Transcript
PRESENTED BY CHRIS HYLTON, MA
EAPA WEBINARMAY 10, 2016
EAP Documentation: Tips for Successful Best Practices
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Description of Webinar
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.
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Introduction
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?
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About our Speaker
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.
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Disclaimer
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.
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Did you know?
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.
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Learning Objectives
Understanding documentation and record management
EAPA Standards and Guidelines
How to manage electronic documents
Protocols for preserving confidentiality and releasing information
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Expectations have changed
Image obtained from www.processexcellencenetwork.com
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Documentation is King!
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Definition of Document
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
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File Management vs. Record Management
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
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File Management vs. Record Management
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
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Internal Records Management
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 standardsShould be audited on a regular basis
Practices, systems, technologies, and facilities
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Why Documentation Matters
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
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Why Documentation Matters
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
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This is not the way to do it!
Image: http://www.patrina.com/wp-content/uploads/2012/08/data-compliance-carl-cartoon.jpg
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EAPA Standards and Guidelines
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EA Program Records
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
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EAPA Standard for Record Keeping
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.
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EAPA Standard for Record Keeping
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.
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EAPA Standard for Record Keeping
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.
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Electronic Documents
Image from http://www.triplefin.com/technology
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Types of Electronic Documents
Emails
Text messages
Instant messages
Social media
Image from https://www.koernercpa.com/portals/0/images/electronic-documents.png
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Every document matters!
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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
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Text Messages
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
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Instant Messages
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
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Social Media
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
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Document Confidentiality and Release of Information
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Privacy is Paramount
Image from http://web.jhu.edu/sebin/b/b/data-recovery-confidential.jpg
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Potential Exceptions
Provincial or State mandated reporting
Legal subpoena
Labor agreements
Danger to self or others
Company policies
Drug testing regulations
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Keeping Records Confidential
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
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Keeping Electronic Records Confidential
EncryptionBack up systemsPassword
protectionFirewallsVirus ProtectionHardwareSoftwareThird-party services
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Release of Information
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
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Written Consent
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
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Hope this has helped!
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Questions?
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THANK YOU!
Thank you for the opportunity to present to you today!
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Contact us
#517-7620 Elbow Drive SWCalgary, AB T2V 1K2
403-264-5288 www.hylton.ca800-449-5866 chris@hylton.ca
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