Federal employee

September 2008
Table of Contents 

Part 1: Guiding Principles for Federal EAPs ...................................................3

Part 2: EAP Framework .....................................................................................8

Individual Services..........................................................................................8

Managerial/Supervisory Services ..................................................................8

Organizational Services..................................................................................9

Administrative Services..................................................................................9

Part 3: EAP Definitions....................................................................................10

1 
Introduction

As a result of a Federal Employee Assistance Program (EAP) Summit convened 

by the Office of Personnel Management and the Department of Health and 

Human Services that included representatives from across Government, we are 

pleased to present Federal Employee Assistance Programs, Guiding 

Principles, Framework and Definitions. Developed as a guide, rather than a 

requirement, for Federal EAP Administrators and other stakeholders, the 

information provided is based on participants’ knowledge of best practices in the 

EAP field, as well as their own experience and understanding of EAP in Federal 

workplaces, and is intended to address the ways in which these programs can 

best meet mental and behavioral health needs of the Federal workforce. 

2 
Part 1: Guiding Principles for Federal EAPs 

The Federal Government is a model employer in providing worksite-based 

mental and behavioral health services. In delivering these services, Federal 

Employee Assistance Programs (EAPs) 

1) Deliver effective, efficient services based on the best available 

knowledge and practices 

2) Provide a safe, secure, and confidential environment 

3) Maintain clear, open lines of communication with stakeholders 

4) Treat clients equitably and demonstrate flexibility in meeting client 

needs 

5) Give clients appropriate control over their own care 

6) Provide continuity of care to help clients achieve their goals 

Further explanation of these Guiding Principles, along with examples of how they 

may be integrated into programs, policies, and practices, is provided below. 

1) Deliver effective, efficient services based on the best available 

knowledge and practices 

• Current evidence-based practices, based on research from peer-reviewed 

professional journals, are considered when decisions are made regarding 

the design and delivery of EAP services 

• EAPs strive to use their resources efficiently in order to offer the greatest 

possible access to EAP services 

Examples of EAP policies, standards, and practices that align with this 

principle 

 

• Assessments/analyses are conducted to determine needs of clients and 

their employing organizations 

• EAP personnel/staff requirements and training/continuing education plans 

and activities are in line with current evidence-based practices and clinical 

standards 

• EAPs conduct evaluations, including client satisfaction surveys, on 

effectiveness and appropriateness of program, and use the feedback to 

adjust programs and services 

• There are management information systems in place that support the 

collection of data 

3 
• There are data/feedback/audits and evaluations and they contain certain 

items and follow certain formats and timeframes 

• There are sound administrative structures in place to support an effective 

organization 

• Promotion and outreach efforts are effective in reaching targeted 

populations 

• There is up-to-date information on referral resources and insurance 

coverage. Referral resources are regularly reviewed for quality assurance 

2) Provide a safe, secure, and confidential environment 

Services for all clients should be provided in a safe, confidential, respectful, 

compassionate, trusting, and caring environment. 

Examples of EAP policies, standards, and practices that align with this 

principle 

• Confidentiality and record keeping (including informed consent and 

electronic issues) policies and procedures are in place and adhered to 

• Complaints, identified risks, and grievances are responded to 

• There are formal policies and procedures addressing physical safety in the 

EAP, if there is an onsite EAP office 

• There is compliance with all applicable laws, regulations, and case law 

• Whenever applicable, HIPAA standards/requirements are considered in 

creating EAP policies and procedures 

3) Maintain clear, open lines of communication with stakeholders 

• Individual clients have access to their own paper or electronic EAP 

records and to any information that will help them make decisions about 

their care 

• Host organizations have access to information that will help them make 

decisions about their EAPs (this does not include information about 

individual clients) 

4 
Examples of EAP policies, standards, and practices that align with this 

principle 

• Clients are informed about policies and procedures related to record 

keeping, confidentiality, phone monitoring, costs, limits of service 

• Evaluation and quality assurance efforts are in place and the results are 

available 

• Training and education for EAP staff are parts of on-going EAP operations 

• Procedures regarding ownership, content, destruction, physical 

maintenance, and access to EAP records are clearly stated in program 

policies and communicated to all employees. One such policy is that 

clients can have a copy of their records, but not the original version 

• EAP staff is informed about, understands, and supports human resource 

policies and procedures 

• Referral information is up to date 

• Consideration is given to what standardized information will be found in 

each case record. This will include the use of diagnostic categories (such 

as the DSM) 

4) Treat clients equitably and demonstrate flexibility in meeting client 

needs 

• EAPs meet the most common types of needs and take into account 

expressed client preferences 

• Services are provided according to current standards of care and within 

the framework of any contractual obligations 

• Services for the work site and organization (such as supervisor 

consultations, trainings, and crisis interventions) are also respectful of the 

organizations’ histories, cultures, and unique preferences 

Examples of EAP policies, standards, and practices that align with this 

principle 

• EAPs should have knowledge of host organizations’ structures 

• Evaluations reflect broad satisfaction, across various demographic 

populations, with how services meet needs 

• To the extent possible, physical facilities meet needs of clients and visitors 

with disabilities 

• EAP staff is trained and understand diversity. They also assist the 

organization in embracing diversity 

• As much as possible, quality and comprehensive services and referrals 

should not vary because of factors such as the client’s location and choice 

of practitioner 

• Training and education programs delivered by the EAP are customized 

according to organizations’ needs 

5 
• EAP may provide unique kinds of services as needed such as Drug-Free 

Workplace (DFW), Critical Incident Stress Management (CISM), 

Organizational Development (OD), On-line/telephone counseling 

• There is an advisory function/body available to the EAP 

5) Give clients appropriate control over their own care 

• EAPs provide clients with information needed to make decisions, share 

subject-matter expertise, support client self-empowerment, and provide 

decision-making support 

• Participation in EAPs is always voluntary

• EAPs also collaborate with host organizations so they can make decisions 

about their EAP operations as well as EAP interventions at the 

organizational level 

• EAPs have ongoing partnerships with key organizational units such as 

EEO, human resources, medical/health, and work/life. When there are 

conflicts between individual clients and host organizations, EAPs facilitate 

compromises, as needed and appropriate 

Examples of EAP policies, standards, and practices that align with this 

principle 

• Clients are given referral choices 

• EAPs offer educational programs to managers and employees about EAP 

services and about specific EAP-related issues 

• Policies delineate conditions under which employees can continue their 

services 

• Policies provide that clients are ultimately responsible for decisions 

• As needed and appropriate, EAP staff consult with key staff in 

organizations when developments affect employee well-being 

6) Provide continuity of care to help clients achieve their goals 

• Access to EAP services is uncomplicated and convenient. Services may 

be offered in many forms, including face-to-face, over the Internet, by 

telephone, and in any other manner that may be available 

• Whenever referrals to outside sources are suggested, the EAP helps 

clients make these transitions seamlessly 

• Whenever appropriate, the EAP empowers clients to initiate their care with 

outside providers 

• Contact (including follow-up and maintenance activities) with clients, 

outside providers of their services, and any others involved with their 

cases is continuous until the concern/intervention is resolved 

• EAPs actively collaborate and communicate with those involved with 

cases such as clinicians, practitioners, and outside programs to ensure 

information is accurate, information is appropriately exchanged, and care 

6 
is coordinated 

Examples of EAP policies, standards, and practices that align with this 

principle 

• Access to EAPs is assured and is reflected in policies and procedures 

related to response time, geographic dispersion of counselors, availability 

of staff, and so forth 

• Continuous consultation is maintained with all involved in the EAP, 

including management, leaders, unions, referral resources, and health 

insurance providers 

• Policies (including protections of confidentiality) are in place regarding the 

technology of telephone and Internet services 

• EAPs have policies and procedures delineating their relationships with 

other providers such as managed care companies, affiliates, and referral 

resources 

• Follow up is routine 

• Referral information is reliable 

• EAPs select referral resources based on availability, services offered, and 

access 

7 
Part 2: EAP Framework 

What is an EAP in the Federal Community? What do EAPs do, what is their 

purpose, and who receives EAP services? The answers to these basic 

questions can be summarized in terms of four types of core services EAPs 

provide. 

The four types of core services Federal EAPs provide are 

 

1: Individual 

2: Managerial/Supervisory

3: Organizational

4: Administrative

Individual Services 

Services provided for individuals include

• Assessment 

• Treatment planning 

• Referral 

• Short-term problem solving/counseling/facilitating change 

• Follow-up 

• Referral and information 

• Collaboration with others (such as treatment facilities, managed care 

organizations, managers, HR staff, etc.) regarding case planning and 

outcomes 

Managerial/Supervisory Services 

Services provided for managers and supervisors include

• Assistance in referring employees to the EAP 

• Guidance about how to appropriately support employees with personal 

concerns that may be affecting their health and well-being 

• Assistance with back-to-work conferences and reasonable 

accommodation agreements, in consultation with appropriate human 

resources specialists 

• Performance management guidance/consultation particularly around 

issues related to employee conduct and performance, as well as those 

related to occupational situations and conditions that affect employee wellbeing, as appropriate, in consultation with human resources professionals 

• Supervisor training and education 

8 
• Management consulting and coaching 

 

Organizational Services 

Services provided for organizations include 

• Violence prevention and crisis management 

• Traumatic and critical incident services 

• Group interventions, support groups 

• Employee orientation 

• Educational services/programs 

• Special and auxiliary services (such as work/life, drug-free workplace 

training and handling of mandatory referrals, outplacement services, 

disability management, change management, organizational development, 

etc.) 

 Administrative Services 

Services in support of program operations/program administration 

activities include 

• Development of and adherence to policies and procedures (general 

policies as well as compliance with applicable laws and regulations) 

• Outreach/marketing and publicity 

• Evaluation, reporting, and quality improvement /assurance 

• Web development and maintenance 

• Staffing and professional development/other human resources activities 

• Development of program structure/design (such as budget, advisory 

committees, board of directors, etc.) 

• Referral (clinical) resource development and maintenance 

• Involvement with committees/groups/teams within the organization 

9 
Part 3: EAP Definitions 

Accessibility – Those provisions as stipulated by the Americans with Disabilities 

Act of 1990, as they apply to the Federal community through the Rehabilitation 

Act of 1973, as amended, providing disabled consumers physical and 

communications access to services. In addition, it also relates to “the opportunity 

of consumers to obtain services based on the location of service, hours of 

operation, and affordable fees.”1

Accreditation – The formal evaluation of an organization against generally 

accepted criteria or standards. A professional society, non-governmental 

organization or a governmental agency may conduct accreditation activities.2

 

Currently, there is no Federal, state or local requirement for an EAP to obtain 

accreditation in order to provide services. 

Affiliates – “An individual or group of professional mental health practitioners,” or 

other service oriented entities “who, through a contractual relationship with the 

prime Contractor, provide EAP services to Federal employees.”3

 This 

arrangement occurs when the prime contractor, in an attempt to satisfy the 

elements of a Federal EAP contract, hires subcontractors to perform some or all 

of the requirements of the contract, as part of an external or blended EAP model. 

Agency Population – Those Federal employees who are full-time, part-time, 

wage-grade, term, and other directly compensated employees, receiving a W-2 

for tax purposes, who are not employees of contractors. This count is usually the 

number used in tabulating the agency’s EAP utilization rate. (Also see Covered 

Lives) 

Assessment – An ongoing process or evaluation in which professional expertise 

and skills are exercised to collect and analyze data, which in cooperation with the 

client, results in identifying, defining and prioritizing the client’s physical, mental, 

and social issues, problems or challenges. An assessment provides for an 

accurate diagnosis of the client and the basis for a treatment or problem solving 

plan.4

Assessed Primary Problem – An issue or problem determined by the EAP 

counselor to be the core issue (such as a mental health concern, work/life issue, 

and/or medical manifestations) that, once addressed, should result in the 

resolution or mitigation of the symptoms and/or problems of the client. 

 

1

 Council on Accreditation (COA) Glossary, 7th Edition/Version 1.1 

2 Ibid.

3

 Federal Occupational Health (FOH) definitions, as modified by the subcommittee. 

4

 COA Glossary, 7th Edition/Version 1.1 and subcommittee language 

10
Assessed Secondary Problem – Additional issues that directly affect the 

primary problem and are often a consequence of the primary problem. 

Assessed Tertiary Problem – Additional problems or issues may need to be 

addressed, which may be related to, or be independent of, the primary or 

secondary problem. 

Assessment and Referral EAP – An EAP that offers services limited to 

providing assessment and information and referral to its respective clients. 

Sessions are limited to conducting the assessment and providing that information 

to the client including a treatment or problem-solving plan. 

Back-to-Work Conference – A conference usually arranged by the EAP 

counselor with the prior consent of the employee/client, to meet with the client’s 

supervisor, EAP counselor, union representative and other appropriate 

management and treatment personnel as may be pertinent to the situation, to 

facilitate the employee’s successful return to work. (Before involving a union 

representative the employee’s supervisor should contact the labor relations office 

to determine what, if any, obligation exists to notify/invite representation.) Such a 

conference is scheduled following an extended hospitalization or other long-term 

medical treatment. The conference agenda usually considers the employee’s 

ongoing treatment and aftercare needs in coordination with the agency’s 

expectation of the employee’s performance, conduct and attendance.5

Biopsychosocial Assessment – An assessment based on a model of health 

and illness that links the nervous system, the immune system, behavioral styles, 

cognitive processing, and environmental factors.6

 The assessment is performed 

by a well-trained and licensed mental health professional and is a precursor to 

any diagnosis, or any short or long-term mental health counseling or referral. 

 

Blended EAP Model – See EAP Model 

Brief/Short-term Counseling/Treatment – Services provided by the EAP 

counselor to the employee/client for approximately 1 to 6 sessions. The basis for 

the number of sessions is often determined by the philosophy of the agency 

and/or financial considerations. When counseling is required beyond the number 

of sessions originally provided, the EAP counselor is expected to ensure the 

employee is referred out and the linkage to the new counselor is made. 

Capitation Rate – A per-employee dollar amount per year, paid by a Federal 

agency to an external EAP provider for EAP services, under the terms of a 

contract. In exchange for the payment, the EAP vendor usually provides all 

 

5

 Sub-committee language and Employee Assistance Professionals Association (EAPA) 

Glossary of Employee Assistance Terminology, 1994, page 4. 

6

 American Psychological Association (APA) definition of Psychosocial Model 

11
contracted services regardless of the level of use (utilization) by agency’s 

employees and covered family members.7

 Thus, if only one employee received 

services the entire year, the contractor would receive 100% of the agreed-to 

payment. If hundreds of employees were to receive services, the contractor 

would have to provide the services at the agreed-to price without any additional 

consideration. 

Capitated Risk – The assumption of responsibility by a clinician or an 

organization for providing specific services to clients under a pre-established 

reimbursement agreement,8

 and where the contractor assumes the financial risk 

should the EAP services delivered exceed the contractor’s cost projections. 

Case – Represents a discrete unit of contact as defined by the sponsoring 

Federal EAP (host organization). A case may be defined by agency policy 

and/or within the parameters of an EAP contract. Thus, an agency can have a 

counseling (clinical) case, a management/supervisor consultation case, an 

assessment and referral only case, or an information & referral only case. When 

determining utilization, the reporting EAP should identify what type of cases they 

are reporting and report each as an individual incident rate (i.e.: Counseling 

cases = 6%, I&R only = 4%, etc.) 

 

Case, Opened – A formal documented client relationship between an EAP 

counselor and an employee or covered family member, in which a written or 

electronic record is established after contact has been made between the 

counselor and the client. As an example, an EAP can report having a specified 

number of opened “counseling cases,” “I&R cases,” or “assessment and referral 

cases.” 

Case Management – The coordinating, monitoring and discharge planning of 

overall services, by the EAP counselor for the EAP client and Federal agency, to 

ensure treatment gains are realized and that the employee makes the most 

benefit of the resources at hand. This is usually a standard component of the 

EAP vendor’s service and may or may not be provided at an additional charge, 

when provided by a contractor. 

Chemical Dependency – Physiological and psychological dependence on a 

chemical, such as alcohol, tobacco, barbiturate, or narcotic, which results in a 

number of physical and emotional symptoms such as increased tolerance and 

withdrawal symptoms when the chemical is removed.9

 

7

 EAPA Glossary of Employee Assistance Terminology, 1994, page 4, and subcommittee 

modification. 

8

 COA Glossary, 7th Edition\Version 1.1, page 2 

9 Ibid., page 3 and committee modification. 

12
Client – An individual who is eligible to receive EAP services, as defined by 

agency policy or contract requirements. A client might include an employee or 

the employee’s spouse, dependent child, parent, or domestic partner, or a 

retiree. 

Client Record – A written and authenticated compilation of information that 

describes and documents the assessment and present, prospective, and past 

services to the consumer.10 The content of the record may be defined by the 

Federal agency or by the EAP contractor. The format and content of a client 

record is usually based on accepted practice standards applicable to the EAP. 

Client Satisfaction Survey – An anonymous and confidential measurement 

solicited from the EAP client, by the EAP contractor or sponsoring Federal 

agency, which reflects client satisfaction with EAP services received. A Federal 

agency may design its own survey instrument or have the contracted EAP design 

one as part of its contract requirements, with or without the Federal agency’s 

input. Such measurements should be routinely taken by an acceptable and 

easily administered means. Whenever possible, the survey instrument should 

allow for easy tabulation and review. Client satisfaction assessments may 

include, but are not limited to, such items as timeliness of initial contact, 

timeliness of service delivered, follow-through, effectiveness in resolving the 

client’s issues, confidentiality, accessibility, and conformity with the agency’s 

culture. 

Clinical – Of or pertaining to examination, assessment, and direct counseling or 

treatment, as opposed to experimental or laboratory study.11 

Clinical Personnel/Staff – Those persons the Federal agency has designated to 

provide assessment and counseling services through its EAP. Such personnel 

are usually licensed mental health practitioners or otherwise qualified and trained 

professionals who provide the treatment or counseling services. 

Clinical Services – Those services offered by an EAP counselor in which an 

assessment and counseling are provided. 

Counseling Services – Specialized services and therapeutic interventions 

provided by both licensed and non-licensed professionals (as permitted by the 

sponsoring Federal agency) with the purpose of identifying and mitigating or 

resolving clients’ personal, professional, financial, mental health, or addiction 

problems or challenges.12 

 

10 Ibid., page 4. 

11 COA, 7th edition\Version 1.1, page 3, modified by including the word “counseling.” 

12 COA, 7th edition\Version 1.1, page 4, and subcommittee language. 

13
Counselor, EAP – A specially trained individual, usually licensed in the field of 

mental health and addictions, who operates in an occupational setting and whose 

clients may be both management and employees in general. 

Covered Lives – The total universe of persons who are eligible for EAP services 

as defined by the sponsoring (host) agency. A Federal agency might define 

covered lives as employees and their family members, while another agency may 

offer services only to employees. 

Crisis Intervention – A brief type of therapy or counseling, offered to persons 

involved in a highly emotional or traumatic event, to prevent long-term 

psychological harm, with the intention of restoring the clients to at least their precrisis level of functioning, and referring to long-term treatment resources as may 

be warranted. 

Critical Incident – An event, usually sudden, unexpected and potentially lifethreatening, “in which a person experiences a trauma, i.e., feels overwhelmed by 

a sense of personal vulnerability and/or lack of control. Examples of a critical 

incident are a natural disaster, serious workplace accident, a hostage situation or 

violence in the workplace.”13 

Critical Incident Stress Debriefing (CISD) – A structured group or individual 

intervention that encourages the expression of thoughts and feelings about the 

incident, followed by identification and normalization of symptoms, familiarization 

with the process of recovery, and referral to appropriate services. The EAP (in 

cooperation with the host organization), usually schedules a CISD at the worksite 

with a group of employees directly affected by a critical incident as soon as 

possible following the traumatic event.14 15 

Critical Incident Stress Management – The constellation of services or 

activities that may be used by an organization to respond to and manage a 

critical incident (core concept was developed by the International Critical Incident 

Stress Foundation). Services and activities include, but are not limited to, 

debriefings, outreach to the workforce, psycho-educational activities related to 

trauma, anniversary responses, etc.16 

 

13 EAPA Glossary, 1994, page 7, and committee language 

14 Ibid., with “in cooperation with the host organization” added. 

15 A CISD is a concept coined by Jeffrey T. Mitchell, Ph.D.,15 and has become an integral 

part of the International Critical Incident Stress Foundation (ICISF). It was originally 

meant to be applied among public safety, disaster response, and military and emergency 

service personnel by a skilled intervention team. The ICISF contends that a CISD can 

also be used with virtually any population, including children, when employed by a 

skilled intervener. Some researchers contend that “scientific studies have resulted in 

numerous calls for caution and restraint in the use of CISD.”15 16 FOH Definitions 

14
Diagnosis – The process by which a social, physical, emotional, or mental 

problem and its underlying causes are identified by the treating physician, 

counselor, etc. The process involves collection and analysis of relevant 

information17 and should be performed by a qualified licensed professional. 

Drug Abuse – An individual’s excessive use of substances (either legal or 

illegal) that are consumed in amounts hazardous to the health or safety of the 

person and/or community. 

Drug Addiction – A state of physiological dependence that results from the 

abuse of chemical substances. In the absence of the substance, an individual 

experiences symptoms of withdrawal.18 (See also Chemical Dependency) 

Drug Free Workplace – Those laws, regulations and policies emanating from 

Executive Order (EO) 12564 of September 15, 1986, and subsequently the DrugFree Workplace Act of 1988, that ordered Federal employees to refrain from 

using illegal drugs, whether on or off duty. It mandates that the head of each 

Executive agency shall develop a plan for achieving the objective of a drug–free 

workplace. Elements of the plan include establishing a program to test for the 

use of illegal drugs by employees in sensitive positions; training for managers 

and employees; and establishment of EAPs that emphasize high-level direction, 

education, counseling, referral to rehabilitation, and coordination with available 

community resources.19 

Employee Assistance Professional – An individual who assists the 

organization, its employees and their family members with personal and 

behavioral problems including, but not limited to health, marital, family, financial, 

alcohol, drug, legal, emotional, or other personal concerns which may adversely 

affect employee job performance and productivity. The specific activities of an 

EA professional may include any of the services described under the definition of 

Employee Assistance Program (below). EA Professionals providing clinical 

services must be licensed or certified in their state to provide these services.20 

Additional credentials may be required by the host organization. 

Employee Assistance Program – An EAP is a worksite-based program 

designed to assist in the identification and resolution of work-related and nonwork-related productivity problems associated with employees impaired by 

personal concerns including, but not limited to, health, marital, family, financial, 

alcohol, drug, legal, emotional, or other personal concerns which may adversely 

affect employee job performance. The specific core activities of EAPs include (1) 

 

17 COA, 7th Edition/Version 1.1, page 5, (modified with the additional phrase “by the 

treating physician, counselor, etc.” 

18 COA 

19 Executive Order 12564 and committee language. 

20 Ibid., page 8-9 

15
services for individuals (such as identification and resolution of job-performance 

issues related to an employee’s personal concerns, and assessment, referral, 

and follow-up); (2) services for managers and supervisors (such as assistance in 

referring employees to the EAP, supervisor training, and management 

consulting); (3) services for organizations (such as violence prevention/crisis 

management, group interventions, and employee orientation); and (4) 

administrative services (such as the development of EAP policies and 

procedures, outreach, evaluation, and referral resources development). 

Employee Assistance Program Administrator – The agency staff person 

responsible for managing all EAP related policies, procedures and services. This 

may include acting as the contracting officer’s technical representative (COTR), 

supervising staff, providing information about the EAP to agency employees and 

managers, and ensuring the quality of all services provided. The Administrator is 

usually a Federal employee entrusted to look out for the Government’s best 

interest and may also act as the EAP Liaison. 

EAP Liaison – Those individuals employed by the sponsoring Federal agency 

(host) who are responsible for ensuring that the EAP contract is administered in 

accordance with established policies and procedures.21

EAP Model – The method of delivering EAP services. While the types of 

services offered through the EAP may vary in breadth from agency to agency, 

they are typically delivered through one of 5 basic staffing models. These are: 

1. Internal model, where the EAP staff is comprised of Federal employees 

and there are no contractors involved. 

2. External model, where the sponsoring Federal agency has entered into a 

contract for an outside vendor to provide all EAP-related services. 

3. Blended model, where both Federal and contract personnel are involved 

in the delivery of EAP services. The Federal employees usually have the 

role of monitoring the EAP contractor’s services, billing, and performance, 

while also providing counseling and other administrative services. 

4. Consortium model, where a group of Federal agencies contracting with 

one agency or contractor to provide employee assistance services. 

5. Peer-Based Programs (or Peer Support Program) – An in-house 

program, typically delivered through trained peer/coworker volunteers. 

Usually offers education, training, and referrals. 

Employee – See Agency Population 

 

21 FOH Definitions 

16
Ethics – Formal principles or values for evaluating practices that are right or 

wrong, good or bad. Most professional organizations have ethical codes of 

conduct that define general standards of appropriate professional conduct.

Ethical Standards – A specific set of professional behaviors and values (code of 

ethics) the employee assistance professional must know and abide by, including 

confidentiality, accuracy, privacy, and integrity. A non-licensed EAP professional 

or counselor should, at a minimum, abide by the Employee Assistance 

Professionals Association (EAPA) Code of Ethics and Employee Assistance 

Certification Commission (EACC) Code of Professional Conduct. 

Evaluation – A qualitative or quantitative measure of EAP performance related 

to program goals. A process evaluation measures the activities associated with 

the daily operation of the program, such as number of employees seeking 

services, the waiting time between initial contact and help, and the number of 

consultation services resulting from supervisory referrals. An outcome

evaluation measures the results of EAP activities, such as return on investment 

and supervisor rating of employee’s performance after EAP intervention.22 

Fee-for-Service – Payment to providers/contractors, by a Federal agency, only 

for those EAP services rendered. Usually based on an hourly fee for services 

actually performed, such as counseling time, training hours performed, or time 

spent providing information. 

Fitness for Duty (FFD) – An employer’s determination of an employee’s 

preparedness to work. Fitness-for-duty policy and procedures are often 

associated with the use of alcohol or illegal drugs, yet may also deal with an 

employee’s general physical or mental readiness to perform in a particular 

position. FFD procedures may require medical and/or psychological evaluation 

of an employee, or drug testing of an employee exhibiting unusual or bizarre 

behavior. FFD procedures may be regulated by Federal law.23 Federal EAPs 

must exercise extreme caution in becoming involved in determining an 

employee’s fitness for duty, in order to avoid confidentiality, legal and other 

ethical entanglements, and should especially refrain from conducting a FFD on 

an employee who had previously been an EAP client. To further delineate FFD 

reporting, the EAP’s Statement of Understanding should highlight any reporting 

requirements the Federal (host) agency has required in this regard and explain it 

to each employee/client before EAP services are rendered. For further 

discussion on agencies’ authority to require or offer medical examinations see 

5CFR §339, “Medical Qualification Determinations.” Fitness-for-Duty 

determinations are to be distinguished from a counselor’s “duty to warn.” 

 

22 EAPA page 9 

23 EAPA, page 10, with committee narrative added at the end. 

17
Follow-up – One or more contacts with an EAP client to monitor progress and/or 

the impact of the EAP recommendations or referrals to treatment resources and 

to determine the need for additional services. Follow-up may consist of 

telephone contact, in-person interviews, written satisfaction and progress 

surveys/questionnaires, and a review of job-performance and attendance 

records. Follow-up is a monitoring process, not a therapeutic process such as 

aftercare.24 

Host Organization – The Federal agency or sub-agency that provides the 

resources to establish and support EAP services. 

Information and Referral – Data addressing specific subjects or community 

services a client has requested (e.g., psychologist, elder care, child care, legal 

referrals) and that the EAP has researched and provided to the client. 

Intake – The entry point at which a potential EAP client’s eligibility is assessed 

against established criteria and a preliminary evaluation of the presenting 

problem occurs.25 Usually the first appointment with the counselor is when the 

intake occurs. Intake usually begins in the first appointment with the counselor. 

Last-Chance Agreement – A signed agreement between an employee and the 

employing Federal agency, usually drafted by the employing agency’s Employee 

Relations unit, that specifies management’s expectations regarding the 

employee’s performance, conduct and attendance over a defined period. The 

agreement may require EAP participation and other treatment requirements and 

certain reporting requirements to management to demonstrate adherence to the 

agreement. Any failure to meet all the requirements of the agreement on the part 

of the affected employee may result in the employee’s termination. While such 

an agreement may mandate the employee to work with the agency’s EAP, an 

employee cannot be forced to accept EAP services. In the event an employee 

signs a last-chance agreement and later refuses to work with the EAP as the 

agreement requires, the agency may separate the employee for non-compliance.

Management Consults – Expert advice given to leaders, supervisors, human 

resources, and/or union representatives regarding the management of potential 

or actual performance and conduct concerns. One example is coaching a 

supervisor on how to refer an employee to the EAP. 

Management Referral – Referrals to the EAP that are initiated by an employee’s 

manager/supervisor because of performance or conduct concerns. Such 

referrals can be oral or in writing and are not considered disciplinary actions. 

 

24 Ibid.

25 COA page 7, with the additional words “a potential EAP client’s” were added. 

18
Mandatory Referral – A referral by the supervisor to the EAP for an employee’s 

positive drug test or other events designated by the agency. While this referral to 

the EAP is mandatory, there is no authority or requirement to compel an 

employee to partake of EAP services, which are voluntary. Failure to do so, 

however, may have adverse consequences for the employee. 

Non-Clinical Staff – EAP staff who typically are not certified, licensed or 

authorized to provide assessments, diagnosis or counseling services. They 

provide other types of support to the EAP such as conducting triage, providing 

referral information to clients, and providing training. 

No Show – A failed appointment, where the client failed to meet with the 

counselor as was previously agreed to. Usually in fee-for-service contracts, a 

“no show” may not be billed by the counselor/vendor. 

Opened Case – See Case 

Organizational Development – A professional process or activity designed to 

assist an organization, agency, or office to move from one level of performance 

or mode of operation to another in the shortest time possible. 

Outcome Goals – Expected results related to EAP services.26 Such goals might 

be a reduction in sick leave, improved organizational efficiency, etc. 

Outcome Measures – Standards by which outcome goals can be evaluated to 

determine whether goals have been attained. 

Peer Support Personnel – Federal employees who have volunteered to 

participate in an agency’s Peer Support Program. Peers are non-professionals 

who usually have a limited role in assisting their peers when there are traumatic 

events at work or other personal challenges. (See “EAP Model.”) 

Per-Employee Cost – The total cost of operating an EAP divided by the number 

of persons eligible for services. Total costs would include salaries, benefits, 

travel, rent, and other operational costs including contract costs. This is a 

measure by which a Federal agency can evaluate its EAP costs relative to the 

market place. Current information on pricing norms can usually be found through 

EAP professional associations such as the Employee Assistance Professional 

Association. 

Presenting Problem – The personal concern or issue as described by the EAP 

client prior to assessment by the EAP professional.27 

 

26 EAPA page 13. 

27 Ibid.

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Primary Problem – (See Assessed Primary Problem) 

Program Audit and Evaluation – The process conducted by experienced EAP 

counselors to review a Federal EAP to ensure that it is performing according to 

law, regulation, policy, procurement regulations and accepted standards of 

clinical practice. Such audits may be initiated by the EAP itself, by the Federal 

agency’s internal audit system or by an external EAP vendor. Federal agency 

audits and evaluations must ensure, at a minimum, the confidentiality of client 

records and conform to 42 CFR part 2, “Confidentiality of Alcohol and Drug 

Abuse Patient Records.” 

Quality Improvement – The process that assures an EAP has the means to 

evaluate its performance and improve that performance in order to deliver a 

quality service or product. The quality improvement plan is defined by the 

sponsoring Federal agency, the requirements of an EAP contract, or as may be 

developed by the contractor and sponsoring Federal agency. 

Referral – 

1. Self-referral – voluntary and confidential use of the EAP by an employee 

who suspects that he or she has an alcohol, other drug, emotional, and/or 

other personal concern. 

2. Formal or informal referral – referral to the EAP by a supervisor or other 

management official of any employee who has deteriorating job 

performance, time, attendance and/or conduct problems, either orally or in 

writing. 

3. Other referral - referral to the EAP of an employee by a union official, 

medical review officer, health unit, or through any means other than a selfreferral or a supervisory referral.28

Release of Information – A document signed and dated by a client, giving the 

EAP (counselor) permission to release specific information about the client, to a 

person outside the EAP. The release format should, at a minimum, reflect the 

provisions of 42 CFR part 2, subsection 2.31, Form of written consent. Some 

agencies may also be covered by HIPAA requirements. 

Return to Work Agreement – An agreement among an employee, the 

employee’s supervisor, the EAP, treatment provider and other parties as may be 

appropriate, to establish a set of conditions for the employee’s return to work. It 

is usually issued following extended leave for treatment for substance abuse or 

physical or mental illness. The conditions found in the agreement are usually 

related to duties, conduct, attendance and treatment scheduling. The agreement 

also states any consequences, if agreed-upon conditions are violated and what 

action the supervisor may take. A Return to Work Agreement should be drafted 

in consultation with the agency’s Employee Relations staff. 

 

28 FOH Definitions 

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Risk Management – A systematic process for evaluating and reducing potential 

harm that may befall personnel, consumers of service, an organization, or a 

facility. 

Session – A meeting between an EAP counselor and client, usually lasting 45 to 

50 minutes. 

Short-Term Counseling – See Brief/Short-term Counseling/Treatment 

Statement of Understanding – A document that describes the limits of 

confidentiality and the services available through the EAP. It is given to the 

employee at the beginning of the first session and must be signed prior to the 

employee receiving counseling. The elements of the statement must contain 

those reflected in 42 CFR part 2, subsection 290.ee-3, the Health Insurance 

Portability and Accountability Act (if applicable to the agency), and other unique 

circumstances about the EAP that should be disclosed to the employee. 

Supervisory Referral – See Referral 

System of Records Notice – A notice published in the Federal Register by a 

Federal agency with an EAP records system, announcing it has established and 

will retain EAP records. The Privacy Act (5 U.S.C. 552a) and OMB Circular A130 require a Federal agency to alert the public that it has established a system 

of records about individuals. “The term ‘system of records’ means any records 

under the control of any agency from which information is retrieved by the name 

of the individual or by some identifying number, symbol, or other identifying 

particular assigned to the individual.”29 The notice must explain what records are 

retained, how long they are retained, who the records holder is, and how EAP 

clients may access their EAP records, among other things. 

Telephonic Counseling – Counseling performed over the telephone either at 

the request of the EAP client, due to situational circumstances, or based on the 

EAP model offered by the sponsoring (host) Federal agency.30 

Treatment – The process through which a patient receives services designed to 

resolve mental health and/or substance abuse problems.31 Treatment is the 

 

29 The Privacy Act of 1974; 5 U.S.C. ss 552a, as amended 

30 Telephonic counseling allows for quick and timely services, but lacks human 

interaction and fails to assess body language which can affect clinical conclusions. When 

licensing is an issue it raises additional confusion when the client being served is out of 

state and the license held by the counselor is issued by a different state. This is more of 

an issue when the EAP client is not an employee (family member or significant other) 

and raises liability concerns for the Federal agency and other affected entities. 

31 EAPA Glossary, 1994, page 6 

21
22

 

application of some form of intervention to mitigate or eliminate some identified 

ailment. Traditionally, in mental health it is in the form of medication or talk 

therapy (counseling). In the EAP context, treatment and counseling are 

interchangeable terms, since mental health counseling also is designed to 

resolve mental health and/or substance abuse problems. (See also Counseling 

Services). 

Unit Cost – A calculation of the price or value of a fixed amount or unit of service 

that takes into account the sum of all organizational expenditures involved in the 

provision of that service.32

Utilization Rate – The annual rate at which EAP services are being utilized by 

those eligible for services. There are separate utilization rates for each of the 

services offered by the EAP (such as assessments of individuals, family member 

use, training attendance). There are formulas for determining utilization rates in 

each of these areas. In the first example (individual employee utilization), the 

formula would be: Number of employee cases opened in this reporting year 

divided by the number of employees who were eligible to participate in the EAP 

during this reporting year x 100. These rates are typically compared to 

benchmarks in the EAP industry. 

32 COA, page 12.