Individualized case notes provide a NO, could not locate case notes describing complete, accurate, and concise explanation the progress of services of frequency and type of contact with Outcomes of services even for services not funded participants, including the types of services with WIOA: (WIN 0088; WIN 0089) provided and the outcomes associated with YES, very detailed those services. YES, some detail Case notes are a tool to help service NO, could not locate case notes describing providers organize and analyze the the outcome of one or more services information gathered on participants and to Case management services: plan case management strategies. YES, very detailed It is imperative that Local Workforce YES, some detail Development Boards (LWDBs), their Title I NO, could not locate case notes describing sub-contractors, one-stop system partners, on-going provision of case management and federal and state monitors/auditors, be able to recognize and discern each service Significant gaps in case notes (more than 60 days): and expenditure provided to, and made on NO behalf of, a one-stop system customer. YES, gaps occurred on one or two occasions Case notes should not be entered to YES, gaps occurred on more than three represent service delivery without also occasions entering a qualifying service from the Documentation of case notes was in compliance WorkSource Services Catalog (see WIN with local policy, if applicable: 0082). N/A, No local policy or procedure Confidential information YES, No Issues Identified WIN 0023; WIN 0088: NO, one or two issues identified Any case notes containing confidential NO, three or more issues identified information, such as medical information, must be kept in a separate file and in a secure location apart from the participant’s regular program file. determination & COMMENTS action required/ recommendations 8. Miscellaneous Observations This element covers all other observations not N/A No Action Required accounted for on this tool. Examples of “miscellaneous Action Required: observations” may include, but are not limited to: Loose, unattached documents located in a hard Comments: Recommendation: file Medical references in the file Names of other program participants located in the file Other “miscellaneous observations”
Individualized case notes provide a complete, accurate, and concise explanation of frequency and type of contact with participants, including the types of services provided and the outcomes associated with those services. Case notes are a tool to help service providers organize and analyze the information gathered on participants and to plan case management strategies. It is imperative that Local Workforce Development Boards (LWDBs), their Title I sub-contractors, one-stop system partners, and federal and state monitors/auditors, be able to recognize and discern each service and expenditure provided to, and made on behalf of, a one-stop system customer. Case notes should not be entered to represent service delivery without also entering a qualifying service from the WorkSource Services Catalog (see WIN 0082). Confidential information WIN 0023; WIN 0088: Any case notes containing confidential information, such as medical information, must be kept in a separate file and in a secure location apart from the participant’s regular program file. NO, could not locate case notes describing the progress of services Outcomes of services even for services not funded with WIOA: (WIN 0088; WIN 0089) YES, very detailed YES, some detail NO, could not locate case notes describing the outcome of one or more services Case management services: YES, very detailed YES, some detail NO, could not locate case notes describing on-going provision of case management Significant gaps in case notes (more than 60 days): NO YES, gaps occurred on one or two occasions YES, gaps occurred on more than three occasions Documentation of case notes was in compliance with local policy, if applicable: N/A, No local policy or procedure YES, No Issues Identified NO, one or two issues identified NO, three or more issues identified 8. Miscellaneous Observations determination & COMMENTS action required/ recommendations This element covers all other observations not accounted for on this tool. Examples of “miscellaneous observations” may include, but are not limited to: Loose, unattached documents located in a hard file Medical references in the file Names of other program participants located in the file Other “miscellaneous observations” N/A Comments: No Action Required Action Required: Recommendation:
PY18%20WIOA%20DW%20Checklist.docx