KEEPING PARTICIPANT RECORDS ______ WHAT DO YOU NEED

KEEPING PARTICIPANT RECORDS ______ WHAT DO YOU NEED TO KNOW

SESSION OBJECTIVES n n n Provide suggestions for Youth. Build File Structure Review Documentation Expectations Show the relationship between file systems and good case management practices

SOME GENERAL PRINCIPLES n n The grantee has flexibility in establishing its own internal procedures for eligibility Information in files should serve a purpose. Either to: q q q n n Better provide participant services, or Help run the project, or Verify compliance with grant provisions Files should be accessible to those that need them Seek to balance these ends and to simplify where possible

VARIOUS TYPES OF FILES n n n Participant Case Management Files Youth. Build Electronic MIS Records Personnel Files q q n Academic Files q q q n W-2 , Benefits Personnel Actions Class attendance Quizzes Grades Training Files q Skills learned q Injury Reports q Time Sheets

Security n n All Participant File information should be stored in a locked cabinet; Programs should assign one person, or position (Case Manager) to track and monitor these files. Participant Name

THE BI-LEVEL CASE MANAGEMENT APPROACH: n Requires Both 1. 2. Administrative Roles and Direct Service Roles

1. Administrative Roles n n n To design an service delivery process To prepare written procedures To empower case managers to obtain the services needed To revise ways of operating if they are not working to the participant’s best interest To accomplish the program and funding source’s requirements and objectives

2. Direct Service Roles: Work with and for the Participant: n To identify participant’s strengths and needs n To translate these into a set of goals n To develop a plan of action (IDP) n To provide a “customized” set of services n To accomplish the participants’ goals n To maintain complete, accurate records that are useful for coordinating services

THE CASE MANAGEMENT CONTINUUM: I) Intake & Assessment II) Service Planning III) Service Provision IV) Placement V) Follow-Up

SUGGESTED FOLDER COMPARTMENTS Following the flow of the continuum FILE CONTENTS CHECKLIST INTAKE AND ELIGIBILITY VERIFICATION ASESSMENT DOCUMENTS ----INDIVIDUAL SERVICE STRATEGY [ISS] PARTICIPANT AGREEMENTS REFERRAL & OUTCOME DOCUMENTS CASE NOTES

1. INTAKE AND SUGGESTED FOLDER COMPARTMENTS ELIGIBILITY VERIFICATION INTAKE AND ELIGIBILITY VERIFICATION Participant Profile Eligibility ASESS- Age INDIVIDPARTICI MENT Disadvantaged UAL PANT DOCUSERVICE AGREE Drop Out MENTS STRATEGY MENTS 25% Exemption [ISS] Eligibility Checklist Form Selective Service Eligible to Work: • I-9 Form CASE NOTES

Sample MIS Intake Form

Youth. Build Income Eligibility Criteria Between the ages of 16 and 24 on the date of enrollment; AND n A member of a disadvantaged youth population such as q a member of a low-income family, OR q a youth in foster care (including youth aging out of foster care), OR q a youth or adult offender, OR q a youth who is an individual with a disability, OR q a child of an incarcerated parent, OR q a migrant youth; AND a school dropout (may re-enroll in alternative school as part of sequential service). n

HUD INCOME TABLE EXAMPLE STATE: WISCONSIN --------------I N C O M E L I M I T S-------------- PROGRAM 1 PERSON 2 PERSON 3 PERSON 4 PERSON 5 PERSON 6 PERSON 7 PERSON 8 PERSON Appleton, WI MSA FY 2008 MFI: 68600 30% OF MEDIAN 14400 16500 18550 20600 22250 23900 25550 27200 VERY LOW INCOME 24000 27450 30850 34300 37050 39800 42550 45300 LOW-INCOME 38450 43900 49400 54900 59300 63700 68100 72450 LOW-INCOME 38450 43900 49400 = 80% of Median HUD Website link for FY 2008 income limits: http: //www. huduser. org/datasets/il/il 08/index. html

Eligibility: Family Income levels can be established through information contained within the following documents: • Pay Stubs • Bank statement (direct deposit) • Employer statement/contact • Parents tax return if under 18 • Tax Return if over 18 or emancipated • Public assistance records/ receipt (TANF/Food Stamps) • Documentation from Social Security Medical card • Refugee Assistance records • Public Housing Authority • Written statement from an individual providing temporary residence or a shelter (homelessness/ runaway) • Court documentation / contact verification of payment made on behalf of youth (supported foster child/court supported)

Sample Income Worksheet FAMILY MEMBER John Mary James FAMILY SIZE= RELATIONSHIP WAGES-6 Mos. Pension Other Income Father $ 4, 000 0 0 Mother $1, 500 0 0 $ 500 0 0 Participant 3 TOTAL INCOME = $6, 000 6. mos Needs to be an Eligibility checklist that covers all the options! < 80% of Low. Income X Yes__ No__

Self-Attestation n In situations where a youth is not able to provide proof of family income, “self-attestation” can be utilized to document low-income status. For example: q homeless, q living in a shelter, q living with a friend and no contact with family members, q not listed as a dependent on a tax return. n The applicant can prepare a statement that documents: q their current living situation / reason for lack of income, q offer evidence of any personal earnings (i. e. a parttime job). q an intake counselor or case manager can witness this.

Eligibility: Selective Service • Internet verification/registration (www. sss. gov) Selective Service If you • are a man ages 18 through 25 and Letter/Registration Letter living • in the U. S. , then. Transfer or register DD-214 Report of you must with Selective Service. It’s the law. • Discharge from Military Service; • Board/State Registration • Stamped Post Office Receipt of Registration; or • Telephone Verification: (847688 -6888)

Eligibility: Youth is enrolled under the 25% exemption: Basic skills deficient. No HSD. Might not be disadvantaged. 1. Youth has been referred by a local secondary school to a Youth. Build program to attain a secondary school diploma. A referral from a high school guidance counselor/other academic professional

Eligibility: Enrolled under the 25% exemption: Basic skills deficient graduate OR 2. Verification youth has a diploma or other State-recognized equivalent and is basic skills deficient • Youth tests at or below the 8 th grade level on a generally accepted standardized academic test (regardless of the attainment of a diploma)

2. ASESSMENT DOCUMENTS SUGGESTED FOLDER COMPARTMENTS ----INDIVIDUAL DEVELOPMENT PLAN [IDP] INTAKE AND ELIGIBILITY VERIFICATION ASESSINDIVIDPARTICI • Objective Assessments MENT Career Assessments PANT UAL • DOCU-Literacy/Numeracy Testing SERVICE AGREE • MENTSInformal Assessment MENTS STRATEGY • [ISS] • Individual Development Plan CASE NOTES

Assessment Tools n Formal Assessments: q q q Professionally developed tests – information on basic education: • math • academic skills • life and occupational skills • work readiness • reading interests and aptitudes Process is on-going.

Informal / Formal Assessment Tools n Informal Assessments – less intimidating but more subjective q structured questioning – asked in a friendly, caring way q observations – about work readiness, problems and barriers. Could include during pre-enrollment screening.

Individual Development Plan n n Based on objective assessments Contains both long- and short-term goals q Measurable, time specific, realistic, action based Includes employment and career goals, and goals for overcoming barriers to success Identify various services for accomplishing goals

Examples of Goals Jim will prepare a resume and get a good job. Jim’s long term-goal is to obtain employment as an automobile mechanic by June 2011. Jim’s short term objectives are to: successfully complete a job readiness workshop by July 2010, and successfully complete a community college automotive technician certificate program by August 2010.

3. PARTICIPANT SUGGESTED FOLDER COMPARTMENTS AGREEMENTS INTAKE AND ELIGIBILITY VERIFICATION Receipt for participant handbook, etc. ASESSINDIVIDPARTICIEqual opportunity notices MENT UAL PANT Authorization to obtain or DOCUSERVICE AGREE release information MENTS STRATEGY Publicity release [ISS] Ameri. Corps contract CASE NOTES

Equal Opportunity Notice • Required by WIA regulations 29 CFR Part 37. 29 • Must name Equal Opportunity Officer (EOO) and DOL Civil Rights Center • Must be verbatim

4. REFERRAL SUGGESTED FOLDER COMPARTMENTS & OUTCOME DOCUMENTS INTAKE AND ELIGIBILITY VERIFICATION Referral for service forms Correspondence from other entities such as courts ASESSINDIVIDPARTICIBefore and after basic skill MENT UAL PANT tests DOCUSERVICE AGREERecognized certifications: MENTS STRATEGY MENTS GED, HSED, NCCER, or [ISS] PACT Non-DOL certifications Employment verification Post-secondary placements CASE NOTES

Placement Verifications Employment • Letter from employer • Paystubs from employer • 1 st qtr. after completion, 2 nd qtr. , and 3 rd qtr. Post-secondary School • Letter, class schedule, or bursar receipt for 1 st quarter after completion, 2 nd qtr. , and 3 rd qtr.

5. CASE NOTES SUGGESTED FOLDER COMPARTMENTS INTAKE AND ELIGIBILITY VERIFICATION Track progress meeting IDP goals Ongoing assessment of needs ASESSINDIVIDPARTICIRecord of contacts MENT DOCUMENTS UAL SERVICE STRATEGY [ISS] PANT AGREEMENTS CASE NOTES

Case Notes: What to document • There should be entries documenting if a youth is experiencing problems or successes. • Any conversations or meetings with the participant should be documented, include ing those requiring disciplinary actions.

Case Notes: Referrals All referrals to other service providers are documented including follow-up responses (letters from other providers, copies of assessments from other providers, indication of no-shows for a referral, etc. )

QUESTIONS ? ? ?

THE END

Case Management Resources n ETA CASEMANAGEMENT TOOLKIT http: // www. doleta. gov/youth_services/Toolkitimprove. cfm n BLS ON-LINE COUNSELING RESOURCES FOR YOUTH http: //www. bls. gov/k 12/index. htm Jack Mac. Lennan Federal Project Officer 312 -596 -5494

I– 9 Form

Contact information The following are some examples of contact information for case managers to collect and continually update: • Addresses, telephone numbers, home and cell for participant, parent or guardian, and contact for emergency;

Components of Objective Assessments n Identifies career options: strengths and assets q abilities, aptitudes and interests q occupational and employability levels. q n Assesses barriers that interfere with success

Eligibility: Proof of Identity and age at the time of enrollment • Driver’s license or Government Identification Card • School Records/ School Identification Card • Birth Certificate • Hospital Birth Record • U. S. Passport • Naturalization Certificate Calculation showing age on date of enrollment

Eligibility: Disadvantaged Youth Current foster youth or youth aging out of foster care • Court contact/ documentation • Social Services contact/ documentation • Medical Card • Verification of payment made on behalf of the youth

Eligibility: Disadvantaged Youth with a disability • Social Security Administration Disability Records statement • Academic records • Medical records • Physician statement

Eligibility: Disadvantaged Youth with a disability • Social Security Administration Disability Records statement • Academic records • Medical records • Physician statement

Eligibility: Disadvantaged Youth Migrant youth • Employer statement • Wage records/ family Wage records • Work permits Child of an incarcerated parent • Court records • Applicant statement

Eligibility: Current foster youth or youth aging out of foster care Youth is in the foster care system or aging out of the foster care system • Court contact/ documentation • Social Services contact/documentation • Medical Card • Verification of payment made on behalf of the youth

Eligibility: Youth is an individual with a disability (includes learning disabilities) Verified disability as defined in Section 3 of the Americans with Disabilities Act of 1990 • Social Security Administration Disability Records • Academic records • Medical records • Physician statement

Eligibility: Youth/ Adult Offender An offender or involved with the criminal justice system • Court documentation • Resident of a detention facility, group home, or restricted state run facility • Letter of parole/probation officer • Police records • Applicant statement

Eligibility: Migrant youth worker or part of a family of migrant workers • Employer statement • Wage records • Work permits

Eligibility: School Drop Out Youth is no longer attending school • Letter/ documentation from the school stating the youth has dropped out • School attendance record • Applicant statement

Outcomes Literacy gains documentation • Scored TABE, CASAS, etc. , • Before and after • interim and exit tests must be the same type of test.

Copies of Certifications Examples are: • HSED or GED • NCCER or PACT