Current model
Former model name
Research tradition
System versus individual focus
Key determinants of RTW
Biomedical
Same
Medicine
Individual
Medical impairment
Psychosocial
Psychiatric
Health and rehabilitation psychology
Individual: evolving towards integration of system-based focus
Psychosocial factors: beliefs, perceptions, and expectations re: RTW
Forensic
Insurance
Forensic psychology
Individual: evolving towards recognition of system factors
Secondary gain: evolving into interaction among primary, secondary, and tertiary gains and losses
Ecological/case management
Labor relations
Sociology; anthropology; social, organizational, occupational health psychology; occupational health/therapy
System/system–individual interaction
Proactive system-based RTW policies and practices
Ergonomic
N/A
Kinesiology, psychology, engineering, occupational and physical therapy, medicine
Individual/system interaction
Adaptation after injury
Economic
N/A
Health economics
System
Economic incentives built into the macrosystem
Biopsychosocial
Same
Interdisciplinary/transdisciplinary
System and individual interaction
The interaction among medical, psychosocial, and system-based factors in RTW
Of course, at the outset, one needs to develop an operational definition of RTW. Even though much research has centered on RTW in the field of occupational disability, a clear definition of RTW still remains elusive (Young et al., 2005). Several investigators have tried to identify a broadly accepted operational definition of RTW, but differences still remain in how investigators understand and operationalize the terms “disability” and “RTW.” For example, occupational or work disability has been operationally defined as time off of work, reduced productivity, or working with functional limitations as a result (outcome) of either traumatic or nontraumatic clinical conditions. As such, the term “return to work” has been utilized as both a process and an outcome measure (Schultz et al., 2007). Specifically, RTW has been conceptualized as a process or measureable outcome of an injured worker, either returning or not returning to work, or incurring repeated work absences (Baldwin, Johnson, & Butler, 1996; Krause, Dasinger, Deegan, Rudolph, & Brand, 2001). Yet, a conclusive and comprehensive definition of RTW is still much needed today. Nevertheless, we will proceed with a review of the various models of RTW that have been proposed.
Current Models of RTW
Biomedical and Forensic Models
Currently, the biomedical model remains the most predominant framework for many researchers and professionals in clinical sciences and healthcare (Leibowitz, 1991; Schultz, Crook, Fraser, & Joy, 2000; Schultz et al., 2007; Turk, 1996). However, its use has been declining, mainly because it is no longer thought of as a complete or accurate conceptual framework due to the recognition of many nonmedical factors that impact disability (e.g., psychosocial factors, environmental influences, Cocchiarella & Andersoon, 2001; Cocchiarella, Turk, & Andersson, 2000; Hunt et al., 2002; Kelly & Field, 1994; Robinson, Turk, & Loeser, 2004; Schultz et al., 2000; Stowell & McGeary, 2005). Within the context of occupational disability, the biomedical and forensic models evolved. The biomedical model primarily involves two individuals [the patient (injured worker) and the treating physician], and the decision to RTW is mainly based upon the evaluation done by the physician, the treatment, and any recommendations involving the injury (Pransky, Shaw, Franche, & Clarke, 2004; Schultz et al., 2000). The forensic model (formerly known as the “insurance model”; Schultz et al., 2007) mimics the psychosocial approach (Hadjistavropoulos & Bieling, 2001; Sherman & Ohrback, 2006) by integrating cognitions and motivations, in the context of compensation-related factors arising from interactions between the injured worker and the disability benefit system. Finally, the biomedical model relies heavily on the quest for objective findings of impairment, whereas the forensic model attempts to explain the motivations that may influence the worker’s RTW decision. One commonality between the two models is that they both primarily rely on an individual focus on the patient (Schultz et al., 2007). Both models, however, do not apply well to those individuals with complex chronic pain conditions. Table 24.2 provides a summary of the features of the biomedical and forensic models.
Table 24.2
Comparison of the biomedical model and the forensic model
Biomedical model | Forensic model | |
---|---|---|
Main tenets | • Pathology and illness | • Anticipation of secondary gain can lead to dishonesty about symptomatology |
• Symptoms and disability are directly proportionate to physical pathology | • Objective proof of impairment and disability must be provided | |
• Mind and body are separate | • It is paramount to clearly discriminate between “honest” and “dishonest” clients | |
• Physicians in control of diagnosis and treatment direction | • Interactions among primary, secondary, and tertiary gains and losses should be considered | |
Underlying values | • Scientific evidence and objectivity | • Scientific truth |
• Protection of the system from abuse and dishonesty | ||
• Cost-effectiveness | ||
Implications for diagnosis | • Focus on uncovering organic pathology | • Thorough and exhaustive assessment using special forensic methods aimed at detection of inconsistencies and deception |
• Sequential diagnostic approach | ||
• Utilization of interdisciplinary model | ||
• Individuals showing inconsistencies in testing identified as “illegitimate,” “malingerers,” “symptom magnifiers,” and/or motivated by secondary gain | ||
• Adversarial service climate | ||
Implications for treatment | • Cure-oriented versus coping-oriented | • “Honest” clients may receive a wide array of treatment options |
• Need to relate physical treatment to underlying pathology | • “Dishonest” clients receive no treatment | |
• Focus on physical treatment modalities | ||
Implications for compensation | • Compensation for impairments with clearly identified medical causes | • Compensation for “honest” clients only |
• Lack of specific built-in financial incentives for coping | • Appears an attractive option due to simplicity | |
• Long-term costs due to chronicity in incorrectly identified clients | ||
• Multiple systemic safeguards necessary to detect malingering may cause service inefficiencies |
Ecological/Case Management and the Economic Models
The primary focus of ecological and economic models is taken from the viewpoint of the stakeholder, where the decision and determinants of RTW are conceptualized as reflective of a complex multisystem interaction among the workplace, disability payers, insurance carriers, and healthcare utilization professionals (Schultz et al., 2007). One noted strength of these models is their complex and multidimensional nature. However, these models do require more construct validity investigation and further development in order to understand the key contributions of the system components and their interactions (Schultz et al., 2007). To date, this goal has not been accomplished. The models, though, do differ in terms of their basic foundations. While the ecological/case management model is founded on a whole host of disciplines, including anthropology, health psychology, industrial/organizational psychology, nursing, occupational health and therapy, sociology, and social work, the economic model is tightly tied to the field of economics (Schultz et al., 2007). In addition, the ecological/case management model is focused on the role of systems and the impact of systems on the individual. Most of the input coming from Bronfenbrenner’s systems theory (Bronfenbrenner, 1979), involving the interaction of microsystems, mesosystems, and macrosystems (Baril & Berthelette, 2000; Friesen, Yassi, & Cooper, 2001; Krause & Ragland, 1994; Loisel et al., 2005; Loisel, Durand, et al., 2001), is incorporated in this ecological/case management model. Loisel et al., (2001, 2005) has presented and also empirically validated the most up-to-date ecological/case management model of RTW. Loisel’s conceptual model of RTW and secondary prevention is illustrated in Fig. 24.1. This model emphasizes that the most important stakeholders are the workplace, healthcare system, and compensation system, and the actions and attitudes of these stakeholders are crucial in conceptualizing RTW. The economic model focuses mainly on macrosystem factors (Baldwin & Johnson, 1995; Baldwin et al., 1996; Butler, Johnson, & Baldwin, 1995; Chirikos & Nestel, 1984; Johnson & Baldwin, 1993). Table 24.3 summarizes the key features of this model.
Table 24.3
Comparison of the ecological/case management model and the economic model
Ecological/case management model | Economic model | |
---|---|---|
Main tenets | • Occupational disability (previous injury) should be understood in a systemic context considering the interplay among the macrosystem, mesosystem, and microsystem (the individual) | • Macrosystem of economic forces plays a predominant role in disability |
• Occupational disability has multiple societal stakeholders, including employer, healthcare, insurance system, and family; each of the stakeholders has different disability paradigms and anticipated RTW outcomes | • Focus on labor force participation, economic incentives, shifts in labor demand, the effects of discrimination, and the long-term economic impact of injury | |
• Work injury is understood and managed within the sociopolitical context of the workplace | • Disability periods are not simple episodes, but are recurrent, and these patterns are predictors of future disability | |
• The needs of the workers and the employers can be complementary | • Longitudinal approach | |
• System-based responsibility for outcomes | ||
• Workplace characteristics significantly influence injury sequelae/recovery and rehabilitation | ||
• Employer has a critical role in RTW and needs incentives to assist injured workers. System changes necessary to accommodate RTW needs of injured worker | ||
• Multidisciplinary approach | ||
• Proactive and disability prevention focused | ||
• Early intervention in the workplace | ||
• Service recipient seen as microsystem | ||
Underlying values | • Integration of prevention, rehabilitation, and RTW | • Improvement of macrosystem |
• Harmonious multisystem relationships | ||
• Protection of injured worker from exploitation | ||
• Cost containment | ||
Implications for diagnosis | • Assessment of the impact of macrosystems, mesosystems, and multisystem interactions on RTW | • Individual clinical diagnosis is of secondary importance |
• Define outcome according to the stakeholder | • The identification of longitudinal patterns of disability in a macrosystem is of key importance | |
• Focus on the assessment of functional work capacity, preferably “in vivo” | ||
• Analyze the impact of work characteristics and workplace barriers and facilitator on RTW | ||
• Identification of early risk markers for occupational disability (flagging) | ||
• Importance of correct clinical diagnosis (label) is secondary | ||
Implications for treatment | • Disability management in the workplace | • Effective treatment is expected to impact disability |
• Treatment integrated with RTW process | • RTW patterns over time, not a single episode | |
• Work conceptualized as therapy | • Cost-offset data on RTW interventions are important | |
• Work return transition programs and job accommodation | ||
• Integrated case management approach | ||
Implications for compensation | • Reduction in long-term disability costs | • Can account for multiple economic factors that impact long-term RTW among injured workers |
• Costs partly shifted to the specific accident employer | • Able to identify and quantify the macrosystem inputs to work disability instantly and over time | |
• Cost reduction due to improved system-based identification and intervention targeting multiple economic factors in RTW over time |
Ergonomic Model
The ergonomic perspective of disability focuses on understanding the interactions among humans and other elements of a system and then applying these principles and methods to optimize human well-being (International Ergonomics Association, 2012). While the field of ergonomics covers three distinct disciplines (physical, cognitive, and organizational) in the context of disability, this section will focus on the physical and cognitive aspects of the model. Table 24.4 summarizes the major features of this model.
Table 24.4
Summary of the ergonomic model
Ergonomic model | |
---|---|
Main tenets | • Adaptation |
• Prevention | |
• Identify workplace risk factors | |
Underlying values | • Injury prevention |
• Outcome = return to work | |
Implications for diagnosis | • Multidimensional/interdisciplinary diagnosis |
• Identifying prevention strategies in order to lower costs | |
Implications for treatment | • Injury prevention and adaptation are important |
• Worker and system are co-responsible for RTW outcome | |
Implications for compensation | • Improved rehabilitation, lower costs |
Evolution and Conceptualization of Occupational Disability/RTW and Determinants of RTW
The primary and more traditional focus of this model centers around the interaction among the disabled worker, other elements in his/her system, and injury prevention (Leyshon & Shaw, 2008). From this viewpoint, whether or not an individual is able to RTW is an outcome based on adaptations made in the workplace. This ranges from adaptations of job tasks to adaptation of working hours (Stewart et al., 2012). Often, ergonomics have been split into two camps: macroergonomics and microergonomics. Macroergonomics deal with the large scale, more global approach, which addresses policies, attitudes, and processes (Hendrick, 2003; Leyshon & Shaw, 2008). Macroergonomics can be applied at both the company and governmental levels (Leyshon & Shaw, 2008). On the other hand, microergonomics are more often than not what people think of when they think of ergonomics: mainly referring to worker-specific interventions and/or the worker and machine interface (Leyshon & Shaw, 2008). Microergonomics can, therefore, be applied to the worker or machine themselves, and common examples of this are the adapted computer keyboard or ergonomic desk chair, both designed to reduce and/or prevent injury (Leyshon & Shaw, 2008).
Importantly, ergonomics is a multidisciplinary field that encompasses professionals with various backgrounds, including kinesiology, psychology, engineering, occupational and physical therapy, and medicine. Three main disciplines in ergonomics have emerged: physical, cognitive, and organizational; and ergonomists often describe themselves in one of those three categories.
Individual Versus System Focus
The ergonomic model of RTW is based on the interaction between the individual and the system. More recent contributions to the model have moved away from the traditional ergonomic approach, to one called a “participatory ergonomic” approach (Anema et al., 2003). Participatory ergonomics involve active participation and a strong commitment from both the employee and employer in order to identify workplace risk factors and interventions to prevent long-term disability (Anema et al., 2003).
Examples of Ergonomic Models
There is increasing evidence that ergonomic interventions may be useful in preventing musculoskeletal disorders among workers and reducing injury rates (Anema et al., 2003, 2004; De Jong & Vink, 2000; Droeze & Johnson, 2005; Halpern & Dawson, 1997; Haslam, 2002; Hendrick, 2003; Jack, 2005; Ketola et al., 2002; Koningsveld, Dul, Van Rhijn, & Vink, 2005; Kuorinka et al., 1994; Leyshon & Shaw, 2008; Marcal & Mazzoni, 1998; McCluskey, Burton, & Main, 2006; Pohjonen, Punakallio, & Louhevaara, 1998; Vedder & Carey, 2005; Vink et al., 1995, 1997; Wickstrom, Hyytiainen, Laine, Pentti, & Selonen, 1993; Wilson, 1995). The use of ergonomic interventions in long-term disability prevention, or in improving actual RTW outcomes, has not been as prevalent. Less evidence exists in the literature concerning the use of ergonomics for injured workers’ rehabilitation and RTW strategies (Leyshon & Shaw, 2008). However, there is emerging empirical evidence suggesting that ergonomic interventions may be effective for workers’ RTW outcomes (Anema et al., 2004; Baldwin et al., 1996; Habeck, Hunt, & Van Tol, 1998; Loisel, Gosselin, et al., 2001). More research is needed using the ergonomic model and examining RTW outcomes.
Psychosocial Model
Currently, the focus of the earlier psychiatric perspective of disability, which centered primarily on psychopathology, has evolved into a broader psychosocial adaptation perspective (Schultz et al., 2007). According to the psychological/psychiatric perspective, RTW is considered a behavior, associated with sets of respective cognitions and affect. Additionally, in this model, occupational disability is no longer viewed as an individual attribute, but as a product of the interaction between the worker’s immediate social environment and other societal institutions (Baril & Berthelette, 2000; Olkin & Pledger, 2003; Schultz & Gatchel, 2005; Tate & Pledger, 2003). The concepts of expectations of outcome and efficacy in predicting an individual’s ability to achieve a desirable outcome, such as RTW, have been gaining empirical research support (Cole, Mondloch, & Group, 2002; Sandstrom & Esbjornsson, 1986; Schultz et al., 2004; Turner et al., 2006). This perspective suggests that Bandura’s social learning theory (Bandura, 1977, 1986) may still hold significant conceptual promise, this time in the RTW context. Some of the mechanisms underlying disability in this model focus on beliefs, expectations, perceptions, locus of control, self-efficacy, and coping skills of the individual (Burton, Tilloston, Main, & Hollis, 1995; Haldorsen, Indahl, & Ursin, 1998; Jensen, Romano, Turner, Good, & Wald, 1999; Linton, 2000; Turk & Gatchel, 2000). Recent work with this model has included not only the role of the individual’s cognitive-behavioral attributes but also psychosocial factors of systems including the workplace, unions, healthcare, and disability insurers (Franche, Baril, Shaw, Nicholas, & Loisel, 2005; Schultz et al., 2007; Stowell & McGeary, 2005; Sullivan, Feuerstein, Gatchel, Linton, & Pransky, 2005). Table 24.5 provides a summary of the features of this model.
Table 24.5
Summary of the psychosocial model
Psychosocial model | |
---|---|
Main tenets | • Psychosocial factors play predominant role in disability and readiness to RTW |
• Psychosocial factors are both individual-related and system-related | |
• Perceptions, beliefs, and expectations of recovery and disability, self-efficacy, and ways of coping are more important than objective factors in disability formation | |
• Motivational factors mediate between impairment and disability | |
Underlying values | • Scientific evidence |
• Comprehension of disability drivers | |
Implications for diagnosis | • Psychosocial factors must be assessed and identified at any stage of disability |
• Beliefs about disability need to be investigated | |
• Stage of readiness for RTW including self-efficacy and decisional balance should be identified | |
• Psychological diagnosis is of secondary importance | |
Implications for treatment | • Modifiable psychosocial factors must be targeted in treatment on a priority basis |
• Psychological treatment of choice: cognitive-behavioral interventions | |
• Prevention targeting psychosocial factors can be undertaken in the interdisciplinary intervention context, not only in psychological therapy context | |
Implications for compensation | • Psychological factors must be accounted for in treatment even if they are non-compensable |
• Expedited RTW, possible increase in benefits |
Other Psychosocial Factors to Consider
The Role of Perceived Uncertainty in RTW
Research has shown that many psychosocial factors influence expectations for RTW and expectations of health outcomes in musculoskeletal pain disorders constitute the most powerful predictor of disability and RTW (e.g., Schultz et al., 2002, 2004). While expectations have been shown to influence medical outcomes and prejudice interpretations (Halligan, 2006), there is emerging empirical evidence supporting the notion that expectations may play a key role in the RTW process (Sampere et al., 2012; Stewart et al., 2012). In addition, it has been shown that expectations can hinder recovery (Burton, Waddell, & Main, 2006). Much of the literature has focused on the biomedical or forensic models of RTW, without taking into consideration either the problems inherent to the process per se or other factors that may play a role (Stewart et al., 2012).
More recently, Stewart et al. (2012) used a grounded theory approach and biopsychosocial framework to identify a new and important factor that plays a key role in RTW expectations and outcomes—perceived uncertainty. Based on emerging qualitative research evidence, the investigators defined perceived uncertainty as “an awareness of not knowing what will happen in relation to health, work and life in general” (Stewart et al., 2012, p. 7), and it can consist of “anxiety, despair, and confusion, or hope and opportunity” (Stewart et al., 2012, p. 11). Perceived uncertainty is the overarching construct, composed of five interrelated sub-constructs: (1) perceived lack of control over the RTW process, (2) perceived lack of recognition by others of the impact of the injury on the worker, (3) perceived inability to perform pre-injury job(s), (4) perceived lack of workplace accommodation, and (5) fear of movement/(re)injury. Some of the key elements of the construct of perceived uncertainty are as follows: (1) the ability of each element to interact with the other; (2) in regard to the biopsychosocial model, each sub-construct can be individually influenced; and (3) perceived uncertainty in one sub-construct may lead to increased perceived uncertainty in another sub-construct (Stewart et al., 2012).
Stewart et al. (2012) found that most patients, who had back pain and had been off work between 3 and 6 months, were reluctant to articulate expectations of RTW because they were uncertain about the process and were uncertain they would be able to return to pre-injury work status. These findings provide empirical support for the role of perceived uncertainty in the RTW process. Sampere et al. (2012) also provide further support that RTW expectations are an important factor in the RTW process for workers on long-term nonwork-related sick leave. In addition, Tjulin, MacEachen, and Ekberg (2010) found that uncertainty plays a role in the workplace in terms of how coworkers of the injured individual act during the RTW process. Future research may be aimed at examining the interaction among the sub-constructs of perceived uncertainty, how they influence expectations of RTW, and how they play a role in the workplace among coworkers. Table 24.6 lists the categories, properties, dimensions, and examples of the core concepts of perceived uncertainty. Figure 24.2 represents the relationship of perceived uncertainty to the formation of expectations of RTW.
Table 24.6
Categories, properties, and dimensions of perceived uncertainty in the formation of expectations of return to work for injured workers with subacute back pain