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notes, but a printed copy must be maintained in the files.  Each local are mus but In addition, you must ensure that the appropriate documentation to

Keeping Maryland Working and Safe                                  

WORKFORCE INVESTMENT FIELD INSTRUCTION (WIFI) No.  12-04 Change 1

DATE:July 2, 2007

TO:Maryland Workforce Investment Act (WIA) Grant Recipients

SUBJECT:WIA Participant Case Record Management

REFERENCES:WIA Participant Case Record Management

Single Audit Reports for FY2005 and FY 2006

BACKGROUND INFORMATION:

In WIFI 12-04 DLLR addressed the procedures for WIA Participant Case Record Management as it related to WIA Validation.  Subsequently, DLLR has received audit findings relating to client file maintenance for the audit period ending June 30, 2005 and June 30, 2006.  The State Single Auditors and the Department of Labor (DOL) monitors identified this as an internal control weakness in our system. They feel that DLLR could not ensure that LWIBS are in compliance with administrative requirements for WIA recipients.  They expect the LWIBs to document all services in the case notes that a WIA customer receives from the point of registration to the point of exit.  The case notes must tell a “story” regarding all services that are received.  Although your staff is using the case management system in the Maryland Workforce Exchange, the Single Auditors and DOL require that all case notes are clearly documented in the participant files.

In addition, DLLR was cited for findings that included no documentation of WIA eligibility and files lacking organization.

Due to LWIB file maintenance weaknesses, DLLR has been charged with the following:

1.

Reviewing LWIB file maintenance procedures.

2.

Provide training to all case mangers to instruct them in proper file maintenance procedures.

3.

Implementing supervisory review to monitor adherence to required procedures.

EFFECTIVE:June 15, 2007

Andrew Moser

Assistant Secretary

Division of Workforce Development

ACTION TO BE TAKEN:

Each local area may continue to use the MWE to record the case

notes, but a printed copy must be maintained in the files.  Each local area must ensure that they develop a system to organize the information contained in participant records and that the information documents the

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