05.5.8 When Formal Assessment is Not Completed

The participant’s self-report of a barrier, or a service provider’s statement as to the inability to participate which does not meet the definition of a formal assessment, is not sufficient by itself to confirm the existence of a barrier. However, this information must be considered as part of the process of assessing for barriers to participation in W-2 or employment. The agency must use this information in conjunction with a formal assessment and other substantiating information (e.g., behavioral cues, low TABE score, pattern of nonparticipation without good cause) to make a factual determination of a barrier.

EXAMPLE: Jean submits an application for W-2. During the initial informal assessment meeting, Jean states that she cannot engage in any type of W-2 activities because she has severe back pain. She gives the FEPFinancial and Employment Planner a note from her physician written on a prescription sheet. The note states that Jean cannot participate in any W-2 activities. The FEP explains to Jean that a formal assessment is needed in order to fully understand how Jean’s medical condition affects her ability to participate in W-2.

Together, the FEP and Jean review the W-2 Formal Assessment Agreement and Jean indicates at the bottom of the agreement that she will obtain a formal assessment. Jean is given the Medical Examination & Capacity form to bring to her physician. The FEP follows up with a phone call to Jean’s physician to explain what the Medical Examination & Capacity form is and why a full formal assessment is needed.

Meanwhile, the FEP has all of the needed documentation and verification to determine eligibility for W-2 and places Jean in a W-2 TW-2 Transition while waiting for the results of the formal assessment.

If the participant declines a formal assessment and there are unresolved factual issues as to the participant’s barrier, the W-2 agency should proceed to work with the individual as though they do not have a barrier to participation in the W-2 program or employment. If the participant declines a formal assessment, the FEP must continue to informally assess and revisit the importance of cooperating with assessment at each review of the participant’s EP.

EXAMPLE: Naomi is applying for W-2. While completing the initial informal assessment, she tells her FEP that she has chronic migraine headaches and she will have to miss her work activities whenever the headaches flair up. The FEP explains to Naomi that a formal assessment completed by her physician will help determine what services and accommodations will help Naomi with W-2 participation.

Together, the FEP and Naomi review the W-2 Formal Assessment Agreement. After reviewing the agreement, Naomi states that she does not want to obtain a formal assessment and she indicates on the agreement that she is declining to complete a formal assessment. As a result, the FEP has no substantiating information about Naomi’s migraines to determine the extent to which Naomi’s medical condition will impact her ability to participate and no information regarding the types of services and accommodations that Naomi needs.

Unless other information comes to light the FEP must proceed to work with Naomi as though she does not have a barrier to participation in the W-2 program or employment.

The FEP should continue to watch Naomi’s case closely for a pattern of nonparticipation without good cause and re-offer a formal assessment when appropriate.

Completion of a formal assessment for W-2 T participants is necessary to make the determination that the individual is not ready for unsubsidized employment and unable to successfully participate in one of the other W-2 employment positions. (See 7.4.2) FEPs must offer assistance in obtaining the formal assessment throughout the entire process including:

3. Attending or rescheduling an appointment with the assessing agency if an individual is having difficulty; or

4. Obtaining a formal assessment from the assessing agency if an individual is having difficulty.

FEPs must document in PIN comments any assistance offered or provided in obtaining the formal assessment.

If the individual is making attempts to complete the assessment and has been unsuccessful due to reasons outside of their control, they are cooperating with the assessment referral process and FEPs should continue to offer assistance as needed. If the W-2 agency has determined that the participant is not complying with the formal assessment referral, the W-2 agency should work with the individual as though they do not have a barrier to participation in the W-2 program or employment and determine an alternate placement.