Intake and Initial Assessment

In this module, we will review learner retention materials to highlight how literacy can make a difference in people’s lives, encouraging learners to participate in life-long learning opportunities.

About Literacy Basics

Intake and Initial Assessment

The intake process and initial assessment provide us with the information we need to make a number of decisions:

Does the learner meet eligibility criteria set out by the Ministry of Training, Colleges and Universities (MTCU), your literacy services plan (LSP) or other stakeholder requirements?
Do you have the information you need to begin to develop a learner plan?
Can you meet this learner’s needs based on your program’s structure, capacity and mission and your community’s literacy services plan?

Initial Interview and Assessment Tips

The initial interview and assessment are basically information gathering sessions. Some programs do the interview in a separate appointment, leaving the assessment for a later meeting. Some programs start with the first page of the LBS Participant Registration Form or other agency-developed intake interview forms. A sample of an agency-developed pre-assessment form (from North Bay Literacy Council) is available in the Sample Forms section at the end of this module. A copy of the LBS Participant Registration form can be downloaded from Service Ontario’s Forms Home by searching for Form 3006E. These forms can be helpful in gathering all the required information to set up a new learner profile. Note: An assessment for LBS eligibility (assessed as being less than Level 3 of IALSS or OALCF) needs to be completed before registration, therefore the LBS Participant Registration form is not required and should not be signed until after the initial eligibility assessment is completed.

Here are some tips offered by LBS workers to help you get the information you need during the initial interview and assessment, without causing your client (potential learner) too much stress:

Work with the client in an area that is private, comfortable and away from interruptions.
Don’t jump right into the assessment. Taking the time to chat or offer refreshments will help the client relax.
Clearly explain the process:
- how long each step in the intake/assessment process will take
- what you can or can’t help with
- what the learner needs to do on his/her own
What other options are available (for example, you might identify at the outset of the telephone call or interview that the person is looking for a different type of program than you offer.)
Start with a “fact-gathering” interview (name, address, eligibility criteria and so on) before moving into skills assessment.
Choose the appropriate assessment material based on the information the learner provided in the interview.
Explain the purpose of the assessment tasks you select. This can help reduce “test anxiety” and show the learner how the task relates to his or her goal.
Be sure to provide opportunities for the client to ask questions.
During the initial interview and assessment help the learner answer, or at least start to think about, these questions:
- What are my goals?
- What is my goal path?
- What skills, knowledge and abilities do I already have?
- What do I need to learn and do to transition to the next step towards achieving my goals?

Initial Assessments

During a survey of a number of LBS programs in December 2018, CLO found that many different methods were used for the initial assessment. Generally, programs used the briefest method possible to determine that the potential learner was eligible for LBS services. That “being less than the end of level 3 of the International Adult Literacy and Skills Survey (IALLS) or the OALCF” (LBS Service Provider Guidelines), which is also the equivalent of Level 3 of the Essential Skills.

Some examples of the initial tools used were:

Quick screen tools
- The Initial Skills Assessment found in CESBA’s (Ontario Association of Adult and Continuing Education School Board Administrators) Embedded Skills, Knowledge and Attitudes Reference Guide for Ontario (ESKARGO).
- LLEO’s Common Assessment of Basic Skills (CABS) quick screen that we have included in the Sample Forms section at the end of this module.
- PTP’s CAMERA Placement Tool for reading and math
- Literacy Link Niagara developed a quick screen during their Project Ontario Works (2012) called the POW Quick-Screen
OALCF examples of tasks learners can do at the end of level Assessors ask the client if they are able to complete the example tasks of the various levels of a task group appropriate to what the learner wishes to improve. This method is often used to determine Digital Technology (OALCF Competency D). The OALCF Curriculum Framework describes these example tasks as “Example tasks illustrate what learners can do at the end of a level. Each example task indicates the goal paths in which learners are likely to be expected to perform similar tasks once they have transitioned. They also clarify how the Framework applies to all learners, regardless of their goals.”
Online tools
- Ontario Skills Passport Assess and Build Your Skills self-assessments (in the For Learners section help to get information on the client’s Essential Skills and work habits and compare those results to occupation(s) of interest to the client. It looks at three areas: “Tasks I do in everyday life”, “Tasks I do or have done at work” and “Workplace tasks I think I can do”.
- SkillPlan Measure-up has sample task-based, real workplace Essential Skills level assessments that can be printed or completed online. Please note that you may need to enter the URL (skillplan.ca/measure-up) in your browser to access these assessments.
- Northstar Digital Literacy Assessment is an online assessment of the basic skills needed to use a computer and the internet in daily life, employment, and higher education. Online, self-guided modules assess the ability of adults to perform these tasks. There are assessments for Essential Computer Skills (Basic Computers, Internet Basics a, Using Email, Windows 10 and Mac OS X), Essential Software Skills ( MS Word, Excel and PowerPoint) and Using Technology in Basic Life (Social Media and Information Technology). After discussing the client’s perception of their skills, choosing an appropriate assessment from this site may provide documentation of their skills and gaps.
- Essential Skills Online Indicators Although these are based on the Essential Skills the levels equate to the OALCF. Each indicator has less than 10 questions and allows the learner to print out their score and correct answers and explanations to the problems. There are indicator tests for three levels each of Numeracy, Document Use and Reading.

Things to Keep in Mind When Choosing a Tool

As all assessments, initial assessments should be:

Contextual – Let’s say, for example, the learner’s goal is independence. You might choose an assessment task that includes grocery shopping or reading a community event poster.

Level appropriate – Assessment should determine what the learner can comfortably do, rather than focus solely on their shortfalls. It should be encouraging rather than overwhelming. During your initial interview, listen to what the client says and watch how they fill out any forms you provide. Allow learners to communicate what they already can do and what they know. Often you can get clues to the level of difficulty at which you should start assessing the learner through the interview.
Task-based – Remember that, during the assessment, the client is also assessing your program. Assessment activities should not be skills assessments that are not connected to client needs. Instead, use tasks relevant to the client’s stated interests and goal path.
Common Assessment – When possible, use assessment tools that are understood by the Ontario LBS community and key referral partners. Using language and tools that are commonly understood helps build a coordinated support service for the learner and makes assessment results transferable. For examples of assessment tools commonly used in Ontario LBS programs and assessments that have been articulated to the OALCF and Essential Skills, see the Resource List at the end of this module.

Idea: When using initial interview/intake or Participant Registration forms, having the prospective learner complete some or all of the forms can provide you with a writing assessment! However, if the learner is having difficulty filling out the forms, be prepared to conduct an oral interview.

Assessing the Goal and Goal Path

During the initial assessment we, of course, assess the learner’s skills, knowledge and abilities. As we have mentioned, the intake and initial assessment process also involves determining the learners’ goals and their LBS Goal Path. Once these have been identified, practitioners need to look into the requirements of the goal path and goal. For example, we should find out:

the type of tasks people with this goal need to perform

which OALCF Competencies and Task Groups will they need to do to successfully complete these tasks and at what competency level
what other prerequisites are necessary for this goal, such as further education or training
are there other considerations or supports that might be needed to reach the goal, for instance, relocation, financial supports or accessibility supports

Once we know the goal/goal path requirements, we can compare these to the learners’ skills and their ability to complete sample tasks. This enables us to assess if there are gaps between the learner’s current situation and the tasks, etc. required to successfully meet the goal.

The following are some useful resources on goal path requirements:

Links to the goal path description documents for each of the OALCF’s five goal paths: Apprenticeship, Employment, Postsecondary Education, Secondary School Credit and Independence. Each of these documents provides good leads on where to find information about the goal path and its prerequisites.
You may also find the Essential Skills for Ontario’s Tradespeople website useful for information and assessment for learners on the apprenticeship goal path.
For the employment goal path, the following three sites are often used:
Literacy Link Eastern Ontario created OALCF Goal Path summaries for ease of use. The apprenticeship goal path has been split into two documents (Skills Training and Apprenticeship).

After the Assessment

The OALCF has a learner-centred approach. In order to respect learners and their goals, it is important that we encourage learners to participate in all phases of their LBS learning. Once prospective learners have completed the assessment activities, review the assessment results with them. Let the learners know what skills they have and include them in the exploration of their goals and goal path. Help them to realize what steps they will need to take to reach goals. Briefly discuss the OALCF competencies, task groups, level indicators, task and performance descriptors and levels in terms the learner can understand. Provide details and, to illustrate, use the example tasks provided in the OALCF Curriculum Framework. Focus on the positive.

Clearly explain the next step(s), e.g., will learners be enrolled in a small group or a class? Will they have to wait to be matched with a tutor? When can they start?

Introduce the concept of a learner plan to prospective learners. Explain how you will work together to develop a plan that is individualized, designed especially for them and their personal goals and goal path. Learners who understand their learning plan and participate in its development have a greater ownership which leads to more enthusiastic learning.

Talk about expectations, the learner’s and the agency’s, with regard to time commitment, progress, etc. Some programs have a signed agreement with the learner. Take them on a tour, show them where the various facilities are and introduce them to other staff.

Not the Best Option, May We Suggest

Not everyone who walks in the front door of your literacy program will end up as a program participant. Based on your initial conversation, or further along in the initial assessment, you might determine that your agency or LBS service is not the best option for the person. You may also find that the person isn’t eligible for the LBS program (see Eligibility in the Ministry of Training, Colleges and Universities Requirements section of this module). In these cases, you would refer him or her to a more appropriate Employment Ontario program or another service in your community. Take these steps:

Explain why. It is important that you take the time to explain your rationale for recommending another option to the client.
Be sure to provide a contact name and phone number for the other literacy program or community service.
Have learners sign a release of information so that you can share the assessment results.
Although it is not necessary to follow up to confirm if the client went to or registered at the other service, it is a good referral practice.

In order to be able to make appropriate referrals, you must be well-informed about what services and programs are available in your community. This is all part of the LBS Information and Referral service. For more on this service, go to the Literacy Basics Information and Referral module.

Different Places, Different Processes

Literacy agencies across the province approach the initial assessment in different ways. In some areas, the Literacy Services Planning and Coordination (LSPC) committee has developed an assessment tool that is used by most or all of the literacy agencies in the community. An example of this is the Assessment and Training Referral Guide for Northwestern Ontario Employment Ontario Service Delivery Partners that can be downloaded from the Learning Networks of Ontario website. Elsewhere, each individual literacy agency conducts initial assessments using methods and tools that are most suitable for their clients and practitioners. In other areas, there is a common assessment centre where all initial assessments take place and learners are then referred to the most appropriate delivery agency.

LBS Participant Registration

Once you have completed the initial interview and assessment and determined that the client is eligible to be an LBS learner, you may complete the intake process.

So, just what information should you be gathering at intake? The LBS Participant Registration Form lays out the basic information that you will need to collect to get the learner registered on EOIS-CaMS and started in the LBS program. Review the form to see the specific information you will need. In general, the first sections of the form cover what some people refer to as the learner’s tombstone information:

personal information (sometimes referred to as ‘tombstone data’)
contact information
voluntary, self-identifying membership in a specific group such as minority, disability, newcomer to Canada, First Nations, Metis, etc.
formal education and training history
employment history

Although it is not an MTCU requirement to complete all the information in the last three bullets above, the information helps MTCU with statistical analysis. These details also help you and other Employment Ontario programs to serve the client better. For example, a person with a back pain issue or who is hard of hearing you may be able to ensure accommodations are made for these self-identified disabilities. A person with First Nations or Metis background may get value from learning using Indigenous resources and may have special funding available for the next step toward their goal. It is worth noting that these factors may improve your suitability score, as well (see next section. Learner Suitability).

You should explain to learners how the information you are collecting will help you develop the learner plan, determine suitability, provide them with better supports, etc. You can also explain that gathering certain information is an MTCU requirement for the learner to enter the LBS Program.

The learner will easily be able to provide some of the information you need (e.g., personal information); other information will be determined as you proceed with the assessment (e.g., assessment information). You may or may not be able to gather all of the information you require at an initial interview. It could take two or more sessions to complete the list.

Learner Suitability

Some of the information you need to gather refers to learner suitability criteria. Learner Profile Suitability is one of the four measures of the Effectiveness dimension of your agency`s Overall Service Quality. The Indicators of Effectiveness are listed in the LBS Service Provider Guidelines (effective October 2016). At the time of this writing, the Indicators of Suitability were:

education level attained (less than grade 12)
source of income identified as one of the following:
- Ontario Works
- Ontario Disability Support Program
- no source of income
- crown ward
time out of school, or training (6 years or more)
age (older than 45 years of age and under 64)
history of interrupted primary and secondary education
person with disability (as defined by the Accessibility for Ontarians with Disabilities Act and Ontario Human Rights Code)
Indigenous Person
Deaf
Deaf blind
Francophone

Personal Information, Privacy and the Notice of Collection and Consent

A significant section of the LBS Participant Registration contains the Notice of Collection and Consent. This notice needs to be understood by the learner. Because this may be difficult for many learners to read and understand, you are required to explain or provide a simpler version to help them understand their rights. In order to be registered, the learner must not only sign the consent to collect, use and disclose the learner’s personal information as covered in the notice, they must also sign that their service provider has explained its use and the disclosure of the information for its purpose. These are to be signed before you start a file or enter information onto the EOIS-CaMS online database. The date of the signatures on the consent and acknowledgement must be prior to the entry of any participant/learner into the EOIS-CaMS.

As the collectors of personal, private information, LBS Service Providers are also required to have their own privacy and personal information policies. These should be explained carefully to learners, as learners also need to sign an acknowledgement that their Service Provider has explained its use and disclosure of learners’ personal information (see also the section on Confidentiality).

Other Assessment Information to Collect

Some information you might want to gather during the Intake and Initial Assessment is not included on the Participant Registration form. This information may be required on the Learner Plan, in the learner’s file, or simply to better serve the learner. Below are some examples

Learning styles and preferences – MTCU requires us to document the learner’s preferred style of learning in the learner file. A good way to meet this requirement is to include the learning style in the Learner Plan. Some agencies will include learning styles screening in the initial assessment while others wait until the learner is enrolled (for information see the section on Learning Style and Disabilities).
Vision or hearing problems
Medical concerns that may impact learning (e.g., bad back so can’t sit for extended periods of time or prescription medication that might have side effects)
Means of transportation (Will you need to provide training supports for travel?)
Other supports needed (Will you need to provide training supports for daycare, etc.)
Learner’s preferences as to scheduling, location, setting (depending on what your program can offer)
Allergies, special needs
Other interests

Gateway Centre for Learning uses an Additional Intake Information Form to collect the extra details they feel help them serve learners better. There is a copy of this in our Sample Forms section.

Questions and Activities for Reflection

Review some initial assessments of learners in your program. How would you rate the assessments in terms of being contextual, level appropriate, task-based and commonly understood?
Think about a time when your skills were assessed. Some examples could be tests or performance reviews. What did you like or not like about the experience?
Think about how you presently do initial assessments. What steps could you take to make the potential client more comfortable about, and during, the process?
What additional information does your agency gather at intake and initial assessment that isn’t required on the Participant Registration? How does your agency use this information?

How could you include the collecting of personal information as part of your skills assessment?

Next in the Module > Ongoing Assessment