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PURPOSE. Review Case Management Best Practices Borrows from DOL Funded Case Management Training Manual (2007): Toolkit For Effective Front-Line Services To Youth Applies to Both and Adult Services Applies to Discretionary and Formula Services. Definition from the WIA.

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  • Review Case Management Best Practices
  • Borrows from DOL Funded Case Management Training Manual (2007):
    • Toolkit For Effective Front-Line Services To Youth
  • Applies to Both and Adult Services
  • Applies to Discretionary and Formula Services
definition from the wia
Definition from the WIA
  • “The term ‘case management’ means the provision of a client-centered approach in the delivery of services, designed—

WIA Sec. 101

  • Question to ask: Is the organization providing a standard menu of services or are they client-centered?
definition cont
Definition (Cont.)

Questions to ask: Does each participant have a service strategy? Does it provide for a comprehensive set of activities?

  • To prepare and coordinate comprehensive employment plans, such as service strategies, for participants to ensure access to necessary workforce investment activities and supportive services, using, where feasible, computer based technologies; and
  • To provide job and career counseling during program participation and after job placement.

Question to ask: Does the strategy include career counseling (long term) as well as job placement (short term)? Does case management continue after placement?

the bi level approach

Requires Both

Administrative Roles and

Direct Service Roles

administrative roles
Administrative Roles:

To design an service delivery approach that assures the necessary services areprovidedin the most effective way

To empower case managers to:

obtain the services needed,

work flexibility, and

be creative

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

regarding partnerships
Regarding Partnerships:

As a rule, no single agency is equipped to provide the range of services required for individual goal achievement.

Dynamic partnerships are essential for both the administrative and the direct service roles.

standard procedures
Standard Procedures
  • Federal grant guidelines require written procedures for managing all federal grants
  • Agreements with partners should be in writing
  • Case management procedures should be written and staff should be trained in them
  • There should be standards that identify what is considered effective
purposes and types of records
Purposes and Types of Records
  • Types of records in a case file (electronic/paper or both)
    • eligibility documents
    • assessment documents
    • plans (ISS / EDP)‏
    • records of activities
    • documentation of credentials
    • referral records
    • outcomes documented
    • case notes

Question to ask: Do the records contain all these types of documents and are they well organized?

  • Management information systems (MIS) are not identical to case management systems--although they may support case management.
    • MIS are designed to provide information for managing a program, not for coordinating services for participants.

Question to ask: How are the grantee’s records being

utilized to develop strategies for serving the participants, if at all?

management information systems questions
Management Information Systems Questions
  • Who are you serving?
    • SSN, demographics, employment status, contact information, eligibility information, EEO information
  • What are they getting?
    • Enrollment date, assigned case worker, services received, completion dates
  • What are the results?
    • Employment, wages, educational success, retention, barriers overcome (drug-free)
sample mis intake form
Sample MIS Intake Form

Incorrectly called an assessment

direct service roles
Direct Service Roles:

Work with and for the Participant:

To identify participant’s strengths and needs

To translate these into a set of goals

To develop a plan of action (ISS or IDP)

To access and coordinate resources

To provide a “customized” set of services


direct service roles cont
Direct Service Roles (cont.):

To keep participants engaged and focused

To develop the participant’s capacityfor independent functioning in the future

To maintain complete, accurate records that are useful for coordinating services

To accomplish the participants’ goals

To follow the program’s guidelines

the case management continuum

I) Intake & Assessment

II) Service Planning

III) Service Provision

IV) Placement

V) Follow-Up

continuum cont
CONTINUUM (cont.):

I)Intake: Begins with enrollment and meeting eligibility requirements

Assessment: Helps program staff with identifying appropriate short and long-term goals in service planning

* Meaningful service planning cannot occur in the absence of effective assessment practices.

components of an objective assessment
Components of an Objective Assessment
  • Identifies career:

- strengths and assets

- abilities, aptitudes and interests

- occupational and employability levels.

  • Assesses barriers that interfere with success

Question to ask: Is there a career assessment and does it get at abilities, aptitudes and interests? Is it used to develop career goals and strategy?


Assessment Tools

Formal Assessments:

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

Question to ask: Are non-career assessments used, such as tests of academic skills, and is this information utilized?

informal formal assessment tools
Informal / Formal Assessment Tools

Informal Assessments– less intimidating but more subjective

  • structured questioning – asked in a friendly, caring way;
  • worksheets/inventories – used individually or with groups;
  • Internet websites – free on-line; review first
  • observations – about work readiness, problems and barriers
continuum cont1
CONTINUUM (cont.):

II) Service Planning: An on-going

process between the CM or CM Team and the client that is goal-focused.

CMs ensure Individual Service Strategies (ISS) are current and that the services being provided are according to the plan.

individual service strategy wia 129 664 405
Individual Service Strategy WIA 129 / 664.405
  • Based on objective assessments
    • Career
    • Academic
    • Other barriers
  • Contains bothlong-and short-term goals
    • Measurable, time specific, realistic, action based
  • Includes employment and career goals,

and goals for overcoming barriers to success

  • Identify various services for accomplishing goals
  • Questions to ask: Do the ISSs contain both long and short-term goals as well as action steps?
  • Do they address barriers to success?
  • Are they assessment driven?
long term goal example
Long-term Goal Example

Jim’s long term-goal is to obtain employment as an automobile mechanic by July 2010.

Jim’s short term objective is to successfully complete a Jones Community College automotive technician certificate program by May 2010.

Jim will prepare a resume and get a good job.

continuum cont2
CONTINUUM (cont.):

III) Service Provision:

Based on the long- and short-term ISS goals

Utilizes external resources as well as internal

Continually monitored

ten youth elements
Ten Youth Elements

Under WIA, the following must be made available for youth participants based on the objective assessment of needs

  • Remedial education
  • Alternative secondary schools
  • Linked summer jobs
  • Work experience
  • Occupational skill training

Supportive services

Adult mentoring for 12 months

Follow-up services—full range

Comprehensive guid- ance and counseling, and referral

Leadership develop- ment

continuum cont3
CONTINUUM (cont.):

IV) Placement:

Appropriate employment

Educational program

Occupational Skills Training

Credentials/Certification Include:

High school diploma

GED or other recognized equivalents

Post-secondary degrees/certificates

Recognized skills standards

Licensure or industry-recognized certificates

continuum cont4
CONTINUUM (cont.):

V) Follow-Up:

Two Types of Follow-up:

Follow-up for reporting and tracking purposes

Follow-up services and activities after placement in a job or educational program to facilitate retention

CM provides support during a critical phase, reinforces skill development, and aids retention after placement in employment or education


Trumps all else.

  • What are the two levels of Case management?
    • Administrative role
    • Direct service role
  • What are the distinct purposes of Case management & MIS?
    • Coordination of services (CM)
    • Information for managing (MIS)
case management resources
Case Management Resources



  • Jack MacLennan
  • Federal Project Officer
  • Region 5 ETA