This webinar will review documentation best practices for EAP providers. The webinar will pay special attention to EAPA Standards and Guidelines for program records. We will also review protocols for preserving confidentiality and discuss processes for releasing information with and without consent. The webinar will present the challenges of documenting electronic communications in EAP services and provide strategies to overcome these challenges. Learning objectives: 1. Understanding documentation and records management, including electronic documents. 2. Understanding EAPA Standards and Guidelines for program records. 3. Understanding and communicating protocols for confidentiality and release of information. For additional handouts please email the author chris at hylton dot ca

1. PRESENTED BY
CHRIS HYLTON, MA
EAPA WEBINAR
MAY 10, 2016
EAP Documentation:
Tips for Successful Best Practices

2. Description of Webinar
2
This webinar will review documentation best practices for EAP
providers and pay special attention to EAPA Standards. We will also
review protocols for preserving confidentiality and discuss processes
for releasing information with and without consent. The webinar will
present the challenges of documenting electronic communications in
EAP services and provide strategies to overcome these challenges.
Learning objectives:
 Understanding documentation and records management, including
electronic documents.
 Understanding EAPA Standards and Guidelines for program
records.
 Understanding and communicating protocols for confidentiality and
release of information.

3. Introduction
3
Background:
 Effective processes for documentation and records management have
evolved dramatically over the past few decades thanks to the proliferation
of technology in the workplace. In this age where so much communication
happens electronically, EAP practitioners need to know how to document
and manage both traditional paper files and electronic files. This webinar
will give you the tools you need to meet EAPA standards for record keeping
and ideas on how to effectively manage documentation. We will also
discuss how records management processes can be designed to maintain
privacy and exceptions to maintaining confidentiality.
Polling questions:
 Are any of the webinar attendees currently using electronic communication
to deliver services? If so, what are some of the challenges you have faced
while transitioning to online service delivery?
 Do you think EAP service documentation will ever be captured exclusively
electronically? What, if any, might some of the challenges be with this type
of records management?

4. About our Speaker
4
 Chris Hylton runs an EAP serving Canadian
employers, and US EAPs for their Canadian
population.
 He is also a benefits and HR consultant.
 A frequent speaker at EAPA and EASNA events,
Chris brings a unique multi-disciplinary perspective
to the EAP field.
 Chris has seen the value of EAP first hand and is one
of the field’s strongest advocates.

5. Disclaimer
5
The information presented to you today is considered
to be general best practices only. The information is
not intended to provide legal counsel or legal advice.

6. Did you know?
6
A dog’s sense of smell is said to be a thousand times
more sensitive than that of humans! They can smell
one week’s history with their incredible noses.

7. Learning Objectives
 Understanding documentation and record
management
 EAPA Standards and Guidelines
 How to manage electronic documents
 Protocols for preserving confidentiality and
releasing information
7

8. Expectations have changed
8
Image obtained from www.processexcellencenetwork.com

9. 9
Documentation is King!

10. Definition of Document
10
 Any piece of written, printed, or electronic matter
that provides evidence or that serves as an official
record
 Forms
 Letters
 Transcriptions
 Emails
 Website content
 Instant messaging
 Social media posts

11. File Management vs. Record Management
11
 File management is a series of tools, procedures, and
policies designed to organize and file documents so
information can be easily located and retrieved when
required
 Organizations have more
flexibility with file management
systems than record management
protocols

12. File Management vs. Record Management
12
 Record management involves identifying, classifying,
prioritizing, storing, securing, archiving, preserving,
tracking, and destroying records
 Records must be created and received in compliance
with legal obligations
 This can include tangible documents like a driver’s license or
digital information such as data, website content, and
electronic mail
Source: http://en.wikipedia.org/wiki/Records_management

13. Internal Records Management
13
 Requires a dedicated staff member or department,
depending on the size of the organization
 Standardized across the organization with one point of
contact who can easily obtain requested records
 Abide by clear and well documented records
management policies
 Can be a combination of physical and digital records
management
 Be able to meet all applicable audit standards
 Should be audited on a regular basis
 Practices, systems, technologies, and facilities

14. Why Documentation Matters
14
 Creates an objective historical document
 Can help to create and implement new policies and
procedures
 Provides objective evidence of services provided to
the organization and clients

15. Why Documentation Matters
15
 Provides accurate records to assist with metrics,
certifications, and audits
 Helps to protect the service provider in the event of
an accusation of negligence or malpractice
 Helps to protect against accusations of professional
misconduct

16. This is not the way to do it!
16
Image: http://www.patrina.com/wp-content/uploads/2012/08/data-compliance-carl-cartoon.jpg

17. 17
EAPA Standards and Guidelines

18. EA Program Records
18
 All EA program records should comply with EAPA
Standards and Professional Guidelines
 All EA Programs should comply with the EAPA
Standard for Record Keeping
 The EA program should create and maintain client records
that are consistent with the employee assistance program
service delivery system, organization policies, program
procedures, and applicable legal requirements
 There may be variance based on the laws and requirements in
different geographical areas

19. EAPA Standard for Record Keeping
19
1. The EAP must maintain retrievable documentation
of all direct services and recommendations.
2. EAP records must be maintained in accordance
with all applicable laws and regulations.
3. EAP records must be maintained for the minimum
period of time required by law or organization
policy.

20. EAPA Standard for Record Keeping
20
4. The storage, transfer and destruction of records must
be handled in a manner to assure confidentiality.
5. Every effort must be made by the EAP to prevent the
involvement of EAP records in arbitration, litigation, or
any other dispute. EAPs are not in place to help solve
workplace disputes!
6. EAP client records must be kept in a secure location
and be available only to authorized EAP personnel.
Client records and rooms where client records are
stored must be locked, and computerized records must
be maintained in a secure environment and separated
from other data systems and all other records.

21. EAPA Standard for Record Keeping
21
7. The EAP must make every effort to assure the
confidentiality of information sent by mail, fax,
modem, E-mail, or other electronic communication
technology. A limit of disclosure statement must
be included in all communications.
8. Ownership of EAP records must be clearly
delineated through policy or contract language.
9. The content of EAP records must be consistent
with the scope of the service delivery system.

22. 22
Electronic Documents
Image from http://www.triplefin.com/technology

23. Types of Electronic Documents
23
 Emails
 Text messages
 Instant messages
 Social media
Image from https://www.koernercpa.com/portals/0/images/electronic-documents.png

24. Every document matters!
24

25. Email
25
 Print email correspondence and place in paper file
 Import emails into Customer Relationship
Management programs
 Emails should be added to files at regular intervals
 Check with your organization about their email management
standards and guidelines

26. Text Messages
26
 Texting with clients and co-workers should only be
done from a work issued phone and should be
limited to work related matters
 Texts should be printed and placed in the
appropriate file, then deleted
 Texts can be transcribed and placed in the
appropriate file, then deleted
 Complete text exactly as it was received
 Time and date text was received
 Phone number the text was sent from

27. Instant Messages
27
 Instant messaging with clients and co-workers
should only be done from work approved
programs/apps and should be limited to work
related matters
 Instant messages can be printed and placed in the
appropriate file, then deleted
 Instant messages can be imported into Customer
Relationship Management programs

28. Social Media
28
 Interaction on social media should be limited to
general information sharing designed to enhance
knowledge of services available and how to access
them
Image from http://www.artsalliance.com/wp-content/uploads/2015/02/social-media.jpg

29. 29
Document Confidentiality
and Release of Information

30. Privacy is Paramount
30
Image from http://web.jhu.edu/sebin/b/b/data-recovery-confidential.jpg

31. Potential Exceptions
31
 Provincial or State mandated reporting
 Legal subpoena
 Labor agreements
 Danger to self or others
 Company policies
 Drug testing regulations

32. Keeping Records Confidential
32
 Limited access
 Records should be kept in a secured location
 Trackable access
 There should be a written record of who has access to the documents
 Written consent
 Some information can be shared with the employer upon receipt of
written consent from the employee
 Professional due diligence

33. Keeping Electronic Records Confidential
33
 Encryption
 Back up systems
 Password
protection
 Firewalls
 Virus Protection
 Hardware
 Software
 Third-party services

34. Release of Information
34
 As required, information from an individual case file
is released only after the client has provided written
consent
 Written consent is not required in instances where
the law permits the release of information from the
file

35. Written Consent
35
 Name of agency or individual to whom the information is
being released
 A summary of the specific information being released
 Date the consent became
effective
 The date the consent expires
 The client’s signature

36. Hope this has helped!
36

37. 37
Questions?

38. THANK YOU!
38
Thank you for the opportunity to
present to you today!

39. Contact us
39
#517-7620 Elbow Drive SW
Calgary, AB T2V 1K2
403-264-5288 www.hylton.ca
800-449-5866 chris@hylton.ca

40. Let’s get social!
40
Facebook facebook.com/pages/cghylton
Twitter @HyltonYYC
Google + plus.google.com/u/0/109237546846077340442/posts
YouTube youtube.com/user/CGHylton
LinkedIn ca.linkedin.com/in/cghylton