Standards for private organizations

2020 Edition

Employee Assistance Program Services (EAP) 5: Program Implementation and Contract Management

The organization’s needs and contractual obligations determine the EAP services provided and the content of service utilization reports.
2020 Edition

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Purpose

Employee Assistance Programs help organizations achieve business health and productivity goals, and support individuals working to maintain or improve their productivity, functioning, and pro-social behavior, as well as remain at or return to the workplace.
1
All elements or requirements outlined in the standard are evident in practice, as indicated by full implementation of the practices outlined in the Practice Standards.
2
Practices are basically sound but there is room for improvement, as noted in the ratings for the Practice Standards; e.g.,
  • Minor inconsistencies and not yet fully developed practices are noted; however, these do not significantly impact service quality; or
  • Procedures need strengthening; or
  • With few exceptions, procedures are understood by staff and are being used; or
  • For the most part, established timeframes are met; or
  • Proper documentation is the norm and any issues with individual staff members are being addressed through performance evaluations and training; or
  • Active client participation occurs to a considerable extent.
3
Practice requires significant improvement, as noted in the ratings for the Practice Standards. Service quality or program functioning may be compromised; e.g.,
  • Procedures and/or case record documentation need significant strengthening; or
  • Procedures are not well-understood or used appropriately; or
  • Timeframes are often missed; or
  • Several client records are missing important information; or
  • Client participation is inconsistent. 
4
Implementation of the standard is minimal or there is no evidence of implementation at all, as noted in the ratings for the Practice Standards; e.g.,
  • No written procedures, or procedures are clearly inadequate or not being used; or 
  • Documentation is routinely incomplete and/or missing.      
Self-Study EvidenceOn-Site EvidenceOn-Site Activities
No Self-Study Evidence
  • Implementation plan(s)
  • Contract(s) with the organization
  • Interviews may include:
    1. Parent company President/CEO or his/her designee
    2. Program director

 

EAP 5.01

The EAP develops an implementation plan based on information gathered in collaboration with the organization to facilitate program design that identifies:
  1. tasks and responsibilities for the EAP and the organization; and 
  2. the timeline for completion.
Examples: Examples of information that may be gathered to develop an implementation plan include, as applicable:
  1. a confidential survey of individual and management representatives to identify key problem areas;
  2. employee profiles and demographics;
  3. employee absenteeism rates;
  4. employee turnover rates;
  5. accidental injuries;
  6. health insurance costs;
  7. worker’s compensation claims;
  8. previous EAP utilization information; 
  9. transition planning for continuity of care for existing high risk cases and those requiring ongoing case management;
  10. regulatory and legislative requirements applicable to the customer organization;
  11. history of disability insurance claims for mental health and/or addictions; and
  12. descriptions and utilization figures for other relevant workplace programs at the customer organization, such as work-life, wellness, occupational medicine, and disease management programs, as applicable.

 

EAP 5.02

The implementation plan includes mechanisms for promotional and employee communications.
Examples: Examples of communications include, but are not limited to, the following:
  1. printed communications;
  2. company website;
  3. referral resource database;
  4. listservs, discussion groups, chat rooms, instant messenger, and other electronic communication tools;
  5. training of supervisors, key management, and union representatives;
  6. employee orientation;
  7. coordinating branding for integration of EAP with other relevant programs such as work/life and wellness (e.g., to address the use of a combined or common web portal for multiple programs); and
  8. other promotional and educational activities.

 

EAP 5.03

Prior to initiating a contract, and at renewal, the EAP and host or customer organization address the following operational practices and definitions for reporting practices:
  1. how a case for individual services is defined (i.e., criteria for case open and case closed);
  2. how a “new” client is defined (i.e., a client is a person who can potentially have multiple case episodes of services);
  3. the amount (for example, number of hours) of clinical and account management time projected per defined period;
  4. the outcomes and metrics to be used in evaluating EAP service delivery;
  5. the evidence required to assess if service performance standards are being met;
  6. the methodology used to measure service user satisfaction and outcomes; 
  7. the measurement process for assessing outcomes for cases after using the service (i.e., level of satisfaction with the service; level of overall improvement, level of change in work performance/productivity; level of work performance in absenteeism); 
  8. how the utilization of individual services are counted and calculated (for use of services provided by the counselors);
  9. how the utilization of other non-clinical individual services are counted and calculated (for use of services provided by the EAP for financial assistance, legal assistance, work-life services, etc.);
  10. how the utilization of management consultation and other organizational level services are counted and calculated (i.e., counseling meetings with supervisors alone and with groups of supervisors and workers, on-site support after a traumatic event or crisis, support for organizational changes, etc.); 
  11. how the utilization of Internet and website EAP services are counted and calculated (i.e., for general information, for educational resources, webinars, affiliate counselor search tools, educational resources downloaded, assessment tools completed, etc.); and
  12. the format and frequency of reports.

Interpretation

The standard requires the EAP to designate the numerator and denominator for purposes of utilization as addressed in each of the utilization rates provided by the company (h, i, j, k, and l from above). For example: The Counselor Case Rate for h (see above) is calculated by dividing the total number of counselor cases (including both employees and family/dependents) by the population count of the total number of covered employees and then multiplying this figure by 100. Training to supervisors and other units are not acceptable factors to be addressed in utilization.

 

EAP 5.04

The EAP abides by formal contractual agreements and stipulates in writing:
  1. a designated account manager;
  2. objectives for the contract;
  3. services to be provided and by whom;
  4. financial terms;
  5. facility, equipment, and staff resources required;
  6. projected utilization rates;
  7. mutual indemnification, when appropriate; and
  8. roles and responsibilities of the EAP and customer organization.
NA The organization is an internal EAP only.

 

EAP 5.05

The EAP and customer organization determine the components of data reporting.
Examples: For example, the EAP may provide information such as:
  1. the number of new cases opened;
  2. types of services requested;
  3. number of sessions provided for counseling services;
  4. number of educational trainings or associated participants;
  5. website usage;
  6. the number of client and/or supervisory consultations;
  7. the number of management consultations;
  8. the number of other services to the organization (e.g., crisis response events); 
  9. the number of other administrative activities; 
  10. the standardized level of utilization for individual cases who received counseling from the EAP;
  11. the standardized level of utilization for non-clinical services from the EAP;
  12. the standardized level of utilization for management consultations and other organizational services;
  13. the standardized level of utilization for trainings and other educational services;
  14. the standardized level of utilization for the Internet and web-related services; and
  15. other utilization trends, observations, and recommendations identified.

 

EAP 5.06

The EAP maintains up-to-date information on each host or customer organization’s demographics, business, and covered EAP benefits.
Examples: Examples of information maintained may include, but are not limited to, employee locations; available health coverage, including mental health benefits; products or services provided by the customer organization; and whether it is a unionized or non-unionized setting.