Standards for private organizations

2020 Edition

Employee Assistance Program Services (EAP) 7: Record-Keeping

Records are maintained in accordance with the EAP’s policy.
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
  • Record-keeping policy
  • Record-keeping procedures
No On-Site Evidence
  • Interviews may include:
    1. Program director
    2. Relevant personnel
  • Review client records

 

EAP 7.01

A separate and distinct EAP record is maintained for each client that is never part of or stored with any other client related record.
Examples: Other client related records may include managed care, personnel, medical records, or records of other services provided that are outside of the EAP's scope.

 

EAP 7.02

EAP record-keeping practices are based upon an established definition of “client” and address the following:
  1. when a new client record is to be created;
  2. separation of client record contents when services are provided to individuals, couples, minors, and families; and
  3. disclosure protocols when the client record includes services provided to individuals, couples, minors, and families.

 

EAP 7.03

EAP policy establishes ownership of client records.