Art of Case Notes powerpoints

Why Maintain Case Notes on Grant
Workforce Investment Act of
1998, EEOC – 29 CFR Part 37
requires grantees to make real
effort to collect data on all
participants & employees.
• Case Notes record important details about services provided to the
• Case Notes are your way of letting the next reader know what is going on
with the participant.
• Case Notes serve to track the participants progress in the grant program.
• Case Notes serve as documentation of key factors affecting the participant
(eligibility, quality of service provided, whether service is effectively
meeting the participant’s need and any changes in the participant’s
condition or circumstances that would warrant an adjustment in services
Grant Participant
Files with Case
Notes may be
paper files or
electronic files.
Participant Outcomes
Each grant has a set of performance measures it
is trying to achieve. Case notes serve to support
the performance reporting and monitoring.
Grantees must document participant:
– Start dates
– Milestone progression & participant status
– Individual & overall performance results
– Service & program completion dates
– Exit dates
Case notes should always include:
◦ Date of the note
◦ Method of contact (face to face,
e-mail, phone call)
◦ Name of the staff member
making the note
◦ Description of the event
◦ Description of how the
customer will benefit from the
Update Case Notes Frequently and Promptly:
• While the information is fresh in your mind.
• Frequency makes it easier for someone else to pick
up where you left off if you are called away from the
• Case note any time there is interaction with
customer, i.e. phone call, email, hallway or parking lot
conversation, etc.
Avoid using slang, street language, clichés or jargon. Use professional terminology as
well as correct capitalization and punctuation.
Avoid metaphors or similes; just say what you mean directly.
Do not write so cryptically that no one knows what your are writing.
Address the behavior.
Do not state participant is a victim of domestic
Do not identify medical diagnosis. (HIPPA)
Omit details of client’s intimate lives that do not
have an impact on their educational plan.
Writing Recommendations
Write in a style that is:
◦ Factual - Accurate
◦ Objective; unbiased
◦ Specific
◦ Clear and to the point
◦ Initial and Date each entry
Specific, Observable & Measurable
Pertinent Information
• The most crucial skill of note taking is speaking in
specific, observable and measurable terms. You
don’t want to leave your comments open to
• Don’t judge your student or make unprofessional
or unsubstantiated comments about their
lifestyle, appearance, personality or behavior.
Quality Control
Supervisors might review your case
notes to monitor progress.
Auditors might review your case notes
for compliance with state and federal
policy and procedure.
Remember, you never know who will
be reading the case notes!
Possible Liability Issue
◦ Recording a “to do” item in the case
file and not following through.
◦ Negative, biased or prejudicial
◦ Medical Conditions (consult your
college student record policy)
Three Elements of a Good Case Note:
1. FOCUS: John is an experienced nursing home janitor, recently unemployed and
looking to stay within the health care industry.
2. SERVICE: I met with John 5/12/12 and we assessed his WorkKeys scores,
enrollment application, his resume, and discussed his employment history and the
skills that were developed with each job. I assisted John in making a decision to
enroll in the MoHealthWINs environmental maintenance pathway of programs to
begin 6/10/12 to give him additional industry credentials and access to the ABC
Hospital partner who is in need of these skill sets.
3. NEXT STEP: I provided John with a list of up-coming grant portal orientation
workshops, including digital literacy, I assisted John with scheduling himself to
begin the 6/2/12 workshop, John will check back with me on 6/5/12.
Now let’s review a few
case note examples!
Mr. Miller met me in the hallway, he is currently working with Munroe
Regional Medical Center. Provided Mr. Miller with my business card to stop
in an see me to discuss the MoHealthWINs programs of study.
This case note is unacceptable. The information is lacking specifics
such as focus, date, next steps, and who is the author of this case
Mary Awesome stopped by my office on 9/9/12 to inform me she has
obtained employment with Aerotek as a bio med technician. Her dislocation
wage prior to the MoHealthWINs program was $17.30/hr and her new
starting wage obtained is $18/hr, which is a 104% of his dislocation wage.
Mary plans to check back in March after her probationary period for future
training opportunities in her field so she can advance.
--DB, MHWINs Comm College Advisor 7/1/12
This case note is acceptable.
Customer called to say that he would not make his appointment.
This case note is unacceptable. Who is the customer? When was the
appointment? What was the appointment for? Was the appointment
John’s occupational goal is Physical Therapist. Participant has completed the eligibility
process at the JeffCityMoCareerCenter on 6/15/12, completed the college PT
enrollment application and has been approved(see file documentation). John has
been accepted at the MHWINs Comm College, total training cost is $12,000(of this
$6,000 is non grant funded). Training program is on the ETPL list, is supported by the
local LMI data, and WIB partner. Training is not FAFSA/Pell eligible. The WIB has
APPROVED John’s non grant cost of $6000 on 6/30/12 for the full amount beginning
on 8/15/12 for a 1 year training program from the Dislocated Worker funding stream.
Will check back with John via email to verify his commitment for the August class
start dates on August 1, 2012. His JeffCity Career Center Case Mng is Sally
--DB, MHWINs College Career Coach Advisor 7/1/12
This Case Note is Acceptable. The information is detailed and specific.
Participant Samantha Smith called, stated on 4/20/12 she has finished up all of
her courses at MHWINs Comm College and will be emailing me copies of the
certifications she has obtained since her last visit with me. In addition, she
stated that her unemployment benefits have exhausted. She will be leaving
town today, 05/09/10, for a few weeks, but upon her return she will take my
advice and register with staffing agencies and come in for resume
-- DB, MHW College Retention Coach 4/20/12
This case note is acceptable.
Reminders: Case Notes …
Have a Purpose
Require Substance
Must Be Timely Entered
Always Display Professionalism
Quality Control – FactChecker’s
This PowerPoint and Other Informational Resources are
Available on the MCCA Website at:
This workforce solution was funded by a grant awarded by the U.S. Department of Labor's Employment and
Training Administration. The solution was created by the grantee and does not necessarily reflect the official
position of the U.S. Department of Labor. The Department of Labor makes no guarantees, warranties, or
assurances of any kind, express or implied, with respect to such information, including any information on
linked sites and including, but not limited to, accuracy of the information or its completeness, timeliness,
usefulness, adequacy, continued availability, or ownership.
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