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Case Management
Case Management
An Introduction to Concepts and Skills
FOURTH EDITION
A RT H U R J. F R A N K E L , S H E L D O N R . G E L M A N , A N D
D I A N E K . PA S T O R
1
1
Oxford University Press is a department of the University of Oxford. It furthers
the University’s objective of excellence in research, scholarship, and education
by publishing worldwide. Oxford is a registered trade mark of Oxford University
Press in the UK and certain other countries.
9 8 7 6 5 4 3 2 1
Printed by WebCom, Inc., Canada
CONTENTS
M A N AG E D C A R E V E R SU S C A S E M A N AG E M E N T 5
W H O D O E S C A S E M A N AG E M E N T A N D I N W H AT S ET T I N G S ? 6
W H E R E D O E S C A S E M A N AG E M E N T T R A I N I N G O CCU R ? 7
C A S E M A N AG E M E N T CL I E N T P O P U L AT I O N S 9
C A S E M A N AG E M E N T F U N CT I O N S 12
C A S E M A N AG E M E N T M O D E L S 14
C A S E M A N AG E M E N T TA S K S 15
CO N F I D E N T I A L I T Y I S SU E S 17
T H E P R O CE S S O F C A S E M A N AG E M E N T 18
ST E P S I N T H E C A S E M A N AG E M E N T P R O CE S S 19
F O R T H E T E ACH E R O R T R A I N E R : O P T I O N A L E X E R CI S E S F O R
CH A P T E R 2 27
v
vi Contents
CR I S I S I N T E RV E N T I O N 29
S H O RT-T E R M T R E AT M E N T I N T E RV E N T I O N S 31
B R O K E R /FACI L I TATO R 32
A DVO C AT E 35
S E RV I CE CO O R D I N ATO R 37
OV E R S I G H T A N D P U R CH A S E- O F - S E RV I CE CO N T R ACTS 39
F O R T H E T E ACH E R O R T R A I N E R : O P T I O N A L E X E R CI S E S F O R
CH A P T E R 3 40
D ET E R M I N I N G T H E S E V E R I T Y O F T H E P R O B L E M 42
D E V E L O P I N G H Y P OT H E S E S CO N CE R N I N G W H Y T H E P R O B L E M I S
O CCU R R I N G 43
E STA B L I S H I N G G OA L S 44
D E V E L O P I N G A N D I M P L E M E N T I N G A S E RV I CE I N T E RV E N T I O N
PL AN 46
E VA LUAT I O N 47
T E R M I N AT I O N 48
F O L L O W-U P 50
F O R T H E T E ACH E R O R T R A I N E R : O P T I O N A L E X E R CI S E S F O R
CH A P T E R 4 50
B A S I C I N T E RV I E W I N G S K I L L S 57
AT T E N D I N G TO P E R S O N A L I S SU E S A N D CO M M O N A L I T I E S 58
F O CU S I N G A N D F U RT H E R I N G 62
SU M M A R I Z I N G 63
Contents vii
E M PAT H Y, P R A I S E , A N D SU P P O RT 63
S ET T I N G B O U N DA R I E S 66
F O R T H E T E ACH E R O R T R A I N E R : O P T I O N A L E X E R CI S E S F O R
CH A P T E R 5 68
M ET H O D S O F P R O B L E M I D E N T I F I C AT I O N 76
E STA B L I S H I N G P R O B L E M S E V E R I T Y 77
H Y P OT H E S I S D E V E L O P M E N T 78
G OA L S ET T I N G 82
F O R T H E T E ACH E R O R T R A I N E R : O P T I O N A L E X E R CI S E S F O R
CH A P T E R 6 85
N EG OT I AT I O N 92
R ECO R D K E E P I N G 94
E VA LUAT I O N O F C A S E M A N AG E M E N T P R ACT I CE 96
F O R T H E T E ACH E R O R T R A I N E R : O P T I O N A L E X E R CI S E S F O R
CH A P T E R 7 99
H I STO RY O F N U R S I N G C A S E M A N AG E M E N T 104
C A S E M A N AG E M E N T K N O W L E D G E A N D S K I L L S 105
H O W TO B ECO M E A N U R S E C A S E M A N AG E R 106
CO N CE P T UA L M O D E L O F C A R E 106
R O L E CO M P O N E N TS 107
N AT I O N A L CE RT I F I C AT I O N 109
E M P L OY M E N T 110
I N T EG R AT I O N O F T ECH N O L O G Y 111
I N T E R P R O F E S S I O N A L P R ACT I CE 112
CU R R E N T I S SU E S 113
P R O F E S S I O N A L R E S O U R CE S 114
viii Contents
H E A LT H C A R E A N D CH R O N I C I L L N E S S 121
M E N TA L H E A LT H A N D CH R O N I C M E N TA L I L L N E S S 123
A D D I CT I O N S 125
CH I L D W E L FA R E 128
G E R I AT R I CS 131
CR I M I N A L J U ST I CE 132
H I V /A I D S 133
T H E M I L I TA RY A N D V ET E R A N S 136
F O R T H E T E ACH E R O R T R A I N E R : O P T I O N A L E X E R CI S E S F O R
CH A P T E R 9 139
C A S E L OA D S 143
D O S AG E 144
STA F F T U R N OV E R 146
CO ST- C O N TA I N M E N T O R P R OV I D E R-D R I V E N P O L I CI E S V E R SU S
CL I E N T-D R I V E N O R G A N I Z AT I O N A L P O L I CI E S 147
V I S I O N S : P L E A S E , W O N ’ T YO U B E M Y N E I G H B O R ? 148
C A S E M A N AG E M E N T A N D D I R ECT CL I N I C A L S E RV I CE S 158
F O R T H E T E ACH E R O R T R A I N E R : O P T I O N A L E X E R CI S E S F O R
CH A P T E R 10 164
References 167
Case Management Source Guide 177
Index 181
FOREWORD
Barbara Lutz
ix
x Foreword
The nurse case manager role has become more important in the United
States during past decade with healthcare reform and changes in insurance and
Medicare/Medicaid reimbursement strategies. Policymakers, recognizing the
need to reduce healthcare costs while maintaining quality of care, have identified
the importance of implementing case management strategies for vulnerable
populations with chronic illness. There are many models of nursing case man-
agement being tested across the United States with a goal of improving patient
outcomes while reducing costs. This book provides us with some useful infor-
mation and strategies for accomplishing this important task.
The chapter also highlights the different role components of the nurse case
manager, which include case finding, problem identification, goal setting, pla-
nning, clinical decision-making, health education, care coordination, and advo-
cacy and empowerment. The nurse case manager focuses on providing disease
management education, medication instruction and reconciliation, and com-
munication strategies, while also helping patients and caregivers navigate com-
plex, and often fragmented, healthcare systems.
Types of national certification for nurses interested in case management are
also discussed.
The collaboration of social work and nursing case managers is emphasized,
including a case study that provides an excellent example. It is clear that both
professions address the needs of individuals and families with complex medical
and social needs such as acute exacerbations of chronic illness, medication issues,
access to primary care, homelessness, hunger, availability of financial benefits,
and assessment of mental health issues. The chapter also provides examples of
other collaborative opportunities for case managers such as the Medical-Legal
Partnership. The book is an excellent introductory text to case management
practice and skills and would be a great addition to the libraries of practicing
social workers and nurses who are serving vulnerable populations or as a course
text to introduce case management principles to new healthcare professionals.
Dr. Barbara Lutz, PhD, RN, APHN-BC, CRRN, FAHA, FNAP, FAAN, is the
McNeill Distinguished Professor in Nursing at the University of North Carolina
Wilmington.
PREFAC E TO T HE FOURT H EDI T ION
xi
PREFAC E TO T HE T HIRD EDI T ION
As when we did the second edition, we feel honored that this book continues
to be read by new generations of case managers. This third edition includes ad-
ditional content on record keeping and accountability and adds a section about
a new and important area of case management practice with the military and
veterans. Given the many stresses that the men and women are experiencing
who serve in the armed forces, along with their families, it has never been more
important to provide them with the unique services that case management can
provide. In addition, a section has been added describing a new challenge facing
case managers when they are involved in programs where mental health services
are offered. With the publication of this book not only in English but also in
Korean and Japanese, we hope that this book continues to be part of a move-
ment that celebrates the skills and importance of case management services
around the world.
xiii
PREFAC E TO T HE FIR ST EDI T ION
xv
ACKNOWLEDGMENTS
xvii
ABOUT T HE AUT HOR S
Sheldon R. Gelman, PhD, MSL, MSW, is professor emeritus and Dorothy and
David I. Schachne Dean Emeritus at the Wurzweiler School of Social Work of
Yeshiva University in New York City. Formerly a professor in and director of the
baccalaureate social work program at Pennsylvania State University, he earned
his bachelor’s degree in psychology and his master’s degree in social group work
at the University of Pittsburgh. He received his PhD in welfare planning from
the Heller School of Brandeis University and his MSL (master of studies in
law) from Yale University Law School. Professor Gelman is a member of the
Academy of Certified Social Workers, and a fellow of the American Association
on Intellectual and Developmental Disabilities and the New York Academy
of Medicine. He has published numerous articles dealing with the impact of
legislative policies on the delivery of social services as well as accountability in
service delivery.
xix
xx About the Authors
He has held office and served on national commissions and on the boards of
the Council of Social Work Education, the American Association on Intellectual
and Developmental Disabilities, and the National Association of Social Workers
(NASW). He served as a member of the National Board for Case Management
from 2012 to 2016. Dr. Gelman serves as a consultant and staff development
resource to a range of public and voluntary social welfare organizations inter-
ested in improving the quality of their services and in developing procedures
and practices that reduce liability exposure. He has served as an expert witness
in more than a dozen cases involving social service agencies. In 2009 he was
named a “Social Work Pioneer” by the NASW.
1
CASE MANAGEMENT
PRACTICE
CHAPTER 1
The Evolution of Case Management
Practice
Case management as a way of helping people has a long and rich history. At the
very beginnings of social work, in the settlement house days in New York and
Chicago, social workers guided families needing help into existing private and
public support networks, meager though they might have been. When resources
were not readily available, social workers helped mobilize their communities
for social action. They effectively lobbied for new and innovative ways to sup-
port the poor, the infirm, immigrants, families, and children. Today we may talk
about generalist or foundation practice, the systems approach, methods of case-
work, groupwork, community organization, and various practice theories, but
a rose by any other name is still a rose. The history of social work is filled with
practitioners who worked with their clients using the same case management
methods used today—they just didn’t call it case management.
Over the last 40 years, the term “case management” has been widely applied
to describe a process or method of service delivery and a set of roles assumed
by service providers. Case management approaches have been utilized in med-
ical or healthcare facilities, with elderly clients, substance abusers, the chroni-
cally mentally ill, the developmentally disabled, AIDS patients, inmates released
from prisons, child welfare cases, employment training and employee assistance
programs, and at-risk populations, including victims of human trafficking.
Case management, which is sometimes referred to as “clinical case manage-
ment,” “service coordination,” or “comprehensive psychosocial enhancement,”
has two essential and often conflicting purposes: (a) improving the quality of care
to vulnerable populations and (b) controlling the costs of such care. While the
focus of case management is linking a client to needed services, other elements
involve advocacy and social action (Ballew & Mink, 1997). Case management
3
4 Case Management
can also serve as a means of assuring the accountability of service providers and
systems (Gibelman & Gelman, 2005).
Historically, there have been many definitions of case management.
Generically, it is a way of helping people identify the areas where they need help
and connecting them to the personal and community resources that will help
them (Rubin, 1992a). It is a systematic problem-solving process that enables
and facilitates individuals in their interaction with their environment. According
to the National Association of Social Workers (1984; NASW), “Case manage-
ment is a mechanism for ensuring a comprehensive program that will meet an
individual’s need for care by coordinating and linking components of a service
delivery system.” According to Dinerman (1992), “It is a function designed
to arrange for, and to sequence, needed services of different sorts by various
providers on behalf of a client or client family.” Case management involves the
engagement of a client in a system of services by an accountable professional.
According to the American Association on Mental Retardation (1994)—now
the American Association of Intellectual and Developmental Disabilities—
“Service coordination (case management) is an ongoing process that consists of
the assessment of wants and needs, planning, locating and securing supports and
services, monitoring and follow-along” (see also Summers, 2008; Woodside &
McClam, 2005). The individual or family is the defining force of the service co-
ordination process.” In the words of the National Conference on Social Welfare
(1981), “Case management is a growing, evolving process which is shaped by
forces in the environment in which it exists.” NASW (1992) views case manage-
ment as the link between the client and the service delivery system. Social work
case management practice is built on a bio-psycho-social model that addresses
strengths and challenges in systems impacting various populations (NASW,
2016). One can see from these definitions that case management is the glue that
binds a fragmented array of services to the unique and changing needs of clients.
Case managers become experts on community resources that might help their
clients, including government entitlements, charities, job openings, education,
child care, legal aid, housing, transportation, and recreational opportunities.
Case managers know the procedures clients need to follow in applying for
and receiving help. Sometimes, when necessary services are not available, case
managers initiate strategies to help communities develop new resources and sys-
tems for their clients.
Effective case management requires that a comprehensive and coordinated
array of appropriate services be available and accessible within a realistic and
appropriate time frame. Without such a system, case management is only an ad-
ministrative tool that manages clients’ access to services. Case management is
not just a linking mechanism but also a principle that guides the provision of a
full range of needed services. Unfortunately, service networks rarely meet this
The Evolution of Case Management Practice 5
its focus on linking clients to services, tries to obtain the most appropriate and
cost-effective help for them. Managed care programs review and intervene in
decisions about what services are provided, influence or limit who the provider
will be, and predetermine the payment for the provider.
Managed care systems, which include health maintenance organizations,
point-of-service plans, and preferred provider arrangements, have come to
dominate the delivery of healthcare in this country. They are also the primary
method of financing mental health and substance abuse services and are rap-
idly becoming the way public agencies contract with private organizations that
provide specialized services for children and the elderly. Managed care plans are
characterized by a preauthorization requirement to qualify for a particular serv
ice, precertification for a given type or amount of service, concurrent review of
the service and the client’s response, utilization review and discharge planning
procedures, prospective pricing, service bundling, network development, peer
review, and a capitation system of payment (Reynolds, 2000).
While case managers need to be aware of the all-enveloping managed care en-
vironment, it is not the authors’ intent to focus on managed care in this volume.
For those interested in expanding their knowledge and skill in this area, we
suggest the following resources: Birenbaum (1997), Cohen (2003), Corcoran
and Vandiver (1996), Dziegielewski (1998), Edinburg and Cottler (1995),
Franklin (2002), Franklin and Lagana-Riordan (2009), Gibelman (2002),
Jackson (1995), Mizrahi (1993), NASW (1993), Perloff (1996), Schamess and
Lightburn (1998), Shera (1996), Strom-Gottfried (1996), Vandiver (2008),
Winegar (1996), and Zabora (2009).
FOOTNOTES:
[5] Speech of M. Guizot in the chambre des députés.
[6] The general feeling of disgust and bitterness with which all
travellers, who are natives of Great Britain or of the United States,
speak of the vexations they are compelled to undergo from the
formalities and exactions to which they are subjected in obtaining
signatures to passports on the continent, need not be dwelt upon.
Much ill blood, more delay, not to speak of expense, are created
by the insolence and legalized robbery of official persons, into
whose hands the defenceless traveller falls in the fulfilment of
these formalities. Passports are the alpha and omega of a man’s
trouble on a continental journey.
In some particular cases, it may even be affirmed that the
exercise of consular authority in reference to passports amounts
to actual illegality. Captain B., an Englishman, in the winter 1836-
7, was about to leave the Sardinian States, and made his
arrangements accordingly, but neglected to settle a debt which he
had contracted at a shop kept also by an Englishman. The
creditor immediately went to the English vice-consul, and
requested he would not deliver the captain’s passport until the bill
was paid: and it was accordingly stopped, although Captain B.
had taken his passage by the steamboat. This case is by no
means singular; for many English consuls consider themselves
justified in acting in the same way under similar circumstances.
Now, the question at issue is—has a consul a right to do this? The
answer will be found in the fact that no such right is known to the
English constitution, and that, therefore, the conduct of the consul
is unconstitutional and illegal. The British government has no
power over the movements of an individual, except under the
warrant of a magistrate. English legislation knows nothing of
passports, except as a usage resorted to by foreign governments,
to which British subjects must submit while they are within the
range of their operation. But the consul, as a British officer, cannot
recognize a passport otherwise than as a formality exacted by the
government of the country in which he resides; he cannot, without
laying himself open to a serious responsibility (which it is a great
pity he should not be made to discharge) employ a passport as
an instrument for the detention or arrest (for such it amounts to, in
fact) of any free-born subject of Great Britain. Even the British
consul at Havre did not feel himself authorised to stop Mr.
Papineau’s passport on his way to Paris, although Mr. Papineau
was denounced as a traitor and an outlaw by the British
government.
Captain B.’s creditor ought to have applied to the Piedmontese
police, and not to the English vice-consul, who was a native of the
place. And this is one of the crying evils of our consular system.
Instead of appointing meritorious half-pay officers, or other
deserving gentlemen, born in Great Britain, to such offices, we
frequently bestow them upon inhabitants of the place, who are
bound by religious, social, and domestic ties, to prefer the
interests of the country in which they live to those of the country
which they represent, and who hold in much greater fear and
respect the local authorities of the neighbourhood than the distant
authority to which they owe no allegiance beyond that of official
forms, which they can in most cases violate or misrepresent with
impunity. Our consular system is open to many objections, but
this is one of the most palpable and disgraceful.
[7] The defection of the Ottoman fleet to Mahomet Ali and the
treachery of the Captain Pasha furnish a remarkable illustration.
One cannot but be struck with the extraordinary fact of a whole
crew’s not having, in hint or word, given the slightest intimation to
Captain Walker of what was going on. Slight as may have been
his knowledge of the Turkish language, yet one would have
supposed some expression let fall must have betrayed their
intention. He must have had servants likewise, who, mixing with
the ship’s company and with the servants of the officers, might
have heard some allusion dropped as to the council held to
deliberate on so important a measure. But the newspapers said
he was ignorant of the plot up to the last moment: and from my
own experience I can believe such a thing very readily.
chapter iii.
Lady Hester’s mode of life—Boghoz Bey—The insurrection of the Druzes—
Character of the Emir Beshýr—Ibrahim Pasha—Lady Charlotte Bury—
Preparations for the reception of Prince Pückler Muskau.
FOOTNOTES:
[8] A collection of the Arabic letters which she had received from
people of all classes and on all subjects would have been very
valuable to the Oriental scholar: but these were also burned at
various intervals.
[9] “There is perhaps not one mother in ten thousand, who, before
becoming such, has ever inquired into the nature and wants of
the newly-born infant, or knows on what principle its treatment
ought to be directed.”—Physiology of Digestion, by Andrew
Combe, M.D., p. 232, 2nd edition.
[10] It may be mentioned that Suliman Pasha is considered as the
most efficient general in Syria, and, in difficult situations, he is
supposed to direct the movements of the army. Ibrahim Pasha
passes for being jealous of him, but unable to do without him.
[11] On returning to Europe, I discovered that this novel, although
edited by Lady C. Bury, was the production of another lady, Mrs.
C. Gore. Nevertheless, the observations made on it and on its
supposed author are retained, in the hope that each of these
highly-gifted persons, as well as the reader, will be amused in
hearing Lady Hester’s comments, made in a different spirit from
that which animates a critic in our periodical reviews.
[12] I have often thought it must have been Mr. Roberts, who, in
his “Views of Syria,” has given such a beautiful drawing of Lady
Hester’s house, notwithstanding that the surrounding scenery is
somewhat embellished by the painter’s imagination; there being
no river at the foot of the mount, but only a watercourse always
dry, excepting after heavy rains.