Standards for private organizations

2020 Edition

Employee Assistance Program Services (EAP) 11: Case Closing

Case closing is a planned, orderly, client-centered process.

Interpretation

The EAP should clearly define a "case", including what constitutes a new case, a closed case, and a re-opened case, and should be able to articulate how case closure impacts service utilization reports. Established protocols and mechanisms for determining when a case is closed will be based on the EAP’s unique business practices, service model, and/or contractual obligations.
2020 Edition

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Purpose

Employee Assistance Programs help organizations achieve business health and productivity goals, and support individuals working to maintain or improve their productivity, functioning, and pro-social behavior, as well as remain at or return to the workplace.
1
All elements or requirements outlined in the standard are evident in practice, as indicated by full implementation of the practices outlined in the Practice Standards.
2
Practices are basically sound but there is room for improvement, as noted in the ratings for the Practice Standards; e.g.,   
  • Minor inconsistencies and not yet fully developed practices are noted; however, these do not significantly impact service quality; or
  • Procedures need strengthening; or
  • With few exceptions, procedures are understood by staff and are being used; or
  • Proper documentation is the norm and any issues with individual staff members are being addressed through performance evaluations and training; or
  • In a few instances, the organization terminated services inappropriately; or  
  • Active client participation occurs to a considerable extent; or
  • A formal case closing evaluation is not consistently provided to the public authority per the requirements of the standard.
3
Practice requires significant improvement, as noted in the ratings for the Practice Standards. Service quality or program functioning may be compromised; e.g.,
  • Procedures and/or case record documentation need significant strengthening; or
  • Procedures are not well-understood or used appropriately; or
  • Services are frequently terminated inappropriately; or  
  • Aftercare planning is not initiated early enough to ensure orderly transitions; or
  • A formal case closing summary and assessment is seldom provided to the public authority per the requirements of the standard; or  
  • Several client records are missing important information; or
  • Client participation is inconsistent. 
4
Implementation of the standard is minimal or there is no evidence of implementation at all, as noted in the ratings for the Practice Standards; e.g.,
  • No written procedures, or procedures are clearly inadequate or not being used; or 
  • Documentation is routinely incomplete and/or missing. 
Self-Study EvidenceOn-Site EvidenceOn-Site Activities
  • Case closing procedures
No On-Site Evidence
  • Interviews may include:
    1. Program director
    2. Relevant personnel
    3. Clients
  • Review client records

EAP 11.01

Case closing is a clearly defined process that actively involves the client, as appropriate.

Interpretation

Some clients may only receive 1-2 counseling sessions and thus case closing activities may be minimal in order to meet the client's need for brief support and interest in continuing to receive services.

EAP 11.02

Case closure is based upon the following: 
  1. clinically appropriate EAP services, for which the client is eligible, have been made available to and/or used by the client;
  2. follow-up has been offered and/or completed; and
  3. clinically appropriate treatment aftercare recommendations have been provided, as appropriate.

Interpretation

The EAP counselor should follow-up with the client to determine whether post-EAP services were received.