10- 144 C.M.R. ch. 311, § III-II - Procedures for the Separate Administrative Unit:'

Appraisal at Registration: If at all possible the WIN/MA and SAU staff should appraise the individual during or immediately after registration. Certification may also be requested and supportive services arranged during the appraisal process. However, until the registrant becomes a recipient, only direct staff services may be provided by the WIN funds. The necessity for pre-appraisal is precluded when appraisal occurs at the time of registration. Pre-appraisal activities by the SAU may be found in certain instances when there has been a long delay between registration and appraisal. In no instance should pre-appraisal activities delay the scheduling of appraisal interviews.

Appraisal Interview: The purpose of the appraisal interview is to assess the registrant's employability potential and suitability for employment or participation in a WIN component. It involves analyzing the registrant's work history, skills, interests, and possible needs for supportive services as well as the consideration of personal employability information in relation to the current labor market. The Department of Manpower Affairs staff and SAU staff should both be involved in the appraisal process and a joint interview should he conducted to the extent possible. When this is not feasible, sequential interviews should be conducted within 5 days. The WIN/MA staff shall request certification of each registrant prior to assignment to a WIN component, and shall indicate the date by which the supportive services requested are to be provided or arranged. If an uncertified, registered recipient finds employment the WIN/MA staff may request the SAU to certify the individual if supportive services are necessary for the individual to accept the employment.

Selection: The criteria for selection for appraisal are:

A. All unemployed fathers shall be appraised within 2 weeks of determination eligibility for AFDC benefits. This does not necessarily mean, however, that every unemployed father will be assigned to a WIN component;

B. Other registrants will be appraised according to the following legislatively mandated priorities, taking into account the individual's employment potentials:

1. mothers, whether or not required to register, who volunteer;

2. other mothers and pregnant women under 19 years of age who are required to register;

3. dependent children and relatives who have attained age 16 and who are not in school full-time, or engaged in work or manpower training;

4. others.

Documentation: Some registrants may not be selected for appraisal, or may be appraised but not assigned to a WIN component. Factual reasons for this action should be carefully documented by both the SAU and Manpower Affairs staff.

Medical Determinations for Registered WIN Mandatory Recipients: When following registration, a WIN mandatory recipient claims that a disability precludes or limits participation in the WIN program it shall be the responsibility of the SAU to:

A. obtain an "Authorization for Release of Medical Information Form".

B. assist the recipient in obtaining the necessary medical information.

C. discuss with the doctor, if necessary, the reason for the need for this information and clarification of any ambiguous information.

D. analyze with the WIN/MA counterpart medical information received.

If the information states that the recipient is incapacitated to the extent that he/she cannot in the foreseeable future engage in any type of training or employment, the WIN/MA will deregister the recipient and so advise IMU. If the incapacity is one of degree, WIN/MA in cooperation with the SAU will make a concerted effort to obtain training/employment within the recipient's limitations.

Only in unusual cases after both the WIN/MA and DHS have exhausted all avenues will a referral to the Bureau of Rehabilitation he made.

Since this is an employment related service it will he charged to the DOL contract. It will be the responsibility of the SAU managers is to insure that all bills are properly identified - "WIN - Registration".

Subsequently Scheduled Appraisals: Individuals scheduled for appraisal at a different time than the registration interview must be provided a written "call-in" notice by the WIN/MA staff. The written notice must include, the date, time and location of the interview; instructions for arranging an interview schedule change; and the possible consequences fop failing to appear. The SAU should be provided a copy of these notices.

SAU staff should try to contact registrants who fail to appear for their first scheduled appraisal interview, whether it is either a joint or separate WIN/MA or WIN/SAU interview. An effort should be made to identify the problems that prevented the registrant from attending and resolve them. At the time of their contact with these registrants, SAU staff should try to schedule a mutually agreeable appointment for appraisal. Registrants who fail to appear for an initial interview and are not contacted by the SAU will be rescheduled by the WIN Sponsor. In all cases when an interview is rescheduled, written notice shall be provided to the registrant. The rescheduling notice may be sent by certified mail or delivered by SAU staff during a personal visit or by other appropriate methods and it must advise the registrant that failure to appear will result in the initiation of deregistration action.

Certification: Certification is a written notice from the Separate Administrative Unit that:

A. necessary supportive services have been arranged, provided or are available to enable a registrant to accept employment, training or other manpower services, or

B. the registrant needs no supportive service to be ready for employment or training.

1. the WIN/ Department of Manpower Affairs shall request that SAU certify those individuals who have been selected for participation in a WIN component. Registrant recipients who have not been certified but find employment or are placed by the WIN Sponsor may be certified and necessary supportive services may be provided for them to enter employment.

Certification is not necessary for a registrant to enter employment. However, WIN sanctions may not he applied to an uncertified individual who refuses employment. Certification requests are necessary for all AFDC recipients except for those who obtain their own employment.

2. Certification may be requested at the time of appraisal, when the WIN Sponsor is ready to place the registrant in a component, or when the individual is to enter employment.

3. the certification request should indicate the date when certification is to he completed. When no services are needed, the SAU will be requested to certify that the individual is ready to enter work or training. When child care is needed, the certification request should indicate, if possible, the hours child care is needed, the starting date, length of time it will be needed and any special circumstances related to child care which have been identified.

4. after initial certification, the need for new or additional supportive services may be identified by the SAU or the Department of Manpower Affairs. If such service needs are determined by the SAU after an initial certification has been completed, it may proceed with immediate provision of WIN services without a supplemental request for certification from WIN/MA. If additional service needs are noted by Manpower Affairs such shall either directly inform SAU of the noted need or initiate a supplemental request for certification.

Provision of Services to Applicants: Service needs may be identified at appraisal, certification may be requested, and the SAU may provide staff services to applicants. No purchased services supported by WIN funds can be provided; however, until the applicant becomes eligible for AFDC benefits. Once the applicant becomes a recipient, certification should be completed for the staff services provided while the individual was an applicant, and WIN funded purchased services also may be provided to complete certification. In addition to receiving SAU staff services, applicants may be referred for other Title XX services if the necessary services are available.

Refusal to Accept Services: A certified mandatory registrant may not refuse supportive services included in the employment plan, if such refusal prevents the individual from accepting an appropriate work or training assignment. To refuse such services as a means to refuse employment or other manpower services should be treated as refusal to participate without cause by the Manpower Affairs Agency.

Duration of WIN Supportive Services: WIN Supportive Services may be continued as long as an individual is active in the WIN Program. The individual is considered active throughout the direct job entry period which is 30 days.

A. necessary supportive services shall be provided for the duration of a registrant's participation in all WIN components except OJT and PSE, and suspense to CETA/OJT and CETA/PSE.

B. when an individual enters PSE or OJT, necessary supportive services shall continue for a period of 30 days after the start of subsidized employment and may continue for an additional 60 days at the discretion of the SAU. Such services may continue during this time even after the AFDC grant has been discontinued due to income earned from such employment. No additional supportive services may be provided to the individual when the OJT or PSE enrollment ends and the employment becomes unsubsidized.

C. in special circumstances, working registrants who are not currently receiving WIN supportive services, may be provided day care services for a period not to exceed 30 days where the loss of these services would cause the loss of existing employment and where the services are not available on a timely basis from Title XX or any other source.

D. supportive services may he provided for 2 weeks in order not to interrupt the employability process.

The SAU may continue to provide supportive services as long as the individual remains active in the WIN Program even if his earnings disqualify him for AFDC. If an individual requests a service which he/she feels is necessary in order to participate in the employment plan and the service is denied, the individual shall be advised of his right of appeal under the Department of Human Services Fair Hearing procedures. The SAU worker shall offer to assist the individual in filing the appeal. The employment plan will not be implemented until the appeal has been ruled upon by the Commissioner of the Department of Human Services.

WIN/MA Status Change Notice: The Department of Human Services is officially notified of the individual's entry into participant status in the WIN Program by the Status Change Notice Form (MA 5-97). This notice additionally specifies the program component the individual has entered, such as on-the-job training (OJT). Whenever the participant moves from one component, such as the job-entry period, the State Change Notice is provided. It is sent by the WIN/MA team to the IMU with a copy to the SAU.

Establishing a WIN Service Case: Individual local office SAU's may determine the appropriate time to establish a WIN service record. The case record must, however, be established no later than the time that certification is requested. When the WIN service case records are established, the SAU shall notify master files.

Day Care: Day care is defined as comprehensive and coordinated sets of activities providing direct care and protection of infants, pre-school and school age children during a portion of a 24-hour day inside or outside of the child's own home.

Day Care Standards:

A. day care provided with Federal funds must meet the standards prescribed in 45 CFR 228.42.

B. in-home day care funded by WIN shall meet the standards set by the Department of Human Services as established by the above cited regulation and by statute.

Day Care Plans:

A. The SAU should explain to registrants the types of day care available, the suitability of each type of care in relation to the needs of children, the importance of stability and continuity of care, the length of time WIN-funded day care payments can continue and the availability of day care after WIN-funded care ends.

B. The parent should be involved in the development of a suitable day care plan which may include plans for emergency or interim care as well as for long-term, stable day care.

C. If there is more than one type of day care available, the mother or other caretaker relative may choose among them.

D. A registrant may not refuse available child care unless he/she can arrange for other day care that is no more expensive to WIN and can show that such refusal will not prevent or interfere with WIN participation.

E. In the case of day care provided at no cost to the WIN Program or the Department of Human Services, the SAU worker should discuss the care arrangement with the WIN registrant to determine its potential stability and suitability.

F. As part of the planning process, the SAU should stress the importance of the registrant's informing the SAU immediately if the day care plan breaks down.

G. If in-home full-time, non-relative care is to be used, the SAU should instruct the registrant in his/her role as employer, including the necessity of paying the minimum wage and of paying Social Security taxes for the provider for full-time care.

Criteria for Day Care Plans: In developing plans for suitable day care services, the following factors should be considered:

A. accessibility to the child's home and school;

B. convenience for the registrant and suitability of the hours of the day care with respect to the registrant's schedule; and

C. appropriateness of the plan to the age and special needs of the child.

Development of Day Care Resources: Development of adequate day care facilities and resources is one of the key factors towards the success of the WIN Program. The SAU is responsible for interpreting not only the day care needs of the WIN population but for assuming an active role in promoting the development of resources within the agency and in the community to meet such needs. The role of SAU in the area of day care resource development is:

A. to conduct periodic studies of the day care needs of existing and potential WIN registrants;

B. to identify the day care resources available including contracted slots at existing day care centers, family day care homes, and group day care homes;

C. to participate in planning and coordinating the day care services in the community including those related to the child care activities under the Title XX Plan.

Notes

10- 144 C.M.R. ch. 311, § III-II