WIOA YOUTH ADMINISTRATIVE BULLETIN No. 2
TO:
WIOA YOUTH CONTRACTING AGENCIES
SUBJECT:
CASE NOTES
EFFECTIVE: July 1, 2015
I.
BACKGROUND:
The Workforce Innovation and Opportunity Act adheres to a case management approach
to service delivery. Integral to this approach is the maintenance of comprehensive case
notes for each program participant. For the purpose of Data Element Validation (DEV),
case notes refer to either paper or electronic statements by staff that identify, at a
minimum, the following: a participant’s status for a specific data element, the date on
which the information was obtained, and the staff who obtained the information, ref. TEGL
06-14.
II.
POLICY:
The term “case management” means the provision of a client-centered approach in the
delivery of services, designed—
A. to prepare and coordinate comprehensive employment and training plans, such
as service strategies, for participants to ensure access to necessary Workforce
Innovation and Opportunity Activities and supportive services, using, where
feasible, computer based technologies; and
B. to provide job and career counseling, including employment pathway planning
during program participation and after job placement.
Case notes are intended to document the delivery of case management services to
program participants. Information contained in participant case notes should be
relevant to the goals of each participant. All participant files must contain relevant and
appropriate case notes with at least twice monthly recording. Any case notes containing
confidential medical information must be kept separate and in a secure location apart
from the participant’s regular program file.
The content of case notes should include information that accurately describes the
services provided and the individual’s experiences in WIOA activities, including a
connection to performance and/or outcomes.
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WIOA YOUTH ADMINISTRATIVE BULLETIN No. 2
The following are examples of appropriate areas of reference for case notes:
A. Participants Needs: The needs of each individual should be clearly
explained in the case notes. Information from intake, interviews and the
Objective Assessment can be woven together to discuss participant
needs. This is not intended to repeat previous information, but to elaborate
on the documentation in order to give a clear picture of the individual, their
particular circumstances and needs, and the barriers they face.
B. Services Provided: Case notes can be used to show clearly how the mix
of services offered will address the needs of each individual. Services
provided should be linked back to the Ten Program Elements providing
documentation of the elements that are offered to an individual and the
rationale for those choices. Case notes give the case manager the
opportunity to document the work they have done for each individual that
isn’t captured by the various forms used in the system.
C. Tracking the ISS: The participant’s movement through program services
should be tracked to include changes in life situation, changes in training
needs, accomplishments, and setbacks. The most efficient way to
accomplish this is to write case notes to coincide with and augment the
initial Individual Service Strategy and any subsequent revisions, including
a connection to the applicable performance or outcomes.
D. Meetings and Follow-ups: Meetings and contacts should be noted in the
case notes. In addition, the case note can be utilized to highlight follow-up
activity for each individual. To comply with the WIOA expectation of
program follow-up services, the case notes reflect a two-way exchange
between the service provider and the participant, participant’s advocate,
and or employer. Refer to Follow-Up Youth Bulletin #16 for more
information on follow-up.
III.
ACTION REQUIRED
Contractors shall insure that appropriate case notes are maintained in the
participant file. WIOA Youth program will not accept Facebook or any other
“social media” contact as a WIOA Youth employment and training case
management communication for the purposes of case notes (reference 5/30/12
e-mail correspondence).
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Release date: July 1, 2015