Management Referral Process

TriHealth EAP assists our employers in working with employee performance problems. Management referrals may be made to the EAP in conjunction with your company's improvement process. There are three levels of supervisory referrals.

Informal Referral. The supervisor suggests the EAP at the earliest sign of a performance problem, or when the supervisor is aware that a employee is having difficulty coping with a problem.

Performance Referral. A Performance Referral is recommended when a employee demonstrates deteriorating work performance that is not corrected in spite of the ordinary improvement process. It is also used when attitude and/or behavior are not satisfactory when compared to company norms, policies or guidelines.

Fitness-for-Duty Referral. This referral is more serious and more immediate in its occurrence. In a Fitness for Duty referral the employee is not permitted to return to work until a professional evaluation and/or treatment is completed. The primary examples of fitness-for-duty referrals are 1) potential for violence to self or others and 2) a positive alcohol and/or drug test. In these cases, the company wants a medical evaluation or alcohol/drug assessment by a Substance Abuse Professional to establish a employee's fitness to return to the workplace.

In making a performance or fitness-for-duty referral, the referring supervisor or manager uses a five-step process (covered in TriHealth EAP supervisory training) which is designed to facilitate the most successful referral possible. The five-step process is:

1. Recognition
2. Documentation
3. Action
4. Referral
5. Follow-up

TriHealth EAP has a team of specially trained clinicians available to assist Human Resources managers and supervisors when a supervisory referral is necessary. The team can provide consultation concerning any stage of the process.

It is recommended that Human Resources, the manager or the supervisor call TriHealth EAP in the very beginning of the referral process to review the situation and obtain assistance in making the referral.   

The call has several purposes:

• It allows TriHealth EAP the opportunity to assist by serving as a consultant. The specially trained TriHealth EAP clinician will review the entire referral process and review the manager/supervisor's role, TriHealth EAP role, and the expectations of the employee. The clinician will review documentation to make sure all necessary information is in place, and highlight key points Human Resources/the manager/ supervisor should cover during the performance review meeting with the employee. We are available to coach Human Resources/ the manager/supervisor how to constructively confront the employee, and how to treat and respond to the employee during the referral and treatment process. Issues of confidentiality are discussed.
• It prepares TriHealth EAP to be aware of the issues and background, and can then better address the work performance issues and any denial or resistance by the employee.
• It provides the opportunity for TriHealth EAP to facilitate scheduling the initial assessment appointment.

The manager or supervisor has the employee sign TriHealth EAP's Referral Release of Information form at the time of the performance review meeting between the manager/supervisor and the employee. This consent allows TriHealth EAP to communicate with the referring company official about the employees attendance and compliance with treatment recommendations. The completed referral form is faxed or e-mailed to TriHealth EAP .

The TriHealth EAP clinician will meet with the employee to address work performance problems. When necessary, additional referrals may be made (for example, an employee's performance issues may be related to chemical dependency issues and a treatment program may be indicated).

The TriHealth EAP clinician will case manage the entire referral process, ensuring that the employee is complying with recommended treatment and providing regular feedback to the referring manager/supervisor, consistent with the signed release of information form.

The TriHealth EAP clinician and the manager/supervisor will decide on frequency of follow-up. TriHealth EAP regularly sends a Client Status Report, and maintains regular phone contact with the referring manager/supervisor as well. TriHealth EAP is available to the manager/supervisor throughout the process for consultation.

In Fitness-for-Duty cases where the employee is at risk to self or others or has serious emotional problems, it may be necessary to schedule an Independent Medical Evaluation (IME) to rule out risk of harm to self or others, or to assess ability to perform work functions. The company must authorize the IME and the cost is paid directly by the company. TriHealth EAP will facilitate referral for the IME and case manage, as above. No information of a personal nature is given to the company.

In Fitness-for-Duty cases in which a employee has a positive drug/alcohol test, the employee will be referred to a Substance Abuse Professional for assessment and referral for treatment. When Federal compliance standards apply, such as the Department of Transportation, cases are treated with two priorities. The first is the client's welfare and current behavioral health needs. The second is to ensure that the client, the company and the SAP are always in compliance with regulations.

TriHealth EAP provides consultation to managers, supervisors and Human Resources personnel regarding employee attendance, performance and behavior problems. We can provide assistance through supervisory referrals and on-site organizational development activities, if necessary.

View the Management Referral form.

We would appreciate it if supervisors, managers, Human Resources personnel would complete the Supervisor Satisfaction Checklist upon completion of the referral process to TriHealth EAP.