ekcep youth policies policies.d… · web view16 9. comprehensive guidance and counseling 16 10....

Participant Policies for In-School Youth

TABLE OF CONTENTS

ForewordA. – The Local Workforce Vision...................................................................1B. – Overarching Local Strategies................................................................1C. – Strategy for In-School Youth Program Services....................................2D. – Purpose of This Handbook....................................................................2

Section One: Performance Goals..................................................................4A. – Placements............................................................................................4B. – Credentials............................................................................................4C. – Additional Goals....................................................................................4

Section Two: Eligibility & Registration.........................................................5A. – Eligibility and School Status..................................................................5B. – Income Requirements...........................................................................5

TABLE: Low Income Criteria..............................................................5C. – Required Barriers..................................................................................6

Section Three: Program Design, Elements, and Parameters......................7A. – Initial Service Enrollment: Case Management.......................................7B. – Subsequent Enrollments.......................................................................7

1. Leadership Development.................................................................82. Paid and Unpaid Work Experiences, including

Internships and Job Shadowing......................................................9A. Work Experience.........................................................................9B. Job Shadowing...........................................................................10

3. Summer Employment .....................................................................114. Occupational Skills Training ...........................................................135. Supportive Services ........................................................................146. Tutoring, Study Skills Training, and Instruction

Leading to Secondary School Completion .....................................157. Alternative Secondary School Offerings ........................................158. Adult Mentoring ..............................................................................169. Comprehensive Guidance and Counseling ...................................1610. Follow-Up Services ........................................................................16

Section Four: Record Keeping and Reporting .............................................18A. – Case Notes ...........................................................................................18

Eastern Kentucky CEP, Inc. In-School YouthProgram Policies July 1, 2011

i

1. Case Note Contents ..........................................................................182. Types of Case Notes .........................................................................19

B. – Data Entry into EKOS ...........................................................................26C. – Client File Folder Contents ...................................................................27

FORM: File Folder Content Checklist ...............................................29D. – EKCEP Reporting Requirements .........................................................30


ii

In-School Youth Client Policies

Foreword

A. – The Local Workforce Vision

Stated in the simplest terms, the Eastern Kentucky Concentrated Employment Program, Inc., (EKCEP) sees its mission as twofold: to find jobs for people and to find people for jobs.

EKCEP accomplishes these two objectives through a solutions-based approach, in which it constantly evaluates the needs of eastern Kentucky’s job seekers and employers and redesigns and adapts its services to meet those needs. EKCEP is committed to using the full flexibility provided by the Workforce Investment Act (WIA) to develop and customize services to best meet the specific and unique needs of eastern Kentucky’s workers and businesses.

EKCEP also sees itself as a broker that provides access to other workforce, training, and supportive services, and as a catalyst for partnerships within the workforce development system and between workforce development and private industry. EKCEP’s JobSight network of one-stop workforce centers and affiliated sites serve as the hub for many of these brokering and partnership activities throughout the EKCEP region.

B. – Overarching Local Strategies

The overarching strategies that EKCEP has adopted to help fully realize its vision include:

To be a solutions-based organization that responds to workforce needs as they arise by adapting, brokering services, leveraging resources and providing creative responses to the specific and unique needs of eastern Kentucky job seekers and employers as they are identified.

To use the full flexibility provided by the legislation to adapt EKCEP services, programs, and partnerships to best meet the specific and unique needs of eastern Kentucky job seekers and employers.


1

To be the single point of contact for eastern Kentucky employers seeking workforce-related services anywhere in the region.

To communicate a clear and focused explanation of the workforce system to the public.

To increase the “workforce intelligence” of employers, job seekers, and workforce staff.

To administer the JobSight network of workforce centers in a way that will “strengthen our communities by providing workforce-relevant services for businesses and workers by creating partnerships that ultimately contribute to regional education, and a better quality of life for the citizens of eastern Kentucky.”

C. – Strategy for In-School Youth Services

Although the young people served by EKCEP’s WIA In-School Youth Program may be struggling to complete high school and decide what comes after graduation, they are still engaged with the educational system and therefore able to make use of its many resources and the guidance and assistance of teachers and administrators. Because these education professionals are already engaged with EKCEP’s young clients, it makes sense for the WIA In-School Youth program to focus its limited resources on providing these clients with the kind of specialized workforce services and career guidance that the workforce system is uniquely qualified to provide — services the schools are less equipped to deliver.

EKCEP’s new design for In-School Youth services deals less with general educational advancement and more intensely with helping its young clients understand the working world, evaluate career alternatives, and develop a path that will lead to a successful career.

D. – Purpose of This Handbook

This handbook was written to provide guidance about program design and operation to contractors and staff throughout the EKCEP local area and to communicate to EKCEP’s contractors the parameters and decisions set forth by the Eastern Kentucky C.E.P. Workforce Investment Board.

While contractors have agreed to abide by the policies contained in this handbook, this handbook is not intended to cover the full breadth of regulations contained in the Workforce Investment Act (WIA) and applicable federal regulations, with which contractors are equally responsible to comply.


2

This handbook contains five sections:

Section One explains performance goals. Section Two explains eligibility and registration requirements. Section Three describes program design elements and parameters. Section Four provides information related to contractors’ client record-

keeping and data-reporting requirements.


3

Section One: Performance Goals

A. – Placements

Goal: Every young person enrolled as a client in the In-School Youth Program must be placed into one of the following by the end of their enrollment:

Unsubsidized employment. (This applies only to youth who were not employed as of the date they were enrolled.)

Postsecondary education. (This applies only to youth who were not in postsecondary education as of the date they were enrolled.)

Military service.

Every In-School Youth Program client who is not placed in employment, postsecondary education, or military service counts as a negative outcome.

B. – Credentials

Goal: Every young person who was enrolled in or attending school or training at any time during their WIA In-School Youth Program enrollment must earn the degree, diploma, or certificate that indicates that the training or course of study was successfully completed.

Every In-School Youth Program client who was enrolled in or attending school or training during their WIA enrollment and does not earn a degree, diploma, or certificate counts as a negative outcome.

C. – Additional Goals

Additional goals for WIA In-School Youth Program clients may be included in contract language by EKCEP.


4

Section Two: Eligibility & Registration

A. – Eligibility and School Status

To be eligible for WA services as an In-School Youth, a young person must:

Be 16 to 21 years of age. Be attending secondary school as a junior or senior, or be between their a

junior and senior school terms and intending to return. (Youth who are attending alternative school are considered In-School Youth.)

Meet the low-income requirements defined in WIA. (See “B. – Income Requirements” below.)

Have a barrier to employment or entry into postsecondary education (See “C. – Required Barriers” below.)

NOTE: Youth who do not meet the In-School Youth definition may be eligible to be served by the WIA Out-of-School Youth program. The policies and services for the WIA Out-of-School Youth program are explained in EKCEP’s Participant Policies Manual for Adults, Dislocated Workers, and Out-of-School Youth.

A youth’s age and school status do not change after registration into WIA. For example, a high school student who drops out of high school after WIA registration is considered an In-School Youth throughout the entire period he/she is being served.

B. – Income Requirements

All youth must meet the low-income requirements as defined in WIA section 101(13) to be eligible. The income requirements are documented using the WIA-20.

Low Income Criteria TableNon-Metro Areas

(All counties except Carter)Metro Area

(Carter County)Family Size Income Income

1 $10,830 $10,8302 $14,570 $14,5703 $18,326 $18,7364 $22,623 $23,1305 $26,697 $27,2996 $31,222 $31,9287 $35,747 $36,557

For each additional $4,525 $4,629


5

member, add:

C. – Required Barriers

To be eligible, youth must also have one or more of the barriers to employment or entry into postsecondary education listed below:

Qualifying Barriers to Employment and Postsecondary Education

Homeless. Runaway. Foster child. Pregnant or parenting. Offender. Needs additional assistance to complete an educational program or to

secure and hold employment. A youth may be considered in need of additional assistance if it has been documented that he/she has one or more of the following characteristics:

- Is an individual with a disability.- Is enrolled in an alternative school program.- Is a secondary school student who is referred by a school

counselor because of poor academic performance or other circumstances that cause the student to be at-risk of not graduating from high school.

- Is a secondary school student who receives, or is a member of a family that receives welfare including food stamps.

- Neither parent of the client has obtained a postsecondary degree.- Has a barrier that is not listed here but has been identified and

approved as a qualifying barrier by signature in a contract with EKCEP.

Deficient in basic literacy skills.

NOTE: The basic skills deficiency barrier should be used only in cases where there is no other qualifying barrier.


6

Section Three: Program Design, Elements, and Parameters

A. – Initial Service Enrollment: Case Management

The first enrollment for every Youth client is the WIA-funded service called “case management.” Case management is the basic service that indicates that the client is interacting with and receiving assistance and guidance from a WIA career advisor. Because interaction with a career advisor is the basic component of WIA services, a client should remain in case management as long as he/she is receiving any WIA services or assistance

One of the main purposes of the case management service is to develop a partnership with the young client based on trust, mutual respect, and information gleaned from a variety of activities that ultimately results in an individual service strategy. The service strategy has a single purpose: to help prepare the youth for employment that leads to self-sufficiency. This strategy may involve many steps and address a variety of issues over a substantial period of time.

The case management service includes assessments, both formal and informal. In order to advise and guide young clients toward effective career decisions, the career advisor must understand each client’s:

Basic skill levels. Academic achievements. Occupational skills. Employability. Work history. Interests, aptitudes, and career compatibility.

The case management service also includes the development of a career plan. Career advisors will work with each client to develop a career plan that includes:

The client’s career interests and goals, based in part upon assessment results.

Activities that will help the client explore those careers, including job shadowing and work experience.

Academic and training requirements for those careers, including steps that the client must take to get the required academic degrees or training.

Plans to overcome any barriers faced by the client. A timeline showing the sequence and duration of the identified activities,

education, training, and barrier alleviation.


7

NOTE: The timeline of client’s career plan may extend beyond his/her involvement in WIA, especially if the career path involves postsecondary education. A well-designed career plan should give the client direction and steps to follow after he/she has been completed from WIA into postsecondary education and even after the end of the WIA follow-up period.

A career plan may be updated several times between enrollment and termination as the client’s understanding of specific career and educational opportunities grows, leading to changes or refinements in objectives and the steps that the client will take to achieve them.

B. – Subsequent Enrollments

Youth clients may be enrolled in any one or more of the program elements listed below that will help them reach the goals of attainment of a diploma, degree, or certificate, and placement in employment, postsecondary education, or military service.

Although the In-School Youth program is required to make each of these program elements available to any client who needs them, it is not required to provide all 10 elements to every client. Use of these elements is based on each client’s needs and circumstances. It is anticipated that most clients will be engaged primarily in:

Leadership development activities. Work experience and job shadowing. Summer employment opportunities. Occupational skills training. Follow-up services.

Any of the required program elements may be provided directly by contractor staff or provided through referrals or arrangements with other service providers.

The required program elements are:

1. Leadership Development

Youth workforce programs must include opportunities for youth to explore and understand their career options, make informed decisions, and develop the skills and behaviors that will help them succeed in their educations and careers.

Examples of activities that can be provided to help clients reach these goals include:


8

Workshops, seminars, work projects, or other learning opportunities designed to teach and provide hands-on experience with:

- Work readiness skills.- Effective communication.- Conflict management.- Financial responsibility.- Planning, organization, and time management.- Job interviewing skills.- Job search skills.

Exposure to work and career opportunities, including details about:

- Wages.- Work environment.- Educational requirements.- Demand.

Exposure to postsecondary educational opportunities, including financial aid resources.

Activities designed to teach teamwork and team leadership.

2. Paid and Unpaid Work Experiences, including Internships and Job Shadowing

Work experience and job shadowing may be used to help young clients develop career goals, understand the working world, and acquire basic workplace skills that will make them more attractive to employers.

It is almost always appropriate to enroll In-School Youth clients into work experience and job shadowing because they characteristically:

Have little or no work history. Need workplace experience to compete effectively for employment. Can use the placement to get workplace experience and develop

general workplace skills and specific skills relating to a career of interest.

Can build a relationship with and demonstrate abilities and work ethic to an employer who is hiring or may be hiring soon.

Youth clients may be placed with employers in the public, private, for-profit, or non-profit sectors for work experience or job shadowing.


9

Career advisors must ensure that work experience or job shadowing placements during the school year do not hinder any client’s academic performance.

A. Work Experience

Work Experience Service — Work experience is a service that provides clients an opportunity to learn basic work skills and workplace behaviors through a subsidized work placement with an employer. A work experience placement is a planned, structured learning experience that occurs in a real working environment. In addition to the opportunity to earn wages while learning valuable skills, this service also provides a client with an opportunity to connect with an employer in the community — an opportunity which can result in unsubsidized employment for the client after the work experience placement ends.

WIA funds pay the youth clients’ wages and related benefits during work experience. Fair labor standards apply in any work experience placement where there is an employee/employer relationship, as defined by the Fair Labor Standards Act.

Work experience during the school year may not exceed 10 hours per week and may not exceed a total of 180 hours per school year.

Prerequisites for Work Experience — To ensure that work experience placements are as effective and productive as possible for both youth clients and employers, EKCEP requires that before entering a work experience placement a youth client must complete:

At least eight hours of job shadowing at the prospective work site. This helps ensure that the client’s expectations are reasonable and prevents aborted placements.

At least eight hours of work readiness training. This work readiness training should include workshops and seminars addressing workplace behaviors, communications skills, personal financial planning, and other topics that will prepare the clients for their work experience. Curricula for this work readiness training must be approved by EKCEP. Youth may be paid the minimum wage while participating in this work readiness training.

NOTE: Youth who have already completed work readiness training for a previous successful work experience placement are not required to re-take the curriculum before entering subsequent work experience placements.


10

A resume tailored to the job.

A job application for the position. This application may be the actual application used by the employer or a generic application provided by the career advisor.

An interview with the employer. B. Job Shadowing

Job Shadowing Service — Job shadowing is a service that allows a young client to observe a worker performing all aspects of his/her job for at least one full day, preferably longer. Job shadowing allows a client to more fully understand the nature of the tasks and working environment of the shadowed job, helping the client make informed career decisions.

Job shadowing is not a paid activity and does not have to be associated with a work experience placement.

Job shadowing during the school year may not exceed 10 hours per week.

Prerequisites for Job Shadowing — Before arranging a job shadowing placement for a client, the career advisor should ensure that the client:

Has at least a curiosity-level interest in the job to be shadowed. Is capable of functioning safely in the work environment, in terms of

physical ability and safe behavior. Safety training may be required before some job shadowing placements.

3. Summer Employment

Summer Employment Service — Summer employment opportunities may be provided to In-School Youth clients to give them opportunities to explore careers, learn appropriate workplace behaviors, develop skills, and gain exposure to important workplace experiences and real employers. These opportunities for summer work experience are especially effective when they are linked to the clients’ academic and occupational interests.

Summer work experience provides clients an opportunity to learn basic work skills and workplace behaviors through a subsidized work placement with an employer. A work experience placement is a planned, structured learning experience that occurs in a real working environment. In addition


11

to the opportunity to earn wages while learning valuable skills, this service also provides a client with an opportunity to connect with an employer in the community — an opportunity which can result in unsubsidized employment for the client after the work experience placement ends.

It is almost always appropriate to enroll In-School Youth clients into summer work experience because they characteristically:

Have little or no work history. Need workplace experience to compete effectively for employment. Can use the placement to get workplace experience and develop

general workplace skills and specific skills relating to a career of interest.

Can build a relationship with and demonstrate abilities and work ethic to an employer who is hiring or may be hiring soon.

Clients may be placed in work experience with employers in the public, private, for-profit, or non-profit sectors. WIA funds pay the youth clients’ wages and related benefits. Fair labor standards apply in any work experience placement where there is an employee/employer relationship, as defined by the Fair Labor Standards Act.

The duration of summer work experience opportunities is limited to eight weeks. Gross wages for any individual client may not exceed $2,320.

NOTE: In some cases planned community service projects designed to provide workplace experiences and learning linked to the client’s areas of academic and occupational learning may be allowable as summer work experience. However, placing clients with actual ongoing employers is greatly preferred.

Career advisors are responsible for ensuring that an EKCEP Worksite Agreement Form is properly executed and all required forms and insurances related to payroll are completed before a client begins a work experience placement. The required forms, insurances, and documentation are listed on the File Folder Content Checklist on Page XX.

Prerequisites for Summer Employment — To ensure that work experience placements are as effective and productive as possible for both youth clients and employers, EKCEP requires that before entering a work experience placement a youth client must complete:

At least eight hours of job shadowing at the prospective work site. This helps ensure that the client’s expectations are reasonable and prevents aborted placements.


12

At least eight hours of work readiness training. This work readiness training should include workshops and seminars addressing workplace behaviors, communications skills, personal financial planning, and other topics that will prepare the clients for their work experience. Curricula for this work readiness training must be approved by EKCEP. Youth may be paid the minimum wage while participating in this work readiness training.

NOTE: Youth who have already completed work readiness training for a previous successful work experience placement are not required to re-take the curriculum before entering subsequent work experience placements.

A job application for the position. This application may be the actual application used by the employer or a generic application provided by the career advisor.

A resume tailored to the job.

An interview with the employer.

4. Occupational Skills Training.

Occupational Skills Training Service — Short-term occupational skills training may appropriate for those In-School Youth clients who do not intend to pursue postsecondary education.

To be supported by WIA funds, the occupational skills training must produce a state-recognized or industry-recognized occupational certification or credential that will enhance the client’s employability. Short-term occupational training must be purchased from approved training providers. WIA will not pay for any occupational training that is redundant with training provided by locally accessible public vocational or technical schools.

The limit for maximum financial assistance for short-term occupational skills training for an individual In-School Youth client is $750. Opportunities to provide short-term occupational skills training may be very limited, depending upon funding.

Short-term occupational skills training may be provided either:

During a Client’s Senior Year of High School — The objective of this approach is for the client to complete the occupational training and high school at the same time, making him/her ready to enter a job


13

immediately upon graduation. Contractors should establish criteria for selecting clients for this kind of training that are more stringent than simple eligibility and program participation. Career advisors must closely monitor these clients to ensure that the occupational skills training is not hurting their academic performance in school. To continue in occupational skills training provided by WIA, clients must maintain:

- A 2.0 GPA in their high school classes.- A 2.0 GPA (or the equivalent minimum acceptable performance

standard) in their occupational skills training.

— OR —

Immediately After Graduation — The objective of this approach is to allow clients who are inappropriate for occupational skills training during high school to transition directly from high school into short-term occupational training—and then from occupational training into a job. This approach would also be appropriate for clients who dropped out of high school after WIA enrollment but have since earned a GED. Career advisors should work carefully with the selected clients to establish their career and training interests before graduation (or during GED preparation), to ensure that the transition is as quick and fluid as possible.

Occupational Skills Training Requirements — Occupational skills training for In-School Youth clients must be:

Designed to produce a state-recognized or industry-recognized occupational certification or credential that will enhance the client’s employability.

In a career sector that EKCEP has identified as a sector of emphasis for occupational training. (EKCEP may grant waivers of this requirement on a case-by-case basis.)

Provided by an eligible training provider approved by EKCEP.

Provided by a training provider listed on Kentucky’s Eligible Training Provider List (ETPL) or another state’s ETPL.

Different from the occupational training provided by any locally accessible public vocational or technical school.


14

Prerequisites for Occupational Skills Training — An In-School Youth client seeking short-term occupational skills training must:

Maintain (or have graduated with) at least a 2.0 GPA, or have passed the GED exam. (Contractors may establish a higher standard.)

Demonstrate that he/she is academically ready for the training. A client may demonstrate academic readiness for a specific training by achieving assessment scores that exceed any minimum entry requirements for the training; or, for trainings with no specific entry requirement scores, a client may demonstrate readiness for training by maintaining a GPA of 2.0 or above in his/her high school classes and completing the required work readiness training.

Complete a profile of the career represented by the job. With the career advisor’s assistance the client should create this profile by researching the job’s:

- Responsibilities and tasks.- Physical requirements.- Working conditions and environment.- Educational or training requirements.- Salary range.- Available local opportunities.

Complete at least eight hours of job shadowing related to the career for which they will be training.

Provide a letter from a teacher or guidance counselor recommending the client for the training. (This requirement is waived for GED clients.)

Contractors may choose to establish more stringent criteria in order to further limit the availability of short-term occupational skills training to In-School Youth clients.

5. Supportive Services

Supportive services may be provided to enrolled In-School Youth clients only when the supportive services are necessary for the youth to participate in WIA youth services.

Direct expenditures on supportive services for In-School Youth clients are limited to the purchase of work and/or training clothes or minor tools that are required to allow a client enrolled in work experience, summer work experience, or occupational skills training to participate in that work


15

experience, summer work experience, or training. These expenditures are limited to $250 for any individual client.

The only other supportive services allowed are referrals or assistance with connections to program elements and services provided by other community service providers.

Career advisors must assess the clients supportive service needs and provide documentation of the needs before providing any supportive service. Case notes must also document successful referrals to other community service providers or the inability to meet the need without WIA assistance.

6. Tutoring, Study Skills Training, and Instruction Leading to Secondary School Completion

Tutoring, study skills training, and Instruction can be used to help In-School Youth in succeed in secondary education or GED instruction.

These services may be:

Provided by the school system. Provided through coordinated partnerships with community service

providers like Adult Education.


16

7. Alternative Secondary School

Alternative secondary schools are primarily an educational service option for youth for whom a traditional secondary school setting is inappropriate or ineffective and for some dropouts who are returning to school. Alternative secondary schools include Adult Education programs that prepare individuals to pass the GED test.

Alternative secondary school offerings may be:

Provided by the local school system. Provided through coordinated partnerships with community service

providers.

8. Comprehensive Guidance and Counseling

Guidance and/or counseling services must be made available to clients who need them. These services may include drug and alcohol abuse counseling as well as other forms of counseling, as needed.

Guidance and counseling for social, medical, and substance-abuse issues must be provided through referrals to other service providers.

Guidance and coaching on career issues may be provided by WIA-funded staff.

9. Adult Mentoring

Adult mentoring provides youth with a one-on-one relationship with an adult in the community. The activity is intended to help youth improve academic achievement and develop skills, to provide encouragement for youth to carry out career plans, and to provide support and guidance for decision making.

Adult mentoring may be conducted through referral to an established mentoring program in the community or developed by the career advisor.

10. Follow-Up Services

In-School Youth clients must receive at least 12 months of follow-up services after completing the program. One or more of the services listed below must be provided to each client during his/her follow-up period. The services provided to each client should be based on that client’s needs.

Leadership development activities, as described in “1. Leadership Development” on page XX.


17

Assistance in accessing help from community services. Referrals to medical services. Assistance with the cost uniforms or other appropriate work attire and

minor work-related tools, including eyeglasses and protective eye gear, not to exceed $250.

Assistance with career ladder issues, including career development, planning further education, and finding a better paying job.

Work-related peer support groups, which may include job clubs. Adult mentoring.

Other than the cost of staff time, expenditure of WIA funds to provide these follow-up services for terminated clients will be limited to no more than $250 for the purchase of work-related items.

Incentives are not a component of WIA follow-up services.


18

Section Four: Record-Keeping and Reporting

A. – Case Notes

Case notes synthesize and supplement information about a client and are intended to document the delivery and justification for WIA services and activities. Case notes provide:

Accurate record keeping that helps the career advisor plan, implement, and evaluate the services for each client.

Accountability for the client, the career advisor, the contractor, and EKCEP.

A career advisor should record a case note whenever:

A face-to-face meeting with a client has occurred. A phone conversation with a client has occurred. A significant event related to the client’s life or progress within the

program has occurred.

1. Case Note Contents — All case notes should begin with the year, month, and day of the event, numerically in the following format: YYYY/MM/DD. (Example: March 17, 2019 would be written as 2019/03/17.)

Case notes should include the:

Purpose of the interaction with the client. Content of the interaction with the client. Outcome of the interaction with the client. Plans (i.e., next steps) resulting from the interaction with the client.

Case notes should not include:

Judgmental opinions. Offensive or derogatory statements. Slang, clichés or jargon. Comments that reinforce stereotypes. Confidential medical information. Comments that are not relevant to the client’s participation in WIA

services or activities.


19

2. Types of Case Notes — Case notes can be divided into the following classifications:

a. Intake Case Note – The intake case note records the initial contact with the customer prior to WIA enrollment. This case note will include:

A statement describing why the customer came into the office. A statement describing the response or action taken by the career

advisor, including any WIA service(s) made available to the customer.

Example Intake Case Note 1:“2019/07/04

Kim came into the office today inquiring about the Job Club. I provided her with the Job Club brochure and gave her the date, time, and location of the next Job Club meeting.”

Example Intake Case Note 2: “2019/07/04

Phil came into the office today inquiring about WIA services. I explained WIA services and eligibility requirements to Phil. I scheduled him to meet with me on 2019/07/21 to present his eligibility documentation.”

b. Certification Case Note – The certification case note records the verification of eligibility, items for data validation, and enrollment into case management. The certification case note should include:

A statement that the client has provided the proper documentation needed for eligibility. (It is not necessary for the case note to list each document provided.)

A statement describing the client’s circumstances and personal characteristics, such as:

— Food stamp recipient.— Single parent. — Individual with a disability. — Basic skills deficient.— Unemployed.— Employed. — Dislocated Worker.— Offender (criminal justice).— Homeless.— Runaway. — Foster child


20

— Pregnant or parenting.— Enrolled in an alternative school.— Referred by a high school counselor due to poor academic

performance.— Neither parent of the client has a postsecondary degree.

A statement that gives the name of each assessment and/or test (e.g., TABE, NCRC) given to the client and its results.

A statement detailing the services that the client will be enrolled into such as:

— Case management. (All clients must be enrolled into case

management.)— Leadership development.— Job shadowing.— Work experience.— Short-term occupational skills training.

A statement that explains or justifies enrolling the client into the chosen services.

A statement detailing any additional activities required by the client

such as:

— Work readiness training (WRT).— Work Certified training.— Referral to other providers for services (e.g., counseling). — Job club.

Certification Case Note Format:“YYYY/MM/DD

[Client Name] provided me with all the source documents needed to determine eligibility. He/She is a(n) [basic skills deficient, unemployed, employed, food stamp recipient, single parent, individual with a disability, offender, homeless, runaway, foster child, pregnant or parenting, enrolled in alternative school, referred by a high school counselor, neither parent has postsecondary degree — include all that apply]. He/She will be enrolled into case management on YYYY/MM/DD.

[Client Name] was given the [TABE, NCRC, other test or assessment] and his/her scores showed [results of the tests/assessments].


21

His/Her goal is to become a [career or occupation]. [Client Name] will be enrolled into [leadership development, job shadowing, work readiness, etc.] on YYYY/MM/DD.”

Example Certification Case Note:“2019/07/04

Carol provided me with all the source documents needed to determine eligibility. She is an unemployed high school senior and a member of a family that is receiving food stamps. She was enrolled into case management on 2019/07/04. Her goal may be to become a Certified Nurse’s Assistant, but she says she isn’t sure.”

c. Progress Case Notes – Progress case notes provide detailed continual reporting of the client’s progress, changing circumstances, and action steps planned or taken in response to this progress. These case notes justify WIA program services and activities. Progress case notes should include reports of:

Client’s grades. Successful completion of a leadership workshop, class, program,

curriculum, job shadowing, training, or GED. Any difficulties the client is having and the actions recommended

to assist the client. Results of any previously recommended actions.

d. Completion Case Notes – Completion case notes document a client’s completion from a WIA service and the outcome. Completion case notes will include:

A statement showing the end date of the service. A statement indicating whether the client completed the service

successfully or unsuccessfully. A statement that provides the client’s plan of action and next

steps.

Completion Case Note Format:“YYYY/MM/DD

[Client Name] successfully/unsuccessfully completed [service] on YYYY/MM/DD. [Client Name] was completed from [service]. His/her plan of action is [list next steps].”

Example Completion Case Note:“2019/07/04

Walt successfully completed 8 hours of work readiness training on 2019/07/01 and was completed from the work readiness training service. He plans to begin working on the other prerequisites for


22

work experience, beginning with job shadowing at XYZ Construction and then writing a targeted resume for a carpentry job.”

e. Service Enrollment Case Note: Work Experience — A service enrollment case note documents the client’s enrollment in a service. The contents of the case note will vary, depending upon the service in which the client is enrolled. A service enrollment case note for the work experience service will need to include:

A statement of the client’s interest in the job.

A statement that the client successfully completed the prerequisites

for enrollment into work experience (see page XX), including completing:

- Eight hours of job shadowing, including the location.- Eight hours of work readiness training.- A application for the job.- A resume targeted to the job.- An interview with the employer.

The name of the employer/business where the client will be placed.

A statement noting the completion of the Worksite Agreement for the placement.

The starting date of the work experience.

Work Experience Enrollment Case Note Format:“YYYY/MM/DD

[Client Name] has expressed an interest in working for [Employer]. He/She has completed [Prerequisites]. A Worksite Agreement with [Employer] was completed on YYYY/MM/DD. [Client Name] will begin working at [Employer] as a work experience placement on YYYY/MM/DD.”

Example Work Experience Enrollment Case Note:“2019/09/04

Steve has expressed an interest in working for ABC Nursing Home as an orderly. He has completed 8 hours of job shadowing at ABC Nursing Home, as well as 8 hours of work readiness training. He has also completed an application and a targeted resume for the position, and interviewed with the HR manager of the nursing home. A Worksite Agreement with ABC Nursing Home was


23

completed on 2019/08/25. Steve will begin working at ABC Nursing Home in a work experience placement on 2019/09/15.”

f. Service Enrollment Case Note: Occupational Skills Training — A service enrollment case note documents the client’s enrollment in a service. The contents of the case note will vary, depending upon the service in which the client is enrolled. A service enrollment case note for occupational skills training would need to include:

A statement that the client has met the prerequisites for

occupational skills training, including:

- Maintaining the required GPA.- Demonstrating academic readiness (if any).- Completing a research profile of the job.- Completing eight hours of related job shadowing.- Presenting a letter of recommendation for the training.

A statement of the date the client was enrolled into training. The identity of the training provider and the occupational skills and

credential the client will receive. The date that the client began training.

Occupational Skills Training Enrollment Case Note Format:“YYYY/MM/DD

[Client Name] has met the prerequisites for occupational skills training by [List Prerequisites]. He/she was enrolled into occupational skills training on YYYY/MM/DD. The training will be delivered by [Training Provider] and he/she will learn [Skills] and earn [Credential]. He/she began training on YYYY/MM/DD.”

Example Occupational Skills Training Enrollment Case Note:“2019/11/23

Dave has met the prerequisites for occupational skills training by: maintaining a GPA of 3.1; completing a research profile on welding careers; completing 8 hours of job shadowing at Leo’s Body Shop; and presenting a letter of recommendation from Sid Finch, who is the industrial arts teacher at Valley High School. He was enrolled into occupational skills training on 2019/11/18. The training will be delivered by Southeast Community and Technical College. He will learn welding and earn a Basic Welding Certificate. He began training on 2019/11/21.”

g. Termination Case Note — A termination case note documents the

client’s termination to employment, postsecondary education, military service, or a global exclusion. Termination case notes will include:


24

A statement that the client was completed from WIA services to

employment, postsecondary education, military service, or a global exclusion.

The date the client was completed.

The name of the employer, educational institution, or branch of service to which the client was completed. If the completion is to employment, the case should include (if possible) the client’s:

- Job title.- Hourly pay rate.- Weekly work hours.- Supervisor at work.

The date the client was completed from his/her last WIA service. A statement of the client’s plan of action and next steps.

Termination Case Note Format:“YYYY/MM/DD

[Client Name] was completed from WIA services to [Employment, Postsecondary Education, Military Service] with [Employer Name, School, Military Branch] on YYYY/MM/DD. He/she will be [Working as Job Title/Studying Subject]. [Client Name] was completed from case management on YYYY/MM/DD. He/she plans to [Plan Details].”

Example Termination Case Note:“2019/07/04

Jane was completed from WIA services to employment with Acme Wholesale on 2019/07/01. She will be working 38 hours per week as an order fulfillment clerk under the supervision of Wanda Wilson. Jane was completed from case management on 2019/07/02. She plans to look into the possibility of management training while remaining at Acme Wholesale for the immediate future.”

h. Follow-up Case Note — Follow-up case notes are required for In-School Youth clients who have been enrolled into follow-up after having been completed from all services and soft exited. The initial follow-up case note documents the client’s enrollment into follow-up. Later follow-up case notes document contact between the career advisor and client and any services that are provided during the year of follow-up.


25

Career advisors are required to contact a client who is in follow-up at least monthly for 12 months from the date the client is enrolled into follow-up. In accordance with federal regulations 664.420 and 664.440, follow-up services may include:

Leadership development. Supportive services. Assistance in addressing work-related problems. Assistance in securing better paying jobs, career development and

further education. Work-related peer support groups (e.g., job club).

A follow up case note should include:

The date Year/Month/Day that the client was contacted. The method of communication (phone call, email, mail, office visit,

etc.) Any information regarding the clients progress or need for

additional assistance.

Follow-up Case Note Format:“YYYY/MM/DD

I contacted [Client Name] by [phone/email/mail/in person]. He/she is [Status Update] and does/doesn’t need additional assistance at this time. [If additional assistance is provided, describe the assistance/services.]”

Example Follow-up Case Notes:“2019/07/04

I contacted Joan by email at [email protected]. She is still employed at Acme Products and said she doesn’t need additional assistance at this time. [If additional assistance is provided, describe the assistance/services.]”

“2019/09/22I contacted Henry by telephone at 606-555-9876. He is working at Acme Products and said he is having trouble getting along with two of his co-workers. We made an appointment for him to come to the office on 2019/09/26 to discuss things he might try to improve his workplace relationships.”

B. – Data Entry into EKOS

Data entered into EKOS provides multiple advantages to clients. The data provides:


26

An accurate record of the client’s progress. A logical outline of the client’s goals and career plans. Documentation of the client’s successes in reaching his/her career goals. Access to the client’s resume for potential employers. An opportunity for clients to be matched to open jobs in the system by

partner agencies. Specific groups of job seekers (e.g., veterans) with significant advantages

in a highly competitive job market. Useful information to other partner agencies within the workforce system.

Data in EKOS also provides proof of the workforce system’s effectiveness in matching people to jobs and supports the continued funding of its programs. The data provides a means of gauging individual programs’ effectiveness in client completion and eventual employment in specific areas of employment that show growth in EKCEP’s economic area.

Career advisors should enter data into EKOS when:

A customer self-registers without any agency involvement. A customer or client wants to develop a resume and search for

employment on his/her own. A customer or client wants assisted self-services from a contractor

agency. Any time a career advisor provides significant assistance to a client. A client is determined to be eligible for any WIA service. A client is entered into any WIA service.

Data entered into EKOS should be:

Entered in a timely manner. Grammatically correct and accurate because large portions of EKOS data

will also appear on the client’s resume. Kept up to date in order to keep the client’s information current for

potential employers. This especially applies to contact information. A running account of the client’s career plans, goals and progress. Used to produce a resume that could immediately get the attention of a

potential employer and get the client a job.

Data entered into EKOS should never include:

Personal information that might embarrass the client. Medical information that would violate HIPPA privacy laws if revealed. Information that would cast the client in a poor light to potential employers. Information that the case manager only assumes or observes without

direct confirmation from the client. Opinions or judgments by the case manager.


27

Errors in grammar, spelling, or punctuation. False or misleading information.

C. – Client File Folder Contents

Contractors are responsible for maintaining all client records. Contractors must maintain a separate folder for each client enrolled in the WIA program. Each client’s folder must contain documentation that supports the determination that the client was eligible for WIA, as well as supporting documentation for any other WIA services in which the client is enrolled.

Hard-copy documents are required in clients’ files throughout the period of active enrollment and follow-up in WIA.

Clients’ records may be monitored by EKCEP, the Commonwealth of Kentucky’s Division of Workforce Services, and the U.S. Department of Labor. Hard-copy documents must be maintained until completion of the state’s monitoring for any file that was active during the time period being monitored. Electronic files of scanned documents are an acceptable way to maintain documentation after the client’s follow-up period has ended and all monitoring has been completed.

The File Folder Content Checklist for In-School Youth on page 29 shows:

The documentation that is required in every In-School Youth client’s folder.

The documentation that should be in an In-School Youth client’s folder only if that youth:

- Is enrolled in work experience.- Receives supportive services.

Career advisors and staff should use the File Folder Content Checklist to ensure that proper documentation is maintained in each client’s folder. This checklist will also be used by monitors when reviewing file folders.

NOTE: To make file maintenance and monitoring easier, EKCEP recommends that forms and documents be placed in file folders in the same order as they are listed on the File Folder Content Checklist.


28

File Folder Content ChecklistFor In-School Youth

SSN: _______/______/__________ Client: _____________________________

Each youth client folder must be labeled with the following information:

Last Name, First Name, Social Security Number

All youth client folders must contain the following:

____ 1. Pre-Application____ 2. Grievance Procedure (WIA-14 and OET-513)____ 3. JobSight Client Information Release Form____ 4. Verification of Eligibility (WIA-20) and required documentation____ 5. Orientation Checklist____ 6. Comprehensive Assessment, including case notes

Where applicable, the following will be in youth client folders:

Work Experience

____ 1. 108/Employer Agreement____ 2. K-4____ 3. W-4____ 4. I-9____ 5. Timesheets____ 6. Worksite Agreement____ 7. Job Description

Supportive Services

____ Documentation related to specific types of supportive services allowed by policy and/or guidance memo from EKCEP


29

D. — EKCEP Reporting Requirements

Contractors are required to collect and report specific participant data to EKCEP. This data will be collected and managed through the “Contract Deliverables Report,” an electronic report housed on the EKCEP server. This report provides both the contractor and EKCEP a tool to track and review WIA Program performance during the program year. The data collected will help identify program strengths and weaknesses.

Each career advisor is responsible for entering information on his/her clients into the report as client activities occur, to ensure that the report is always accurate and up to date and to prevent career advisors from being burdened with updating their entire report at the end of the month. Keeping reports up to date at all times also will ensure that EKCEP and contractor management have accurate real-time data available to base decisions upon.


30

ekcep youth policies policies.d… · web view16 9. comprehensive guidance and counseling 16 10....

Documents