Effective Date: September 11, 2019
Expiration Date: May 13, 2021
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5.1.1 All Centers shall ensure that Federal employees and their immediate families are provided assistance with confidential, short-term psychological assessment and referral, and short-term resolution of issues related to work and family life that may affect employee health and well-being, the safety of the employee and co-workers, or job performance, attendance, and productivity. 5 U.S.C. 7901, Health Service Programs, authorizes expansion of Agency EAPs to address other employee issues such as family, financial, and marital problems. NASA EAP services shall be private, confidential, free, and strictly voluntary. An employee may also be formally referred to a Center's EAP by his/her supervisor as a result of performance or conduct deficiency. The EAP is available to all NASA Civil Service employees and immediate family members. Depending on the Center OH contract specifications, the EAP may also be available to contractors and contractor family members.
5.1.2 Provider Contractor Statements of Work shall incorporate the requirements listed in this chapter, as well as other applicable NASA contract requirements.
issues are further protected by 42 CFR Part 2, "Confidentiality of Alcohol and Drug Abuse Patient Records." Depending on the location of EAP services, additional protection may be provided by state laws, state regulations, and/or professional association guidelines.
5.2.2 Center managers and supervisors shall inform employees about the availability and confidential nature of EAP services. During orientation and training activities, human capital representatives or EAP Officers or Clinicians shall also relay information to employees about the confidentiality policies and procedures associated with the EAP.
5.2.3 At the initial visit to the EAP, Clinicians shall inform employees about the procedures and laws affecting the EAP system of records, and employees shall be provided with a written Statement of Understanding concerning the confidential nature of EAP records. The Statement of Understanding shall contain elements reflected in 42 CFR Part 2. Instances where discreet employee information discussed in counseling may be disclosed to a third party (e.g., danger to self or others, suspected child abuse, or neglect) shall also be provided in the Statement of Understanding.
5.3.1 EAP Clinicians shall not release any information without a signed consent from the employee, regardless of the issues discussed during counseling, except when required by law.
5.3.2 The NASA EAP Administrator, EAP Clinicians, and Center EAP Officers (frequently the Occupational Health COR shall serve as resources for employees and their representatives (e.g., legal or union) for details on how to legally access EAP records.
5.3.3 Employees shall have the right to access their own EAP records. The employee shall submit a formal written request to their EAP Clinician. The exception to this requirement is, when in the clinical judgment of the EAP Clinician, it may cause additional harm to the client.
5.3.4 Regular and routine access to EAP records is limited to EAP Clinicians working directly with EAP clients.
5.3.5 The NASA EAP Manager and NASA EAP Officers shall have access to "redacted" Center EAP client records for the purposes of EAP oversight, evaluation, and quality assurance. Redacted records shall not contain any employee-identifying information and shall be appropriately sanitized by the Center EAP Clinician.
5.3.6 Records disclosure with consent (except where disclosure without consent is allowed) requires that an employee's written consent be obtained before any release of EAP information can be made. This applies to all releases, including those to supervisors, treatment facilities, and family members, without regard to the type of problem the individual is experiencing. An employee's written consent is required to discuss any confidential information with Human Capital, union representatives, and other similar offices or programs. All consent forms shall meet the requirements of 42 CFR Part 2.
5.3.7 Records disclosure without the employee's written consent is only permitted in a few specific instances. Any need for EAP records disclosure without consent shall be treated with the strictest confidence and comply with applicable Federal and individual state laws. Nothing in this chapter restricts or prevents an EAP Clinician from complying with the duty to report that which is mandated by Federal or state law. Any request or subpoena for records should be forwarded to the Office of the Chief Counsel at the applicable Center or to the Office of the General Counsel at Headquarters. The CHMO and the NASA EAP Manager shall be notified when a determination for disclosure of an EAP record without consent has been made.
5.3.8 Records disclosure may be made to individuals, such as law enforcement authorities and those persons being threatened, but the disclosure shall not identify the EAP client as an alcohol or drug abuser.
5.4.1 In cases where employees are referred to the EAP by supervisors because of work performance and/or conduct issues (except as provided in 5.3 above), no information shall be released to supervisors without the employee's written consent except whether or not employees made or kept appointments during official duty hours or any sick leave (for Drug-Free Workplace cases only).
5.4.2 Employees shall not be required to release information to supervisors (except as provided in 5.4.1 above). If employees choose to disclose their EAP file information, a consent form shall be signed by the employee to allow the release of information. The process is as follows:
a. If employees choose not to sign consent forms, the EAP shall not disclose any information to employee supervisors;
b. When employee consent is given to disclose information to supervisors, the EAP Clinician shall limit the discussion to attendance at the EAP, cooperation with the program, treatment plans that may interfere with the workplace, and work performance or conduct issues. The information provided by EAP Clinicians shall give supervisors a general idea of the kind of progress employees are making; and
c. Supervisors shall be encouraged to notify the Center EAP Clinician of any changes in an employee's work performance or conduct and any corrective actions taken, since these actions may have an impact on an employee's treatment.
5.4.3 Disclosed information shall include a written statement prohibiting further secondary/additional disclosure unless the employee has expressly provided written consent and allows for further disclosures.
5.4.4 Secondary/additional disclosure statements shall be attached to all information released in writing or sent separately if the information was released orally.
5.4.5 A copy of the signed release and a description of the material released shall be placed in the employee's EAP record.
5.5.1 The OCHMO provides NASA Centers with guidance, policy and recommendations on the implementation of EAPs.
5.5.2 The Director of Health and Medical Systems ensures regular periodic onsite reviews are conducted at Centers to assess employee assistance programs.
5.5.3 NASA Center Directors shall meet with EAP providers at least twice per year to discuss the mental health of the Center's workforce, including trends, recommendations for improving the program, and the status of Center outreach initiatives. EAP providers possess the unique expertise and insight into the Center workforce that may not be communicated adequately through another individual to the Center Director.
5.5.4 The NASA EAP Manager is an Agency position and coordinates with, provides assistance to, and communicates with Center EAP Officers. This position reports to the CHMO through the Director of NASA Health and Medical Systems.
5.5.5 EAP providers are mental health clinicians who counsel and communicate with employees to assist them with issues that may impact their performance and productivity at work. EAP providers must be licensed or certified in their state in order to provide these services. All individuals, including affiliates, who provide EAP services, shall have training in and understanding of EAP practice, alcohol and other drug problems, mental health issues, human resource and labor relations issues, and organizational dynamics. EAP Clinicians implement NASA's EAP policies and programs, including programs for counseling and assisting employees with alcohol and drug abuse problems. EAP Clinicians educate and provide guidance to Center supervisors and managers to assist them in dealing with employee work-related issues. EAP Clinicians may be Civil Service personnel or contractors.
5.5.6 NASA Center EAP Officers conduct administrative responsibilities. In some cases, due to certain Center staffing scenarios, the EAP Officer is the Center's COR or the EAP Clinician.
5.6.1 NASA Center Management shall, at a minimum, be responsible for:
a. Providing resources and EAP clinician staff sufficient to ensure an effective EAP for the number of individuals able to access the service;
b. Encouraging employees to use the EAP by making services convenient and available to employees;
c. Implementing procedures that ensure professional mental health assistance is available to Center employees during regular business hours, whenever the EAP Clinician is unavailable due to vacation, illness, offsite training, emergency, or other event wherein there is no office phone or in-person coverage. Provisions for this alternative coverage shall be outlined in the contract between NASA and the Contractor in each Center's Statement of Work.
d. Ensuring that a Critical Incident Stress Management (CISM) Program is in place;
e. Ensuring that employees dealing with critical incidents have access to EAP support;
f. Ensuring that each onsite and offsite Center EAP provider has access to a "panic" button to use in any situation (e.g., client becomes violent and provider fears for his/her safety) wherein he/she is unable to summon assistance from Security or medical using standard methods; and
g. Encouraging the Center/Facility EAP Clinician's physical attendance at one NASA-led event per year to collaborate face to face with other Center clinicians, discuss best practices, share professional expertise, and otherwise foster beneficial working relationships across the Agency.
5.6.2 EAP Officers, including those who are also EAP Clinicians shall, at a minimum, be responsible for:
a. Administrative support, including coordinating with management regarding EAP outreach and initiatives;
b. Attending Agency meetings regarding Center-wide EAP issues if funding permits;
c. Serving as a liaison between the Center and the NASA EAP Manager regarding utilization reports and data;
d. Coordinating with appropriate Center program representatives and management to establish a Critical Incident Stress Debriefing (CISD) process that includes the designation of responsibilities for all team members, including management officials, emergency operations responders, medical first responders, human capital personnel, and supervisors; and
e. Providing pre-incident planning, including CISD team member training, establishing links with community partners, and identifying at-risk populations within the Center.
5.6.3 The Agency EAP Manager shall, at a minimum, be responsible for:
a. Implementing Agency EAP plans;
b. Providing assistance to EAP professionals regarding Center-wide external training programs;
c. Providing Centers with recommendations regarding the implementation of specific Center initiatives such as smoking cessation, workplace violence prevention, and stress reduction;
d. Conducting periodic meetings with all Center EAP staff to discuss current issues, trends, staff changes, and administrative matters related to Agency EAPs;
e. Providing the status of any issues related to the Agency's EAP and the results of Center by Center utilization reports to the Agency Health and Medical Services Director;
f. Supporting CISM coordination to ensure each Center's participation;
g. Advocating for individual Center contract adjustments;
h. Assisting with Center EAP training initiatives; and
i. Periodically assessing Center programs and policies that deal with minimizing the impact of harmful stress on the workforce.
5.6.4 EAP Clinician responsibilities shall include, at a minimum, the following:
a. Serving as their Center's initial Point of Contact (POC) for EAP assistance;
b. Participating in meetings regularly scheduled by the EAP Oversight Manager;
c. Being familiar with all EAP-related laws and regulations, including NPR 3792.1B, Plan for a Drug-Free Workplace, and drug treatment/rehabilitative insurance coverage that are available to employees through the Federal Employee Health Benefits Program;
d. Being qualified and trained in counseling employees in the occupational setting and being familiar with identifying evidence of illegal drug use;
e. Being responsible for providing assessments, short-term counseling, referral, and educational and outreach activities to employees, including supervisors and managers;
f. For EAP Clinicians located offsite, being readily accessible to NASA employees and being responsible for regularly communicating and coordinating with an onsite Center representative, such as the COR or EAP Officer, to ensure the continuity and quality of the EAP;
g. Participating, coordinating, and/or contributing subject matter expertise to other Agency programs, such as Critical Incident Response, Prevention/Threat Assessment, Americans with Disabilities Act, and the Drug-Free Workplace Program;
h. Ensuring that Center management and employees are notified about available EAP programs and training offered on early intervention and awareness;
i. Offering training and consultation to employees and supervisors;
j. Establishing confidential or anonymous method to obtain Center-wide employee feedback and implement quality control measures to document the degree of effectiveness of the Center's EAP;
k. Monitoring cases to ensure that continuity of care is provided or identifying reasons the client did not complete care;
l. Collecting metrics consistent with confidentiality standards that include numbers and types of cases, referrals, and general demographic data;
m. Soliciting confidential client feedback and initiating quality control measures to document the degree of effectiveness of programs;
n. Providing utilization reports as requested to the NASA EAP Manager, either directly or through their Center's COR or EAP Officer; and
5.7.1 There are several types of EAP referrals, all of which are ultimately voluntary:
a. Self-Referral: self-seeking EAP assistance by an employee who thinks that he/she may have an issue that should be discussed with a mental health professional;
b. Management Referral: referral to the EAP by a supervisor, usually as a result of a performance or conduct deficiency, or an employee who is identified as using/abusing drugs in accordance with Executive Order 12564;
c. Self-Identification: self-seeking EAP assistance by an employee who admits to drug abuse to his/her supervisor or to others and seeks rehabilitative assistance in accordance with Executive Order 12564 prior to being identified through other means;
d. Other Referral: employee referral to the EAP by a union official, medical review officer, health professional, or through any means other than a self-referral or supervisory referral.
5.7.2 NASA employees are afforded an opportunity to meet with an EAP clinician (not all EAP offices are onsite) during normal business hours. OCHMO maintains a contract with an after-hours EAP counseling service. Between 5:00 p.m. and 8:00 a.m. on weekdays, weekends, and Federal holidays, employees may contact the after-hours vendor using a toll-free number. A professional counselor will provide short-term assistance until the Center's EAP Clinician is available.
5.7.3 EAP services shall include four types of core services:
a. Individual services shall include assessment, treatment planning, referral, short-term counseling, followup, and coordination with other NASA offices such as Human Capital regarding case planning and outcomes;
b. Managerial/supervisory services shall include assistance in employee EAP referral, employee support guidance, counseling on supporting employees returning to work, employee conduct and performance guidance, and supervisor training and education;
c. Organizational assistance shall include violence prevention, crisis management, critical incident assistance, support groups, employee orientations, education and outreach, and special auxiliary services (e.g., drug-free workplace, smoking cessation, job transitions); and
5.7.4 EAP clinicians shall work cooperatively and establish partnerships with other offices such as Human Capital, Employee Relations, Equal Opportunity, Safety, Security, and Occupational Medicine clinics in work-related issues that potentially affect employee performance.
5.7.5 Critical Incident Stress Management (CISM) Program
184.108.40.206 A CISM Program shall be developed and implemented at each NASA Center as part of other employee EAP assessments and short-term counseling services offered within an environment of confidentiality. A CISM Program addresses the immediate and subsequent impact of catastrophic events on individuals or groups. The goal of a CISM Program intervention is to minimize the occurrence of post-trauma resulting from any critical incident and to augment recovery activities for populations having normal reactions to abnormal events.
220.127.116.11 A Center's CISM Program shall be written and reviewed and updated annually.
18.104.22.168 A Center's CISM Program shall be made a part of the Center Emergency Response Plan. Examples of critical incidents that could impede an employee's ability to function include natural disasters (e.g., tornadoes, hurricanes, floods, fires and earthquakes), manmade disasters, major mission failure, terrorism, homicide, sudden death, suicide, victim or witness to violence, kidnapping, or hostage situations.
22.214.171.124 A Center's CISM Program shall include:
a. Procedures that include the following:
(1) Establishing formal methods and activities used by Center management, EAP Clinicians, Emergency Preparedness and Response personnel, Security, medical first responders, onsite medical personnel, Human Capital, and supervisors to ensure stakeholders maintain an awareness and knowledge of the Center's critical incident response management procedures and processes.
(2) Establishing, training, and maintaining a CISD team and designating a CISD Team Lead.
(3) Providing direction and coordination to the CISD team.
(4) Planning and conducting pre-crisis education and pre-deployment briefing sessions.
(5) Identifying and coordinating with local community health providers (e.g., Safety, Security, mental health professionals) to establish a resource network for CISD team members.
(6) Providing information to affected personnel regarding Center efforts to identify the scope of an incident and actions being taken to support the workforce.
(7) Establishing notification methods and timelines used for community partners during or after an incident had occurred.
(8) Handling assessment, triage, treatment, referral, and followup of affected employees for up to one year, or longer if deemed necessary.
(9) Conducting meetings and post-incident intervention planning.
b. A description of the duties of the EAP Clinician (in certain Center staffing scenarios, an EAP Clinician may also serve as the Center's EAP Officer) that shall include the following:
(1) Developing CISM procedures;
(2) Establishing, providing training for, and maintaining a CISD team;
(3) Coordinating with Center Officials to establish the process for creating CISD teams.
Team members shall generally be drawn from the Center's personnel, health, safety, and security communities;
(4) Establishing links with community partners;
(5) Outlining the responsibilities for all participants, including Management, Emergency Operations Responders, Medical First Responders, Human Capital personnel, and Center Supervisors;
(6) Identifying at-risk populations within the Center;
(7) Meeting with Center Emergency Preparedness personnel, Medical First Responders, and Management to assess impact and identify affected employees on notification of a critical incident;
(8) Compiling a list of the individuals to participate in CISD Team Member briefings;
(9) Notifying the CISD team and any community partners to establish a meeting place for the Team and participants;
(10) Leading the CISD team in providing defusing and debriefing sessions, as well as providing one-on-one interventions, referral, and followup services;
(11) Making requests to the Agency EAP Manager for additional CISD training or additional temporary EAP Clinician support to respond to a critical event; and
(12) Notifying the Agency EAP Manager of all incidents that required implementation of the CISM procedures/protocol.
c. A description of Center Management duties that shall include the following:
(1) Ensuring the Center workforce dealing with critical incidents has access to EAP support; and
(2) Ensuring that the Center maintains a written and current CISM policy.
d. A description of CISD team member duties that shall include the following:
(1) Providing CISD services under the direction of the Center EAP Officer or EAP Clinician;
(2) Assisting in identifying individuals in need of additional EAP services;
(3) Being familiar with CISM components, including procedures and protocol;
(4) Participating in initial and periodic planning meetings;
(5) Providing support for a CISD exercise following a critical incident, including followup monitoring of impacted employees;
(6) Coordinating with and executing guidance from the EAP Clinician or appointed CISD Team Lead; and
(7) Participating in debriefings for CISD team members.
e. A description of Center Emergency Preparedness and Medical First Responder Personnel responsibilities that shall include the following:
(1) Familiarization with Center CISD services;
(2) Notifying the Center EAP Officer or Clinician of critical incidents and coordinating the arrangement of meeting facilities for CISD exercises;
(3) Assisting the EAP Officer or Clinician in coordinating CISM efforts, along with a designated Human Capital Officer;
(4) Identifying impacted employees; and
(5) Participating in post-incident demobilization, defusing, and debriefing exercises, as requested by the CISD Team lead.
f. A description of Center Human Resource Officer responsibilities that shall include the following:
(1) Notifying the Center EAP Officer or EAP Clinician of any known critical incidents;
(2) Assisting in identifying individuals or groups impacted by a critical incident; and
(3) Informing supervisors and employees of the availability of CISM services.
g. A description of Center Supervisor responsibilities that shall include the following:
(1) Notifying the Center EAP Officer or EAP Clinician, along with other designated contacts (e.g., Safety, Security, medical, personnel) of any critical incidents;
(2) Assisting in the identification of individuals or groups impacted by a critical incident and providing incident information facilitating the debriefing process;
(3) Encouraging and granting time for employees to participate in Center-sanctioned CISM service; and
(4) Notifying the Center EAP Officer or EAP Clinician of any difficulties an employee may be experiencing (e.g., changes in performance or behavior) following a critical incident.
5.7.6 Workplace Violence
126.96.36.199 Pursuant to NASA's Office of Human Capital NPD 1600.3, Policy on Prevention of and Response to Workplace Violence, NASA Centers shall implement and maintain a Workplace Violence Prevention Program which provides Center Directors with the discretion of designating a Center EAP as a permanent member of the Center's Threat Assessment Team (TAT). To assist in this capacity, EAP Clinicians shall:
a. Consult the most recent version of the NASA Desk Guide for the Prevention of and Response to Workplace Violence for additional information on the Agency's workplace violence prevention procedures and resources;
b. Assist other Center offices, such as Human Capital, Security, Safety, and Public Affairs in required annual workplace violence prevention training and other awareness and prevention activities for employees;
c. Assist with the review and assessment of incidents involving psychiatric, alcohol, or drug-related behavior, or any other situation that resulted in workplace violence;
d. Ensure that stress, grief, and security concerns are addressed with employees during and after workplace violence events;
e. Consult and coordinate with the Center TAT when a potential for violence exists or an actual incident is reported;
f. Consult and coordinate with Center Incident Response teams when a potential for violence exists or an actual incident is reported;
g. Participate in CISD teams in the event of a violent situation;
h. Consult with Center supervisors to identify specific problem areas, develop action plans to resolve problems in the early stages, and encourage employees and supervisors to contact the EAP for individual counseling; and
i. Help in the prevention of workplace violence through: early involvement in organizational changes; training employees in dealing with angry co-workers and customers, conflict resolution, and communication skills; training supervisors to deal with problems as soon as they surface without diagnosing the employee's problem; making recommendations to address workplace stress and violence issues; identifying ways to deal with uncomfortable or threatening situations; discussing with employees problems that can adversely affect job performance and conduct, and help employees with other problems (e.g., marital or financial issues) that may underlie potentially violent situations.
5.7.7 Domestic Violence Awareness
188.8.131.52 NASA Centers shall conduct domestic violence awareness training programs for their workforce. Domestic violence and emotional abuse are behaviors used by one person in a relationship to control the other. Individuals may be married, not married, living together, separated, or dating. Violence may be criminal and includes physical assault (hitting, pushing, shoving), sexual abuse (unwanted or forced sexual activity), and stalking. Emotional, psychological, and financial abuses may be criminal behaviors. These behaviors can lead to criminal violence. Occurrence and severity of domestic violence may increase with stress, financial difficulties, and job insecurity.
NOTE: NASA's domestic violence policy found in NPD 1600.3.
184.108.40.206 Domestic Violence Awareness Training shall be jointly offered to the workforce by the Center/Facility EAP Clinician and Human Capital and include:
a. A review of NASA's domestic violence policy and procedures, as well as any related Center/Facility-specific policy;
220.127.116.11 All Center/Facility Occupational Medicine clinic staff and healthcare workers shall be knowledgeable about the serious nature of and physical and behavioral signs of domestic violence, requesting guidance/training from the Center/Facility EAP Clinician, whenever necessary.
18.104.22.168 The Center EAP Clinician shall provide training to supervisors about the nature and dynamics of domestic violence and how to identify possible cases by the behavior employees may be exhibiting such as unusual performance or emotional instability, or by physical evidence of trauma.
22.214.171.124 All reports of abuse shall be taken seriously and the victim referred for assistance.
126.96.36.199 Center EAP Clinicians shall provide confidential consultation to management regarding employee problems related to domestic violence.
188.8.131.52 Victim assistance provided by the Center to ensure their safety shall include:
a. Center Human Capital, Legal, and Security personnel assistance when an abuser has access to the Center at which the victim is employed;
b. Availability of information at various Center offices regarding the procedures and resources to be used (e.g., telephone numbers) for assistance. A list of community resources shall be prominently available onsite, as well as in confidentially accessible locations such as bathroom and locker facilities; and
c. Center EAP assistance to confidentially assess the risk to victims, provide contacts and telephone numbers to victims to assist them, encourage victims to memorize emergency numbers, arrange for onsite contacts if community resources are not easily available, and work with victims to develop a "safety plan" that includes:
(1) Advance preparation to leave the abusive situation such as financial planning, rehearsing the actions the victim will take when the time comes to leave, making arrangements for any children involved in the victim's home, determining any legal or enforcement assistance notification and requirements that may be needed, knowing what important documents need to be taken when leaving, and a contingency plan if the initial plan cannot be implemented.
(2) Protection during violent incidents; and
(3) Safety in the home, work, and public places.
184.108.40.206 Short-term counseling shall be available to victims of domestic violence and may involve from one to several sessions, over a discrete period of time, as determined by the EAP Clinician. Counseling does not include a clinical evaluation or diagnosis. Counseling of all employees referred to the EAP (by self-referral or supervisory referral) shall at a minimum include the following:
a. Informing clients of confidentiality rights and of the duration and type of services provided by the EAP;
b. Providing problem assessment, using constructive confrontation and short-term intervention, and assisting with providing information for referrals directed to community-based resources; and
c. Referring clients for other assistance and treatment and advising on the potential cost of outside treatment, which must be paid by the client.
220.127.116.11 Employees shall be screened for evidence or history of domestic abuse, with appropriate actions taken if domestic violence is suspected.
18.104.22.168 Where not otherwise provided in the NASA Domestic Violence policy, Centers/Facilities shall develop and implement procedures to ensure the safety of domestic abuse victims, which includes the following:
a. Maintenance of victim confidentiality;
b. Security of the victim and co-workers, especially if the abuser works at or has access to the Center/Facility;
c. Provisions for victim access to Center/Facility resources during work hours; and
d. A description of the functions of the Center/Facility EAP clinician and supervisory, medical, and Human Capital personnel in cases of domestic violence against a Center/Facility employee.
5.7.8 EAP Quality Assurance
22.214.171.124 Onsite reviews of NASA Center EAPs shall be conducted in accordance with the requirements contain in Chapter 7 of this NPR. Reviews shall include, but not be limited to, an assessment of:
a. EAP staffing levels;
b. Annual internal (e.g., self-evaluation) or third party EAP evaluations during off-years in which an onsite OH review is not conducted;
c. Whether the EAP is meeting Agency objectives and goals;
d. EAP utilization rates and trends;
e. EAP availability and accessibility and conformity with NASA's culture;
f. Workforce satisfaction with program services;
g. Overall program effectiveness;
h. Maintenance of a Center-specific EAP Web site (where applicable);
i. Types and frequency of outreach and education programs;
j. Frequency of EAP and Center Management meetings to discuss status of workforce mental health;
k. Status of partnerships with other Center offices such as Human Capital, Equal Employment Opportunity, Security, Medical, Fitness, Work/Life, and Workers' Compensation;
l. Case records maintenance and quality assurance;
m. Maintenance of EAP policy and procedure documents; and
n. Timeliness and content of the EAP Utilization Report submittal.
5.7.9 Records Confidentiality, Maintenance, Retention, Coding, Security, and Destruction
126.96.36.199 NASA EAP records are considered personal case files consisting of electronic records, handwritten notes, letters to physicians or counselors, calendar of treatment(s), authorization releases, after care information, and telephone messages. EAP records, whether written, verbal, or electronic, are covered by this NPR. This NPR covers records generated and/or maintained by NASA, civil servant, or contractor EAP Clinicians.
188.8.131.52 All EAP records (electronic and hardcopy) are the property of NASA, including records created and maintained by contractors. Contractors are only the custodians of EAP records while under contract to NASA. At contract termination, contractors shall return original records to the successor EAP Clinician or the NASA EAP Administrator, consistent with the confidentiality requirements and as specified in individual Center contracts.
184.108.40.206 NASA EAP records shall be maintained in a discrete secure location and not with employee medical records, personnel files, or any other system of records in NASA. EAP case files (paper and electronic) are to be maintained in accordance with the confidentiality requirements of 42 CFR Part 2 and the requirements of the Privacy Act, in addition to other more stringent protections that may be required by local, state, or NASA Center/Facility-specific policy. All hard-copy written case records are kept in separate, secure filing cabinets that are locked when not in use.
220.127.116.11 Where an external EAP provider maintains EAP records for a NASA Center, the records shall be maintained separate from other customers' client records and be accessible for NASA OCHMO quality assurance reviews and onsite OH reviews.
18.104.22.168 EAP Clinicians shall maintain a record of cases and activities on a calendar year basis (January 1-December 31).
22.214.171.124 Records shall be retained until five years after employees have ceased contact with the EAP, regardless of whether or not employees have terminated employment with NASA. At a minimum, management referral cases shall be destroyed five years after the last date in file, or upon termination of employment. At a minimum, voluntary referral cases shall be destroyed two years after the last date in the file, or upon termination of employment. Records shall be retained longer if required by state laws where the records are stored, or until any litigation involving the employee is resolved. EAP records retention is governed by NPR 1441.1, NASA Records Retention Schedules.
126.96.36.199 To ensure confidentiality, all records shall be maintained and retrieved by unique case numbering systems rather than by names. Case-coded files shall include records that have been closed but not yet destroyed.
188.8.131.52 Each employee participating in the EAP shall be assigned a unique case number.
184.108.40.206 All hard copy case materials shall be placed in a folder and labeled with this unique case number. Computer files shall also be labeled with this unique case number.
220.127.116.11 The list of unique case numbers that correspond to the employees' names shall be maintained in a locked or secure file, separate from the case folders. It shall be secured when not in use and shall be maintained by EAP Clinicians or authorized EAP record custodians.
18.104.22.168 Identifying information recorded in case records shall be kept to a minimum.
22.214.171.124 All contacts shall be recorded with the most recent information filed on top. Entries shall only contain the information necessary for handling cases.
126.96.36.199 All persons having access to the files shall have previous training in the proper handling of records covered by these requirements. Refresher training shall be provided in the event of a requirement change.
188.8.131.52 The EAP Clinician or approved EAP record custodian shall be responsible for ensuring that file cabinets are secure before leaving each day.
184.108.40.206 Confidentiality safeguards shall be implemented with the storage of electronic EAP records in accordance with NPR 2810.1A, Security of Information Technology requirements.
220.127.116.11 Paper records shall be destroyed at the individual NASA EAP sites and in accordance with a method that has been approved by NASA.
18.104.22.168 Names of the employees whose EAP records were destroyed shall be added to a record of former EAP clients. This list shall be kept with the unique case number record and handled according to the same confidentiality procedures. No other information about clients shall be maintained once their records have been destroyed.
5.7.10 EAP Report Requirements
22.214.171.124 EAP Clinicians shall employ NASA approved EAP system-of-records software to record case data and generate reports.
126.96.36.199 Onsite and offsite EAP Clinicians shall electronically provide an annual utilization report of the previous calendar year cases to their Center management and to the NASA EAP Manager by January 31, or as requested. Data provided in the report shall include:
a. Number of cases;
b. Breakout of cases by demographics (NASA Employees, Contractors, Dependents);
c. Age and gender of clients;
d. Presenting problems;
e. Assessed problems;
f. Average number of sessions;
g. Case disposition at closure;
h. Number of management referrals;
i. Number of high-risk cases such as those involving potential workplace or domestic violence, drug or alcohol concerns, and suicidal/homicidal ideation;
j. Number of management consultations;
k. CISD and other CISM activity;
l. Training offered;
m. Support/psycho-educational groups;
n. Work-Life cases such as Child Care, Elder Care, Financial Services, Legal Services, Concierge (where provided);
o. Online and Internet resources;
p. Quality assurance activity;
q. Narrative on Center trends affecting job performance;
r. How clients heard about the Center's EAP; and
188.8.131.52 Onsite and offsite EAP Clinicians shall also provide specialized electronically generated reports at the request of the CHMO or the NASA EAP Manager for special projects on an as needed basis.
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