THE SOCIAL
LEARNING ANALYSIS 91
Discriminant Function Analysis 94
Regression Analysis 99
6 RESULTS AND DISCUSSION OF THE LABELLING
ANALYSIS 105
Labelling Variables 105
Social Characteristics Of Referrals
Controlling For Severity Of The Problem Ill
7 CONCLUSIONS AND IMPLICATIONS FOR POLICY
AND RESEARCH 123
Policy Implications 125
Implications For Future Research 130
APPENDICES
A SUPERVISOR'S ROLE: AN EXAMPLE OF CONFRONTATION... 133
B EMPLOYEE ASSISTANCE PROGRAM EVALUATION
SUPERVISOR QUESTIONNAIRE 136
REFERENCES 169
BIOGRAPHICAL SKETCH 177
v

LIST OF TABLES
Table
page
4.1 Reliability And Item To Scale Correlations
For Reinforcement Scales 81
4.2 Reliability And Item To Scale Correlations
For Definition Scales 83
4.3 Zero-Order Correlations For The Social Learning
Variables Meeting The Statistical Criteria
For Inclusion In The Discriminant Function
For Supervisory Referrals To The Employee
Assistance Program 86
4.4 Means And Standard Deviations For The Social
Learning Variables Meeting The Statistical
Criteria For Inclusion In The Discriminant
Function For Supervisory Referrals To The
Employee Assistance Program 87
5.1 Standardized Canonical Discriminant Function
Coefficients For Each Of The Social Learning
Variables Meeting The Statistical Criteria
For Inclusion In The Function For Supervisory
Referrals To The Employee Assistance Program.. 97
5.2 The Actual Number And Percentage Of Cases Correctly
Classified In The Use And Nonuse Groups, And
The Overall Percentage Of Cases Correctly
Classified By The Function 98
5.3 Regression Of Number Of Employee Assistance Program
Referrals On Social Learning Variables 101
6.1 Frequency Distribution Of The Job Classification
For The Last Referral Of An Employee To The
Employee Assistance Program 106
6.2Frequency Distribution For Gender, Race, And
Marital Status Of The Last Referral Of An
Employee To The Employee Assistance Program... 108
vi

Table
page
6.3 Frequency Distribution Of Educational Level For
The Last Referral Of An Employee To The
Employee Assistance Program 110
6.4 Frequency Distribution Of Length Of Employment
In Years For The Last Referral Of An Employee
To The Employee Assistance Program Ill
6.5 Frequency Distribution For Severity Of Primary
Problem For Which The Employee Was Referred... 113
6.6 Frequency Distribution For Extent That The
Employee's Job Performance Was Affected By
The Primary Problem For Which The Employee
Was Referred To The Employee Assistance
Program 114
6.7 Frequency Distribution For Degree Of Pressure
Used By The Supervisor To Get The Last
Referral To The Employee Assistance Program... 116
6.8 Frequency Distribution Of The Number Of Negative
Job Related Behaviors Associated With The
Last Referral Of An Employee To The Employee
Assistance Program 118
6.9 Cross-tabulation Of The Gender, Race And Job
Classification With The Severity Of The
Problem For The Last Referral Of An Employee
To The Employee Assistance Program 119
vii

Abstract of Dissertation Presented to the Graduate School
of the University of Florida in Partial Fulfillment of the
Requirements for the Degree of Doctor of Philosophy
SUPERVISOR REFERRALS TO EMPLOYEE ASSISTANCE PROGRAMS
By
Michael Capece
May 1991
Chairman: Ronald L. Akers, Ph.D.
Major Department: Sociology
The purpose of this study is to locate the important
variables in the decisions by supervisors to refer employees
troubled by alcohol, drug or emotional problems to "employee
assistance programs." A self-administered questionnaire was
given to a sample of 90 supervisors in two general hospitals
in the Tampa Bay area. Two sociological theories, social
learning theory and labelling theory, guided the research.
Data were analyzed by discriminant function analysis,
regression analysis and frequency distributions.
The discriminant function analysis was performed to
determine if variables derived from social learning theory
could explain why some supervisors refer employees with
drug, alcohol or emotional problems to the employee
assistance program and others do not. The social learning
variables explained 42% of the variance in the dependent
viii

variable, (referring and non-referring behavior of the
supervisors). Also, the discriminant function with the
social learning variables was able to successfully classify
78% of the cases into the referring and non-referring
groups.
The regression analysis was performed to determine how
well the social learning variables could explain the
freguency in which supervisors refer employees to the
employee assistance program. The regression model, which
included the social learning variables, explained 24% of the
variance in the dependent variable (frequency of referral).
The frequency distributions and cross-tabulations were
presented to determine if the decision to refer an employee
was based on the social characteristics of the employee, as
labelling theory would posit, or on the severity of the
problem. No significant support was found for the labelling
perspective. There was some support for the contention that
referral decisions are based on the severity of the problem.
Based on the results of the study, three main policy
recommendations were made. First, the research clearly
shows that strong organizational support for the program is
needed to increase supervisory participation. Second,
supervisors who have referred employees to the program can
act as resources to those supervisors who have not referred.
Last, a clear understanding should exist between the
providers of the counseling services and the supervisors
ix

concerning their expectations of how helpful the program
will be to the employees.
x

CHAPTER 1
EMPLOYEE ASSISTANCE PROGRAMS BACKGROUND AND PROCEDURE
Introduction
The problem of employee drinking and drug abuse has
been the focus of attention of industry in the United States
since the mid 1800s, (Trice and Schonbrunn, 1981) and
continues to be an important issue today (Steele, 1988;
Trice and Sonnenstuhl, 1988). Workers who use drugs or
alcohol on the job are one-third less productive, and three
times more likely to be injured than those employees who do
not use. These employees also experience more job
instability and unemployment (Kandel and Yamaguchi, 1987),
as well as engage in more on-the-job deviant behavior such
as stealing cash, products and equipment (Hollinger, 1988).
It is believed that one-fourth of the workers in the
United States use alcohol or drugs on the job with the cost
to industry, due to lost productivity, estimated at 16 to 17
billion dollars per year (Scanlon, 1986). In a study of 47
corporations, Hollinger (1988) found that 3.2% of hospital
employees, 7.6% of those in retail and 12.8% in
manufacturing admitted to coming to work under the influence
of alcohol or drugs during the previous year. In addition,
1

2
The National Institute on Alcoholism and Drug Abuse (NIAAA)
estimates that the U.S. economy loses approximately 66
billion dollars per year due to lowered worker productivity
(NIAAA, 1987).
Industry has responded by establishing employee
assistance programs (EAPs) to deal with employee alcohol,
drug, and emotional problems. To establish an EAP,
organizations contract with a private employee assistance
company which provides to the employees counseling services
for alcohol, drug and emotional problems. There are two
types of referrals to the EAP: self-referral (in which an
employee voluntarily seeks counseling) and supervisory
referrals (in which supervisors, as a result of an
employee's deteriorating job performance, recommends to the
employee that he/she go to the EAP). It is the second type
of referral that the present research is interested in.
Although the issue of supervisory referrals is central
to the functioning of an effective employee assistance
program (Masi, 1984; Myers, 1984; Alpander, 1980; Schaeffer,
1979; Poley, Lea and Vibe, 1979; Walker, 1979; Blose, 1977;
Herbert, 1975; and Hemmett, 1972) there has been little
research to determine why some supervisors refer to the EAP
and others do not. Because of the centrality of the issue
of supervisors' referrals and the limited research in this
area, the present research is an attempt to add to the body
of knowledge concerning supervisory EAP referrals.

3
Specifically, the purpose of the present research is to
investigate the variables in supervisors' referrals or non¬
referrals to employee assistance programs. The selection of
these variables is theory-guided, and therefore the findings
have some implications for the applicability of sociological
theory to workplace decisions. In particular, social
learning theory and labelling theory are used to derive
variables and expectations about the relationship of these
variables to EAP referral decisions. Social learning theory
draws attention to the interactive network of supervisors
and consequences for those making referrals. Labelling
theory draws attention to the social characteristics of
those being referred.
Chapter One will trace the evolution of the employee
assistance program from 1900 to its present day structure.
It will begin by discussing the antecedents of the modern
employee assistance program, highlighting the sociological
influences that helped to shape the development of the
modern program. Then, an overview of the modern program
will be provided.
Chapter Two will discuss the literature concerning the
supervisor's role in the employee assistance program
including the factors which prevent the supervisor from
becoming involved in referring employees to the program.
Chapter Three provides an overview of the two sociological
theories that will guide the research, social learning

4
theory and labelling theory. Chapter Four details the
research methodology of the study. Specifically, this
chapter will discuss the sample, the research instrument,
the operationalization of the concepts, the scaling
procedure and the statistical technigues employed.
Chapters Five and Six present the results of the
statistical analyses. Chapter Five deals with the results
of the discriminant function analysis and the regression
analysis to determine how well the social learning variables
can explain supervisors' referral behavior as well as the
frequency with which supervisors refer to the program.
Chapter Six will present the frequency distributions and the
cross-tabulations of the social characteristics of the last
employee referred to the EAP and the severity of the problem
for which the employee was referred. The intent is to
examine the extent to which the decision to refer an
employee is based primarily on the social characteristics of
the employee rather than the nature of the problem behavior
as labelling theory would hypothesize. In the last chapter
policy recommendations and directions for future research
will be discussed.
Antecedents Of Present Employee Assistance Programs
The history of employee assistance programs dates back
to the end of the nineteenth century with the implementation
of "social betterment" programs (Sonnenstuhl and Trice,

5
1986). These programs provided employees with inexpensive
housing, insurance, pension plans, and other benefits.
These programs were designed to help industry by providing a
stable labor force, promoting worker loyalty and preventing
unionization (Nelson and Campbell, 1972). With the onset of
the depression, these programs diminished because of the
depression's negative effects on industry and unionism,
which eliminated the company's motivation to continue the
programs.
With the emergence of personnel counseling during the
1930s, the employee assistance movement entered a new era.
Personnel counseling emerged from the work of Elton Mayo
(1923) at Western Electric's Hawthorne Plant. As it was
applied at Western Electric, the program employed shop
workers to act as counselors. These counselors would
informally talk with employees about their personal
problems, with an emphasis on listening to the employee
without giving advice. However, the main focus of personnel
counseling came to be centered around the development of
psychiatric clinics. These clinics were established to
address what were considered to be employees' irrational
beliefs which caused strikes and decreased productivity
(Sonnenstuhl and Trice, 1986).
Occupational mental health programs were the next phase
in the development of the modern employee assistance
program. Occupational mental health programs emphasized the

6
emotional problems that people experienced in the workplace.
There were two approaches for dealing with emotional
problems. The first approach stressed the treatment of the
emotional problems that the worker was experiencing. The
employees could seek treatment on their own or would be
encouraged by management to seek treatment for their
emotional problem. The second approach stressed the
prevention of emotional problems. Prevention addressed
teaching the employees healthy beliefs and developing a
healthy work environment.
In the 1940s and 1950s, industry began to address the
issue of employee drinking. The model which would guide
employee assistance programs into its current form was
greatly influenced by this shift in emphasis (Sonnenstuhl
and Trice, 1986; Trice and Schonbrunn, 1981). These
industrial alcoholism programs focused on how drinking on
the job was adversely affecting workers' productivity.
Specifically, owners and managers became concerned about the
effects that alcoholism had on absenteeism, disability,
sickness and accident loss.
Industry reacted to the need to deal with employees'
alcohol problems by implementing informal arrangements
between the company's medical department and members of
Alcoholics Anonymous (AA) (for a complete explanation of the
Alcoholics Anonymous program see Alcoholics Anonymous,
1976). The medical department, working with members of

7
Alcoholics Anonymous who were working in the shop, would be
asked to approach the employees and discuss their drinking
problem. Following the guidelines of the AA program, the AA
member would talk with the employees about their experience
with alcohol and the benefits of sobriety. The company
hoped that the AA member could informally motivate the
employee to attend meetings of Alcoholics Anonymous or enter
an alcoholism treatment program (Trice and Sonnenstuhl,
1985).
Goodyear Tire and Rubber Company in Akron, Ohio
provides an example of a longstanding industrial alcoholism
program. Goodyear has a long history of providing mental
health benefits to its employees (Shain, Survali and
Boutilier, 1986) and through its medical department utilized
AA members to intervene with employees who were suspected of
having a drinking problem. The program centered around a
recovering alcoholic within the medical department of
Goodyear who had been sober for many years and acted as a
liaison between the medical department and other recovering
alcoholics that worked on the shop floor.
When it was suspected that a particular employee had a
problem with alcohol, the problem was reported to the
medical department. Then, the AA liaison in the medical
department would find a recovering alcoholic who was close
to the employee with the suspected problem. The AA member
would approach the employee and encourage him or her to

8
attend meetings of Alcoholics Anonymous. If the alcohol
problem was deemed severe enough by the AA member, a
referral was made to the medical department of Goodyear.
Then, the employee was strongly encouraged to admit
him/herself to an alcoholism treatment center. While in the
treatment center, the employee was visited regularly by the
AA liaison from the medical department of Goodyear. Also
while in treatment, the AA liaison arranged for an
Alcoholics Anonymous sponsor, who was an employee of
Goodyear. When the person was discharged from the hospital,
the medical department would continue to monitor the
person's progress through the Alcoholics Anonymous sponsor
and through the AA liaison in the medical department.
This example from Goodyear illustrates the type of
informal network which was integral to the early industrial
alcoholism programs in major industry. It also shows how
the medical department coordinated with the established
resource within the plant, namely those already involved
with AA.
Primarily through these informal mechanisms, Alcoholics
Anonymous became a major influence in the establishment of
modern day employee assistance programs. A formal and even
more important impact on the development of these programs
came from the National Council on Alcoholism and the
National Institute of Alcohol Abuse and Alcoholism (NIAAA).

9
Trice and Sonnenstuhl (1985) discuss the critical
contribution that AA made to the development of the employee
assistance program. Alcoholics Anonymous provided to the
employee assistance programs a balance between exercising
control over problems on the job and motivating a person to
seek help. As was seen in the Goodyear example, because AA
members were working in conjunction with the medical
department, they were able to exert social control by
pointing out to the person who had the drinking problem that
continued drinking could jeopardize their employment. The
motivational aspect refers to the fact that those already
established in the AA program were approaching the employee
with the alcohol problem. Through sharing their own
experiences, these AA members were in the best position to
motivate employees to seek help for their drinking problem.
The program was considered clearly focused because the
early industrial alcoholism programs concentrated only on
treating people with alcohol problems. By relying on AA
members, the early industrial program did not get involved
with marital, family or emotional problems. The issue of
the importance of using the natural forces of the workplace
to deal with the problem of alcoholism among employees
relates to the fact that one of the biggest obstacles to
overcome in getting people to accept treatment for their
drinking problem is denial. The AA members who approached
the alcoholic employee could bring informal pressure on the

10
person and help the person deal with his or her drinking
problem by way of breaking through the denial. AA members
used the natural forces of the workplace to provide an
environment where they could approach the employee with a
drinking problem and confront that employee's denial.
One of the most important influences that Alcoholics
Anonymous had on the early occupational alcoholism program
was the fact that AA was cost effective. Alcoholics
Anonymous is a free program and eliminates any treatment
costs involved in working with the alcoholic. Even when an
employee had to be referred into an alcoholism treatment
center, AA would provide a strong aftercare program to try
to prevent a relapse back to drinking. This would prevent
the person from having to be readmitted to a treatment
facility. The benefit to the company would be a decrease in
medical costs.
Other authors also see the rise of the AA movement as
having fueled the early employee assistance programs
(Scanlon, 1986). AA defined the focus of the program
(alcoholism), the recovery program, the twelve steps, and
the personnel (AA members) to help those in the workplace in
need of assistance. Thus, in many ways, the success and
acceptance of the AA philosophy as an approach to alcoholism
treatment helped launch the formation of the first
legitimate employee assistance programs in some of the major
industries in the United States.

11
Two organizations, the National Council on Alcoholism,
formed in 1944, and the National Institute of Alcohol Abuse
and Alcoholism (NIAAA), formed in 1971, gave national
standing to the needs of employee assistance programs. The
major influence came from NIAAA; the agency responsible for
coining the term "Employee Assistance Program" and providing
economic incentives to start employee assistance programs
(Walsh, 1982; Lotterhos, 1975). In 1971 NIAAA created a
separate branch, the sole purpose of which was to promote
the establishment of employee assistance programs in all
fifty states. Each state was given a grant of $50,000,
which was to be used to hire two consultants who were to be
put into place to promote programs in both public and
private industry. In 1972, a training grant was awarded and
education of these consultants was provided at East Carolina
University. At these educational seminars, experts provided
the most recent information in developing and promoting
employee assistance programs.
There were two distinct factions among those who
attended these early training programs. They consisted of
those who were aligned with the alcoholism movement and
those who were aligned with the mental health movement.
While both agreed on the process and importance of the
establishment of the employee assistance programs, they
disagreed on where the emphasis of the program should be
placed. Both agreed that treating the personal problems of

12
employees would improve the employees' work performance.
Also, they both believed that the supervisor, through the
process of "constructive confrontation", could help motivate
employees to seek help for their personal problems. What
they disagreed on was what type of problem on which to
focus.
Those aligned with the alcoholism movement believed
that the employees who were experiencing problems with
alcohol should be emphasized in the employee assistance
program. Thus, educating supervisors on the proper use of
constructive confrontation should be an important aspect of
an employee assistance program. The mental health people
believed that while constructive confrontation was
important, the ultimate goal of an employee assistance
program was to provide an environment that encouraged the
employee to voluntarily seek help (Sonnenstuhl and Trice,
1986). Thus, one of the latent aspects of the establishment
of NIAAA and the grants to establish consultants in all
fifty states was the fact that a schism developed in the
employee assistance movement between those who believed in
specific occupational alcoholism programs and those who
believed in what is termed a "broad-brush" program. Broad¬
brush programs are defined as programs that address both
alcoholism and the personal problems of the employee.
The early debate between the mental health (or broad¬
brush) proponents and the alcoholism proponents continues to

13
have a significant impact on the modern employee assistance
programs. This debate centers around two issues, namely
"voluntary" versus "involuntary" referrals to the employee
assistance program and the use of constructive
confrontation.
The issue of whether to establish alcohol specific
programs or broad-brush programs is still debated in the
employee assistance literature today. Roman (1981), Walsh
(1982), Masi (1984) and Heyman (1976), all discuss the
establishment of alcohol specific employee assistance
programs. All of the above take this view based on the
concern that the broad-brush programs would dilute the
historical focal point of the employee assistance program
which has been on alcoholism. These writers feel that
including problems other than alcohol in an employee
assistance program would lead to the alcohol problems
receiving less of a priority than it would receive in an
alcohol specific program. Walsh (1982) raises the guestion
that when programs shift from an alcohol specific focus to
an all encompassing employee assistance program model, does
industry become too involved in the lives of their
employees? She views this trend as moving towards a type of
industrial social engineering.
Proponents of alcohol-specific employee assistance
programs are also concerned about the shift to the more
encompassing mental health/broad-brush programs because

14
these programs often will not address the important issue in
alcoholism of denial. Because the mental health/broad-brush
programs favor voluntary entrance into the employee
assistance program, many advocates of the alcohol specific
programs feel that, because denial is an important part of
the alcoholic mind set, many alcoholics would not come into
treatment. Masi (1984) sees the mental health type employee
assistance programs resembling a typical family counseling
agency, which accepts people on a self-referral basis. Masi
feels that, if the trend towards a more broad-brush program
continues, this will dilute the unigueness of employee
assistance programs.
Heyman (1976) discusses the differences in work
improvement of those employees that were forced to go to the
employee assistance program and those who chose to go to the
program voluntarily. The author drew a random sample of
approximately 180 people who entered the employee assistance
program either voluntarily or involuntarily in four
industrial alcoholism programs in the New York City area.
She wanted to determine the amount of pressure put on the
person to go into the employee assistance program and to
determine the improvement in their work performance once
they completed the program. The author concluded that fewer
people showed improvement in their work performance who went
to the employee assistance program voluntarily when compared
to those who entered the employee assistance program

15
involuntarily. In a limited way, this study lends support
to the argument that alcohol specific programs are more
effective than the broad-brush/mental health programs.
However, the author indicates that the people who entered
the program voluntarily were people who were experiencing
the early stages of alcoholism and therefore, before
entering treatment, their job performance was not in the
same state of deterioration as the people who were asked to
go involuntarily. In spite of this, the study lends support
to the conclusion that intervention with those who are
experiencing alcohol problems is important because those
people who have a drinking problem would most likely not
have entered the employee assistance program.
The works of Shain (1985), Foote and Erfurt (1981),
Sonnenstuhl (1984), and Smart (1974) argue in favor of the
shift to the more mental health/broad-brush employee
assistance program. They specifically address the issue of
whether the broad-brush/mental health employee assistance
programs dilute the effectiveness of treating alcoholism.
The most current study is the one by Martin Shain (1985) on
the effectiveness of the broad-brush program as compared to
the alcohol specific program on identification rate of
alcoholics, program utilization rates and employees7
awareness of the program. Shain concludes that the concerns
of the proponents of occupational alcoholism programs,
namely that alcohol services would be diluted by the broad-

16
brush programs or that alcoholics would not be effectively
treated in the broad-brush programs, is unfounded. The
studies by Smart (1974) and Foote and Erfurt (1981) also
support the conclusions of Shain. These studies also found
that, while the broad-brush programs did not provide better
services to the alcoholic employee, they were no less
effective.
It could be concluded from this review, that while the
shift that evolved from the establishment and implementation
of employee assistance programs by NIAAA has not diluted the
focus on alcoholism, the research indicates that it has not
provided an entry for people with alcohol problems to enter
the employee assistance program in greater numbers. The
employee assistance programs that are being implemented
today reflect the concerns of the occupational alcoholism
program proponents as well as the mental health/broad-brush
proponents. These programs combine the voluntary aspect of
entering the employee assistance program with the strong
emphasis on supervisory intervention when job performance
deteriorates.
The Basic Elements Of An Employee Assistance Program
The contemporary employee assistance program has been
well described in the literature (Campbell and Graham, 1988;
Dickman et al., 1985; Lewis and Lewis, 1986; Masi, 1984;
Myers, 1984; Newcomb, 1988; Scanlon, 1986; Shain and

17
Groeneveld, 1986; Walsh and Yohay, 1987; Wrich, 1982; and
Wright, 1985). There are several basic principles which
guide the employee assistance programs. They include (1)
dealing with the problem of social stigma associated with
getting help for an alcohol or personal problem, (2) early
resolution of the problem, (3) supervisory intervention with
the employee when the problem is affecting their work role,
and (4) insuring confidentiality of all records relating to
the employee assistance program (Resource EAP, 1985).
It is the philosophy of the employee assistance program
that there is no legitimate reason for the social stigma
attached to seeking help for an alcohol, drug, or personal
problem. Therefore, it is important that the company which
implements an employee assistance program minimizes the
stigma associated with seeking help. The company can do
this in two ways. First, the company can develop a policy
that those who utilize the program will not be jeopardizing
their present job or an opportunity for promotion. Second,
the company gives the employee's the choice to utilize or
reject a referral to the employee assistance program.
Confidentiality of records is related to the above and is
basic to all employee assistance programs. It assures the
employee that the nature of the problem and any treatment
plan to deal with the problem will be kept between the
employee and the employee assistance counselor and/or the
supervisor.

18
Early resolution of a problem is also of primary
concern to the company which implements an employee
assistance program. It is hoped that voluntary use of the
employee assistance program counseling services will prevent
work related problems. Therefore, the best interest of the
individual and the company are served by the program.
The company will get involved with an employee's
alcohol, drug or emotional problem only when the employee or
the supervisor requests assistance or when the problem
affects the employee's job performance. Supervisors are
encouraged to offer a troubled employee a referral to the
employee assistance program. However, it is not the intent
of the employee assistance program to have supervisors
actually seeking out employees with problems. Problems are
recognized when the employee's job performance deteriorates.
There are two types of referrals to an employee
assistance program (see Figure 1.1): self-referrals and
supervisory referrals. Self-referrals are the type of
referrals that are initiated from either the employee or the
employee's family member. Self-referráis are usually
initiated through consultation with the employee's
supervisor. The supervisor then refers the person to the
employee assistance counselor or refers the employee to the
employee assistance coordinator within the organization, who
will then refer the person to the employee assistance
counselor.

1.
Observation/
1.
Responsible for
1.
Screen and diagnose
Alcohol
Identification
Employee Assistance
troubled employee
Drugs
2.
Documentation
Program Operation
problem
Emotional
3.
Confrontation
2.
Consultation
2.
Assigns to treatment
Family
4 .
Referral
Supervisors Employees
resource
Marital
5.
Follow-up
3.
Review Mork
3.
Follow-up between
Financial
Performance
treatment and work
Legal
4.
Motivate Referral to
organization
Medical
Assistance
4 .
Confidential Records
Vocational
5.
Follow-up Referral
Other
6.
Record-Keeping
Se if-Referrals refers to employees in need of assistance whose work performance has not deteriorated.
Supervisory referrals refers to employees whose job performance has deteriorated to such a point that the supervisor needs to
take action.
Source: Indian River Community Mental Health Center, 1982
Figure 1.1: Employee Assistance Program Flow Chart

20
If the employee approaches the coordinator of the
employee assistance services within the organization, the
coordinator discusses the objectives of the employee
assistance program with the employee, acquainting him or her
with the benefits available through the program. The
coordinator will explain to the employee or the family
member that the service is completely confidential and that
the problem is not the concern of the organization or anyone
in it. The coordinator also explains to the employee or the
family member that the organization's opinion of the
employee will not diminish because the employee elects to
participate in the employee assistance program. The
employee assistance coordinator within the organization will
also stress to the employee that many people have used the
service and have found it effective. The employee
assistance coordinator within the organization will also
maintain records and keep in contact with the employee to
determine that everything is satisfactory (Indian River
Community Mental Health Center, 1982).
Once referred to the employee assistance counselor, the
counselor either deals with the issue over the phone or
arranges for an appointment for consultation at the
counselor's office. All contacts, verbal or written,
between the employee and the employee assistance counselor
are held in confidence unless the employee or family member
requests that the employer be notified. After doing a

21
complete assessment, the employee assistance counselor
determines whether a referral to another professional, such
as an attorney or physician, is indicated or whether the
problem can be handled within the employee assistance
counselor's office. The employee assistance counselor can
also make a recommendation and referral to inpatient
hospitalization for alcohol, drug or mental health issues.
Supervisory referrals are initiated by a supervisor as
a result of an employee's poor job performance. The
supervisor should be in the best position to identify poor
job performance, intervene with the employees and refer them
for services offered by the employee assistance program.
The basis of a supervisor's referral to the employee
assistance program must be either a decline in work
performance on the part of the employee or a particular
incident that indicates the possibility of a personal
problem. The supervisor then approaches the employee and
discusses with him or her the incident in question. During
this meeting, the supervisor should not speculate concerning
the cause of the performance decline or initiate discussion
with the employee about any personal problems. Should an
unusual pattern of performance problems arise or a
particularly unusual incident occur, the supervisor may
consult with the employee assistance counselor prior to
meeting with the employee (Indian River Community Mental
Health Center, 1982).

22
After the supervisor discusses the work situation or
particular incident with the employee, the supervisor has
the option of informing the employee of the professional
services available through the employee assistance program.
It is at that point that the employee may choose to accept
or reject the offer of a referral to the employee assistance
program. If the employee chooses to accept the referral,
the employee is given the name and telephone number of the
employee assistance counselor and is asked to make an
appointment. It is not unusual for a supervisor to grant
the employee time off from work to meet with the employee
assistance counselor for an initial consultation.
Subsequent appointments are then arranged between the
employee and the employee assistance counselor. In some
cases, and with the permission of the employee, the
employees assistance counselor may meet with the supervisor
and the employee to discuss the situation further.
After completing the assessment, and upon securing a
release of information form from the employee, the employee
assistance counselor will write a letter to the supervisor,
specifying a number of items. The letter will note that the
employee kept the appointment as scheduled, that there is no
life threatening situation to be dealt with, and that the
employee has accepted or rejected the offer of help. Also,
in this letter, the employee assistance counselor will
advise the supervisor whether the employee will require time

23
away from work to enter an inpatient treatment program
(Indian River Community Mental Health Center, 1982).
If the employee rejects the offer of a referral to the
employee assistance program, and work problems do not occur
after the interview, no further action is required. At that
time, the supervisor will make the employee aware of the
fact that the employee assistance program is available on a
self-referral basis should the employee change his or her
mind in the future.
If the work problems recur and the person has not
followed up with the recommendation for the employee
assistance program, the supervisor will present the employee
with a choice between accepting the employee assistance
program referral or disciplinary action. The disciplinary
action cannot deviate from the guidelines of the
organization's policy concerning disciplinary action. In
most organizations, there are grievance procedures if the
employee does not agree with the supervisor's
recommendations.
Guidelines For Supervisors In Identifying
A Problem On The Job
The above overview of the employee assistance program
illustrates the importance of the supervisor in the EAP
program. An important component in the employee assistance
program is training of supervisors concerning what to look

24
for in the employee's job performance that indicates that an
employee assistance program referral is appropriate.
There are very specific guidelines that the supervisor
should follow in order to determine when an employee is in
need of a referral to the employee assistance program (This
section on guidelines for EAP referrals is based on Resource
EAP Inc., 1985, Affiliate Manual and on Indian River
Community Mental Health Center, 1982). Specifically, the
supervisor should refer an employee to the employee
assistance program when there is a continued and repetitive
deterioration in job performance. One isolated incident
should not be the reason why a supervisor refers an employee
to the employee assistance program. Instead, there should
be a pattern of job performance deterioration on the part of
the employee. The exception would be an especially serious
incident, such as an employee being caught drinking on the
job.
One sign that a referral may be needed is absenteeism,
including unauthorized or excessive use of sick leave,
persistent tardiness or late returns from lunch. The
supervisor should also be aware of strange or improbable
excuses for these absences. Absences from the job post,
frequent trips to the bathroom, long coffee breaks, and
leaving work because of physical illness on the job should
be noted by the supervisor. Employee accidents on the job

25
should also be noted by the supervisor, as well as accidents
off the job that affect the employee's job performance.
The supervisor should also be aware of changes in the
employee's mental status. These changes include difficulty
in concentration, slowness in task completion, and confusion
in recalling instructions or details of a particular job
assignment. Also, it should be noted when employees have
difficulty in correcting mistakes that they have made on the
job.
When considering a referral to the employee assistance
program, the supervisor should evaluate the work performance
of the employee. This includes evaluating such things as
the employee having inconsistent periods of very high and
very low productivity, missing deadlines, making mistakes
due to inattention or poor judgement, wasting materials and
making bad decisions.
Finally, the employee's relationships with other
employees should alert the supervisor that a referral to the
employee assistance program may be indicated. Friction in
employee relationships, including supervisor-employee
relationships, usually results in decreased job performance
and efficiency. The supervisor should be aware of the
employee's over-reaction to real or imagined criticism, wide
swings in morale, unreasonable resentments, and avoidance of
associates on the job. The supervisor should also be aware

26
of the employee borrowing money from coworkers and any
complaints about the employee made by coworkers.
The employee patterns described above relate to all
employees in general. But the supervisor in upper level
management should keep in mind that, in addition to the
above, there are also different criteria used to assess the
need for a supervisor under their charge to be referred to
the employee assistance program.
For example, the front line supervisor may begin to let
safety standards slip, issue conflicting instructions to
employees, use employee time and skills inefficiently,
submit incomplete reports and data, or generally become lax
in their supervisory duties. On the higher supervisory
levels, patterns of declining work performance are more
subtle. Budgets may begin to be mismanaged, production
schedules fail to be coordinated, or consumers fail to
receive proper service. Therefore, upper level supervisors,
when deciding whether to refer a supervisor under their
charge to the employee assistance program, must concentrate
on the decision making aspects of the supervisor's position.
Supervisors should be aware of the fact that all
employees, including the supervisors themselves,
occasionally exhibit some of these job performance problems.
The pattern of job performance problems over a period of
time, several weeks or months, should be noted and
documented. Supervisors are not expected to diagnose the

27
particular problem that employee is experiencing, but base
the decision to refer the employee to the employee
assistance program on poor job performance.
When the supervisor recognizes that an employee's job
performance is deteriorating the supervisor will have a
conference with the employee. The procedure used by the
supervisor to discuss the poor job performance is called
"constructive confrontation."
Constructive Confrontation
The use of "constructive confrontation" (Trice and
Roman, 1978; Trice and Beyer, 1982; Trice and Beyer, 1984)
is the central procedure in referring employees to an
employee assistance program. Constructive confrontation is
a process by which a supervisor confronts the employee with
poor job performance, but provides a constructive solution
rather than a dismissal. It is important that the
supervisor not make any attempt to diagnose the cause of the
employee's job performance problem or attempt to counsel the
employee. The supervisor is not a counselor. If the
supervisor follows the procedures of constructive
confrontation, the discussion with the employee will be
based upon objective performance rather than on vague
references to the employee's unsatisfactory work
performance. The goal of constructive confrontation is to
motivate and not punish the employee. The supervisor must

28
not avoid this confrontation when the employee's job
performance indicates that such a confrontation is in order,
since dealing with job performance is part of a supervisor's
role.
Constructive confrontation has three components,
preparation, discussion, and follow through (Indian River
Community Mental Health Center, 1982). Preparation includes
documentation of all aspects of poor job performance, being
as specific as possible. This documentation aids the
supervisor when discussing the observation of the employee's
poor job performance. It is important that the supervisor
not be an "armchair diagnostician." The concern should be
with correcting deficient job performance. When discussing
the documentation with the employee, supervisors should
preface their discussion of performance deficits by pointing
out to the employees that the company recognizes their
value. The supervisors should keep in mind that the goal of
the discussion is to restore the employee as a productive
member of the organization and that the discussion should
focus on the person's job performance rather than on the
personal characteristics of the person.
The supervisor should follow up with the discussion in
one of two ways. The first way accept a commitment from the
employee to improve his or her deficient job performance.
If that is the case, a plan for improvement is arranged
between the supervisor and the employee. The second way is

29
to make a referral to the employee assistance program. If
this happens, the supervisor either calls the employee
assistance coordinator within the organization or calls the
employee assistance counselor directly to set up an
appointment. Either way, it is the supervisor's
responsibility to continue to monitor the employee's work
performance, documenting whether it has improved or has
continued to deteriorate.
An example of the constructive confrontation process is
provided in Appendix A. The object of the constructive
confrontation is to create an atmosphere for positive
change. The supervisor and the employee should agree on an
improvement program which has been documented or the
supervisor will make a specific recommendation to the
employee assistance program.
McClellan (1982) discusses the weaknesses that are
associated with the process of constructive confrontation.
First, few work organizations have job descriptions that are
completely objective. Some subjectivity is ultimately
involved in the process. Second, professional work is more
abstract than blue collar work. Professional work involves
knowledge, organizational skills, and communication of
information. Because of this fact, it is difficult for
supervisors to determine what is a productive and what is a
non-productive employee. Also, in many cases, professionals
have little direct supervision, making it even more

30
difficult for their supervisor to spot and intervene with
the professional troubled employee.
Summary and Statement of the Problem
The early EAPs were informal in nature with a strong
emphasis on the problem of alcoholism. Since the 1970s, the
employee assistance programs have increased their scope to
include problems beyond just alcoholism, such as emotional
problems, family problems, and drug abuse. The modern
employee assistance program appears to be a synthesis of the
mental health approach, which encourages voluntary
referrals, and the alcohol specific approach which
encourages supervisory referrals. It would seem that the
modern employee assistance program leans toward the mental
health approach, which is also termed the broad-brush
program.
Manuals with guideline and procedures including
specific techniques such as constructive confrontation, have
been developed for training supervisors to make intelligent
referral decisions. Whether one is aligned with the mental
health perspective or the alcoholism perspective of employee
assistance programs, the strength or weakness of the program
lies in the training of supervisors and their utilization of
the program (Masi, 1984). Therefore, the role of
supervisory referrals remains a central issue in the
employee assistance literature. Whether a broad-brush or

31
alcohol specific approach is utilized, the supervisor is in
the best position to evaluate, and when appropriate, refer
an employee to the program.
Because of the importance of supervisors in EAPs this
study will focus on the variables that explain why some
supervisors refer employees to the employee assistance
program and others do not. After supervisors are trained in
the proper guidelines and procedures for EAP referrals, what
accounts for variation in those referrals? It is the search
for answers to this question which forms the objective for
this research.

CHAPTER 2
SUPERVISORY PARTICIPATION IN THE EMPLOYEE
ASSISTANCE PROGRAM
The issue of supervisory participation in the employee
assistance program is a common one in the literature (see
Masi, 1984; Myers, 1984; Alpander, 1980; Schaeffer, 1979;
Poley et al., 1979; Walker, 1978; Blose, 1977; Herbert,
1975; and Hemmett, 1972). Therefore, in the previous
chapter supervisory involvement was shown to be in the
cornerstone of the modern employee assistance program. It
is because of the centrality of the supervisory referrals
that supervisors' behavior is the focus of the present
study.
/
Previous Research On Factors In Supervisors' Referrals
Myers (1984) discussed two aspects that prevent
supervisors from becoming more involved in referring
employees to the employee assistance program. First, Myers
believed supervisors do not refer because of the
supervisors' skill deficiencies. These skill deficiencies
include ignorance of employee problems, inability to
communicate problem areas to an employee, lack of initiative
to confront an employee because it is unpleasant and
32

33
produces stress in the supervisor, inadequate planning
related to documentation of employees' work deficiencies,
and indecisiveness about when to confront an employee.
Second, Myers believed that supervisors do not refer an
employee to the employee assistance program because of a
privacy norm and avoidance rationale. This relates to the
supervisor's belief that he/she is "playing God" and acting
in judgement concerning personal matters of the employee.
Many supervisors believe that what employees do on their own
time is of little concern to them. Therefore, they view
supervisor intervention as an interference in the personal
affairs of the employee.
Supervisors also fear that employees will file
complaints against them, that they will not be supported by
the management, or are not qualified to diagnose an employee
problem. This leads to the supervisors' perception that
they do not want to put their job in jeopardy by wrongfully
"accusing" an employee of having a problem. The supervisor
feels inadequate to determine when or for what reason to
refer. The supervisor may feel that, if management
disagrees with a decision to refer an employee to the
employee assistance program, the supervisor will be
embarrassed and will lose influence with those employees
they supervise.
Phillips and Older (1981) present supervisors'
psychological reasons for not referring an employee to the

34
employee assistance program, anger, guilt, fear, ego
involvement and denial. Supervisors may experience anger in
dealing with the employee, especially the alcoholic
employee, because of the fact that they may have approached
the alcoholic informally, and as a result of those meetings,
there has been no positive change in the employee's work
performance. This puts the supervisor in the position of
continually adjusting schedules and making excuses for the
employee's continued poor work performance. Supervisors can
also feel guilt associated with working with the alcoholic
employee. They often find themselves feeling guilty about
the fact that they may have done something wrong or that
they are unable to handle the situation. Because of these
guilty feelings, the supervisors would have a tendency to
avoid situations in which they have to confront the
alcoholic employee.
Phillips and Older (1981) also contend that supervisors
feel fear when working with the alcoholic employee.
Supervisors may be fearful of losing control over the
alcoholic employee and of feedback concerning their own
drinking, whether they have a problem or not. If the
supervisor and the employee who has a problem have been
working together for a long period of time, the supervisor's
ego may be involved. The supervisors may feel that the
employee's success or failure is a reflection of their own
job performance. In this situation, the supervisor takes

35
responsibility for the employee's poor work performance and
this poor work performance becomes this supervisor's direct
problem. Finally, the supervisor may experience denial
concerning working with the alcoholic employee. The
supervisor may cover up for the employee's poor work
performance, make excuses for absenteeism or tardiness on
the job, and rescue the worker from disciplinary action when
other supervisors become aware of the employee's poor work
performance. Instead of confronting the employee and
setting limits, the supervisor informally gives the employee
"one more chance" to correct her/his behavior.
Googins and Kurtz (1980) discuss programmatic and
organizational barriers which impede the supervisor from
becoming involved in confronting the employee who is
experiencing alcohol-related problems at work. The authors
argue that knowledge of alcohol-related problems and the
supervisor's attitude towards employees may act as barriers
to supervisory intervention. According to Googins and Kurtz
(1980) the factual knowledge of alcohol and the treatment of
alcoholics, the knowledge of the company's program for
intervention, and the knowledge of the supervisor's role in
the process of a referral all operate to determine whether
or not referrals are made. The authors predict that if a
supervisor is well informed and has factual knowledge
concerning alcohol and alcoholism, the supervisor would be
more likely to intervene with an employee who is

36
experiencing an alcohol problem. The authors also state
that this factual knowledge concerning alcohol and
alcoholism needs to be coupled with skills training
concerning how to intervene with a person who has an alcohol
problem.
Googins and Kurtz state that having the simple
knowledge that there is an employee assistance program in
existence is not sufficient to motivate supervisors to
utilize the employee assistance program. There must also be
a perception that the program is of high guality and that
the employee would receive help from entering the program.
The supervisor must also perceive that the program provides
equal treatment to all employees and that there is no bias
built into the program which would target some employees
over others. It is important for supervisors to know what
the organization expects from them when they have an
employee who has a drinking problem. The supervisor should
also know the rights of that employee.
Googins and Kurtz argue that the literature is
inadequate to determine empirically if depth of knowledge
plays an important part in supervisors referring or not
referring to the employee assistance program. The authors
feel that research in the area of the best means for
communicating this information, and the frequency and type
of reinforcement and the conditions under which knowledge is
best communicated needs to be assessed.

37
Because of the emphasis put on front line supervisors
to intervene with employees who are experiencing poor job
performance, supervisors' knowledge of their role within the
employee assistance program is of vital importance. The
issue of the supervisor documenting poor work performance
could be an obstacle for the supervisor to be involved in
the referral process because of vague performance criteria.
The supervisors could feel that the performance criteria are
too vague to document the employee's poor work performance
appropriately enough to make a referral to the employee
assistance program. This could cause supervisors to be
disillusioned with the process, viewing it as being too
demanding and in their view, too subjective to intervene
with an employee.
The attitudes concerning the alcoholic and the
effectiveness of the program can also be a barrier to a
supervisor being involved in the referral process. The
perception of whether the program is an effective tool in
which to return a problem employee to productivity may be
more important than the supervisor's feelings about the
employee. Googins and Kurtz (1980) also maintain that
organizational barriers could impede a supervisor from being
involved in the referral of an employee to the employee
assistance program. The authors feel that supervisors who
are dissatisfied with their job would have a tendency to
avoid being involved in any new programs, especially if the

38
supervisor perceives that the organization is not generally
supportive of their supervisory role. Thus, an overall
satisfaction with their job can influence whether the
supervisor would be willing to take on the additional
responsibility of supervisory intervention with an employee.
Googins and Kurtz (1980) believe that a supervisor who feels
that they are not an integral part of the supervisory or
managerial process is unlikely to respond favorably to a
management directive to intervene with the employee. If the
management of an organization instructs a supervisor to be
involved in the employee assistance referral process and
that supervisor was not involved in the decision making
process, they may feel negatively about carrying out the
directives.
The most relevant aspect of the Googins and Kurtz
(1980) analysis to the present study is their view that
positive reinforcement for supervisors in the employee
assistance program will enhance that role while recognizing
that not using the employee assistance program when one of
their employees needs help could result in a negative
sanction. The organization must be aware that in order for
the supervisor to be involved in the referral process of an
employee assistance program, there must be the proper
motivation. Therefore, the organization should provide
special incentives for the supervisor to refer employees to
the program. If positive reinforcement exists for using the

39
program and if positive reinforcement exists for doing a
good job, generally, the supervisor will be motivated to
perform the duties assigned by the employee assistance
program.
The goal of the Googins and Kurtz (1981) study was to
determine what variables explained the difference between
the group of supervisors who did use the employee assistance
program and those supervisors who did not, which is the goal
of the present research. A sample of 457 supervisors were
selected, 272 had referred an employee to the employee
assistance program and 185 had not. There were six major
groups of variables that were identified by Googins and
Kurtz as potential discriminators between the referring and
the non-referring supervisors. These groups of variables
were personal characteristics, which included age, length of
time in the position, and years with the company. The
second group of variables measured the perceptions of the
supervisor's role. The third group of variables measured
the supervisor's knowledge of the program and of alcoholism.
The fourth group of variables measured the supervisor's
perception of the effectiveness and utility of the program.
The fifth group of variables evaluated the informal
relationships between supervisors that could lead to program
use. The sixth group of variables measured the supervisor's
perceptions of the organization, specifically, whether it
was a positive or negative perception.

40
The authors tested four specific hypotheses. The first
hypothesis was that supervisors will participate in the
employee assistance program to the extent that they
assimilate the employee assistance program expectations into
their routine supervisory behavior. The second hypothesis
was that supervisors who are knowledgeable about the
employee assistance program and the dynamics of alcoholism
will be more likely to take action when early signs of a
problem appear. The third hypothesis was that supervisors
who have a positive attitude towards the employee assistance
program and towards the problem of alcoholism, will be more
likely to participate in the employee assistance program.
The last hypothesis, concerning the organizational
structure, states that if the organizational climate is
positive, healthy and functioning well, supervisors will be
more likely to participate in the employee assistance
program.
Googins and Kurtz (1981) report support for all four
hypotheses. Supervisors who referred an employee to the
employee assistance program assimilated the role
expectations of the employee assistance program into their
routine supervisory behavior. Referring supervisors were
much more likely to report that they routinely involved
themselves in performance problems to a greater extent than
non referring supervisors. The supervisors who were more
knowledgeable about the employee assistance program and

41
alcoholism were more likely to refer employees to the
employee assistance program.
Those supervisors who did not refer an employee to the
employee assistance program perceived the employee
assistance program as being less helpful to the employees
than the supervisors who did refer. When supervisors were
part of an informal system within the organizational climate
where they got support and encouragement to use the employee
assistance program, they were more likely to be involved in
the program.
Another important aspect of this research concerned
personal characteristics of the supervisor. Specifically,
the variable "years with the company" proved to be a
significant discriminator between the group of supervisors
who used the employee assistance program and the group of
supervisors who did not. The authors attribute this to the
fact that the supervisors with more years on the job had a
tendency to be more secure in their overall job role and
were more sophisticated when confronting employees with
their poor job performance.
Specific training procedures to encourage supervisors'
referrals to employee assistance programs have been
suggested by Campbell and Graham (1980) and Myers (1984).
The training consists first of education concerning
alcoholism, drug addiction and other mental health problems
and the incorporation of referral responsibilities into the

42
supervisory function. The supervisors are given specific
instructions concerning performance evaluations,
documentation, the constructive confrontation interview with
the employee, and how to make the employee a referral to the
employee assistance program. The issue of following up with
the employee after returning from the employee assistance
counselor or the inpatient treatment program is also
discussed during this training.
Typically, the training supervisors are given includes
a thorough review of the disease concept of alcoholism and
drug addiction and an overview of mental health problems
that people face such as divorce, marital difficulties,
parenting issues and stress. They are made aware of some of
the behavior patterns that are associated with alcoholism
and drug addiction and mental health problems that may
influence job performance. The training is geared towards
integrating the information concerning the behaviors
associated with alcoholism, drug addiction and mental health
issues into the natural flow of the supervisor's
responsibilities.
Supervisors are also given instructions on how to
appropriately document when an employee's job performance
falls below the acceptable level. The supervisors are
encouraged to be as specific as possible when documenting
the poor job performance. They are asked to keep a record
of the time, the place and the behavior that was observed.

43
Campbell and Graham (1980) discuss a progressive format
of documentation that may be used in reaching a decision to
refer an employee to the employee assistance program. This
format consists of three warnings of increasing severity
before a supervisor decides to take disciplinary action, or
refers the employee to the employee assistance program.
Trice and Belasco (1968) used a four group experimental
design to determine the effects that supervisory training
had on supervisory behaviors. The first group received a
pretest in the training. The second group received the
training with no pretest. The third group received a
pretest with no training. And the last group received
neither training nor pretest. The sample consisted of 220
front line supervisors in a large organization located in
upstate New York who were randomly assigned to the four
groups. The groups given the pretest were asked questions
concerning their general attitudes towards alcoholism and
emotional disturbances. The groups receiving the training
got information on how to assist general workers and
specifically, alcoholic employees. The research found that
changes in the supervisors' tendency to refer from the
training experience alone was very small. The most
significant change in the supervisors from the training
experience was an increase in the amount of knowledge they
had about the problem employee. Changes in the supervisors'
tendency to refer from the administration of the pretest

44
alone were very significant. Trice and Belasco (1968) found
that completion of the pretest items alone without training
was associated with dramatic, consistent and often
statistically significant changes in the attitudes and
actions towards the problem employee.
Gerstein et al. (1989) wanted to investigate the
relationship between the employee assistance referral
training and the supervisors' interactions with troubled
employees. The independent variables were the groups'
participation in employee assistance training and their
attitudes towards the employee assistance program. The
dependant variable was the supervisors' beliefs about
troubled employees. Their sample of 224 industrial
supervisors consisted of mostly white males ranging from age
20 to 61. Most of the participants had been employed by the
company for approximately 17 years, on the average, and had
two or more years of supervisory experience. To measure the
independent variable, the researchers asked the supervisors
whether they had received training on how to make a referral
to the employee assistance program and questions concerning
their perception about the employee assistance program's
importance. The dependent variable was measured by the
bystander-eguity model of supervisor helping behavior
(BYTE). BYTE is comprised of four distinct sets of
behaviors indicative of troubled workers. Resistance
includes tardiness, absenteeism and task avoidance.

45
Acrimoniousness depicts employees who appear to be irritable
and angry and who have difficulty with interpersonal
relationships on the job. Industriousness describes
employees who display impaired work productivity with
respect to behaviors like time management, cooperation and
competence. Disaffection is indicative of an employee who
is experiencing work apathy, alienation and discontent.
Training and the attitudes towards the employee
assistance program had mixed affects on whether the
supervisor could identify the four types of worker problems
identified in the BYTE scale. The ability to identify the
impaired worker was not related to supervisor's positive
feelings about the employee assistance program. There was a
link between supervisory training and the ability to
recognize acrimoniousness and disaffection which were
displayed by impaired workers. The authors found no
relationship between the supervisors participation in
employee assistance training, their attitudes towards the
employee assistance program and their ability to recognize
the behaviors displayed by impaired workers.
Significance Of Present Study
As this review indicates, the role of the supervisor in
the employee assistance program continues to be a central
focus in research on employee assistance programs. But the
literature provides few answers to the guestion of why some

46
supervisors refer to the employee assistance program and
others do not. The research concerning supervisory
referrals is sparse, inconclusive and, for the most part,
void of theory to guide the research. The present study
proposes to add to the research concerning supervisory
referrals to the employee assistance program and provide
some conceptual and theoretical focus to the research on
this aspect of employee assistance programs. Specifically,
the study will be interested in accounting for why some
supervisors refer to the employee assistance program and
others do not. The theoretical guidance comes principally
from two sociological theories, social learning theory and
labelling theory that have been widely used in studies of
deviance.
The supervisors' behavior in response to drug and
alcohol problems on the job may be viewed as a form of
social control of deviance to which labelling theory may be
applicable. Referral to the employee assistance program is
at best a mildly stigmatizing label and efforts are always
made to avoid unduly tagging employees as having problems in
need of correction. Nevertheless, referrals are decisions
made about employees which are similar to referral and
treatment decisions made by health care and correctional
workers. Social learning theory has been used to account
for development of drug and alcohol abuse, but it also
provides a perspective for understanding decisions made by

47
others about what to do to or for those with drug and
alcohol problems (Krohn and Akers, 1977).

CHAPTER 3
LABELLING AND SOCIAL LEARNING THEORY AS PERSPECTIVES
ON EMPLOYEE ASSISTANCE REFERRALS
In the 1960s, the popularity of labelling theory
changed the emphasis of the sociology of deviant behavior
from searching for the cause of deviant behavior to the
social reaction and attempts to control the behavior. The
guestion became why some people have the label of deviant
applied to them and what consequences exist for those
bearing a deviant label. From this perspective, deviance
was seen as being socially constructed by way of interaction
between those who engage in a particular behavior and those
who see that behavior, label it deviant, and react to it.
Both the drug and alcohol problem and the violation of work
performance rules and expectations are deviant acts on the
job. Supervisors are in the role of rule enforcers who
identify, define, and react to certain employee behavior as
failing to meet expectations and taking action (e.g.
referral to the employee assistance program, constructive
confrontation) to do something about it. In so doing they
are labelling certain employees as having problems and in
need of help. In this case the label is not intended to
stigmatize or to indicate serious deviance. It is
48

49
nonetheless, an instance of social labelling and labelling
theory may provide some answers to the question of what the
label is based on and what variables may be operating in the
exercise of supervisors' decisions in referring or not
referring.
The roots of labelling theory can be traced to the
works of Tannenbaum (1938) and Lemert (1951). Using the
example of young people coming in contact with the criminal
justice system, Tannenbaum cautioned that the institution
that is supposed to be correcting behavior may be in fact
producing the very behavior it is trying to prevent. In
essence, Tannenbaum feels that the adolescent will become
the very thing that he is described as being.
In 1951, Edwin Lemert continued to develop the
labelling perspective by illustrating the process by which a
severe reaction to a particular norm violating behavior
would cause a reorganization of the person's "social self,"
thus integrating the new deviant identity. Following the
lead of Tannenbaum, Lemert wanted to point out that, while
many people in many different circumstances engage in norm
violating behavior, those that are singled out and given the
label "deviant" internalize that label and the roles that go
with the label.
Becker (1963, 1973), Erikson (1962), Kitsuse (1964) and
Schur (1971) further developed the labelling perspective and
took it into its prominence as a significant force in the

50
sociology of deviance literature. Becker (1963, p. 8)
states "social groups create deviance by making rules whose
infractions constitute deviance, and by applying those rules
to particular people and labelling them as outsiders. From
this point of view, deviance is not a quality of the act the
person commits, but rather a consequence of the application
by others of rules and sanctions to an offender. The
deviant is one to whom the label has successfully been
applied; deviant behavior is behavior that people so label."
In his writing, Erikson (1962, p. 11) also comments on the
change of emphasis from the individual actor to the social
audience stating "deviance is not a property inherent in
certain forms of behavior; it is a property conferred upon
these forms by the audiences which directly or indirectly
witness them. The critical barrier in the study of
deviance, then, is the social audience rather than the
individual actor, since it is the audience which eventually
determines whether or not any episode of behavior or any
class of episodes is labelled deviant."
Schur (1971) discusses what is meant by the social
audience and identifies three levels of analysis by which to
evaluate the social audience. According to Schur, the first
level of the social audience is society at large, which
includes the interwoven groups from which emerge general
reactions to various forms of behavior. The second level of
analysis includes official and organizational agents of

51
control. Schur sees these as the most significant of the
labelers. This is because of the fact that the agents of
social control implement the broader and more diffuse social
definitions through organized structures and
institutionalized procedures. Hawkins and Tiedeman (1975)
illustrate this level of analysis by noting that in many
social control agencies "the organizational prereguisites
fix and perpetrate a pre-existing tendency on the part of
trained agents to categorize clients and the inevitable
result is a social system wherein many of those who come to
be typed as deviant are created as such through their
encounters with the social processing agencies (p. 183)."
The third level of analysis comprises those individuals with
whom a person has daily interaction and by whom he/she is
constantly labelled in numerous ways. An example of this
social audience would be significant others, husbands, wives
or other relatives, who view a particular behavior as being
deviant and thus refer them for psychiatric treatment. The
supervisors in this study are a social audience intermediate
between the second and third level.
Consistent with all three levels of social audience is
the central concept of power. This is an important concept
in the labelling perspective because it is a guiding
principle of why some are labelled deviant and others are
not. When referring to those who make the rules or enforce
the rules, it is the power that these people have to label a

52
particular person or act and the relative lack of power that
the person who is the object of the label has to avoid the
label that is central to the labelling perspective.
Commenting on the issue of power, Becker (1973, p. 60)
states, "interactionist theories of deviance, like
interactionist theories generally, pay attention to how
social actors define each other and their environments.
They pay particular attention to differentials in the power
to define, in the way one group achieves and uses the power
to define how other groups will be regarded, understood and
treated."
To summarize, the social audience consists of society
in general, social control agents and significant others.
The most important variable that determines whether one will
be labelled deviant or not by the social audiences is
relative power. Those with greater social power will be
less likely to be labelled than those with less power even
for the same act.
Lilly et al. (1989) refer to the two main propositions
in labelling theory. The first proposition states that
those who are labelled deviant will internalize the deviant
label, become what they have been so labelled, and increase
deviant behavior in the future. In this regard labelling is
seen as an independent variable. The authors indicate that
empirical testing of this proposition has yielded mixed
results. The authors are cautious not to discount the

53
affects of labelling on the social actor. At any rate, the
effect of labelling as an independent variable is not of
interest in the present study, rather it is the second
labelling proposition. The second proposition states that
it is not the seriousness of the act or severity of the
problem that produces the label but the social
characteristics of those believed to have engaged in the
behavior. These social characteristics are viewed as
indicating greater or less social power and hence greater or
less likelihood of being labelled. This proposition has
also been tested in the criminal justice system by studying
the effects of the extra-legal factors versus legal factors
of offense seriousness and on discretionary decisions by
police, courts, and correctional agencies. The findings on
the effects of social characteristics of offenders such as
class, race and sex on criminal justice decisions have been
mixed.
The proposition has also been tested on admission,
referral, treatment, and release decisions regarding mental
patients. The question is whether factors such as age,
race, sex, and marital status have an impact on who is
labelled as being mentally ill independent of illness
behavior. The issue is best seen in the work of Walter Gove
(1970, 1975, 1980), who takes a traditional psychiatric
perspective in arguing that referral and treatment decisions
are based only on type and seriousness of the mental

54
illness, and Thomas Scheff (1966, 1974, 1975), who argues
from a labelling perspective that the illness is secondary
and the social characteristics of individuals is primary in
labelling persons as mentally ill.
The basic question put forth, then, is whether a person
is labelled as mentally ill because of the social
characteristics of the individual as indicative of the
person's power and resources, or whether the label is
applied based on the presumed or diagnosed severity of the
mental illness symptoms. Scheff argues that those labelled
mentally ill are those with the least amount of social
resources and therefore the least powerful in society. When
decisions concerning referrals to treatment, admissions to
treatment, and discharges from treatment are made i.e., the
label is applied, they are not made on the basis of the
severity of an underlying disease. Gove takes the view that
there is a real disease involved and that decisions
regarding the referrals to treatment, admissions to
treatment and discharges from treatment are simply responses
to that illness. The label of mental illness is applied to
those who have symptoms recognized by psychiatrists as
indicative of an underlying mental illness or disease.
Krohn and Akers (1977) in a critical review of the
research literature, attempt to evaluate whether the
psychiatric or the labelling model best explains the
decision to hospitalize and retain mental health patients.

55
Krohn and Akers ask the question, "to which set of
variables, psychiatric or extra-psychiatric, are the
decisions of mental health agents (psychiatrists,
physicians, etc.) regarding treatment needs and treatment
termination more strongly related?" (Krohn and Akers, 1977,
p. 342). The authors state that much of the research,
either in support of the psychiatric or labelling
perspective, does not pay adequate attention to the
utilization of samples of predominately voluntary patients
and involuntary patients committed to institutions. The
authors also feel that many of the studies do not possess
adequate controls of the severity of the psychiatric
illness. Krohn and Akers look at the research on voluntary
admissions to psychiatric institutions and the release of
voluntary patients from psychiatric institutions as well as
the research on involuntarily committed patients and their
discharge from psychiatric institutions. The authors
highlighted those studies which adequately controlled for
the level of psychiatric illness.
Krohn and Akers begin their discussion by evaluating
the research on voluntary admissions into psychiatric
hospitals. Two studies, one by Mendel and Rapport (1969)
and the other by Maisel (1967) both adequately controlled
for psychiatric impairment. Krohn and Akers conclude that
these two studies support the labelling perspective because
the decision to hospitalize a patient was influenced by the

56
number of support resources the patient possessed. The next
area that Krohn and Akers reviewed concerned research on the
release of voluntary patients from a psychiatric unit. Two
studies that provided adequate control of psychiatric
illness were the studies by Greenley (1972) and the study by
Watt and Buglass (1966). Again support was lacking for the
psychiatric perspective because family desires were found to
influence discharge decisions more than the diagnosed
illness. Next, Krohn and Akers examined the research on
involuntarily committed patients. Two studies, one by Wilde
(1968) and one by Wenger and Flether (1969), adequately
control for level of psychiatric illness, and found that
being committed or avoiding commitment was based on whether
a patient had legal representation.
Krohn and Akers conclude their critique of the
literature by looking at the research on the discharge of
involuntary patients. In a study by Piperno, (1975) the
author studied the length of hospitalization for patients
who have been confined for being criminally insane. Piperno
comes to the conclusion "the patient's continued commitment
is apparently based on factors other then the patient's
treatment performance. Some of these factors, such as age
and socioeconomic status, are ascriptive in nature although
they may be perceived by the staff as being important
considerations in the patient's release" (Piperno, 1975, p.
526).

57
As a result of this review of the literature, Krohn and
Akers concluded that the majority of the evidence indicates
more support for the labelling than the psychiatric
perspective. In fact, of the five studies reviewed by Krohn
and Akers (concerning the voluntary admissions and
discharges that controlled for the level of psychiatric
illness), only one was consistent with the psychiatric
perspective. A total of eight studies were reviewed which
looked at the involuntary admissions and discharges. None
supported the psychiatric perspective that decisions are
based only on the nature of the diagnosed illness.
It is Krohn and Akers conclusion that the extra¬
psychiatric social variables do affect decisions about
admitting and releasing mental patients. The authors state,
"one is less likely to be labelled mentally ill and continue
as an involuntary mental patient if he or she can bring
legal or other resources to bear in opposition to commitment
and release decisions" (Krohn and Akers, 1977, p. 354).
While Krohn and Akers conclude that the review of literature
indicates that there is some support for the labelling
perspective regarding voluntary commitment and diagnosis of
mental illness, they also feel that the research provides
support for an alternative perspective, social learning
theory. That is, referrals, admissions and discharges are
based on how costly or rewarding they are for those making
the decision.

58
In EAPs no direct decisions are made by the supervisors
about admissions or length of treatment for diagnosed mental
illness. However, supervisors do make decisions regarding
referrals for job problems that may result from alcohol,
drug or emotional problems. In this sense they are making
labelling decisions just as the mental health worker made
labelling decisions in the research reviewed by Krohn and
Akers. A study of EAP referrals, then, can be seen as
involving some of the same variables as the research on
mental health decisions reviewed by Krohn and Akers (1977).
Therefore, both labelling and social learning perspectives
could aid in explaining those decisions.
The version of social learning theory to which Krohn
and Akers refer is a reformulation of Sutherland's theory of
differential association (Burgess and Akers, 1966) using
principles of reinforcement and conditioning (Skinner, 1953;
Bandura, 1977). The present research follows the lead of
Krohn and Akers in applying social learning theory to
labelling decisions. Before specifying how that will be
done a review of social learning theory is in order.
Akers (1985) presents the most current treatment of
social learning theory as well as the relevant research
which substantiates the theory. The major concepts used in
social learning theory are reinforcement, punishment,
imitation, differential reinforcement, definitions, and
differential association.

59
Reinforcement is the process by which a particular
reaction encourages the behavior to be emitted in the
future. This response can be in the form of positive
reinforcement, a pleasurable experience, or a negative
reinforcement; the removal of something painful. An example
of a positive reinforcement is social approval. An example
of negative reinforcement is the avoidance of discipline.
Differential reinforcement is a process by which one of
several behaviors is reinforced more frequently and in
greater amounts; thereby giving a higher probability that
the behavior will persist in the future. Punishment is the
opposite of reinforcement because it decreases the rate at
which a particular behavior will be emitted in the future.
Punishment can also be positive or negative. Positive
punishment, such as a legal sanction, has the consequence of
decreasing the behavior. Negative punishment, such as
being fined for a traffic violation, is when a reward is
taken away.
Imitation is a process by which the behavior of another
person is modeled. Imitation of models, as it is used in
social learning theory, is important in the initial learning
of new behaviors and is less important in the maintenance of
behavior.
In social learning theory, definitions are
verbalizations which define, for the actor, what is
appropriate and what is inappropriate in a social situation.

60
Differential association relates to the interaction patterns
with others that provide the definitions, models and
reinforcement for deviant or conforming behavior.
Social learning theory has been empirically tested with
an adolescent population concerning their alcohol, drug and
smoking behavior (Akers et al., 1979; Krohn et al., 1985;
Krohn et al., 1984; Krohn et al., 1982; Lanza-Kaduce et al.,
1984 and Dembo et al., 1986). With social bonding theory
and strain theory, the theory has also been tested to
determine the explanatory power of all three theories (Akers
and Cochran, 1985; Elliott et al., 1985). More recently,
social learning theory has been tested with an adult
population (Akers et al., 1989).
In the 1979 article by Akers et al., the authors wanted
to determine the explanatory power of the social learning
variables concerning adolescent alcohol and drug behavior.
Data were collected using a self report questionnaire which
was administered to 3,065 male and female adolescents
attending grades 7-12 in seven communities in three
midwestern states.
Results of the study indicated strong support for the
social learning variables, differential association,
differential reinforcement, definitions and imitation.
Combined, the variables accounted for 68% of the variance in
marijuana use and 39% in the abuse of marijuana. Fifty-five
percent of the variance was explained concerning the use of

61
alcohol and 32% of the variance explained in the abuse of
alcohol by the adolescents.
In the 1985 study by Akers and Cochran, the authors
performed a direct comparison of the explanatory power of
social learning theory, social bonding theory and strain
theory. The sample consisted of the same 7-12 graders who
were used in the Akers et al. 1979 research. In this
research, Akers and Cochran specifically studied the use and
abuse of marijuana by the adolescents. The results of the
multiple regression analysis indicated strong support for
the social learning variables over the social bonding and
strain variables. The social learning model explained 68%
of the variance, the social bonding model explained 30% of
the variance and the strain model explained 3% of the
variance in marijuana use.
In the 1989 article by Akers et al., for the first
time, the authors tested the social learning variables with
an adult population. They tested the theory with an elderly
population to determine if the social learning variables can
explain drinking behavior within this population. Other
than imitation, the same social learning concepts,
differential association, definitions and differential
reinforcement were measured. The authors found that 59% of
the variance in elderly drinking was explained by the social
learning variables and 52% of the variance was explained
concerning alcohol abuse among the elderly.

62
For the purpose of the present research, social
learning theory is not being used to explain the deviant
behavior (drug or alcohol abuse) of employees. Instead, it
is being applied to the behavior of those supervisors who
are in a position to label that behavior and make decisions
about those believed to have engaged in the behavior. The
behavior to be explained by the social learning variables is
supervisors' behavior concerning referral of employees to
the employee assistance program.
Krohn and Akers (1977) argue that the research findings
for mental health decisions (admission or discharge
decisions) are more a result of the rewarding or punishing
consequences of those decisions than are the psychiatric
symptoms of the patient. Krohn and Akers state, "the
learning model adds an explanation of the behavior of
psychiatric workers as a function of past learning and
responses to present and anticipated stimuli" (1977, p.
356). The decision to commit and retain someone into
psychiatric care, according to social learning theory, is
based on what behavior would produce the highest rewards and
the least cost to the psychiatrist or other mental health
practitioner.
Social learning theory would state that the extent to
which labels are applied on the basis of social power
depends on the resources that can be brought to bear to
affect how costly or rewarding such decisions will be for

63
the psychiatrist or referring agent. Those who are
involuntarily committed have low social resources and less
power and are less able to cause problems or create
difficulties for the psychiatrists. Therefore, the
psychiatrists would experience higher rewards and lower
costs if they involuntarily committed this person. Those
with higher social resources and more power are more likely
to be admitted as voluntary patients because the
psychiatrist would experience less rewards and greater
difficulty in attempting to commit such persons
involuntarily, while taking on well-to-do patients who are
desirous of treatment and offers rewards.
Consistent with social learning theory, the expectation
in this research is that the rewards and costs that
supervisors have experienced or anticipate experiencing if
they refer an employee under their charge to the employee
assistance program will affect their referral actions. The
research will also propose, consistent with the labelling
perspective, that the supervisors' decisions to refer an
employee under their charge to the employee assistance
program will be affected by the social characteristics of
the employee.
Supervisors in the workplace are not psychiatrists and
are not making decisions regarding involuntary commitment
for mental illness. They are referring workers who have
work-related problems which they believe can be helped by a

64
referral to the employee assistance program. The
supervisors are not making diagnosis, treatment or discharge
decisions. But, they are making referral decisions which,
in part, result in a label of mental illness or substance
abuse. Therefore, if social learning theory is applicable
as an alternative approach in accounting for decisions by
mental health workers, it should also provide some
theoretical coherence to the understanding of supervisory
referrals to the employee assistance program.
Labelling and social learning theory (which have been
useful in understanding criminal justice and psychiatric
decisions) should provide fruitful propositions regarding
employee assistance program referrals. They hold promise as
offering theoretically-based models of supervisor referrals
where little theory now exists.

CHAPTER 4
METHODOLOGY
Sample
The sample for the research was obtained from two
hospitals in the southeast. One of the hospitals is a
public, teaching hospital with approximately 1,500 patient
beds and employs approximately 3,000 people. Of those
employed approximately 300 are considered to be in
supervisory positions. The hospital has had an employee
assistance program for approximately six years. The other
hospital is a 1,000 bed private, religiously affiliated
hospital with approximately 2,000 employees. Of those
employed approximately 100 are considered to be in
supervisory positions. The hospital has had an employee
assistance program for approximately five years. Thus, both
are sizeable organizations, with large numbers of employees,
and well established employee assistance programs.
The sample was originally to be drawn by way of a two
step process. A introductory letter was to be sent to the
supervisors in their paycheck envelope. This letter was to
ask whether the supervisor had ever referred an employee
under their charge to the employee assistance program. The
65

66
letter was also to ask if they were willing to participate
in the research study. In order to get an equal number from
each group, a sample was to be drawn from those who had
referred an employee to the employee assistance program and
those who had not referred an employee to the employee
assistance program. The researcher was then to contact
those who were willing to participate and they were to be
interviewed individually.
After several meetings with the people in the personnel
department of the public hospital it became obvious that
this procedure was not going to be effective in gathering
the data. The people at the public hospital felt that since
this method could cause considerable disruption to the
patient care process and it could be difficult to coordinate
an appropriate time for the researcher and each supervisor
to meet, it would be best for the instrument to be self-
administered to the supervisors in a group situation.
As an alternative the researcher proposed that the
personnel department would contact the vice presidents of
the various departments to determine the time and date that
the supervisors regularly meet and during that meeting the
researcher would administer the research instrument. This
proposal was accepted and this procedure was used to collect
the data from the supervisors at the public and private
hospital.

67
Procedure
Ninety supervisors were interviewed, 48 from the public
hospital and 42 from the private hospital. At both the
public and private hospital supervisors included those who
had responsibility to oversee the work of the line staff in
the hospital's dietary, housekeeping, nursing, and
administration services. At each institution, the
supervisors were given a self-administered questionnaire.
Each time the questionnaire was administered, it was
explained to the supervisors by the researcher that the
study was being conducted to evaluate the effectiveness of
the employee assistance program. It was briefly explained
that an integral part of the employee assistance program was
participation on the part of the supervisors. The first
page of the questionnaire was then read to the employees.
The instructions indicated to the supervisors that the
questionnaire was designed for anonymity and respondents
were to make no identifying marks anywhere on the
questionnaire. It was also explained that the answers they
were to give were part of an aggregate total so no
individual responses could be identified. Additionally,
supervisors were informed that if they did not want to
answer a particular question they could simply leave it
blank and go on to the next question.

68
The questionnaire was pre-tested at the public hospital
with six supervisors in the personnel department. As a
result of the pre-test some important changes were made in
the research instrument. Because some of the instructions
were vague wording was changed and key words were
highlighted. The most important change that came out of the
pre-test was the addition of a definition of a referral to
the employee assistance program. The supervisors were
instructed that a referral to the employee assistance
counseling program includes the professional counseling that
is available outside the hospital as well as services in the
hospital which deal with employees who are experiencing
alcohol, drug, personal or emotional problems which are
interfering with the employee's work performance.
Instrument
The survey instrument consisted of 67 questions which,
for the most part, were in the form of a five-point Likert
scale (see Appendix B). First, the instrument gathered some
demographic information (e.g. age, sex, race, marital
status, years of education and income) about each supervisor
(questions 1-10). Questions 11-13 dealt with overall
knowledge and use of the employee assistance program.
Question 12 provided a dichotomous measure of the dependent
variable concerning whether the supervisors had ever
referred an employee to the employee assistance program. If

69
the supervisors answered yes, they continued to answer
questions. If they answered no, they were to advance to
question 29 and continue with the remainder of the
questionnaire.
Questions 14-24 measured variables related to
labellinq, such as employees' sex, race, marital status, job
title and years of education. Female qender, minority
status, unmarried status, low job status and low education
are taken as indicatinq low social power. To measure the
severity of the primary and secondary problem for which the
employee was referred to the employee assistance proqram
questions were asked about supervisors' perceived severity
and type of problem for which the employee was referred and
the negative job related behaviors that were associated with
the primary and secondary problem.
Questions 25-60 operationalized the social learning
constructs. Questions 25-28 dealt with actual reinforcement
that the supervisors who referred an employee to the
employee assistance program experienced. Questions 29-36
addressed anticipated reinforcement, if in the future, a
supervisor referred an employee to the employee assistance
program. All supervisors answered these questions whether
they had referred someone or had not referred someone to the
employee assistance program.
Question 37 dealt with differential association. This
question addressed the supervisor's knowledge of how many of

70
the other supervisors referred an employee to the employee
assistance program. Questions 38-40 asked the supervisors
to respond to a series of questions similar to the questions
asked concerning anticipated reinforcement. The supervisors
were asked to respond to a series of questions concerning
how other supervisors would react if they had an employee
who needed help and needed a referral to the employee
assistance program, but they did not refer the employee.
The supervisors were asked separate questions about
employees with alcohol, drug and personal/emotional
problems. Although this increased the length of the
research instrument it was felt that this would be an
important aspect of the research.
Questions 41-57 addressed the supervisors' personal
experiences with the counseling services provided by the
employee assistance program, counseling provided from a
source other than the employee assistance program, and the
actual and anticipated reinforcement for being involved in
counseling. In questions 58-60, the supervisors were asked
how they would respond if people close to them were referred
to counseling. The remainder of the questions, questions
60-67 dealt with the supervisor's job satisfaction, how
supportive the institution was of the employee assistance
program and the supervisor's definitions of alcohol, drugs
and personal/emotional problems.

71
Operationalization
Reinforcement is defined as a process by which a
particular reaction encourages the behavior to be emitted in
the future. This response can be in the form of positive
reinforcement, a pleasurable experience, or a negative
reinforcement, the removal of something painful. In
addition, differential reinforcement is defined as the
balance of anticipated positive and negative reactions
supervisors expect to receive for referral or non-referral
behavior. For the purpose of this study reinforcement
includes the degree to which organizational rewards
encourage a particular behavior. The first group of
reinforcement variables were the anticipated social
reinforcement from other supervisors and employees that
supervisors believe they would receive if they were to refer
an employee to the employee assistance program (EAP). To
measure the degree of reinforcement a five-point Likert
scale was employed, from strongly disapprove to strongly
approve. Reinforcement measures were taken for the three
different types of referrals discussed in Chapter 4:
referral of an employee for an alcohol problem, referral for
a drug problem, and referral for an emotional problem.
An example of a question from this series of
reinforcement measures included "If in the future you were
to refer an employee under your charge to the hospital

72
sponsored employee assistance counseling program and the
following people knew about your referral, what do you think
would most likely be their reaction to the referral?" If
the supervisors responded strongly approve this would
indicate a high degree of reinforcement for the referring
behavior. If the supervisors responded strongly disapprove
this would indicate a low degree of positive reinforcement
(or a high degree of punishment) for the referring behavior.
The next series of anticipated reinforcement measures
consisted of the reinforcement anticipated from other
supervisors, employees and family members if the supervisors
were to make self-referrals to the counseling services of
the EAP. Again the degree of reinforcement was measured by
a five-point Likert scale of responses to each item, and the
items were separated into groups of questions concerning
alcohol, drug or emotional problem. An example of a
question from this series of reinforcement measures included
"If in the future you were to receive counseling from the
hospital sponsored employee assistance counseling program
for an alcohol problem what do you think would most likely
be the reactions of the following people?" (the list of
people included family members, friends, other supervisors
and other employees). If the supervisors responded strongly
approve this would indicate a high degree of reinforcement
for counseling. If the supervisors responded strongly
disapprove this would indicate a low degree of

73
reinforcement, or a high degree of punishment for
counseling.
The next series of reinforcement measures examined the
reinforcement that supervisors anticipated they would
receive from other supervisors, other employees and family
members if they were to receive personal counseling from a
source other than the employee assistance program.
Consistent with the preceding measures, these measures were
also separated into three groups of questions, for alcohol,
drug or emotional problems and responses were measured by a
five-point Likert scale from strongly disapprove to strongly
approve. An example of a question from this series of
reinforcement measures included "If in the future you were
to receive counseling from a source other than the hospital
sponsored employee assistance counseling program for an
emotional problem other than an alcohol or drug problem what
do you think would most likely be the reaction of the
following people?" If the supervisors responded strongly
approve this would indicate a high degree of reinforcement
for counseling. If the supervisors responded strongly
disapprove this would indicate a low degree of reinforcement
for counseling. These two questions were viewed as
measuring greater or less reinforcement for referring other
employees to the employee assistance program because it is
believed that if supervisors are reinforced for engaging in
counseling to solve their own alcohol, drug or emotional

74
problems, they are more likely to anticipate positive
reactions for intervening with other employees to also seek
help for their alcohol, drug or emotional problems.
The next series of reinforcement measures explored the
negative reactions (e.g., the employee or one's own
supervisor would be upset), that supervisors anticipated
receiving from other supervisors and other employees if they
were to refer an employee to the employee assistance
program, compared to anticipated supportive reactions such
as the gratitude of the referred employee or the approval of
one's supervisor. The respondents were asked to check all
the punishing or supportive behavior they anticipated from
making an EAP referral (see Appendix B, questions 35 and
36) .
The amount of institutional support or non-support that
a supervisor received from the organization concerning the
employee assistance program is also considered an indicator
of differential reinforcement. To evaluate the degree of
organizational support, questions were asked concerning the
number of memos the supervisors received on the employee
assistance program, informal discussions they had with other
supervisors regarding the employee assistance and the
frequency of employee assistance program in-service training
provided by the organization. To measure the degree of
institutional support a four-point Likert scale was employed
which ranged from never to very often. For example, a

75
question from this series of reinforcement measures included
"To the best of your knowledge how often have you been to
in-service training which explained the way the employee
assistance program is to be utilized by the supervisors?"
An answer of "very often" indicated a high degree of support
by the organization. A response of "never" indicated a low
degree of organizational support for the employee assistance
program.
Finally, supervisors were asked what reactions from
others they would anticipate for not referring employees to
the employees assistance program. This question was
included to determine if there is consistency between the
positive reactions the supervisors anticipated receiving for
referring employees to the employee assistance program and
the anticipated disapproving reactions for not referring.
As with some of the previous measures concerning supervisory
referrals to the employee assistance program, three groups
of measures were used to determine the anticipated
reinforcement for refraining from making a referral for an
alcohol, drug or emotional problem. These measures also
used a five-point Likert scale which ranged from strongly
disapprove to strongly approve.
For example, a question from this series of
reinforcement measures included "If you had someone under
your charge who is in need of a referral to the hospital
sponsored employee assistance counseling program for a drug

76
problem and you did not refer them and the following people
knew about you not referring them, what do you think would
most likely be their reaction to your not making the
referral?" A response of strongly approve would indicate a
high degree of reinforcement for not making the referral. A
response of strongly disapprove would indicate a low degree
of reinforcement for not making the referral.
There are six measures of definitions or attitudes
favorable or unfavorable to referral. Definitions are
verbali2ations which define, for the actor, what is
appropriate and what is inappropriate in a social situation.
The first two questions were asked about the supervisor's
endorsement of the disease concept of alcohol and drug
abuse, from strongly disagree to strongly agree that alcohol
or drug abuse is a disease. Because endorsement of the
disease concept and the idea that drug addiction and
alcoholism are treatable diseases is a major part of
supervisory training for employee assistance programs, a
response of "strongly agree" to the statement "alcohol is a
disease" would indicate a definition favorable to making a
referral to the employee assistance program. A response of
"strongly disagree" would indicate a definition unfavorable
to making a referral.
The next two measures asked the supervisors if they
felt that the person who was addicted to alcohol or drugs
could stop if they really desired to do so. An answer of

77
"strongly agree” would indicate a positive definition
because a referral by the supervisors would be viewed as a
helping behavior, if it is believed that something can, in
fact, be done about the problem. A response of "strongly
disagree" would indicate an unfavorable definition toward
referral because if alcoholics or drug addicts can not stop,
it would be futile to refer them for treatment. The third
measure of definitions consisted of separate questions about
the supervisors' views on the degree of responsibility that
either an alcoholic or drug addict should take for the
problems the addiction has caused. A response of "strongly
agree" would indicate that the addicted person is
responsible for doing something about the problems caused by
the alcohol or drug abuse. Under the disease concept the
development of alcoholism is thought to be not the
responsibility of the alcoholic, but responding positively
to offers of help and taking steps to recover are the
alcoholic's responsibility.
A fourth measure of definitions was a series of three
questions concerning how helpful the supervisors felt the
employee assistance program would be for someone
experiencing an alcohol, drug or emotional problem. The
responses ranged from "not helpful" to "very helpful."
Following Googins and Kurtz (1980), a response by
supervisors that the program would be very helpful was taken
as a definition favorable to making a referral. A "not

78
helpful" response would indicate a definition unfavorable to
making a referral. The last two definition measures related
specifically to the supervisors' job. These included the
supervisors' overall happiness with their job as well as a
measure of the supervisors' dedication to their job. The
responses ranged from "strongly disagree" to "strongly
agree" (see Appendix B, questions 62c and 62h). For both
questions a response of "strongly agree" would indicate an
overall happiness with their job and a high degree of job
dedication. It is expected that supervisors who are happy
with their jobs and have a high degree of job dedication are
more likely to incorporate their role in the employee
assistance program into their general supervisory
responsibilities. Therefore, an attitude of satisfaction
with one's job is viewed as favorably disposing the
supervisor to employee assistance program referrals.
There were two questions measuring differential
association. Differential association is defined as the
interaction patterns with others that provide the
definitions, models, and reinforcement for a particular
behavior. Differential association has both a behavioral
aspect and a definitional aspect. The behavioral aspect
includes the degree of association with those supervisors
who have referred employees to the employee assistance
program. The definitional aspect relates to the overall
normative pattern (favorable climate) found in the

79
organization regarding the referral of employees to the
program.
The first measure of differential association consisted
of the supervisors' colleagues who referred to the employee
assistance program. The separate items in the differential
association measure consisted of the number of the
supervisors' colleagues which they most respected, with whom
they had the closest relationship with, had known the
longest and had associated with most frequently, who had
referred an employee to the employee assistance program.
The five-point Likert scale ranged from none to all (see
Appendix B, question 37). This question relates to the
behavioral aspect of differential association. The other
measure of differential association was a subjective
impression of the priority given by the organization of the
employee assistance program, separately from the
institutional support measures included under the
reinforcement concept. Here the effort is to elicit the
climate of favorable opinion on employee assistance
program's prevailing in the organization, specifically how
much importance the hospital attached to the program. The
question asked "To the best of your knowledge how important
do you feel the employee assistance counseling program is to
the hospital?" A response of "very important" indicates a
perception of support by the hospital and would be a climate
favorable to making a referral. A response of "not

80
important" would indicate a climate unfavorable to making a
referral. This question relates to the definitional aspect
of differential association.
Scaling Procedure
Because the measures of differential association are
not included in the discriminant function analysis in
Chapter Five, due to low response rate, the differential
association scales are not reported here. The individual
measures of anticipated reinforcement, definitions and
differential association were scaled. Tables 4.1 and 4.2
summarize the reliability and item to scale correlations for
each of the scales. The item to total scale summary
statistics reported in Tables 4.1 and 4.2 includes the range
of item to total correlations for each measure in the scale.
The range of alpha values when the item is deleted for each
measure in the scale and the overall alpha of the scale is
also reported. The item to total correlation represents how
well each individual item is correlated with the overall
scale. The alpha values when the item is deleted represents
the change in the overall alpha of the scale if a particular
item is not included in the scale. The alpha represents the
reliability of the overall scale.

81
Table 4.1: Reliability And Item To Scale Correlations For
Reinforcement Scales
Item to total Alpha if item
Variables correlation range deleted Alpha
REINFA
.6373
—
.8300
.8877
—
.9079
.9099
REINFD
.7028
—
.8685
.9279
—
.9428
.9413
REINFE
.6759
—
.8703
.9129
—
.9291
.9304
EAPREINA
.6185
—
.6906
.7610
—
.7931
.8247
EAPREIND
.6215
—
.8858
.8241
—
.9205
.8979
EAPREINE
.6479
—
.8612
.8215
—
.9057
.8897
OTHREINA
.5669
—
.7983
.7639
—
.8671
.8506
OTHREIND
.7224
—
.8575
.8515
—
.8996
.9049
OTHREINE
.7913
—
.9164
.9005
—
.9390
.9385
PUNISH
.3790
—
.6213
.5814
—
.7291
.7057
SUPPORT
.2260
—
.6165
.5958
—
.7497
.6983
INSTSUP
.5107
—
.6067
.6179
—
.7320
.7446
NOREFA
.6084
—
.8940
.9247
—
.9445
.9403
NOREFD
.7113
—
.8717
.9459
—
.9572
.9545
NOREFE
.7329
—
.8847
.9492
—
.9589
.9577
N = 79
The first three scales in Table 4.1 measures perceived
differential social reinforcement (approval or disapproval)
that supervisors anticipated receiving if they were to refer
an employee to the employee assistance program for an
alcohol (REINFA), drug (REINFD) or emotional problem
(REINFE). Each of these reinforcement scales had eight
items. All of the alphas were within the acceptable limits.
The next set of three scales measured the amount of
reinforcement that supervisors believe they would receive if
they personally used the employee assistance program for an
alcohol problem (EAPREINA), a drug problem (EAPREIND) or an

82
emotional problem (EAPREINE). Each of these scales had four
items. All of the alphas were within the acceptable limits.
The next group of scales measured the amount of
reinforcement that supervisors believe they would receive if
they sought counseling from a source other than the employee
assistance program for an alcohol problem (OTHREINA), a drug
problem (OTHREIND) or an emotional problem (OTHREINE). Each
of these scales also had four items. Again, all of the
alphas were within the acceptable limits. The scales
measuring the amount of perceived punishing (PUNISH) or
supportive (SUPPORT) behavior supervisors would experience
for making a referral all scaled reliably. There were five
items in each of the scales. The measure of institutional
support for the employee assistance program (INSTSUP) is a
three item scale with an alpha coefficient indicating the
scale is reliable.
The last three scales measured the amount of
reinforcement which supervisors would experience if they had
an employee who needed a referral to the employee assistance
program for an alcohol problem (NOREFA), a drug problem
(NOREFD) or an emotional problem (NOREFE) but did not refer
the employee to the employees assistance program. Each of
these scales had eight items, all of the alphas being within
the acceptable limits.

83
Table 4.2: Reliability And Item To Scale Correlations For
Definitions Scales
Variables
Item to total
correlation range
Alpha if item
deleted
Alpha
DISEASE
.5388
.6672
STOPUSE
.9397
.9689
RESP
.8100
.8948
HELPFUL
.7911 — .8750
.8448 — .9131
.9168
N = 79
Table 4.2 summarizes the reliability and item to scale
correlations for the definition variables. Three of the
four scales had only two items which made up the scale.
Therefore, the alpha with item deleted was not reported.
The first scale measured the supervisor's definition of
alcohol and drug addition as a disease (DISEASE). The
second scale measured the attitude that the supervisor held
concerning the ability of people with alcohol and drug
problems to stop if they so desired (STOPUSE). The third
scale measured the amount of responsibility that a drug
addict or alcoholic should accept for the problems that
their drinking or drugs have created (RESP). The last
definition scale was the amount of helpfulness that the
supervisors felt the employee assistance program would be to
t
an employee that they referred (HELPFUL). The first three
scales had two items therefore the alpha if item deleted is
not reported. The HELPFUL scale had three items. The

84
alphas for all of the definition scales were within the
acceptable limits.
Statistical Techniques
The statistical techniques that will be used to examine
these hypotheses are frequency distributions, cross¬
tabulations, multivariate regression (Pedhazur, 1982) and
discriminant function analysis (Klecka, 1980). Discriminant
function analysis is a statistical technique used when the
researcher is studying the differences between two or more
groups with respect to several variables simultaneously. In
the present research, the dependent variable is a
dichotomous variable defined by two groups; those
supervisors who have referred an employee to the hospital
sponsored employee assistance program and those supervisors
who have not. The primary independent variables in the
discriminant function analysis are the social learning
variables; differential association, reinforcement and
definitions.
There are seven assumptions for the use of discriminant
function analysis: (1) there must be two or more groups, (2)
there should be at least two cases in each group, (3) there
can be any number of discriminating variables, provided that
it is less than the total number of cases minus two, (4)
discriminating variables are measured at the interval level,
(5) no discriminating variable can be a linear combination

85
of other discriminating variables, (6) the covariance
matrices for each group must be equal and (7) each group has
been drawn from a population with a multivariate normal
distribution on the discriminating variables. Most of the
assumptions are met in the following analysis. It has two
groups; there were more than two cases in each group; there
were far fewer discriminating variables than cases; the
intercorrelations among the discriminating variables are not
high (see Table 4.3); the covariance matrices are not
significantly different at the .05 level according to the
Box's M (Box's M = 118.13 P = .07); the means and standard
deviations of the discriminating variables suggest they are
not highly aberrant (see Table 4.4).
Klecka states that discriminant function analysis is
considered to be a robust statistical technique and
therefore can tolerate deviations from the assumptions
(Klecka, 1980, p. 61). For example, when interpreting the
classification results, if the percent of cases correctly
classified is large the violation of the normality
assumption (number 7) is not harmful. The proportion of
correct classifications will also inform one whether
substituting ordinal for interval level data greatly reduces
accuracy.
Discriminant function analysis provides for two
separate procedures, interpretation and classification.
Interpretation involves determining what characteristics

Table 4.3
: Zero-Order Correlations For The Social Learning Variables Meeting
The Statistical Criteria For Inclusion In The Discriminant
Function For Supervisory Referrals To The Employee Assistance Program
REINFA
REINFD
RE1NFE
HELPFUL
EARPRBINA
EAPREIND
EAPREINE
DISEASE
8TOPUSE
IHSTSUP
NOPUNISHHENT
JOBSAT
R8IHFA
1.0000
REIHFD
.«008»*
1.0000
REINES
.6581**
.5975**
1.0000
HELPFUL
-.1114
-.0455
.0394
1.0000
EAPRBINA
.3001*
.2453
.1701
.1769
1.0000
EAPRBIND
.3807**
.2980*
.2339
.1622
.8480**
1.0000
EAPREINE
.2336
.1681
.1696
.0160
.6625**
.5884**
1.0000
DISEASE
-.0846
.0059
.0032
-.2049
-.0308
.0076
-.0742
1.0000
ET0FU8E
.0117
.0038
-.0915
.1336
-.0009
-.0771
.1651
-.0706
1.0000
IH8T8UP
.0303
-.0456
.0758
-.0453
.2231
.2764*
.1513
.0177
-.2038
1.0000
ROPURIBHMENT
-.0799
-.0806
-.1354
-.1541
.1170
.2123
.0115
.1249
-.0769
.0820
1.0000
JOB8AT
.0439
-.0497
.0946
-.0768
-.1166
.0277
-.1410
.1799
-.0039
.0758
. 2070
1.0000
H-80
* significant at tha .01 laval
•• significant at tha .001 laval

Table 4.4: Means And Standard Deviations For The Social Learning Variables
Meeting The Statistical Criteria For Inclusion In The Discriminant
Function For Supervisory Referrals To The Employee Assistance Program
Group 1
Referral
Group 2 Total
No Referral
x S.D. x S.D. x S.D.
Reinforcement
REINFA
34.54
4.03
REINFD
35.17
3.96
REINFE
34.63
4.10
EAPREINA
17.00
2.28
EAPREIND
17.17
2.66
EAPREINE
17.29
2.11
INSTUP
8.67
1.88
NOPUNISHMENT
1.92
.51
Definitions
DISEASE
8.85
1.86
STOPUSE
4.00
2.00
HELPFUL
11.27
3.12
JOBSAT
4.02
1.06
33.71
3.98
34.22
4.01
33.29
4.77
34.43
4.36
32.97
3.80
33.97
4.04
17.13
1.96
17.05
2.15
17.84
2.00
17.43
2.43
16.71
2.24
17.06
2.17
9.64
1.76
9.05
1.89
2.00
.43
1.95
.50
9.06
1.39
.94
1.68
4.77
2.46
.30
2.21
12.55
2.13
1.77
2.83
4.00
.82
4.01
.97
N=80
t
Q7

88
best explain the differences between the groups being
studied. In the present research, discriminant function
analysis is used to determine what characteristics explain
the difference between those supervisors who have referred
an employee to the employee assistance program and those
supervisors who have not referred an employee to the
employee assistance program. For the purpose of this study
the standardized canonical correlations will be evaluated to
determine which variables best explain referral and non¬
referral behavior of the supervisors.
Classification involves using the discriminant function
for the purpose of predicting the group into which a
particular case falls. For the present research, this
includes determining whether a particular supervisor would
fall into the group which has referred or the group which
has not referred to the employee assistance program.
Classification results will be evaluated by determining the
percentage of supervisors that are correctly classified by
the function. A Tau statistic is computed which shows how
much better than chance the discriminant function analysis
performs in classifying cases correctly.
Next, an analysis using a regression procedure will
also be carried out to determine how well the social
learning variables can explain the frequency with which
supervisors refer employees to the employee assistance
program. The same set of social learning variables used in

89
the discriminant function analysis will be used in the
regression analysis. The dependent variable will be the
number of referrals to the employee assistance program,
which will be separated into five categories: 0 referrals, 1
referral, 2 referrals, 3 referrals and 4 or more referrals.
The number of referrals was truncated after four because a
few supervisors referred an extremely high number of cases.
There was concern that these "outliners" would unduly affect
the results, especially given the relatively small sample
size.
Regression analysis makes several assumptions. The
first set of assumption addresses specification error.
Specifically, the relationship between the independent and
dependent variable must be linear, no relevant independent
variables have been excluded and no irrelevant variables
have been included. The second assumption indicates that
the independent and dependent variables are accurately
measured eliminating measurement error. The third set of
assumptions concern the error term. Specifically, for each
observation the expected value of the error term is zero,
the variance of the error term is constant for all values of
the independent variables, the error terms are uncorrelated,
and the error term is normally distributed (Lewis-Beck,
1990, p. 26). Concerning the violation of the assumptions
Pedhazur (1982) states that regression analysis is
considered robust except for measurement and specification

90
errors. Others have argued that multiple regression is
robust if ordinal data are used instead of interval data
(Kim, 1975; Labovitz, 1971, 1970).
Finally, the labelling variables will be evaluated to
determine if the social characteristics of those employees
referred to the employee assistance program can help to
explain supervisors referral decisions. The social
characteristics used in the analysis will include the age,
race, gender, marital status, job classification, and length
of employment of the employee referred, as well as the
measures of the severity of the primary problem. These data
do not present a direct examination of the effects of
labelling on referral decisions. However, insight into the
problem can be gained by examining freguency distributions
and some cross-tabulations. The frequency distributions of
the social characteristics for the employees referred will
be compared to the probable distribution (the actual
distribution was not available), in the hospitals to
determine if a disproportionate number of those referred
have social characteristics which would indicate fewer
resources and less power. Cross-tabulations between gender,
race and job classification and the severity of the problem
leading to a referral will be done to determine whether
those with fewer resources and less power are more likely to
be referred when their problems are less severe.

CHAPTER 5
RESULTS AND DISCUSSION OF THE
SOCIAL LEARNING ANALYSIS
The study is guided by social learning theory and
labelling theory but it is not designed to be a formal test
of either theory. Instead, we will examine the respective
utility of these two perspectives in the EAP referral
process. Let us in this chapter now review the predictive
utility of the social learning theory variables. Social
learning theory would indicate that supervisors who refer
employees to the employee assistance program have
experienced reinforcement supportive of making referrals,
and have favorable definitions toward counseling and helping
employees with problems. These supervisors also
differentially interact or identify with those supervisors
who have referred employees to the employee assistance
program.
It is expected that the more the act of referring an
employee in need of help to the employee assistance program
is differentially reinforced (past or anticipated) and the
more supervisors hold definitions favorable toward
counseling and helping those with problems the more likely
they are to refer. Furthermore, it is expected that the
91

92
more frequently the supervisor interacts with those who make
referrals to the employee assistance program, the more
likely the supervisor will refer an employee in need of help
to the employee assistance program.
This chapter reports findings on variables taken from
social learning theory to explain these decisions of
hospital supervisors to refer an employee for counseling.
Specifically, the first analysis was performed to determine
which variables would successfully distinguish between those
supervisors who had referred at least one employee to the
employee assistance program from those who did not. To
accomplish this, the social learning variables were entered
into a discriminant function analysis. Recall that social
learning variables are measures of reinforcement,
definitions, and differential association.
Preliminary analysis of the data indicated that nine
supervisors who answered the questionnaire did not respond
to the question regarding the behavioral aspect of
differential association. Because the nine non-responses
constitutes 10% of the total N, a decision had to be made
whether this measure of differential association would be
included in the analyses. The behavioral aspect of
differential association is significantly related to
referral decisions. However, because of the small sample
size the loss of 9 cases is significant, and the measure was
dropped from both the discriminant function analysis and the

93
regression analysis. A separate discriminant function
analysis and regression analysis was done which included the
behavioral aspect of differential association. In the
discriminant function analysis, this measure of differential
association was included in the function with a canonical
discriminant function coefficient of .23. All of the same
variables that are in the function with the behavioral
aspect of differential association included are also in the
function when this measure of differential association is
not included in the analysis. When the behavioral aspect of
differential association was included in the analysis the
explained variance of the model increased 4%.
In the regression analysis which included the
behavioral aspect of differential association the variable
was significant at the .05 level. Also, when this measure
of differential association was included, the effect of the
reinforcement variable, (significant in the regression
analysis without differential association), was eliminated.
Including the behavioral aspect of differential association
did not affect the effects of the other variables. It
increased the amount of explained variance of the model by
4%. Therefore, the variable may be excluded on the grounds
of low response rate to the question without doing severe
damage to the overall explained variance. Its absence from
the regression and the discriminant function analysis,

94
should not be taken to indicate it is an unimportant
variable.
The reason that there were so many non-responses is
unclear. During the pretest and subsequent administration
of the questionnaire, there were no comments that would
indicate confusion with the differential association
question. It may have been the question was poorly placed
and was overlooked by those who failed to respond.
Discriminant Function Analysis
The next step in the analysis was to enter the scaled
variables as well as the measures of job dedication, overall
happiness with the job and the subjective measure of
institutional support into the discriminant function in
order to determine which variables were able to best
classify those who referred an employee to the employee
assistance program and those who did not. The method of
determining which variables were able to best classify the
two groups resembles a forward step wise procedure. Those
variables that meet the statistical criteria are entered
into the function one at a time.
The discriminant function, including all of the
variables that met the statistical criteria for inclusion,
explains 42% of the variance in the dependent variable,
(this is calculated by squaring the overall canonical
discriminant function coefficient of .646). The function

95
was significant at the .001 level. As stated previously
when the differential association measure, dropped from the
analysis, was included in the function the amount of
explained variance increased by 4%.
Table 5.1 is a list of the standardized canonical
discriminant function coefficients for the independent
variables that met the statistical criteria to be included
in the discriminant function. The table shows that the
three strongest reinforcement variables which predict use
and non-use of the employee assistance referral process were
(1) reinforcement that supervisors would experience if they
personally used the employee assistance program for a drug
problem (EAPREIND), (2) reinforcement that supervisors would
receive if they referred an employee to the employee
assistance program for a drug problem (REINFD) and the (3)
reinforcement supervisors would receive if they referred an
employee to the program for an alcohol problem (REINFA).
The next two strongest reinforcement variables were
institutional support (INSTSUP) and the reinforcement
supervisors would receive if they personally used the
employee assistance services for an emotional problem
(EAPREINE). Finally, receiving no punishing feedback
(NOPUNISHMENT), reinforcement for personally using the
employee assistance counseling services for an alcohol
problem (EAPREINA) and the reinforcement for referring an

96
employee to the program for an emotional problem (REINFE),
were included in the function.
Table 5.1 also shows the standardized canonical
discriminant function coefficients for the definition
variables included in the function. The two strongest
definition variables predicting use and non-use of the
employee assistance referral process were the perception
that alcoholics or drug abusers could stop on their own if
they wanted to (STOPUSE) and the perceived helpfulness that
the employee assistance program would be to those employees
who entered the program (HELPFUL). Other definition
variables included in the function were the supervisors'
overall job satisfaction (JOBSAT) and the supervisors'
perception of alcoholism and drug addiction as a disease
(DISEASE).
Within the overall social learning model the variables
which best predict use and non-use of the employee
assistance referral process are three of the reinforcement
variables, reinforcement for referring an employee for an
alcohol and drug problem (REINFA, REINFD) and the
reinforcement for personally using the employee assistance
counseling services for a drug problem (EAPREIND). This
would be consistent with the social context in which the
sample was drawn. In hospitals there is an awareness of the
impact that drug and alcohol abuse could play in patient
care. Many of the professional groups (nurses, doctors)

97
have state-wide intervention programs to encourage
professionals to seek help for an alcohol or drug problem.
Table 5.1: Standardized Canonical Discriminant Function
Coefficients For Each Of The Social Learning
Variables Meeting The Statistical Criteria For
Inclusion In The Function For Supervisory
Referrals To The Employee Assistance Program
REINFORCEMENT
REINFA
.67931
REINFD
-.69412
REINFE
-.33136
EAPREINA
-.46903
EAPREIND
.69912
EAPREINE
-.58027
INSTSUP
.59484
NOPUNISHMENT
.49976
DEFINITIONS
DISEASE
.25296
STOPUSE
.57228
HELPFUL
.53203
JOBSAT
-.36375
N = 80
Table 5.2 summarizes the classification results for the
discriminant function analysis. The discriminant function
includes all the variables that proved to be powerful
predictors of which supervisors would use and which
supervisors would not use the employee assistance program.
Group one includes the supervisors that did make EAP
referrals. There were forty-nine such supervisors. The
function was able to successfully classify forty-three of

98
Table 5.2: The Actual Number And Percentage Of Cases
Correctly Classified In The Use And Nonuse
Groups, And The Overall Percentage Of Cases
Correctly Classified By The Function
Actual group
# cases
Predicted
Use
group membership
Nonuse
Group 1
49
43
6
(referral)
87.8%
12.2%
Group 2
31
11
20
(non-referral)
35.5%
64.5%
Percent of grouped cases correctly classified: 78.75%
N = 80
these cases or 87.8%. The function unsuccessfully
classified six of the cases or 12.2%. Group two includes
the thirty-one supervisors who did not use the employee
assistance program. The function successfully classified
twenty cases or 64.5% and unsuccessfully classified eleven
cases or 35.5%. The overall percent of group cases
correctly classified was 78.75% or sixty-three of the eighty
cases.
While the percent of group cases correctly classified
by the discriminant function is nearly 79%, a separate
analysis needs to be done to determine how much better than
chance this 79% is. The formula to determine how much
better than chance the function performed involves the ratio
between the actual number of cases correctly classified

99
minus the number of cases correctly classified by chance,
divided by the total number of cases minus the number of
cases correctly classified by chance. The statistical
computation (not shown) indicates that if one were to flip a
coin, thus having equal odds of putting a supervisor in the
referral or non-referral category, the discriminant function
does 58% better than the even odds that one would get by
simply flipping a coin. Thus, the 79% of the group cases
correctly classified would be considered 58% better than
chance, lending more credibility to the results.
The results of the discriminant function analysis show
that the social learning model is able to distinguish
between which supervisors will use the employee assistance
program and which supervisors will not use the employee
assistance program. This is indicated by the high canonical
correlation coefficient and by the high percentage of cases
correctly classified by the function and the fact that the
79% of cases correctly classified is 58% better than chance.
Regression Analysis
Another way to approach the analysis was to determine
how well the social learning variables could explain how
frequently supervisors referred employees to the employee
assistance program rather than simply referral versus no
referral. All of the same variables that were used in the
discriminant function analysis were entered into a

100
regression equation. The dependent variable in the equation
was the number of referrals to the employee assistance
program, ranging from no referrals to twenty-two referrals.
The dependent variable was recoded into five ordinal
categories: no referrals, one referral, 2 referrals, 3
referrals and 4 or more referrals.
The majority of respondents to the questionnaire had
utilized the employee assistance program by making a
referral and therefore answered questions about reinforcing
responses actually experienced concerning the last referral.
This reinforcement measure is highly correlated with the
measure of anticipated reinforcement for referrals. The
correlations ranged between .52 and .61 and were all
significant at the .001 significance level. Therefore, the
regression analysis was run using only the anticipated
reinforcement measures which allows inclusion of all cases
not just those who made a referral.
Table 5.3 presents the regression analysis with the
number of employee assistance program referrals as the
dependent variable and the social learning variables as
independent. Two of these are definitions variables the
perceived helpfulness of the program (HELPFUL), and belief
that drug or alcohol abusers could stop on their own
(STOPUSE). Two are reinforcement variables, institutional
support (INSTSUP) and anticipated reinforcement for

101
Table 5.3: Regression Of Number Of Employee Assistance
Program Referrals On Social Learning Variables
Variable
Beta
T
Sig T
HELPFUL
-.283
-1.989
.052
STOPUSE
-.194
-1.564
.124
INSTSUP
.307
2.166
.035
REINFE
.300
1.786
.080
CONSTANT
.422
.675
Adjusted R
Square
.237
Analysis of
Variance
DF
Sum of Squares
Mean Square
Regression
25
88.255
3.530
Residual
51
92.601
1.816
F = 1.944
Signif F =
.0222
referring an employee to the employee assistance program
(REINFE).
The model explained 24% of the variance in the
dependent variable. Thus, as with the discriminant function
analysis, the regression analysis indicates that the social
learning model leads to selection of variables which are
important in understanding employee assistance program
referrals by supervisors.

102
The direct reinforcement which a supervisor receives
and the reinforcement from the institution play a
significant role in the frequency with which the supervisor
will use the employee assistance program. The betas for
these two variables reported in Table 5.3 were in the
expected direction. The two definition variables yielded
negative betas, which was not anticipated. The variable
STOPUSE indicates that as the supervisor perceived that a
person could stop if they desired, the frequency of
referrals would go down. It was expected that if the
supervisors agreed that someone could stop if she/he
desired, it would motivate the supervisors to refer the
employee to the program. The results indicate that this is
not the case. Instead, it appears that agreement with this
statement indicated to the supervisors that if someone could
stop, a referral to the employee assistance program is not
needed. It may be, therefore, that defining alcohol, or
drug abuse as the person's own responsibility leads to the
conclusion that an EAP referral is unnecessary. The
employee should shape-up on his/her own. This would
obviously be in agreement with the statement that someone
can stop if he/she wants to a definition unfavorable, not
favorable as originally supposed, to EAP referrals. The
negative beta associated with the HELPFUL variable indicates
that there is an inverse relationship between the perception
of how helpful the program will be and the number of

103
referrals that a supervisor will refer to the employee
assistance program. This result is contrary to what was
expected. It was expected that if the supervisor defined
the employee assistance program to be helpful, then the
frequency of referrals would increase.
To try to understand this relationship, a cross
tabulation between helpfulness and number of referrals to
the employee assistance program was constructed. It was
determined that the supervisors who referred with the
greatest frequency viewed the helpfulness of the program
with less enthusiasm than those who referred fewer employees
to the EAP, or referred no one. It may be that what the
supervisors see as being helpful is different from what the
employee who is in the program sees as helpful. In order to
determine if this is the case, a separate measure of
helpfulness for the supervisors and employees in the program
is needed. Another explanation is simply that the program
is not helpful to the employees referred. It would be
consistent then that the more supervisors use the program
the more they will determine that the program is not helpful
to the employees. The attitudes which supervisors hold are
important to their referral behavior; however what was
proposed as definitions favorable to referrals turned out to
be definitions unfavorable.
The discriminant function analysis and the regression
analysis show that the social learning variables are

104
significant in the supervisors' decisions to refer or not to
refer and in the frequency with which referrals are made to
the employee assistance program in a hospital organization.
Within the social learning model, the reinforcement
variables prove to be the most important variables. Support
was qualified somewhat by the finding that the relationship
between the perception of helpfulness of the program
(presumed to be a definition favorable to referral) was
inversely related to the frequency of employee assistance
program referrals.

CHAPTER 6
RESULTS AND DISCUSSION
OF THE LABELLING ANALYSIS
Labelling Variables
The analysis in this next chapter concerns the
labelling variables. Recall that the labelling perspective
emphasizes the tendency for social control decisions to be
based more on relative power and position, as indicated by
the social characteristics, than on the behavior of those
being labelled.
Labelling theory would hypothesize that those employees
referred to the employee assistance program would have fewer
social resources and power than those who were not, even
though their drug, alcohol, or other problems were similar.
Those with less social power are assumed to be unable to
avoid the label of needing help and less able to avoid the
referral to the employee assistance program if their
problems become known to a supervisor. As noted, however,
we have no measures of the social characteristics of those
not referred and the measures of those who were referred are
limited. Therefore, our analysis of referrals from a
labelling perspective is limited.
105

106
Six measures of the social characteristics of those
referred were used in this study. These are the referred
employee's job title, gender, race, marital status,
educational level and length of employment. We would expect
that those referred to the employee assistance program will
be disproportionately non-white, unmarried women who have
little education and have been employed a short period of
time in unskilled jobs.
Table 6.1 provides the frequency distribution for the
job title of those employees who were referred to the
employee assistance program. The job titles ranged from
unskilled, skilled, professional, supervisory and
management. The data indicate that the vast majority came
from the skilled and professional ranks with just over 11%
coming from the unskilled and less than 2% from the
supervisory level.
Table 6.1: Frequency Distribution Of The Job
Classification For The Last Referral Of
An Employee To The Employee Assistance Program
Job Classification Percent
Unskilled 11.3
Skilled 37.7
Professional 49.1
Supervisory 1.9
TOTAL 100.0
Mean
Std Dev
N=53
2.415
.719

107
The majority of those referred were from the skilled
and professional ranks, and there is reason to believe that
this distribution reflects the general distribution of jobs
in the organization where the research took place. In a
hospital setting the majority of the supervisors are nurses
and it is not surprising that the referred employees would
come from the skilled and professional ranks. For the
labelling perspective to be supported, a disproportionate
number of the referrals should have come from lower end
jobs, and this does not appear to be the case.
Table 6.2 gives the distribution by gender, race and
marital status. Clearly, there were more females referred
to the employee assistance program than were males. This
finding is consistent with the labelling perspective because
females are seen as having fewer social resources and less
power and, therefore, are unable to avoid the referral.
However, since the majority of those referred were nurses
and this is primarily a female dominated profession, the
number of females referred is not disproportionate given the
gender distribution in the organization.
Table 6.2 also shows that most of those referred were
white, with only 15% coming from the other category which
included black, Hispanic and other. Most workers in the two
hospitals are white (exact percentages unavailable) and this
distribution does not indicate a disproportionate number of
white or non-white employees among the referrals. This is

108
Table 6.2: Frequency Distribution For Gender, Race, And
Marital Status Of The Last Referral Of An
Employee To The Employee Assistance Program
Gender
Percent
Male
28.3
Female
71.7
TOTAL
100.0
Mean
.717
Std Dev
.455
N=53
Race
Percent
Other
15.4
White
84.6
TOTAL
100.0
Mean
.846
Std Dev
.364
N=52 (1 missing case)
Marital Status
Percent
Other
69.8
Married
30.2
TOTAL
100.0
Mean
.302
Std Dev
.463
N=53

109
inconsistent with what is expected by the labelling
perspective since non-whites are seen as having fewer social
resources and less power and would have higher rates of
referral.
Table 6.2 also shows the marital status of the
employees referred to the employee assistance program. The
higher percentage of those referred were in the "other"
category, single, divorced or widowed. This group
constituted approximately 70% of those who were referred to
the employee assistance program. This is consistent with
the labelling perspective since those who are not married
are seen as having less social power and resources and thus
more easily labelled. However, I have no data on the
distribution by marital status among employees. The high
turnover in a hospital setting (as well as in the nursing
profession), means a high percentage are young and unmarried
and this is reflected in the percent of referrals who are
unmarried.
Table 6.3 presents the frequency distribution for the
educational level of those employees who were referred to
the employee assistance program. A disproportionate number
of the employees who were referred had attended some
college, 44% holding an Associate Degree or higher. On the
surface this is contrary to what the labelling perspective
would expect, that the less educated would have fewer social
resources and less power, and therefore, are more likely to

110
be referred. However, the distribution is consistent with
the fact that a high proportion of employees are skilled and
professional people, and the referrals may simply reflect
the general educational level of employees in both
hospitals.
Table 6.3: Frequency Distribution Of Educational Level For
The Last Referral Of An Employee To The Employee
Assistance Program
Education Level
Percent
Less than H.S.
3.8
H.S. grad
32.1
Some college
18.9
AA or equivalent
26.4
BA/BS or equivalent
7.5
Grad or professional degree
11.3
TOTAL
100.0
Mean
4.358
Std Dev
1.402
N=53
Table 6.4 presents the distribution concerning the
length of employment of those who were referred to the
employee assistance program. The majority of the employees
who were referred had four or less years on the job with 30%
of those having one year or less. From a labelling
perspective this would be expected since new hires on the

Ill
job means less power. However, it could be a reflection of
the higher turnover rate found among hospital employees.
Table 6.4: Frequency Distribution Of Length Of Employment,
In Years For The Last Referral Of An Employee
To The Employee Assistance Program
Years Employed
Percent
1 year or less
31.4
2 years
7.8
3 years
9.8
4 years
11.8
5 years
9.8
6 years
2.0
8 years
5.9
9 years
3.9
10 years
11.8
12 years
3.9
18 years
2.0
TOTAL
100.0
Mean
4.667
Std Dev
3.973
N=51 (2
missing cases)
Social Characteristics of Referrals Controlling
for Severity Of The Problem
Since data on the distributions of social
characteristics of employees are not available, the
foregoing provides only a limited analysis of labelling
variables. The labelling perspective would argue that the
social characteristics of the employees referred are more

112
important than the severity or nature of the behavioral
problem in determining who is referred to the employee
assistance program. The data allow for a better analysis of
this proposition. To evaluate the proposition, measures of
the severity of the problem which prompted the referral of
the employee will be cross-tabulated with selected employee
characteristics. This allows analyzing distributions of
referrals by social characteristics while controlling for
severity of the problem.
Four separate measures of severity were used: (1) the
severity of the problem that the employee was experiencing
that prompted a referral to the employee assistance program;
(2) the extent to which the employee's job was adversely
affected by the primary problem; (3) the amount of pressure
applied by the supervisor towards the employee to go to the
employee assistance program; and (4) the number of negative
behaviors that the employee exhibited on the job which
prompted a referral to the employee assistance program.
To be consistent with the argument that the social
characteristics of the employee, not the severity of the
problem, explains who is referred to the employee assistance
program, the number of cases should be skewed in the
direction of the least severe outcome. Also, when severity
is controlled referrals should be disproportionately woman,
minorities and lower end employees.

113
Table 6.5 shows the distribution for the severity of
the problem that prompted the referral of the employee to
the employee assistance program. This variable was measured
by asking the supervisors who referred an employee to the
employee assistance program their perception of how severe
the primary problem was. The responses ranged on a five-
point Likert scale from very severe to not severe. Clearly,
a majority of the problems that prompted a referral to the
employee assistance program were viewed by the supervisors
as being somewhat severe (83%). Only a few cases were
referred that were considered minimally or not severe. This
indicates that supervisors are following the guideline that
problems need to be relatively severe to justify a referral
to the employee assistance program, rather than keying in on
the social characteristics of employees with these problems.
Table 6.5: Frequency Distribution For Severity Of Primary
Problem For Which The Employee Was Referred
Severity of Problem
Percent
Very severe
9.4
Severe
32.1
Somewhat severe
41.5
Minimally severe
13.2
Not severe
3.8
TOTAL
100.0
Mean 2.698
Std Dev .952
N=53

114
Table 6.6 shows the frequency distribution for the
responses to the question asked of the supervisors who
referred an employee to the employee assistance program, on
the extent to which the employee's job performance was
affected by the primary problem. The supervisors responded
to a four-point Likert scale ranging from greatly affected
to not affected. Just under 50% of the supervisors
indicated that the job performance of the employee that was
referred to the employee assistance program was somewhat
affected by the primary problem. Only a few supervisors
felt that the job performance was minimally affected and a
significant number of supervisors felt that the job
performance was greatly affected.
Table 6.6: Frequency Distribution For Extent That The
Employee's Job Performance Was Affected By
The Primary Problem For Which The Employee
Was Referred To The Employee Assistance Program
Effect on Job
Percent
Greatly affected
38.5
Somewhat affected
48.1
Minimally affected
13.5
TOTAL
100.0
Mean 1.750
Std Dev .682
N=52 (1 missing case)

115
Again this indicates that referrals to the employee
assistance program are based on the fact that the employee
was perceived to have a problem calling for a referral.
The next measure looked at the amount of pressure that
was used by the supervisor to get the employee to go to the
employee assistance program for counseling. The degree of
pressure used by the supervisors to get the employee to go
to the employee assistance program is related to the
severity of the problem because part of the alcoholic's or
drug abuser's symptomatology is denial of the problem.
Therefore, it is likely that the more severe the problem,
the more denial will be operating and therefore, more
pressure will be needed to get the employee to go to the
program. This was measured by the supervisors responding to
a question that asked about the degree of pressure used to
get the last referral to go to the employee assistance
program. The responses ranged from forced to go to
voluntary. The frequency distribution reported in Table 6.7
indicates that approximately 25% of the employees were
either strongly encouraged or forced to go to the employee
assistance program. A majority of the employees sent to the
employee assistance program were either minimally encouraged
to go or voluntarily entered the program.
This contradicts the assumption that the severity of
the problem is the primary reason why a referral is made
although the result is not as important as the first two

116
Table 6.7: Frequency Distribution For Degree Of Pressure
Used By The Supervisor To Get The Last Referral
To The Employee Assistance Program
Degree of Pressure
Percent
Forced to go
7.5
Strongly pressured
18.9
somewhat pressured
17.0
Minimally pressured
30.2
Voluntary
26.4
TOTAL
100.0
Mean 3.491
Std Dev 1.280
N=53
variables discussed above. It is possible that because the
severity of the problem and the way the problem was
affecting the employee's job was obvious to the employee
being referred, (denial not being as important as expected)
there was little resistance to go to the employee assistance
program on the part of the employee.
The last variable measures the number of negative job
related behaviors associated with the last referral to the
employee assistance program. There were eight negative job
related behaviors that the supervisor could indicate were
associated with their last referral to the employee
assistance program. Included in the list of negative job
related behaviors were absenteeism, high rate of accidents

117
on the job, poor relationships with other employees and the
use of too much sick time. The variable was recoded so that
there was a number of such behaviors assigned to each
referral to the employee assistance program.
Table 6.8 indicates that the majority of employees who
were referred to the employee assistance program exhibited
two or fewer negative behaviors. One explanation is that
there is a difference in the subjective perception of
severity of the problem by the supervisor and the actual
severity as documented by the number of problems the primary
problem causes. Another explanation is that while the
number of job related problems caused by the primary problem
are few, they are severe enough to warrant a referral to the
program.
In addition to the frequency distributions presented
above cross-tabulations were performed between gender, race
and job classification, and the perceived severity of the
problem. Labelling theory would expect supervisors' to refer
more females, non-whites and those with unskilled jobs
regardless of the severity of the problem; differential
referral would be especially expected when the problem is
minimally severe.
Table 6.9 indicates that females, non-whites and those
in unskilled jobs were not referred disproportionately when
the problem referred for was minimally severe or not severe.

118
Table 6.8: Frequency Distribution Of The Number Of
Negative Job Related Behaviors Associated
With The Last Referral Of An Employee To
The Employee Assistance Program
Number of Negative Behaviors
Percent
0
3.8
1
20.8
2
28.3
3
17.0
4
15.1
5
1.9
6
11.3
7
1.9
TOTAL
100.0
Mean
2.792
Std Dev
1.736
N=53
In addition the chi-square for each cross-tabulation is non¬
significant indicating further that referral decisions by
supervisors were not based on the social characteristics of
the employee referred to the program. They are based more
on the severity of the problem.
The review of the labelling variables and the measures
of severity of the problem indicates that there is little
support for the labelling contention that the social
characteristics of the employees are the most important
indicators of who will be referred to the employee
assistance program. There is some support for the view that
the severity of the problem is an important determinate of

Table 6.9
Cross-tabulation Of The Gender, Race And Job Classification With
The Severity Of The Problem For The Last Referral Of An Employee
To The Employee Assistance Program
Very
Severe
Severe
Severity of Problem
Somewhat Minimally Not
Severe Severe Severe
Row
Total
GENDER
Male
2
2
8
2
1
15
40.0
11.8
36.4
28.6
50.0
28.3
Female
3
15
14
5
1
38
60.0
88.2
63.6
71.4
50.0
71.7
Column
5
17
22
7
2
53
Total
9.4
32.1
41.5
13.2
3.8
100.0
Chi-Square
D.F.
Significance Min E
.F.
Cells with E.F.< 5
3.79723
4
•
4341 .566
6 of
10 (60.0%)
N=53
119

Table 6.9—Continued
Severity of Problem
Very
Somewhat
Minimally
Not
Row
Severe
Severe
Severe
Severe
Severe
Total
RACE
Non-White
1
1
4
1
1
8
20.0
6.3
18.2
14.3
50.0
15.4
White
4
15
18
6
1
44
80.0
93.8
81.8
85.7
50.0
84.6
Column
5
16
22
7
2
52
Total
9.6
30.8
42.3
13.5
3.8
100.0
Chi-Square
D.F.
Significance Min
E.F. Cells with E.F.<
5
3.08702 4 .5434 .308 7 of 10 (70.0%)
N=52 (1 missing case)
120

Table 6.9—Continued
Severity of Problem
Very
Somewhat
Minimally
Not
Row
Severe
Severe
Severe
Severe
Severe
Total
JOB CLASSIFICATION
Unskilled
1
3
2
6
20.0
17.6
9.1
11.3
Skilled
1
6
8
4
1
20
20.0
35.3
36.4
57.1
50.0
37.7
Professional
3
8
11
3
1
26
60.0
47.1
50.0
42.9
50.0
49.1
Supervisory
1
1
4.5
1.9
Column
5
17
22
7
2
53
Total
9.4
32.1
41.5
13.2
3.8
100.0
Chi-Square
D.F.
Significance Min E.
F. Cells with E.F.<
5
4.88637
12
•
9617 .038
16
of 20 (80.0%)
N=53
IcI

122
who will be referred to the program. Clearly, in order to
do an in-depth analysis of the labelling perspective, a
research instrument would have to be constructed that
possessed a series of valid measures concerning labelling,
controlling for the severity of the problem. These measures
can now be entered into a more sophisticated statistical
analysis than was possible here.

CHAPTER 7
CONCLUSIONS AND IMPLICATIONS FOR
POLICY AND RESEARCH
It has been shown that supervisors play an important
role in employee assistance programs. They are in a
position to evaluate an employee's job performance and make
a recommendation to the employee to seek help to deal with
the alcohol, drug or emotional problem that may be the cause
of the poor job performance. Because the supervisor's role
is so central to the operation of a good employee assistance
program, the present research was intended to determine why
some supervisors refer employees to the program and others
do not refer. The research also evaluated the frequency of
the referral behavior by the supervisors and assessed
whether the social characteristics of those referred could
explain the referral decisions of the supervisors. The
research was guided by social learning theory and labelling
theory.
Social learning theory has been tested in the past to
explain deviant behavior including alcohol and drug abuse.
The present research applied the theory to help understand
why some supervisors refer employees to the EAP and others
123

124
do not, as well as explaining the frequency in which
supervisors refer.
The social learning variables were found to explain
supervisors' referral decisions. The reinforcement that
supervisors anticipated receiving if they referred an
employee to the program and the reinforcement the
supervisors anticipated receiving for personally using the
services of the employee assistance program proved to be
most significant for explaining use and non-use by the
supervisors. In addition, the organizational support for
the program and the perceived helpfulness of the program to
the employees referred, also helped to explain supervisors'
referral behavior. Definitions favorable to the EAP and
differential association with other supervisors who make EAP
referrals were also significant. Similar results were found
for determining the frequency in which a supervisor referred
to the program. Social learning variables, particularly
anticipated reinforcement for referring an employee, were
significant in determining the frequency in which the
supervisors referred.
The labelling variables, which because of the effect of
the social characteristics of the employees referred, did
not account for who would be referred to the employee
assistance program. Instead, contrary to labelling theory
expectations, the severity of the problem appears to be a

125
better indicator than employee characteristics of who will
be referred.
Supervisors are more likely to refer cases to the
employee assistance program if they perceive a problem
exists and if they believe they will receive reinforcement
and approval from colleagues and the organization for such
referrals. They are also more likely to refer if they hold
attitudes or definitions supportive of referrals and
associate with other supervisors who make use of the
employee assistance program referral system. They tend not
to pay much attention to job position or to the gender,
race, age and other social characteristics of the employees
in making referral decisions. In short, the social learning
perspective was most helpful in locating variables that do
make a difference in supervisors' employee assistance
program referrals. The labelling perspective was not
particularly useful, although it should be noted that the
data did not allow for an adequate analysis of the labelling
variables.
Policy Implications
Based on the research findings, there are a number of
policy recommendations to encourage more supervisory
participation in the program. Managers need to be aware
that the degree of support for the program by management
appears to be very important. Innovative ways of

126
communicating support for the program need to be developed
to let the supervisors know that the organization wants and
expects the supervisors to integrate the program's
responsibilities into their general supervisory role. For
example, while it is typical for outside sources to provide
training for supervisors, the research indicates that
attendance and active participation by management may act as
a signal to the supervisors that the organization is taking
the program seriously. Therefore, whether an employee
assistance newsletter, fact sheet, in-service or other
employee assistance activity, it appears that letting the
employee assistance program provider take the
responsibility, without management participation, will not
motivate or encourage supervisory participation in the
program.
Supervisors who have referred employees to the employee
assistance program need to be encouraged to interact with
other supervisors and act as an employee assistance
resource. These experienced supervisors could act as a
source of reinforcement for supervisors who may not want to
get involved in the personal problems of employees or are
not sure how others will react if they do refer an employee
to the program. During supervisory training it may be
helpful to have the supervisors participating in the
training to break up into small groups and to have the group
leader be a supervisor who has referred an employee to the

127
program. The group discussion could consist of the group
leader relating to the other supervisors what the process of
referring an employee was like and the benefits that the
employee, supervisor and organization received because of
the referral. The focus of the training would be less on
content (education and information about drugs, alcohol and
emotional problems) and more on the process and outcome
(benefits) of making a referral.
The literature suggests that a system needs to be in
place whereby the supervisors get information from the
counselor providing the counseling services as to the
progress and effectiveness of the program for the employees
referred. To ensure confidentiality this feedback can be in
the form of aggregate data. This type of information will
also make the organization providing the counseling services
more accountable because they will have to better define
counseling success. There also needs to be a clear
understanding as to how the program will help those
employees who are referred. The data indicate that those
supervisors who have referred most often anticipate that the
program will be less helpful in the future. While more
research is needed to determine why this is, it could be
that the expectations of the supervisors are not realistic.
Dialogue between the treatment providers and the supervisors
may be needed to establish realistic expectations concerning

128
employee improvement for the different problems an employee
can be referred for.
It is stressed in the supervisory training that
employees who are experiencing a drug or alcohol problem
will deny that they have a problem. There is reason to
believe that the concept of denial may have outlived its
usefulness. Because the reinforcement by the organization
and from other employees was a powerful predictor of
supervisors7 referral behavior it may be that the same type
of reinforcement will motivate employees to seek help for an
alcohol or drug problem on a self-referral basis. While the
present study did not specifically address this issue it may
be that this line of reasoning can be included in future
employee assistance program research.
Although not studied here a review of the literature
indicates that supervisors7 perceptions that the program is
administered fairly to all employees is important for
supervisors to refer to the program. This includes the
concern that those referred to the program do not
disproportionately come from particular ethnic groups or job
classifications. While the research indicates that
supervisors are referring employees based on severity of the
problem, not the social characteristic of the employee, it
is still important that training of supervisors include a
review of the evidence on labelling stressing that bias in
referral decisions could exist.

129
Related to the issue of fairness are the impact that
both drug testing and supervisor/management referrals has on
the perception that the program is not biased. Drug testing
is becoming popular in many organizations as a way of
weeding out potential "problem" employees as well as a way
of determining who needs treatment. An organization that
implements both a drug testing and an employee assistance
program is in danger of sending to the employees and the
supervisors a mixed signal about the EAP. On one hand the
organization wants to encourage the use of the program and
on the other hand the program is used as punishment for a
"dirty" drug test.
The issue of supervisor/management people being
referred to the employee assistance program also can alter
the perspective that the program is biased. First, because
drug testing does not include alcohol it may be that those
in management can continue with the "drug use" without being
caught. Second, the literature shows that a person in
management who has a alcohol, drug or emotional problem is
more difficult to detect than a line staff employee.
Without an equal emphasis on the negative job related
behaviors that indicate a supervisor or manager needs a
referral to the employee assistance program, the program
could be seen as biased against line staff.

130
Implications For Future Research
Future research which uses the social learning and
labelling variables to explain supervisors' referrals needs
to be carried out in a non-hospital setting. Because the
hospital setting is primarily an organization dominated by
young, white, female professionals, future research needs to
be done in an organization that can provide a larger number
of cases, with a better distribution of employees by gender,
race, marital status and job classification. In addition,
because the hospital is a helping organization, it is
important that future research be done in an organization
that does not have this helping perspective. By testing the
social learning variables in different settings it will
provide a better indication of how well the theory can
explain supervisory referral behavior. Replicating the
research in a non-hospital setting will also provide more
insight into why there was an inverse relationship between
the perceived helpfulness of the program and the frequency
of supervisors' referrals. It may also be helpful to
independently measure the perceived helpfulness as reported
by the supervisors, and employees who have entered the
program, to determine if they perceive the helpfulness of
the program differently. This would also be a way of
determining if the program is effective at all.

131
Since differential association is such an important
aspect of social learning theory the research instrument
needs to be pretested with a larger sample to try and
determine why there were so many non-responses to the
guestion. The question should be placed in a different
place in the instrument to determine if the placement of the
question was the problem.
Because of the strength of the organizational support
measure, future research needs to examine which specific
behaviors on the part of management are seen as being the
most supportive of the program. For example, separate
questions could ask about management's involvement in
training, newsletters, or direct participation in the
referral process. Future research should also address the
question of whether knowledge gained by the training or the
reinforcement is more important in determining supervisor
referral behavior. Also, better measures concerning the
integration of the supervisors' employee assistance role
into their general supervisory responsibilities needs to be
explored.
Finally, the present research was limited to the social
characteristics of the last referral. A more thorough
examination of labelling could be done if the social
characteristics of all those employees referred could be
sampled from the counselor providing the counseling
services. This would provide a better opportunity to

132
evaluate the labelling variables in a more sophisticated
statistical analysis. Labelling can also be evaluated by
drawing a sample of employees, including some with self
reported drug or alcohol problems who have not been referred
to the employee assistance program and compare their social
characteristics and negative job related behaviors to those
who were referred to the program.
The most significant lead for future research comes
from the strong findings regarding the efficacy of the
social learning variables in explaining EAP referral
behavior. Greater attention to such variables in future
research not only on supervisors' referrals but other
aspects of EAP's should lead to a better understanding of
when such programs function well and when they do not.

APPENDIX A
SUPERVISOR'S ROLE: AN EXAMPLE OF CONFRONTATION
John Smith had worked for the Department of Health and
Rehabilitative Services for six years and has had a good
employment record. During that time he has maintained a
satisfactory attendance record, and rarely misses work. In
January of the current year he missed a day of work.
Obviously, no one was concerned. But, in February he missed
two days of work and in March he missed another day and then
he missed two more days in April, with questionable
explanations. At this point, a definite deviation has
occurred in John Smith's attendance. Under the employee
assistance program guidelines, absenteeism is a job
performance problem no matter how effective the employee may
appear to be while at work. John's supervisor, Allan Jones,
decides to inquire about John's current deviation from his
normal pattern of work.
Allan: "John, my records show that after going for six
years with hardly missing work, you have
already been absent six times this year. Is
there some problem we can help you with?"
John: "No, Allan, it's just a temporary thing and I
can take care of it myself."
Allan: "Well, that's fine, John—I mean that you can
take care of it—because you're important to
our work in the Department. We want you to
133

134
know that we're willing to help you, though, if
there's some problem causing you to miss work."
The supervisor does not have much choice but to accept the
employee's promise at face value and observe whether or not
he really can resolve the problem on his own. Let's assume
now that John Smith went through the month of May without
missing work, but in June he missed a day. Based upon his
reason for absence, the supervisor may or may not want to
remind him of their previous conversation. At this point,
if John Smith misses additional work over the next few weeks
with questionable excuses, it should be apparent to the
supervisor that the problem has not been resolved and that a
confrontation is necessary. The supervisor might use the
following approach:
Allan: "John, at the end of April we discussed the
fact that you were missing work whereas you
hadn't had that problem in the past. In May
you didn't miss any work, but in June you
missed another day, and now yesterday you were
off work again. John, you're a valuable
employee—the Department needs you—and we
don't want to lose your services as an
employee. I won't have any choice, however,
unless something is done about your recent
attendance pattern.
Now it's none of my business what the cause of
your absenteeism is—even if I did know what
the cause is, I'm not sure I could advise you
properly. So, I want you to take advantage of
a resource our Department has made available to
all employees. I want you to go and talk with
the Employee Assistance Coordinator at 10:30
this morning. I've already made an appointment
for you to see him. The EAP Coordinator has
worked very successfully with a number of
employees who have had job performance problems
similar to yours.

135
I want you to know what our Department policy
is in such cases. It says that your job, your
future and your reputation will not be
jeopardized by utilizing this service. In
fact, I may never know what the problem is
unless you tell me. My concern is only with
your job performance and attendance. If you
need time off from work to get special
assistance, that can be worked out. The only
two requirements are that you must follow the
recommendations of the EAP Coordinator and
anyone else he asks you to cooperate with and
you must resolve your absenteeism problem to
the Department's satisfaction. If an employee
does not meet criteria of HRSR 60-27, normal
personnel actions should be taken.
One final point. The Department recognizes
that employees have problems. Our concern is
not to judge a person nor even the fact that a
problem exists. Our concern is when the
problem affects job performance and whether
something is being done to correct the
situation. We want to help. Your
responsibility, John, is to maintain
satisfactory performance."
In the case of an employee represented by a labor
organization, the supervisor must inform the employee of his
right to representation.
As seen, the approach should be non-threatening, but
firm, it should emphasize confidentiality and concern; in
the process of focusing on the unsatisfactory job
performance, the employee's value should also be mentioned.
The approach should show openmindedness on the Department's
part toward employee problems but an unwillingness to
compromise on job performance.

APPENDIX B
EMPLOYEE ASSISTANCE PROGRAM EVALUATION
SUPERVISOR QUESTIONNAIRE
The purpose of this study is to examine the overall
effectiveness of the employee assistance program based on
your knowledge and experience as a supervisor at the
hospital.
All of your responses on this questionnaire are
anonymous. Please make no identifying marks and do not
place your name anywhere on the questionnaire. The
responses you will give will be part of a group or aggregate
total, therefore, no individual responses can be identified.
It is important to the study that you respond to all of
the questions honestly. But, if at any time, you do not
want to respond to a particular question, simply leave it
blank and continue with the next question. Please read all
instructions before moving onto a new set of questions.
These instructions are marked with an asterisk (*).
Please respond to the questions by placing an "X" on
the line ( ) or in the brackets ([ ]) next to the
response which comes closest to being true for you. A few
questions ask that you write a word, number or brief
description.
136

137
For the purpose of this study referral to the employee
assistance counseling program is defined as those employees
that participate in either the professional counseling that
is available outside the hospital or those referrals that
are handled internally within the hospital. Referrals
handled within the hospital are employees you refer to your
supervisor, personnel or any other person or department in
the hospital that deal with employees who are experiencing
alcohol, drug or personal/emotional problems that are
interfering with the employee's work performance.
Thank you for your participation.
* The survey will begin by asking some general background
questions. Please place an "X" or provide the information
in the space provided.
1. What year were you born?
(year)
2. What is your sex? male female
3. What is your race or ethnicity?
Black White Hispanic other
4.What is your present marital status?
married
widowed
divorced
single, never married
separated

138
5. What is your educational level?
Less Than High School
High School Graduate
Some College
AA Degree or Equivalent
BA, BS or Equivalent
Post Graduate or Professional School Degree
6. Please generally indicate your income level by checking
the category that best describes your monthly income,
before taxes, from your employment at the hospital.
0 - 10,000 40,001 - 50,000
10,001 - 20,000 50,001 - 60,000
20,001 - 30,000 60,001 - 70,000
30,001 - 40,000 Over 70,000
7. What shift do you typically work?
Days Evenings Nights
8. How many hours per week do you typically work?
hours per week
Are you considered a full or part-time employee?
full time part-time
9.

139
10.Which one of the following departments does your
present job come under?
Patient Services
Human Resources
Medical Affairs
Finance
Facilities Development
Materials Management
Other
Information Services
Operations
Planning
Business Development
Affiliated Services
Rehabilitation
* I will now ask you to respond to some questions concerning
your role as a supervisor in the employee assistance
program. Please place an "X" or provide the information in
the space provided.
11. As part of the employee benefits the hospital sponsors
an employee assistance program which provides
counseling to employees who are experiencing alcohol,
drug or mental health problems. How much do you know
about this program?
All Most Some Few Nothing
Details Details Details Details
[ ] [ ] [ ] [ ] [ ]
12. Have you as a supervisor ever referred an employee
under your charge to the hospital sponsored employee
assistance counseling program?
Yes (If you answer "yes" to this question
please go to question 13 and continue
with the questionnaire.)
No (If you answer "no" to this question go
directly to question 29 and continue
with the questionnaire.)
13. How many employees under your charge have you referred
to the hospital sponsored employee assistance
counseling program?
Number of referrals

140
14. Please provide the following information concerning the
last referral you made to hospital sponsored employee
assistance counseling program. In each case answer to
the best of your recollection what was true at the time
of the referral.
A.The job title of the employee at the time of the
referral.
B. The employee's sex male female
C. The employee's race white
black
hispanic
other
D. The employee's marital status at the time of the
referral.
married
divorced
single (never married)
widowed
separated
E. The education level of this employee at the time
of the referral.
less than 9th grade
less than high school
high school graduate
some college
AA degree or equivalent
BA, BS degree or equivalent
post graduate or professional
school degree

141
F. How long had this employee been employed at the
hospital at the time of the referral?
# of years
15. What was the primary reason for your last referral of
an employee to the hospital sponsored employee
assistance counseling program?
alcohol
drugs
personal/emotional
other (specify)
16. How severe would you say the primary problem was?
Very Somewhat Minimally Not
Severe Severe Severe Severe Severe
[ ] [ ] [ 1 ( ] [ ]
17.What were the negative job related behaviors associated
with the primary problem that called the problem to
your attention? (check all that apply)
absenteeism
physical illness on the job
high rate of job accidents
difficulty in completing job tasks
difficulty in following instructions
decreasing job efficiency
poor relationships with other employees
too much use of sick time
other (specify)

142
18. What were the secondary reasons for making your last
referral to the hospital sponsored employee assistance
counseling program?
alcohol
drugs
personal/emotional
other (specify)
19. How severe would you say the secondary problem was?
Very Somewhat Minimally Not
Severe Severe Severe Severe Severe
[ ] [ ] [ ] [ ] [ ]
20.What were the negative job related behaviors associated
with the secondary problem that called the problem to
your attention?
absenteeism
physical illness on the job
high rate of job accidents
difficulty in completing tasks
difficulty following instructions
poor relationships with other employees
too much use of sick time
other (specify)
21.To what extent was the employee's job performance
adversely affected by the primary problem for which
they were referred?
Greatly Somewhat Minimally Not
Affected Affected Affected Affected
[ ] [ ] [ ] [ 3

143
22. How much pressure was used to get the last referral to
go to the hospital sponsored employee assistance
counseling program?
Forced Strongly Somewhat Minimally Voluntarily
To Go Pressured Pressured Pressured
[ ] [ ] C ] [ ] [ ]
23. Of the people you have referred to the hospital
sponsored employee assistance counseling program to the
best of your knowledge how typical is your last
referral?
Very Somewhat Not
Typical Typical Typical Typical
[ ] [ ] [ ] [ ]
24.If this referral was somewhat typical or not typical in
which of the following areas was the last referral
different than the others you have referred to the
hospital sponsored employee assistance counseling
program?
education marital status
sex type of problem referred
for
race other (specify)
* The following group of questions deal with what, in your
opinion, the likely reaction of others would be to the last
referral you made to the hospital sponsored employee
assistance counseling program. It is recognized that the
referrals to the program are confidential therefore the
questions ask that you indicate what the reaction would be
if that information would be made available. Please place
an "X" or provide the information in the space provided.

144
25. If the following people knew about your last referral
to the hospital sponsored employee assistance
counseling program, what do you think would have most
likely been their reaction to the referral? (Please
respond for each set of persons even though the same
individuals may be included in more than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
most
other
supervisors [ ] [ ] [ ] [ ] [ ]
most of
the
supervisors
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
supervisors
I have known
the longest [ ] [ ] [ ] [ ] [ ]
most of the
supervisors
I associate
with most
frequently [ ] [ ] [ ] ( ] [ ]
most other
employees [ ] [ ] [ ] ( ] [ ]
most of the
employees
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have known
the longest [ ] [ ] [ ] [ ] [ ]
most of the
employees
I associate
with most
frequently [ ] [ ] [ ] [ ] [ ]

145
26. If the following people knew about your last referral
to the hospital sponsored employee assistance
counseling program, do you think you would have
experienced any of the following negative reactions to
the referral? (check all that apply)
employee was upset
other employees you supervise would be upset
other employees (other than the ones you
supervise) would be upset
your supervisor would be upset
other supervisors would be upset
no negative reactions
27. If the following people knew about your last referral
to the hospital sponsored employee assistance
counseling program, do you think you would have
experienced any of the following positive reactions to
the referral? (check all that apply)
employee was grateful
other employees you supervise would support
you
other employees (other than the ones you
supervise) would support you
your supervisor would support you
other supervisors would support you
no positive reaction
28. How helpful do you think the program was to the last
employee you referred?
Not
Somewhat
No
Helpful
Very
Helpful
Helpful
Change
Helpful
[ ]
[ ]
[ ]
[ ]
[ ]

146
* The following group of questions deal with what, in your
opinion, the likely reactions of others would be to your
possible referrals of employees in the future. It is
recognized that these referrals to the hospital sponsored
employee assistance counseling program would be confidential
so the questions ask that you indicate what you think the
reactions would be if this information became available.
Please place an "Xn or provide the information in the space
provided.
29. If in the future you were to refer an employee under
your charge to the hospital sponsored employee
assistance counseling program for an alcohol problem
and the following people knew about your referral, what
do you think would most likely be their reaction to the
referral? (Please respond for each set of persons even
though the same individuals may be included in more
than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
most
other
supervisors [ ] [ ] [ ] [ ] [ ]
most of
the
supervisors
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
supervisors
I have known
the longest [ ] [ ] [ ] ( ] [ ]
most of the
supervisors
I associate
with most
frequently [ ] [ ] [ ] [ ] [ ]
most other
employees [ ] [ ] [ ] [ ] [ ]

147
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
most of the
employees
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have known
the longest [ ] [ ] [ ] [ ] [ ]
most of the
employees
I associate
with most
frequently [ ] [ ] [ ] [ ] [ ]
30. How helpful do you think the employee assistance
program would be with helping an employee experiencing
an alcohol problem?
Not
Somewhat
No
Helpful
Very
Helpful
Helpful
Change
Helpful
[ ]
[ ]
[ ]
[ ]
[ ]
31. If in the future you were to refer an employee under
your charge to the hospital sponsored employee
assistance counseling program for a drug problem and
the following people knew about your referral, what do
you think would most likely be their reaction to the
referral? (Please respond for each set of persons even
though the same individuals may be included in more
than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
most
other
supervisors [ ] [ ] [ ] [ ] [ ]
most of
the
supervisors
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]

148
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
most of the
supervisors
I have known
the longest [ ] [ ] [ ] [ ] [ ]
most of the
supervisors
I associate
with most
frequently [ ] [ ] [ ] [ ] [ ]
most other
employees [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have known
the longest [ ] [ ] [ ] [ ] [ ]
most of the
employees
I associate
with most
frequently [ ] [ ] [ ] t ] [ ]
32. How helpful do you think the employee assistance
program would be with helping an employee experiencing
a drug problem?
Not Somewhat
No
Helpful
Very
Helpful Helpful
Change
Helpful
[ ] [ ]
[ ]
[ 1
[ ]

149
33. If in the future you were to refer an employee under
your charge to the hospital sponsored employee
assistance counseling program for an emotional/personal
problem other than an alcohol/drug problem and the
following people knew about your referral, what do you
think would most likely be their reaction to the
referral? (Please respond for each set of persons even
though the same individuals may be included in more
than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
most
other
supervisors [ ] [ ] [ ] [ ] [ ]
most of
the
supervisors
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
supervisors
I have known
the longest [ ] [ ] [ ] [ ] [ ]
most of the
supervisors
I associate
with most
frequently [ ] [ ] [ ] [ ] [ ]
most other
employees [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have known
the longest [ ]
[ ]
[ ]
[ ]
[ ]

150
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
most of the
employees
I associate
with most
frequently [ ] [ ] [ ] [ ] [ ]
34. How helpful do you think the employee assistance
program would be with helping an employee experiencing
an emotional problem other than an alcohol/drug
problem?
Not
Helpful
Somewhat
Helpful
No
Change
Helpful
Very
Helpful
[
]
[ ]
[ ]
[ ]
[ ]
35.
If
in the future
you were
to refer an
employee to
hospital sponsored employee assistance counseling
program and the following people knew about your
referral, do you think you would experience any of the
following negative reactions to the referral? (check
all that apply)
employee would be upset
other employees you supervise would be upset
other employees (other than the ones you
supervise) would be upset
your supervisor would be upset
other supervisors would be upset
no negative reactions

151
36. If in the future you were to refer an employee to the
hospital sponsored employee assistance counseling
program and the following people knew about your
referral, do you think you would experience any of the
following positive reactions to the referral? (check
all that apply)
employee would be grateful
other employees you supervise would support
you
other employees (other than the ones you
supervise) would support you
your supervisor would support you
other supervisors would support you
no positive reaction
37. To the best of your knowledge how many of the following
supervisors do you think have referred someone to the
hospital sponsored employee assistance counseling
program?
none
less than
half
more than
half half none
most
other
supervisors [ ]
most of
the
supervisors
I most
respect [ ]
most of the
supervisors
I have the
closest
relationship
with [ ]
most of the
supervisors
I have known
the longest [ ]
[ ] [ ] [ ] [ ]
[ ] [ ] [ 1 [ ]
[ ] [ 1 [ ] [ ]
[ ] [ ] [ ] [ ]

152
less than
more than
none
half
half
half none
most of the
supervisors
I associate
with most
frequently [ ]
[ ]
[ ]
[ ] [
* The following group of guestions deal with what, in your
opinion, the likely reaction of others would be to the
situation in which there is an employee under your charge
that is in need of a referral to the hospital sponsored
employee assistance counseling program and they are not
referred. It is recognized that these referrals to the
hospital sponsored employee assistance counseling program
would be confidential so the questions ask that you indicate
what the reaction would be if that information was made
available. (Please place an "X" or provide the information
in the space provided.)
38. If you had someone under your charge who is in need of
a referral to the hospital sponsored employee
assistance counseling program for an alcohol problem
and you did not refer them and the following people
knew about you not referring them, what do you think
would most likely be their reaction to you not making
the referral? (Please respond to each set of persons
even though some of the individuals may be included in
more than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
most
other
supervisors [ ] [ ] [ ] [ ] [ ]
most of
the
supervisors
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
supervisors
I have known
the longest [ ] [ ] [ ] [ ] [ ]

153
Strongly Disapprove Neutral Approve Stroi^jly
Disapprove Approve
most of the
supervisors
I associate
with most
frequently [ ] [ ] [ ] [ ] [ ]
most other
employees [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have known
the longest [ ] [ ] [ ] [ ] [ ]
most of the
employees
I associate
with most
frequently [ ] [ ] [ ] [ ] [ ]
39. If you had someone under your charge who is in need of
a referral to the hospital sponsored employee
assistance counseling program for a drug problem and
you did not refer them and the following people knew
about you not referring them, what do you think would
most likely be their reaction to you not making the
referral? (Please respond to each set of persons even
though some of the individuals may be included in more
than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove
Approve
most
other
supervisors [ ] [ ] [ ] [ ] [ ]

154
Strongly Disapprove Neutral
Disapprove
Approve Strongly
Approve
most of
the
supervisors
I have the
closest
relationship
with [ ] [ ] [ ] [ ] t ]
most of the
supervisors
I have known
the longest [ ] [ ] [ ] [ ] [ ]
most of the
supervisors
I associate
with most
frequently [ ] [ ] [ ] [ ] [ ]
most other
employees [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have known
the longest [ ] [ ] [ ] [ ] [ ]
most of the
employees
I associate
with most
frequently [ ]
t ]
[ ]
[ ]
[ ]

155
40. If you had someone under your charge who is in need of
a referral to the hospital sponsored employee
assistance counseling program for a emotional/personal
problem other than an alcohol/drug problem and you did
not refer them and the following people knew about you
not referring them, what do you think would most likely
be their reaction to you not making the referral?
(Please respond to each set of persons even though some
of the individuals may be included in more than one
set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
most
other
supervisors [ ] [ ] [ ] [ ] [ ]
most of
the
supervisors
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
supervisors
I have known
the longest [ ] [ ] ( ] [ ] t ]
most of the
supervisors
I associate
with most
frequently [ ] [ ] [ ] [ ] ( ]
most other
employees [ ] [ ] [ ] [ ] t ]
most of the
employees
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
most of the
employees
I have known
the longest [ ]
[ ]
[ ]
[ ]
[ ]

156
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
most of the
employees
I associate
with most
frequently [ ] [ ] [ ] [ ] [ ]
* I will now ask a series of questions concerning your
personal use of the employee assistance program and/or other
counseling services. (Please place an "X" or provide the
information in the space provided.)
41. Have you ever received counseling from the hospital
sponsored employee assistance counseling program?
yes (If you answer "yes" to this question go
to question 42 and continue with the
questionnaire.)
no (If you answer "no" to this question go
to question 47 and continue with the
questionnaire.)
42. How many times have you received counseling from the
hospital sponsored employee assistance counseling
program?
# of times
43. If you have received counseling from the hospital
sponsored employee assistance counseling program were
you referred by your supervisor?
yes no
44. If you have received counseling from the hospital
sponsored employee assistance counseling program, how
helpful do you
think it was?
Not
Somewhat
No
Helpful
Very
Helpful
Helpful
Change
Helpful
[ ]
[ ]
[ ]
[ ]
t ]

157
45.What was the nature of the problem?
alcohol
drugs
personal/emotional
other (specify)
46. If you have received counseling from the hospital
sponsored employee assistance counseling program and
the following people knew about it, what do you think
would most likely be their reaction? (Please respond
for each set of persons even though the same
individuals may be included in more than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
family
members [ ] [ ] [ ] [ ] [ ]
friends
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
supervisors
I work
with [ ] [ ] [ ] [ ] ( ]
other
employees
I work
with [ ] [ ] [ ] [ ] [ ]
47. If in the future you were to receive counseling from
the hospital sponsored employee assistance counseling
program for an alcohol problem, what do you think would
most likely be the reaction of the following people?
(Please respond to each of the sets of persons even
though the same individuals may be included in more
than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
family
members [ ] ( ] [ ] ( ] [ ]

158
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
friends
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
supervisors
I work
with [ ] [ ] [ ] [ ] [ ]
other
employees
I work
with [ ] [ ] [ ] [ ] [ ]
48. If in the future you were to receive counseling from
the hospital sponsored employee assistance counseling
program for a drug problem, what do you think would
most likely be the reaction of the following people?
(Please respond to each of the sets of persons even
though the same individuals may be included in more
than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
family
members [ ] [ ] [ ] [ ] [ ]
friends
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
supervisors
I work
with [ ] [ ] [ ] [ ] [ ]
other
employees
I work
with [ ] [ ] [ ] [ ] ( ]

159
49. If in the future you were to receive counseling from
the hospital sponsored employee assistance counseling
program for an emotional/personal problem other than an
alcohol/drug problem, what do you think would most
likely be the reaction of the following people?
(Please respond to each of the sets of persons even
though the same individuals may be included in more
than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
family
members [ ] [ ] [ ] [ ] [ ]
friends
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
supervisors
I work
with [ ] [ ] [ ] [ ] [ ]
other
employees
I work
with [ ] [ ] [ ] [ ] [ ]
50. Have you ever received counseling from a source other
than the hospital sponsored employee assistance
counseling program?
yes (If you answer "yes" to this question go
to question 51 and continue with the
questionnaire.)
no (If you answer "no" to this question go
to question 55 and continue with the
questionnaire.)
51. How many times have you received counseling from a
source other than the employee assistance counseling
program sponsored by the hospital?
# of times

160
52. If you have received counseling from another source,
how
helpful do you think the
counseling
was?
Not
Somewhat
No
Helpful
Very
Helpful
Helpful
Change
Helpful
t ]
[ ]
[ ]
[ ]
[ ]
53. What was the nature of the problem?
alcohol
drugs
personal/emotional
other (specify)
54. If you have received counseling from an outside source,
and the following people knew about it, what do you
think would most likely be their reaction? (Please
respond to each set of persons even though the same
individual may be included in more than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
family
members [ ] [ ] [ ] [ ] [ ]
friends
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
supervisors
I work
with [ ] [ ] [ ] [ ] [ ]
other
employees
I work
with [ ] [ ] [ ] [ ] [ ]

161
55. If in the future you were to receive counseling from a
source other than the hospital sponsored employee
assistance counseling program for an alcohol problem,
what do you think would most likely be the reaction of
the following people? (Please respond to each set of
persons even though the same individual may be included
in more than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
family
members [ ] [ ] ( ] [ ] [ ]
friends
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
supervisors
I work
with [ ] [ ] [ ] [ ] ( ]
other
employees
I work
with [ ] [ ] [ ] [ ] [ ]
56. If in the future you were to receive counseling from a
source other than the hospital sponsored employee
assistance counseling program for a drug problem, what
do you think would most likely be the reaction of the
following people? (Please respond to each set of
persons even though the same individual may be included
in more than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
family
members [ ] [ ] [ ] [ ] t ]
friends
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
supervisors
I work
with [ ] [ ] [ ] [ ] [ ]

162
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
other
employees
I work
with [ ] [ ] [ ] [ ] [ ]
57. If in the future you were to receive counseling from a
source other than the hospital sponsored employee
assistance counseling program for an emotional/personal
problem other than an alcohol/drug problem, what do
you think would most likely be the reaction of the
following people? (Please respond to each set of
persons even though the same individual may be included
in more than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
family
members [ ] [ ] [ ] [ ] [ ]
friends
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
supervisors
I work
with [ ] [ ] [ ] [ ] [ ]
other
employees
I work
with [ ] [ ] [ ] [ ] [ ]
* I will now ask you some general questions concerning the
employee assistance program. Please place an "X" or provide
the information in the space provided.

163
58. If the following people had an alcohol problem, how
would you most likely react if their supervisor
referred them to counseling? (Please respond to all of
the sets of persons even though some individuals may be
included in more than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
family
members [ ] [ ] [ ] [ ] [ ]
friends
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
supervisors
I work
with [ ] [ ] [ ] [ ] [ ]
employees
I work
with [ ] [ ] [ ] [ ] [ ]
59. If the following people had a drug problem, how would
you most likely react if their supervisor referred them
to counseling? (Please respond to all of the sets of
persons even though some individuals may be included in
more than one set.)
Strongly Disapprove Neutral Approve Strongly
Disapprove Approve
family
members [ ] [ ] t ] [ ] [ ]
friends
I have the
closest
relationship
with [ ] [ ] [ ] [ ] [ ]
supervisors
I work
with [ ] [ ] [ ] [ ] [ ]
employees
I work
with [ ] [ ] [ ] [ ] [ ]

164
60. If the following people had an emotional/personal
problem other than an alcohol/drug problem, how would
you most likely react if their supervisor referred them
to counseling? (Please respond to all of the sets of
persons even though some individuals may be included in
more than one set.)
Strongly
Disapprove
Disapprove
Neutral
Approve
Strongly
Approve
family
members [ ]
[
]
[
]
[
]
[ ]
friends
I have the
closest
relationship
with [ ]
[
]
[
]
[
]
[ ]
supervisors
I work
with [ ]
[
]
[
]
[
]
[ ]
employees
I work
with [ ]
[
]
[
]
[
]
[ ]
61. To the best of
your
knowledge
for
each
of the
following
how likely is it that each would interfere with work?
Very
Somewhat
Neutral
Unlikely
Not
Likely
Likely
Approve
alcohol
abuse
[ ]
[ ]
[ ]
[ 3
[ 3
drug
abuse
[ ]
[ ]
[ 3
[ 3
[ 3
personal/
emotional
problems
[ ]
[ ]
[ 3
[ 3
[ 3

165
62. How would you respond to the following statements?
Strongly
Disagree
I am able
to help
employees
with personal
problems [ ]
I don't
feel I have
the skills
to deal with
employees
personal
problems [ ]
For the most
part I am
happy with
my job [ ]
I am working
primarily
for a
paycheck [ ]
I feel I
can use my
own
judgement
on the
job [ ]
The salary
I receive
is adequate
to my
training and
experience[ ]
I feel I
should work
extra time
even when I
will not get
paid [ ]
Disagree Neutral Agree Strongly
Agree
[ ] [ ] [ ] [ ]
[ ] [ ] [ ] [ ]
[ ] [ ] [ ] [ ]
[ ] [ ] [ ] [ ]
[ ] [ ] [ ] [ ]
[ ] [ ] [ ] [ ]
[ ]
[ ]
[ ]
[ ]

Strongly
Disagree
166
Disagree Neutral Agree Strongly
Agree
I am working
primarily
for the good
of the
patient [ ]
Too often
my decisions
are
questioned
by my
supervisor[ ]
My job
requires that
I have special
knowledge and
skills to do
my job [ ]
[ ] [ ] [ ] [ ]
[ ] [ ] [ ] [ ]
[ ] [ ] [ ] [ ]
63. To the best of your knowledge how important do you feel
the employee assistance counseling program is to the
hospital administration?
Very Important Neutral Somewhat Not
Important Important Important
[ ] [ ] [ ] [ ] [ ]
64. To the best of your knowledge how often have you been
to in-service training which explained the way the
employee assistance program is to be utilized by the
supervisors?
Very Often Not Never
Often Often
[ ] [ ] [ ] [ ]
65.To the best of your knowledge how often have you
received a memo which discusses any aspect of the
employee assistance program?
Very Often Not
Often Often
Never
[ ] [ ] [ ] [ ]

167
66. To the best of your knowledge how often do you have
informal discussions with other supervisors concerning
any aspect of the employee assistance program?
Very Often
Often
[ 3 [ 3
67. How would you respond to
Strongly Disagree
Disagree
alcoholism
is a
disease [ ] [ ]
alcoholics
could stop
if they
desired [ ] [ ]
alcoholics
are
responsible
for problems
associated
with
drinking [ ] [ ]
drug
addiction
is a
disease [ ] [ ]
drug addicts
could stop
if they
desired [ ] [ ]
drug addicts
are
responsible
for problems
associated
with using
drugs [ ] [ ]
Not Never
Often
[ 3 [ 3
the following statements?
Neutral Agree Strongly
Agree
[3 [ 3 [ 3
[ 3 [3 [ 3
[3 [ 3 t 3
[3 t3 [ 3
[ 3 [3 t 3
t 3 [3 [ 3

168
Strongly Disagree Neutral Agree Strongly
Disagree Agree
mental/
emotional
problems
are a
sign of
weakness [ ] [ ] [ ] [ ] [ ]
people with
personal/
emotional
problems
can get
better if
they want
to [ ] [ ] [ ] [ ] [ ]
* Please provide any comments you have about this research,
as well as any additional information you may feel is
important to the study. Thank you.

REFERENCES
Akers, R. (1985). Deviant Behavior: A Social Learning
Approach. Belmont, CA: Wadsworth.
Akers, R. and Cochran, J. (1985). "Adolescent marijuana
use: A test of three theories of deviant behavior."
Deviant Behavior 6:323-346.
Akers, R., Krohn, M., Lanza-Kaduce, L. and Radosevich, M.
(1979). "Social learning and deviant behavior: A
specific test of a general theory." American
Sociological Review 44:635-655.
Akers, R., La Greca, A., Cochran, J. and Sellers, C. (1989)
"Social learning theory and alcohol behavior among the
elderly." Sociological Quarterly 30:625-638.
Alcoholics Anonymous. (1976). New York: Alcoholics
Anonymous World Services.
Alpander, G. (1980). "Training first-line supervisors to
criticize constructively." Personnel Journal 59:216-
221.
Bandura, A. (1977). Social Learning Theory. Englewood
Cliffs, NJ: Prentice-Hall.
Becker, H. (1963). Outsiders: Studies in the Sociology of
Deviance. New York, NY: Free Press.
Becker, H. (1973). Labelling theory reconsidered. In H. S
Becker (Ed.), Outsiders. New York, NY: Macmillan.
Blose, I. (1977). "Confronting the alcoholic employee."
AORN Journal 25:1159-1166.
Burgess R. and Akers, R. (1966). "A differential
association-reinforcement theory of criminal behavior.
Social Problems 14:128-147.
Campbell, D. and Graham, M. (1988). Drugs and Alcohol in
the Workplace: A Guide for Managers. New York, NY:
Facts on File.
169

170
Dembo, R., Grandon, G., La Voie, L. , Schmeider, J. and
Burgos, W. (1986). "Patients and drugs revisited: Some
further support of social learning theory."
Criminology 24:85-104.
Dickman, J., Emener, W. and Hutchison, W. (1985).
Counseling the Troubled Person in Industry.
Springfield, IL: Charles C. Thomas.
Elliott, D., Huizinga, D. and Ageton, S. (1985). Explaining
Delinquency and Drug Use. Beverly Hills, CA: Sage.
Erikson, K. (1962). "Notes on the sociology of deviance."
Social Problems 9:307-314.
Foote, A. and Erfurt, J. (1981). "Effectiveness of
comprehensive employee assistance programs at reaching
alcoholics." Journal of Drug Issues 11:217-232.
Gerstein, L., Eichenhofer, D., Bayer, G., Valutis, W. and
Jankowski, J. (1989). "EAP referral training and
supervisors' beliefs about troubled workers." Employee
Assistance Quarterly 4:15-30.
Googins, B. and Kurtz, N. (1980). "Factors inhibiting
supervisory referrals to occupational alcoholism
intervention programs." Journal of Studies on
Alcoholism 41:1196-1208.
Googins, B. and Kurtz, N. (1981). "Discriminating and
nonparticipating supervisors in occupational alcoholism
programs." Journal of Drug Issues 11:199-216.
Gove, W. (1970). "Societal reaction as an explanation of
mental illness: An evaluation." American Sociological
Review 35:873-884.
Gove, W. (1975). "The labelling theory of mental illness: A
reply to scheff." American Sociological Review 40:242-
247.
Gove, W. (1980). "Labelling and Mental Illness: A
Critique." In Walter R. Gove (Ed.), The Labelling of
Deviance: Evaluating a Perspective (pp. 53-109). New
York, NY: Halsted Press.
Greenley, J. (1972). "Psychiatric patients family and
length of hospitalization." Journal of Health and
Social Behavior 13:25-37.
Hawkins, R. and Tiedeman, G. (1975). The Creation of
Deviance. Columbus, OH: Charles E. Merrill.

171
Hemmett, G. (1972). "What can supervisors do about
alcoholic subordinates?" Supervisory Management 17:13-
18.
Herbert, H. (1975). "Alcoholism: The supervisor's role in
rehabilitation." Supervisory Management 20:7-14.
Heyman, M. (1976). "Referral to alcoholism programs in
industry." Journal of Studies on Alcohol 37:900-907.
Hollinger, R. (1988). "Working under the influence (WUI):
Correlates of employees' use of alcohol and other
drugs." The Journal of Applied Behavioral Schience
24:439-454.
Indian River Community Mental Health Center. (1982).
Employee Assistance Program Manual. Vero Beach, FL:
Indian River Community Mental Health Center.
Kandel, D. and Yamaguchi, K. (1987). "Job mobility and drug
use: An event history analysis." American Journal of
Sociology 97:836-878.
Kim, J. (1975). "Multivariate analysis of ordinal
variables." American Journal of Sociology 81:261-298.
Kitsuse, J. (1964). Societal reaction to deviant behavior:
Problems of theory and method. In H. S. Becker (Ed.),
The Other Side (pp. 87-102). New York, NY: Free Press.
Klecka, W. (1980). Discriminant Analysis. Sage University
Paper series on Quantitative Applications in the Social
Sciences, 07-019. Beverly Hills, CA and London,
England: Sage.
Krohn, M. and Akers, R. (1977). "An alternative view of the
labelling versus psychiatric perspective on societal
reaction to mental illness." Social Forces 56:341-361.
Krohn, M., Akers, R., Radosevich, M. and Lanza-Kaduce, L.
(1982). "Norm qualities and adolescent drinking and
drug behavior: The effects of norm qualities and
reference group on using and abusing alcohol and
marijuana." Journal of Drug Issues 12:343-359.
Krohn, M., Lanza-Kaduce, L. and Akers, R. (1984). "Community
context and theories of deviant behavior: An
examination of social learning and social bonding
theories." Sociological Quarterly 25:353-371.

172
Krohn, M., Skinner, W. , Massey, J. and Akers, R. (1985).
"Social learning theory and adolescent cigarette
smoking: A longitudinal study." Social Problems
32:455-471.
Labovitz, S. (1970). "The assignment of numbers to rank
order categories." American Sociological Review
35:515-524.
Labovitz, S. (1971). "In defense of assigning numbers to
ranks." American Sociological Review 36:521-522.
Lanza-Kaduce, L., Akers, R., Krohn, M. and Radosevich, M.
(1984). "Cessation of alcohol and drug use among
adolescents: A social learning model." Deviant
Behavior 5:79-96.
Lemert, E. (1951). Social Pathology. New York, NY: McGraw-
Hill.
Lewis, J. and Lewis, M. (1986). Counseling Programs for
Employees in the Workplace. Belmont, CA: Brooks/Cole.
Lewis-Beck, M. (1990). "Applied Regression: An
Introduction." Sage University Papers Series on
Quantitative Applications in the Social Sciences,
series no. 07-022. Beverly Hills, CA and London,
ENGLAND: Sage Publications.
Lilly, J., Cullen, F. and Ball, R. (1989). Criminological
Theory: Context and Consequences. Newbury Park, CA:
Sage.
Lotterhos, J. (1975). "Historical and sociological
perspectives of alcohol-related problems." In R.
Williams and G. Moffat (Eds.), Occupational Alcoholism
Programs (pp. 3-39). Springfield, IL:Charles C. Thomas.
Maisel, R. (1967). "The ex-mental patient and
rehospitalization: Some research findings." Social
Problems 15:18-24.
Masi, D. (1984). Designing Employee Assistance Programs.
New York, NY: American Management Association.
Mayo, E. (1923). "Irrationality and reverie." Journal of
Personnel Research 1:477-483.
McClellan, K. (1982). "An overview of occupational
alcoholism issues for the 80s." Journal of Drug
Education 12:1-27.

173
Mendel, W. and Rapport, S. (1969). "Determinants of the
decision for Psychiatric hospitalization." Archives of
General Psychiatry 20:321-328.
Myers, D. (1984). Establishing and Building Employee
Assistance Programs. Westport, CT: Quorum.
Nelson, D. and Campbell, S. (1972). "Taylorism versus
welfare work in American industry: H. L. Gault and the
Bancrofts." Business History Review 46:1-18.
Newcomb, M. (1988). Drug Use in the Workplace. Dover, MA:
Auburn House.
NIAAA. (1987). Alcohol and Health: Sixth Special Report to
the U. S. Congress. Washington, DC: U. S. Government
Printing Office.
Pedhazur, E. (1982). Multiple Regression in Behavioral
Research. New York, NY: Hold, Rinehart and Winston.
Phillips, D. and Older, H. (1981). "Alcoholic employees
beget troubled supervisors." Supervisory Management
26:3-9.
Piperno, A. (1975). "Indefinite commitment in a mental
hospital for the criminally insane: Two models of
administration of mental health." The Journal of
Criminal Law and Criminology 65:520-527.
Poley, W., Lea, G. and Vibe, G. (1979). Alcoholism: A
Treatment Manual. New York, NY: Gardner Press.
Resource EAP, Inc. (1985). Affiliate Manual. Jacksonville,
FL: Resource EAP.
Roman, P. (1981). "From employee alcoholism to employee
assistance." Journal of Studies on Alcohol 42:244-272.
Scanlon, W. (1986). Alcoholism and Drug Abuse in the
Workplace: Employee Assistance Programs. New York, NY:
Praeger.
Schaeffer, D. (1979). "Alcoholism: Challenge for today's
supervisor." Supervision 41:11-13.
Scheff, T. (1966). Being Mentally Ill: A Sociological
Theory. Chicago, IL: Aldine.
Scheff, T. (1974). "The labelling theory of mental
illness." American Sociological Review 39:444-452.

174
Scheff, T. (1975). "Reply to Chauncey and Gove." American
Sociological Review 40:252-257.
Schur, E. (1971). Labelling Deviant Behavior: Its
Sociological Implications. New York, NY: Harper and
Row.
Shain, M. (1985). "An exploration of the ability of broad-
based EAPs to generate alcohol related referrals." In
S. Klarreich, J. Francek and C. Moore (Eds.), The Human
Resources Management Handbook (pp. 232-242). New York,
NY: Praeger.
Shain, M. and Groeneveld, J. (1980). Employee Assistance
Programs. Lexington, MA: Lexington Books.
Shain, M., Suurvali, H. and Boutilier, M. (1986). Healthier
Workers: Health Promotion and Employee Assistance
Programs. Lexington, MA: Lexington Books.
Skinner, B. (1953). Science and Human Behavior. New York,
NY: Macmillan.
Smart, R. (1974). "Employed alcoholics treated voluntarily
and under constructive coercion." Quarterly Journal of
Studies on Alcohol 35:196-209.
Sonnenstuhl, W. (1984). "Understanding EAP self-referral:
Toward a social network approach." Contemporary Drug
Problems 11:269-293.
Sonnenstuhl, W. and Trice, H. (1986). Strategies For
Employee Assistance Program: The Crucial Balance.
Cornell University, NY: I.L.R. Press.
Steele, P. (1988). "Substance abuse and the workplace, with
special attention to employee assistance programs: An
overview." The Journal of Applied Behavioral Science
24:315-325.
Tannenbaum, F. (1938). Crime and Community. Boston, MA:
Ginn.
Trice, H. and Belasco, J. (1968). "Supervisory training
about alcoholics and other problem employees."
Quarterly Journal of Studies on Alcohol 29:382-398.
Trice, H. and Beyer, J. (1982). "Social control in
worksettings: Using constructive confrontation strategy
with problem-drinking employees." Journal of Drug
Issues 12:21-49.

175
Trice, H. and Beyer, J. (1984). "Work-related outcomes of
the constructive-confrontation strategy in a job-based
alcoholism program." Journal of Studies on Alcohol
45:393-404.
Trice, H. and Roman, P. (1978). Spirits and Demons at Work:
Alcohol and Other Drugs on the Job. New York, NY: New
York State School of Industrial and Labor Relations
Cornell University.
Trice, H. and Schonbrunn, M. (1981). "A history of job-
based alcoholism programs: 1900-1955." Journal of Drug
Issues 11:171-198.
Trice, H. and Sonnenstuhl, W. (1985). "Contributions of A.A.
to employee assistance programs." Employee Assistance
Quarterly 1:7-31.
Trice, H. and Sonnenstuhl, W. (1988). "Drinking behavior
and risk factors related to the workplace: Implications
for research and prevention." The Journal of Applied
Behavioral Science 24:327-346.
Walker, J. (1978). "Supervising the alcoholic."
Supervisory Management 23:26-32.
Walsh, D. (1982). "Employee assistance programs." Milbank
Memorial Fund Quarterly 60:492-517.
Walsh, M. and Yohay, S. (1987). Drug and Alcohol Abuse in
the Workplace: A Guide to the Issues. Washington, DC:
National Foundation for the Study of Equal Employment
Policy.
Watt, D. and Buglass, D. (1966). "The effect of clinical
and social factors on the discharge of psychiatric
patients." Social Psychiatry 1:57-63.
Wenger, D. and Flether, C. (1969). "The effects of legal
counsel on admissions to a state mental hospital: A
confrontation of professions." Journal of Health and
Social Behavior 10:66-72.
Wilde, W. (1968). "Decision-making in a psychiatric
screening agency." Journal of Health and Social
Behavior 19:215-221.
Wrich, J. (1982). Guidelines for Developing an Employee
Assistance Program. Minneapolis, MN: Hazelton
Foundation.

176
Wright, D. (1985). "Policy and procedure: The essential
elements in a EAP." In S. Klarreich, J. Francek and C.
Moore (Eds.), The Human Resources Management Handbook
(pp. 13-23). New York, NY: Praeger.

BIOGRAPHICAL SKETCH
Michael Capece received his B.A. degree in sociology in
1976 from Walsh College in Canton, Ohio and his M.A. degree
in sociology in 1981 from The University of Akron in Akron,
Ohio. Michael has been involved in the clinical application
of sociology for 15 years, 8 of those years in a private
counseling practice in Clearwater, Florida. He holds
licenses in both marriage and family therapy and mental
health counseling in the state of Florida. After completing
his degree, Michael will continue in his counseling practice
with plans to expand his practice to include evaluation
research.
177

I certify that I have read this study and that in my
opinion it conforms to acceptable standards of scholarly
presentation and is fully adequate, in scope and quality, as
a dissertation for the degree of Doctor of Philosophy.
ffyu&y
, Chair
Professor of Sociology
I certify that I have read this study and that in my
opinion it conforms to acceptable standards of scholarly
presentation and is fully adequate, in scope and quality, as
Associate Professor of Sociology
I certify that I have read this study and that in my
opinion it conforms to acceptable standards of scholarly
presentation and is fully adequate, in scope and quality,
a dissertation for the degree of Doctor of Philosophy.
fichard C. Hollinaer
Associate Professor of Sociology
as
I certify that I have read this study and that in my
opinion it conforms to acceptable standards of scholarly
presentation and is fully adequate, in scope and quality
a dissertation for the degree of Doctor of Philosophy.
Constance L. Shehan
Associate Professor of Sociology
as
I certify that I have read this study and that in my
opinion it conforms to acceptable standards of scholarly
presentation and is fully adequate, in scope and quality, as
a dissertation for the degree of Doctor of Philosophy.
ml GXy$sui/\QjJ\
Peter A. Sherrard
Assistant Professor of Counselor
Education

This dissertation was submitted to the Graduate Faculty
of the Department of Sociology in the College of Liberal
Arts and Sciences and to the Graduate School and was
accepted as partial fulfillment of the reguirements for the
degree of Doctor of Philosophy.
May, 1991
Dean, Graduate School

UNIVERSITY OF FLORIDA
111
3 1262 08556 7203