Supervisory Referral
to Duke EAP

When do you make a supervisory referral?

*A supervisory referral is made in instances when negative job performance and/or behavior:
  1. has been identified by the supervisor/manager;
  2. has been clearly documented and expectations for improvement have been clarified;
  3. has been communicated verbally and in writing to the employee by the supervisor/manager, and;
  4. has not improved within the time frame agreed upon by supervisor and employee.
*Note: This type of referral is not appropriate unless steps "a-d" have been completed.

Why make a Supervisory Referral?

A supervisory referral is offered to employees as a helping resource to assist them in acquiring professional assistance with issues that have negatively impacted their job performance and/or behavior. When the referral has been made to Duke EAP, specific written consent from the employee is required to allow Duke EAP to act as a liaison among the designated company representative, the employee, and the employee's provider. Communication between Duke EAP and the company representative will be limited to verification of the employee's attendance at Duke EAP and the employee's compliance with Duke EAP recommendations. The designated company representative will also keep Duke EAP informed about the employee's improvement regarding his/her job performance and/or behavior. However, if job performance and/or behavior issues do not improve within a reasonable time frame, the supervisor/manager will act according to company policy and the disciplinary process.



The Roles of Team Players in the Supervisory Referral Process
The Role of the Supervisor/Manager
The Role of the Duke EAP Case Manager
The Role of the Duke EAP Counselor




The Role of the Supervisor/Manager

  1. Contact your Human Resource Consultant (HRC)
    1. Your HRC will gather information about the situation from you and consult with you regarding the next steps.
    2. Your HRC will help you prepare appropriate documentation and written communication.

  2. Contact the Duke EAP Case Manager and provide:
    1. The name of the employee being referred to Duke EAP;
    2. Background information related to the employee's referral to Duke EAP;
    3. A copy of the written communication given to the employee regarding job performance and/or behavioral concerns;
    4. The date of the follow-up meeting with the employee, and periodic updates on the employee's overall job performance and/or job behavior.

  3. At the follow-up meeting with the employee:
    1. Communicate verbally and in writing the employee's lack of improvement in his/her job performance and/or behavior;
    2. Explain the supervisory referral process (give the employee a copy of the Supervisory Referral Form), provide the name and phone number of a Duke EAP Case Manager, and request that the employee contact the Case Manager within a specified time frame, usually within 48 hours.
    3. Explain that attendance at Duke EAP is not mandatory, but it is a resource that is offered and strongly encouraged by the company;
    4. Inform the employee that he/she will be asked to sign a release that is necessary to facilitate communication between Duke EAP and you. Explain that this release will allow Duke EAP to verify the employee's attendance at Duke EAP and the employee's compliance with Duke EAP recommendations;
    5. Explain that pertinent information has been and will be shared with EAP (e.g., outline of job performance and/or behavioral concerns and periodic updates of the employee's job performance and/or behavioral progress);
    6. Explain the consequences of the employee's failure to improve job performance and/or behavior within the time frame outlined by the supervisor (e.g., verbal warning, written warning, final warning and separation, etc.);
    7. Schedule a follow-up meeting, within a reasonable time frame to review the employee's job performance and/or behavioral improvement, and;
    8. Continue monitoring, documenting and coaching the employee on his/her progress with job performance and/or behavior concerns.


The Role of the Duke EAP Case Manager

  1. Wait for contact from the employee
    1. If the employee contacts Duke EAP, the Case Manager:
      1. Verifies the employee's understanding of his/her referral to EAP
      2. Explains the supervisory referral process, and
      3. Schedules an assessment appointment with a Duke EAP counselor.
    2. If the employee does not contact Duke EAP or refuses to sign a Consent to Speak with My Employer, the Case Manager informs the company representative that Duke EAP can neither confirm nor deny that the employee has utilized their services.

  2. Provide an overview of the supervisory referral to the EAP clinician

  3. Monitor treatment
    1. If treatment remains within Duke EAP, the EAP counselor will provide compliance information to the Case Manager on a monthly basis (or more often if indicated); non-compliance will be reported by the EAP counselor to the EAP Case Manager immediately.
    2. If the employee is referred to an outside provider/facility, the Case Manager will contact the outside provider/facility on a monthly basis (or more often if indicated) to request treatment compliance information. Non-compliance will be reported by the outside provider to the Duke EAP Case Manager immediately.

  4. Communicate the employee's treatment compliance to the designated company representative on a monthly basis (or more often if indicated).
    • if the employee has made contact as directed and any appointments that have been made,
    • if treatment is indicated,
    • the treatment plan, the recommended frequency of treatment,
    • progress reports regarding compliance with treatment and an agreed communication schedule (usually monthly updates), and
    • long-term recommendations for follow-up after release from treatment.


The Role of the Duke EAP Counselor

  1. Meet with the employee
    1. Explain the supervisory referral process and request the employee's signature on the Consent for Speaking with My Employer form as well as the Supervisory Referral Form.
    2. Review job performance and/or behavioral issues.
    3. Assess employee's situation and make relevant treatment recommendation:
      1. No further treatment needed, or
      2. Continue within EAP, or
      3. Provide referral to an outside provider/facility (obtain from employee signed release to speak with outside provider/facility and the employee is responsible for the cost of any referral, specialized treatment, testing and/or medication, under his/her insurance benefit), or
      4. Continue within EAP and give referral to an outside provider (obtain from employee signed release to speak with outside provider and the employee is responsible for the cost of any referral, specialized treatment, testing and/or medication, under his/her insurance benefit).

  2. Report the outcome of clinical assessment and treatment recommendation to Case Manager

  3. Provide updates on employee's compliance to the Case Manager on a monthly basis (or more often if indicated)



Duke EAP Confidentiality Statement


Duke Employee Assistance Program carefully adheres to professional standards of ethics and confidentiality. They protect the confidentiality of the client to the fullest extent permitted by law. No information of any kind will be released without the written consent of the client (or, in the case of a minor, the parent/legal guardian). Confidentiality does not exist in cases of imminent danger to self/others or under circumstances where reporting of information is required by law (e.g., child abuse, elder abuse) or court mandated.









Duke Occupational Mental Health Programs
Duke Employee Assistance Program, a component of Duke OMHP
Division of Occupational and Environmental Medicine
Department of Community and Family Medicine