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THE INTERACTIVE PROCESS PROTOCOL AND FILE MANAGEMENT Chief Executive OfficeRisk Management RETURN TO WORK Unit

PURPOSE AND DEFINITION • An Interactive Process Meeting (IPM) is a meeting, in person or by phone, between the employee and the employer. • All IPMs must be thoroughly documented on the IPM document, including signatures of all who were present at the meeting. • All telephone IPMs should be documented as such on the IPM document, and the employee should receive a follow up letter reflecting all that was discussed and a “Plan of Action” including a specific follow up date, when appropriate.

GOOD FAITH Includes a cooperative effort in a neutral environment • Good faith implies ongoing communication with employee in various forms. • Multiple IPMs may be necessary and often are required in providing an effective reasonable accommodation. • Being respectful, courteous and objective when communicating with employees is crucial in establishing and maintaining ongoing good faith interaction through the process.

TRIGGERS • Most common triggers: • Verbal – Employer approached by employee • Non verbal – Employer observes change in performance • Letter from applicant’s counsel requesting an accommodation • Medical certification from employee’s treating health care professional • Work restriction letter from Third Party Administrator (TPA)

WHO CAN ATTEND AN IPM • Line Supervisor of Usual and Customary (U&C) position. • Line Supervisor of light duty assignment. • Return-to-Work (RTW) Coordinator. • Subject matter expert, as necessary. • Relative, friend, union representative, applicant’s counsel, or spouse/significant other.

PREPARATION OF IPMWhenever possible, to ensure a productive meeting the RTW Coordinator should: • Obtain all current medical certification(s); • Verify employee’s current work status; • Review disability and/or workers’ compensation files; • If the restrictions are the result of a workers’ compensation claim, contact the TPA to obtain current claim status;

PREPARATION OF IPMWhenever possible, to ensure a productive meeting the RTW Coordinator should: cont… • Invite employee and line supervisor or manager and meet in a private location; • Identify potential temporary tasks that adhere to the employee’s known restrictions; • Prepare/gather the IPM document and any other documents, as appropriate; and • Invite subject matter experts, as necessary.

WHAT SHOULD OCCUR: • Discussions and review of Essential Job Functions (EJF) of U&C. • Review medical certification. • Cooperative discussions to achieve an appropriate resolution to the employee’s status.

AVAILABLE OPTIONS • Release to work with or without restrictions. • Possible light duty assignment. • Work Hardening Transitional Assignment Agreement (WHTAA) (prior to Permanent and Stationary if Industrial Accident I/A) • Conditional Assignment Agreement (CAA) • (After P&S if I/A, and to provide light duty accommodation if non I/A) • Any other options the employee has to consider at that time. To avoid the appearance of perceived discrimination, make sure that no decisions are made prior to an IPM, but instead after the collaborative opportunity through the IPM discussion and resulting plan of action and follow up.

INTERATIVE PROCESS MEETING (IPM Document)

AUTHORIZATION FOR REQUEST OR USE/DISCLOSURE OF PROTECTED HEALTH INFORMATION (PHI)

THE INTERACTIVE PROCESS (USING JOB OFFER FORMS) Date of Injury TPA Temporary Work Restriction Letter (Interactive Process Required) Work Hardening Assignment (Establish a Plan of Action) Permanent & Stationary (P&S) OR Maximum Medical Improvement (MMI) TPA Permanent Work Restriction Letter (Prior to Settlement) (Interactive Process Required) Medical Certification(s) Can be provided by the TPA or PTP at anytime Medical Certification(s) Can be provided by the TPA or PTP at anytime Conditional Assignment (Establish a Plan of Action) Claim Settled TPA Permanent Work Restriction Letter (Based on Settlement Document) (Interactive Process Required) Establish a Plan of Action

IPM - Usual and Customary WorkUsing Job Offer Forms under Temporary or P&S/MMI with Permanent Work Restrictions • Trigger: • The department is notified either by the Third Party Administrator (TPA), or the employee’s treating health care professional that the employee can return to work in their U&C position. • What Should Occur: • An Interactive Process Meeting (IPM) should be conducted to discuss the following issues:

WHAT SHOULD OCCUR: cont… • Acknowledgement that employee has been released by a qualified health care professional; • Any restrictions and/or accommodations needed; • Essential Job Functions (EFJ) of U&C and comparison to restrictions to confirm restrictions do not conflict; and • Offer employee the opportunity to share/discuss any concerns they may have. If they do and it changes the above, they are to be seen by a qualified health care professional to be re-evaluated.

NOTICE OF OFFER OF REGULAR WORK FORMDWC – AD 10118

IPM – Work Hardening Transitional Assignment AgreementUsing Job Offer Forms under Temporary or P&S/MMI with Permanent Work Restrictions TEMPORARY WORK RESTRICTIONS ARE ESTABLISHED • Purpose: • A Work Hardening Transitional Assignment Agreement (WHTAA) is an agreement between the employer and employee that allows an employee to return to work in an assignment performing functions other than those usually assigned and is intended to allow an employee the opportunity to recover from their injury/illness while continuing to work. • This agreement is temporary and can be revisited every 12 weeks up until the employee becomes Permanent and Stationary (P&S) or has achieved Maximum Medical Improvement (MMI).

IPM – Work Hardening Transitional Assignment AgreementTEMPORARY WORK RESTRICTIONS ARE ESTABLISHED cont… • Triggers: • Medical certification is received that indicates the employee is precluded from performing the Essential Job Functions of their Usual and Customary (U&C) position, but prior to P&S; or • There are changes in the employee’s disability status. • What Should Occur: • Upon receipt of medical certifications – compare to previous medical certifications on file, and:

IPM – Work Hardening Transitional Assignment AgreementTEMPORARY WORK RESTRICTIONS ARE ESTABLISHED cont… • Involve location supervisors in identifying light duty WHTAA assignment; • Discuss light duty options; • Build a WHTAA around their U&C; • Itemize tasks employee can do base on his/her restrictions; • If the above is not feasible create a list of tasks employee can perform to assist the office that adheres to their restrictions; • Complete WHTAA document including signatures and a copy to the employee, Return-to-Work (RTW) Unit, and Third Party Administrator (TPA) / Adjuster; and • Develop and maintain a standard process to monitor WHTAA.

WORK HARDENING TRANSITIONAL ASSIGNMENT AGREEMENT FORM (WHTAA)

IPM – CONDITIONAL ASSIGNMENT AGREEMENTUsing Job Offer Forms under Temporary or P&S/MMI with Permanent Work Restrictions • Purpose: • This agreement is temporary and utilized when the department is conducting a department-wide or Countywide search for a compatible position. This status is determined when an employee with an industrial Injury/Illness becomes Permanent and Stationary (P&S) or has reached Maximum Medical Improvement (MMI); or • An employee with an Non-Industrial Injury/Illness obtains a work restriction (either temporary or permanent). If a position cannot be identified within the employee’s department, then a Countywide Job Search shall be conducted pursuant to Department of Human Resources Policies, Procedures, and Guidelines (PPG – 621).

IPM – CONDITIONAL ASSIGNMENT AGREEMENTUsing Job Offer Forms under Temporary or P&S/MMI with Permanent Work Restrictions cont… • Triggers: • Industrial Injury/Illness – An employee has reached P&S or MMI and is permanently precluded from performing their Usual and Customary (U&C) position; or • Non-Industrial Injury/Illness – An employee has a temporary work restriction or has reached P&S or MMI and needs to be placed in another assignment.

IPM – CONDITIONAL ASSIGNMENT AGREEMENTUsing Job Offer Forms under Temporary or P&S/MMI with Permanent Work Restrictions cont… • What Should Occur: • Offer the employee the opportunity to share/discuss any concerns they may have during the required Interactive Process Meeting (IPM). Upon receipt of medical certifications – compare to previous medical certification on file and: • Identify tasks the employee can perform to assist the office while adhering to their work restrictions; • Itemize tasks employee can do based on his/her work restrictions;

IPM – CONDITIONAL ASSIGNMENT AGREEMENT cont… • Complete the Conditional Assignment Agreement (CAA) form and include signatures; • Provide a copy to the employee, Return-to-Work Unit, and a copy to Third Party Administrator (TPA)/adjuster if work related; and • Develop and maintain a standard process to monitor CAA.

CONDITIONAL ASSIGNMENT AGREEMENT FORM (CAA)

IPM – MODIFIED/ALTERNATIVE POSITIONUsing Job Offer Forms under (P&S/MMI with Permanent Work Restrictions) • Purpose: • This protocol is to be utilized to provide permanent accommodation. Once the department is provided with permanent work restrictions from the Third Party Administrator (TPA) or a qualified health care professional, and the department is notified that the employee cannot return to their Usual and Customary (U&C) position, but may able to return to a “modified/alternative” position within the County.

IPM – MODIFIED/ALTERNATIVE POSITIONUsing Job Offer Forms under (P&S/MMI with Permanent Work Restrictions) cont… • Triggers: • The employee has permanent work restrictions that are not compatible with the employee’s U&C position; however, employee may be suitable for a modified/alternative position. • What Should Occur: • Offer the employee the opportunity to share/discuss any concerns they may have during the required Interactive Process Meeting (IPM). • Conduct a department wide search for a comparable position to assess the feasibility of the employee remaining in their own department.

IPM – MODIFIED/ALTERNATIVE POSITIONUsing Job Offer Forms under (P&S/MMI with Permanent Work Restrictions) cont… • If no position is found within the department refer to the Department of Human Resources’ Policies and Procedures Guidelines (PPG 621). • Once a position has been identified with either employee’s home department or another County department, complete a Notice of Offer of Modified/Alternative work (DWC-AD 10133.53) with employee and return the employee to modified/alternative assignment. • Follow up with employee and supervisor to ensure there are no new or reoccurring problems and document all interactions.

IPM – MODIFIED/ALTERNATIVE POSITIONUsing Job Offer Forms under (P&S/MMI with Permanent Work Restrictions) WHAT SHOULD OCCUR: cont… • If the employee disagrees, but the department believes the assignment is compatible, do the following: • Send the job description of the modified/alternative position to the appropriate health care professional for review and comment; and • When a written response is received from the health care professional, follow up with the employee again.

NOTICE OF OFFER OF MODIFIED OR ALTERNATIVE WORK For injuries occurring on or after 1/1/04DWC – AD 10133.53

FILE MAINTENANCE WITHIN THE INTERACTIVE PROCESS RTW File should include, but not be limited to: Updated Employee Profile (Mandatory); Updated Activity Log Sheet with Plan of Action (Mandatory); Complete IPM document including “Employee RTW full duty with or without restrictions”; Current medical certification

FILE MAINTENANCE WITHIN THE INTERACTIVE PROCESS cont… Return employee to U&C assignment (same position and location as originally assigned); Follow up with employee and supervisor to ensure there are no problems and document all interactions; Prepare follow up IPM letter to employee and send via certified mail; Completed offer of regular work with employee (DWC-AD 10118), if they have been off work for more than three days on an industrial injury;

FILE MAINTENANCE WITHIN THE INTERACTIVE PROCESS cont… Completed Notice of Offer of Modified/Alternative work (DWC-AD 10133.53) with employee and return the employee to modified/alternative assignment; Completed WHTAA including signatures Completed CAA including signatures All correspondence with the Employee, TPA, and Health Care Professionals.

EMPLOYEE PROFILE I/A NON I/A AND ACTIVITY LOG SHEET WITH PLAN OF ACTION

QUESTIONS???

Chief Executive Office Risk Management RETURN TO WORK Unit