Mandatory Supervisory Referral
to Duke EAP

When do you make a mandatory supervisory referral to Duke Employee Assistance Program?

If an employee violates a company policy (e.g., Drug and Alcohol) and company policy mandates that he/she seek assistance through Duke EAP. No judgment should be passed or inferred when such a referral is required. An employee's compliance with Duke EAP recommendations is usually a condition of the employee's continued employment.

Why make a referral to Duke EAP?

The mandatory supervisory referral should be viewed and approached positively, as an opportunity for the employee to avoid further violation of company policy and to commit to improving job performance. The intent of a mandatory supervisory referral is to provide a mechanism whereby the employee can receive assistance (i.e., through assessment, short-term counseling, and/or outside referral) to address underlying issues which have contributed to the employee's violation of company policy. By linking the employee's behavioral progress and treatment compliance with work performance, managers may increase the likelihood of regaining a positive and productive employee.

A mandatory supervisory referral to Duke EAP is not usually part of the company's disciplinary process, nor is it a medical or administrative leave. However, both the disciplinary process and a leave may be involved when a mandatory supervisory referral occurs.



The following steps will guide you through the process of making a Mandatory Supervisory Referral

Step 1: Call your Human Resource Consultant (HRC).
  1. Your HRC gathers information about the situation from you, the employee and others (i.e., OHS, and Legal) and consults with you regarding the next steps.
Step 2: Ask your Human Resource Consultant (HRC) to assist you in providing appropriate documentation.
  1. Your HR Consultant will help you with appropriate documentation and written communication to notify the employee that his/her compliance with recommendations is a condition of continued employment.
  2. Manager coaching is available from Duke EAP for the Manager and HR Consultants. It may be a good idea to arrange coaching from an EAP clinician on ways to increase the employee's receptiveness to the EAP referral.
Step 3: You and/or the HRC tell the employee that a mandatory supervisory referral to Duke EAP is required and that he/she is required to call a specified EAP case manager within a defined time frame. (You may want to give the employee a copy of the Supervisory Referral Form).
  1. When you discuss the referral with the employee, tell him/her that the referral to EAP is a mandatory supervisory referral based on a violation of company policy. You may want to provide the employee with a copy of the policy.
  2. Provide the employee with the name of the EAP Case Manager that he/she should contact to gain a thorough understanding of the mandatory supervisory referral process.
  3. Explain that the employee will be asked by Duke EAP to sign a consent to share specific information (i.e., dates and times of sessions, treatment plan, and compliance with treatment plan) with a designated company representative.
  4. Explain to the employee that the results of future tests and performance reviews, as indicated, will be communicated to EAP. For example, screening results performed by OHS and future job related behaviors that could be attributed to substance abuse (e.g., absences on Mondays and Fridays, frequent accidents, inappropriate behaviors at company or customer functions or missed appointments, unusual request for reimbursement for alcohol expenses, etc.) will be reported to the EAP and then to the employee's treating clinician.
  5. Instruct the employee to contact the Duke EAP Case Manager as soon as possible. You and the employee should agree on a specific date and time when the employee will contact the Duke EAP Case Manager to schedule an assessment appointment with a counselor.
  6. You will advise the employee that he/she always has a choice in following through with the referral to Duke EAP and in authorizing communication from EAP to the designated company employee. If non-compliance is indicated, you will stress that if the employee chooses not to follow through with the referral or does not sign a consent for release of information, he/she is choosing to be subject to the provisions of company policy and procedures and is waiving all options for flexibility.
Step 4: The employee calls the Duke EAP Case Manager at 919-286-1244 or 1-800-336-3853 for an appointment with a counselor.
  1. The EAP Case Manager will verify the employee's understanding of his/her referral to EAP and the mandatory supervisory referral process.
  2. The EAP Case Manager will schedule an assessment appointment with a Duke EAP counselor.
  3. The EAP Case Manager will provide an overview of the mandatory referral to the EAP counselor.
Step 5: The employee meets with the Duke EAP Counselor.
  1. During the first session, the counselor will explain the supervisory referral process, review the Statement of Understanding Regarding a Supervisory Referral to Duke EAP/PSN form, and will give the employee an opportunity to sign the Consent for Speaking with My Employer form. If the employee signs the Consent for Speaking with My Employer form, he/she is giving permission for the EAP Case Manager to communicate specific information (i.e., dates and times of sessions, treatment plan, and compliance with treatment plan) to the designated company contact. If the employee denies consent for this communication, the employee will be advised that the EAP Case Manager will not be able to provide feedback to the designated company contact about compliance and progress.
  2. The EAP clinician will review the job performance and/or behavior issues.
  3. The EAP clinician will assess the employee's situation.
  4. The EAP clinician and the employee will develop an appropriate treatment plan.
    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).
  5. Report the outcome of the clinical assessment and treatment recommendation to the Case Manager.
Step 6: The EAP counselor will provide the designated company contact with appropriate information that can be released.

  1. If the employee signs a release that will allow Duke EAP to speak with the designated company representative, only specific information noted in the Consent for Speaking with My Employer will be communicated.
  2. If the employee refuses to sign a Consent for Speaking with My Employer form, the Case Manager informs the designated company representative that he/she can neither confirm nor deny that the employee has utilized Duke EAP.
  3. EAP will communicate the following information to the designated company representative over the course of the process:
    • 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.
Step 7: The Case Manager will continue to 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 EAP counselor to EAP Case Manager immediately.
  2. a) If employee is referred to an outside provider / facility, 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 outside provider to the Duke EAP Case Manager immediately.
Step 8: The Designated Company Contact will keep the HR Consultant and/or Manager informed regarding the employee's compliance status.
  • Any work schedule modifications for appointments;
  • Any time off or medical leave for treatment;
  • Any recommended work restrictions and job accommodations;
  • Periodic updates regarding compliance with treatment plan (e.g., keeping all appointments, negative or positive drug/alcohol screens);
  • Return to work, if on leave.
Step 9: Remain involved with HR, the designated company representative, and the employee.

It is important to continue monitoring, documenting, and coaching your employee on his/her progress with job performance and/or behavior concerns. Avoid making inquiries about the employee's experience with treatment or personal problems. Let the employee know that you remain concerned and committed to supporting him/her as long as support can be accommodated within the needs of the business. Remember that the employee is expected to fulfill required job performance standards and company policies before, during, and after the Mandatory Supervisory Referral. Communicate with the designated company contact if there are general positive or negative performance issues during the course of care (e.g., absences on Mondays and Fridays, frequent accidents, inappropriate behaviors at company or customer functions or missed appointments, unusual request for reimbursement for alcohol expenses, etc.). At any time, communicate with the designated company contact regarding issues that may impact the employee's progress (e.g., a heavy work schedule that may prevent compliance with daytime provider appointments or out of town travel that prohibit keeping appointments, etc.). Be receptive to discussions with HR if more information is requested.



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