Archived [2020-04-01] - Policy on Employee Assistance Program

1.1 In accordance with the Government Security Policy and the Privacy Act, departments shall have policies and procedures that safeguard client information in records or gathered in counselling sessions.

1.2 Individual client case files are required only where documentation is necessary for practitioners to carry out their EAP functions. When information is recorded, it should be kept to a minimum and it may include dates, the general nature of problems, minimal progress notes, recommended referrals and non-medical reports related to a client's work capability or limitations. Practioners should refrain from recording in an individual case file personal information relating to a third party. Individual case files shall be designated sensitive and marked as PROTECTED - EAP.

1.3 To enhance confidentiality, personal identifiers such as the client's name, title and address may be replaced with a number which is cross-referenced to a master file that contains this information separately.

1.4 At the outset of the initial interview, the practitioner shall advise the client, orally or in written format, of the confidentiality policy and its limitations.

If personal information is collected, the client is advised that it will be treated in accordance with the provisions of the Privacy Act. This includes advising clients of the following:

• the type of information that will be collected, the purpose for which the information was obtained and the length of time it will be kept in the individual case file before being destroyed;
• the right to review information contained in the file, to request corrections or to attach notes;
• the right to complain to the Privacy Commissioner about any decisions on access to personal information collected for EAP purposes, whether for delays, requested exemption, language of choice or any irregularity affecting the collection, use, disclosure, retention and disposal of this information;
• the possibility that this information may be reviewed by the Privacy Commissioner.

1.5 The practitioner cannot promise confidentiality in the following situations:

• the circumstances set out in subsection 8(2) of the Privacy Act which include court subpoenas;
• suspected cases of child abuse; or
• a threat of suicide or illegal activity.

When such information is received, the practitioner is advised to consult the departmental EAP Coordinator and legal counsel immediately, while respecting the confidentiality of the individual's identity.

1.6 Employee Assistance Program case files are a personal information bank that must conform with Privacy Act requirements on the collection, use, disclosure, retention and disposal of personal information and must be described in Info Source (Sources of Federal Employee Information).

1.7 Personal information collected by an agency providing EAP services under contract to a department is deemed to be personal information under the control of that department and is therefore subject to the Privacy Act.

1.8 When assessing or auditing their EAP, departments must protect the confidentiality of personal information.

2.1 The government Security policy and standards requires that sensitive personal information receive enhanced protection. The files must be protected by particular storage and transmittal standards in accordance with the Treasury Board Security Organization and Administration Standard, Physical Security Standard and Information Technology Security Standard.

2.2 All client case files and sensitive program information require the use of approved locked storage space and containers. Only authorized personnel have access to EAP case files.

2.3 Departments must ensure that agencies providing EAP services under contract to departments provide a level of security for EAP information equivalent to that described in paragraphs 2.1 and 2.2 above.

3.1 Personal information relating to individual case files of EAP clients is released only with the written consent of the client or where the law requires or permits the release of that information.

3.2 Written consent shall include the following:

• the name of the person or agency to whom the information is to be released;
• the specific information to be released;
• the date of consent;
• the client's signature; and
• the expiry date of the consent.

3.3 EAP practitioners should allow clients to view, to the extent possible, the information that concerns them without obliging them to present an official request in accordance with the Privacy Act. Recourse to the Privacy Act would only be required in exceptional circumstances.

Note:

Practitioners should refer to the Employee Privacy Code and their departmental procedure for guidance on employee access to the data banks listed in Info Source.

4.1 In the course of an investigation of a presumed violation of the Privacy Act, the Privacy Commissioner has access to relevant information in EAP files. Investigations carried out by the Privacy Commissioner as a result of complaints are secret and may not be discussed publicly.

4.2 The Office of the Privacy Commissioner may also conduct periodic compliance reviews of EAP case files to provide independent verification that privacy rights are being protected and to ensure that the information contained therein is collected, used, retained and disposed of in accordance with the Privacy Act.

4.3 The EAP practitioner who has custody of the files will be present during these EAP case file reviews by officers from the Office of the Privacy Commissioner.

5.1 PROTECTED-EAP case files must be retained and disposed of in accordance with schedules approved by the National Archivist and issued in General Records Disposal Schedules of the Government of Canada, PAC 86/001. Individual case files must be destroyed two years after the date of the client's most recent contact with EAP. PROTECTED - EAP case files may be destroyed earlier, with the client's consent, or at the client's request. In situations where the client or the EAP practitioner involved is leaving the department, or in the event that a contract is cancelled or not-renewed, the EAP case files may only be transferred to the new service provider with the client's consent. In other situations, EAP case files are to be destroyed.

5.2 Employee Assistance Program case files should be disposed of in an appropriate manner, which may involve burning under controlled conditions, pulping, pulverizing, shredding or another destruction method using equipment appropriate to the level of sensitivity of the information involved. The departmental information management staff provides guidance on the measures to apply.

This Code sets out the ethical attitudes expected of Employee Assistance Program (EAP) practitioners in the Public Service regardless of their formal preparation, place of work or population focus.

Respect for the dignity and rights of persons

Fundamental to the principle of respect for the dignity of persons is the belief that all persons have a right to appreciation of their innate worth as human beings.

Every EAP client must be respected regardless of race, national or ethnic origin, colour, religion, age, sex, marital status, family status, disability, conviction for which a pardon has been granted, political affiliation, social or economic status, or physical or mental capabilities or characteristics or other similar grounds.

Clients of EAP have a right to consent to matters that affect their treatment and that are within their control. Moreover, EAP is directed at decreasing the dependency of clients who seek advice and sponsoring positive personal control.

A practitioner must:

1. respect all clients regardless of their personal characteristics.

2. respect the client's right of self-determination by encouraging active involvement in decisions related to treatment and referral;

3. respect the client's right to privacy and confidentiality by collecting only personal information that is relevant and by sharing it only to the extent required for referral, with the informed consent of the client.

4. respect the client's right of informed consent by providing all the information necessary so that a reasonable person in similar circumstances would be able to make a reasoned and informed choice;

5. obtain, except in those instances where the law requires or permits the release of information*, signed consent forms from the client in all situations where the release of personal information is requested.

6. honour commitments made to the client;

7. not exploit relationships with clients to enhance the practitioner's own self-worth or position in the department, agency or community;

8. encourage respect for the dignity of others and avoid practices that are inconsistent with the legal, civil or human rights of others;

9. respect the social norms and moral attitudes of the community in which the practitioner works; and

10. respect the right of the client to discontinue participation in the program at any time.

* The Canadian social system provides for the protection of legal, civil and human rights. However, the needs and rights of others in the same social context mitigate the recognition and expression of these rights.

Practitioners must conform to the government's Conflict of Interest and Post-Employment policy.

A practitioner must:

1. remain within the scope of the program;

2. resist exploiting of the professional relationship with the client to further any social, political, economic, personal or business interest;

3. refer a client to another resource when the practitioner, for a personal reason, cannot provide service to the client;

4. inform concerned parties of possible or actual conflicts of interest;

5. initiate steps that precipitate a reasonable solution without causing undue harm to the client or the organization; and

6. remain neutral in conflicts between the client, the union, or management.

A responsible counsellor recognizes the need to make continuous efforts to upgrade and refine skills. Practitioners should acknowledge their limitations and provide services that are consistent with their skills.

A practitioner must:

1. offer services that are within his or her established competence and the program's defined parameters. When the problems of clients are beyond these limits, practitioners must refer clients to an appropriate resource;

2. seek consultation with fellow practitioners or other appropriate resources in managing cases when the practitioner encounters clients or situations that are beyond the program's parameters or the practitioner's expertise;

3. ensure that appropriate referrals are made to recognized resources;

4. continually evaluate his or her own background, experiences and values so as to assess their influence on interactions with others and attend, in accordance with departmental policies, educational programs directed at improving performance; and

5. accurately represent his or her own professional qualifications, competence and purposes of the program.

1. A response to a request for service should occur as soon as possible, preferably within one working day.

2. The first counselling session should occur within two weeks unless unforeseen circumstances arise.

3. Follow-up should be an integral part of the EAP service, usually by meeting with the client. Sometimes a letter or telephone call is appropriate.

4. The program normally offers up to three sessions for each new case.

5. Where employees are likely to be involved in critical incidents because of the nature of their work, the department must develop a procedure for initial counselling and follow-up. The same can apply to cases that involve threats of violence or suicide.

A response to a request for advisory services from managers, supervisors or unions should occur as soon as possible and, at the latest, within a week.

1. EAP training sessions for managers and supervisors should cover, at a minimum:

• the scope and limits of EAP, the confidentiality aspects, the Privacy Act provisions and the procedure for accessing the program;
• the administrative role with respect to EAP and referrals;
• the concepts and methods that allow for early detection of problems that interfere with job performance;
• constructive methods to deal with employees experiencing performance problems due to personal or behavioural problems; and
• support approaches to assist the employee.

2. Every new employee should receive a brochure, information sheet or other appropriate format containing information that describes the scope and means of accessing the EAP services.

3. The departmental program should keep all employees informed of the service, its location and how to access it.

Consistent with the program design and the organizational mandate, preventive programs should be held to educate employees about personal problems related to life style and work environment, and the possible responses. This may involve cooperation with the Public Service Health Services and the departmental safety and health committee or the safety and health representative.

Notes

As indicated in the Occupational safety and health policy, the Treasury Board has delegated the administration of the Public Service Health Program to Health Canada.

The Committees and Representatives standard encourages safety and health committees to establish and promote programs to educate employees represented by the committee.