FY 1995 MONITORING GUIDE BASIC STATE GRANTS PROGRAM UNITED STATES DEPARTMENT OF EDUCATION OFFICE OF SPECIAL EDUCATION AND REHABILITATIVE SERVICES REHABILITATION SERVICES ADMINISTRATION Fredric K. Schroeder, Ph.D., Commissioner MAY, 1995 TABLE OF CONTENTS Page Number Introduction iii - vii Annual Review Guide 1 - 37 On-Site Review Guide 39 - 68 Case Review Guide * 69 - 101 * The Case Review Guide is in draft and will be used until such time as the RSA-CSAVR Case Review Workgroup develops an alternative instrument. INTRODUCTION This document is intended to provide guidance for RSA staff in their duties related to the conduct of monitoring and the provision of technical assistance (TA) for the basic State grants program under Title I of the Act. The specific monitoring requirements for RSA in the 1992 amendments to the Act, and changes in RSA resources have created a need for change in our monitoring efforts. The strategies outlined are an attempt to shift the emphasis of RSA's monitoring from the past focus on strict compliance with the letter of the law to a more global examination of the quality of services, outcomes for clients and the provision of TA to assist in maintaining compliance with the current Act. Section 107 of the Act requires RSA to conduct annual reviews and periodic on-site monitoring of State Vocational Rehabilitation (VR) agency programs to determine whether the State is complying substantially with the provisions of its State plan. The Act further mandates RSA to provide TA to State agencies in order to improve the quality of VR services provided, and in the event a State agency fails to comply substantially with its State plan, to establish a corrective action plan. The new requirements, while prescriptive for RSA in some aspects, in no way lessens productive State-Federal partnerships in the provision of VR services to individuals with disabilities in each State. RSA's policies encourage the continuation of the strong State-Federal partnerships and cooperation that is unique to this program. The strategies presented in this document will enable RSA to work together with our State partners in ensuring positive outcomes for our customers, the individuals with disabilities who receive VR services. Specifically, in order to assess the national health of the State-Federal rehabilitation program, RSA's monitoring strategies call for annual reviews of certain materials in all State agencies, and periodic on-site visits with selected State agencies each year. The on-site reviews will be divided into Regional and National initiatives. Selected on-site monitoring initiatives will be planned and conducted as needed, and at the discretion of each Regional Commissioner. More comprehensive national on-site monitoring will be conducted in selected States by inter-regional teams, and will consist of three phases. The first phase will include information gathering visits with the State agency and the public hearings required by law. During the second phase, RSA in coordination with the State agency, will review all information and data gathered and develop a monitoring plan that is unique to the needs of that agency. The third phase is an on-site monitoring visit by RSA to examine the implementation of the State plan, reviews of case records and other activities as identified by the State agency and the review team. FY 1995 Focus Areas For FY 1995, RSA will focus its annual review monitoring on issues related to: 1. Eligibility/Ineligibility; 2. The Individualized Written Rehabilitation Program (IWRP); 3. The State Rehabilitation Advisory Council (SRAC); 4. Order of Selection; 5. Consumer Participation; and 6. Due Process. RSA Monitoring - FY 1996 and Beyond RSA is committed to playing a leadership role in promoting the employment of individuals with disabilities, especially individuals with severe disabilities, and in assisting States and providers of services in fulfilling the aspirations of such individuals with disabilities for meaningful and gainful employment. We would appreciate your recommendations for improving the efficiency and effectiveness of the RSA monitoring system. If you have any recommendations, or would like to speak to a member of the RSA monitoring staff, please contact us at the following address, TDD, FAX and telephone numbers: Rehabilitation Services Administration RSA Monitoring Unit Mary E. Switzer Building 330 C Street, S.W., Room 3216 Washington, D.C. 20202-2735 Voice: (202) 205-9286; 205-9497; or 205-9346 FAX : (202) 205-9340 or 205-9772 TDD : (202) 205-9295 or 205-8919 We also welcome your contacting us through the RSA Bulletin Board System (BBS). The RSA BBS telephone number is (202) 401-6147. Leave your message in the MONITOR mailbox. The RSA Regional Commissioners and Regional Office Monitoring Liaisons may also be contacted regarding the use of the FY 1995 Monitoring Guide, the interpretation of Federal monitoring requirements and the availability of technical assistance to further the achievement of the purposes of the Act. The Regional Commissioners and Regional Office Monitoring Liaisons are listed below with their respective addresses, TDD, FAX and telephone numbers. Mr. John J. Szufnarowski Mr. Anthony Ruscio RSA Region I Commissioner Region I Monitoring Liaison Department of Education Department of Education J.W. McCormack POCH Bldg. Rm 232 J.W. McCormack POCH Bldg. Rm 232 Boston, MA 02109 Boston, MA 02109 1-617-223-4085 1-617-223-4089 FAX: 1-617-223-4573 FAX: 1-617-223-4573 TDD: 1-617-223-4097 TDD: 1-617-223-4097 Mr. John J. Szufnarowski Mr. Tony LaGattuta Acting, RSA Region II Commissioner Region II Monitoring Liaison Department of Education Department of Education J.W. McCormack POCH Bldg. Rm 232 26 Federal Plaza, Room 1239 Boston, MA 02109 New York, NY 10278 1-617-223-4085 1-212-264-4017 FAX: 1-617-223-4573 FAX: 1-212-264-3029 TDD: 1-617-223-4097 TDD: 1-212-264-4028 Dr. Ralph N. Pacinelli Mr. Keith Beichner RSA Region III Commissioner Region III Monitoring Liaison Department of Education Department of Education 3535 Market Street, Room 16120 3535 Market Street, Room 16120 Philadelphia, PA 19104 Philadelphia, PA 19104 1-215-596-0317 1-215-596-0314 FAX: 1-215-596-0471 FAX: 1-215-596-0471 TDD: 1-215-596-0269 TDD: 1-215-596-0269 Dr. Ralph Pacinelli Mr. Harry Fulford Acting, RSA Region IV Commissioner Region IV Monitoring Liaison Department of Education Department of Education 3535 Market Street, Room 16120 P.O. Box 1691 Philadelphia, PA 19104 101 Marietta Street NW, Suite 2210 1-215-596-0317 Atlanta, GA 30301 FAX: 1-215-596-0471 1-404-331-0535 TDD: 1-215-596-0269 FAX: 1-404-331-0494 TDD: 1-404-730-3825 Mr. Terry Conour Mr. George McCrowey RSA Region V Commissioner Region V Monitoring Liaison Department of Education Department of Education 401 South State Street, Suite 700E 401 South State Street, Suite 700E Chicago, IL 60605-1202 Chicago, IL 60605-1202 1-312-886-5372 1-312-353-3569 FAX: 1-312-353-7341 FAX: 1-312-353-7341 TDD: 1-312-353-9694 TDD: 1-312-353-9694 Mr. Loerance Deaver Mr. Jerry Doyle RSA Region VI Commissioner Region VI Monitoring Liaison Department of Education Department of Education 1200 Main Tower Bldg. Rm 2140 1200 Main Tower Bldg. Rm 2140 Dallas, TX 75202 Dallas, TX 75202 1-214-767-2961 1-214-767-2961 FAX: 1-214-767-8127 FAX: 1-214-767-8127 TDD: 1-214-767-8125 TDD: 1-214-767-8125 Mr. Terry Conour Dr. Douglas Burleigh Acting, RSA Region VII Commissioner Region VII Monitoring Liaison Department of Education Department of Education 401 South State Street, Suite 700E 10220 N. Executive Hills Blvd. Chicago, IL 60605-1202 Kansas City, MO 64153 1367 1-312-886-5372 1-816-891-8015 FAX: 1-312-353-7341 FAX: 1-816-374-6627 TDD: 1-312-353-9694 TDD: 1-816-374-6917 Mr. Loerance Deaver Ms. Mayta Bird Acting, RSA Region VIII Commissioner Region VIII Monitoring Liaison Department of Education Department of Education 1200 Main Tower Bldg., Rm 2140 Federal Office Bldg., Suite 310 Dallas, TX 75202 1244 Speer Boulevard 1-214-767-2961 Denver, CO 80204-3582 FAX: 1-214-767-8127 1-303-844-4591 TDD: 1-214-767-8125 FAX: 1-303-844-6269 TDD: 1-303-844-2890 Mr. Gilbert Williams Mr. Gilbert "Doc" Williams RSA Region IX Commissioner Region IX Monitoring Liaison Department of Education Department of Education Federal Office Bldg., Room 215 Federal Office Bldg., Room 215 50 United Nations Plaza 50 United Nations Plaza San Francisco, CA 94102 San Francisco, CA 94102 1-415-556-7333 1-415-556-7333 FAX: 1-415-556-3634 FAX: 1-415-556-3634 TDD: 1-415-556-3323 TDD: 1-415-556-3323 Mr. Gilbert Williams Mr. Dick Corbridge Acting, RSA Region X Commissioner Region X Monitoring Liaison Department of Education Department of Education Federal Office Bldg., Room 215 915 Second Avenue, Room 2848 50 United Nations Plaza Seattle, WA 98174 San Francisco, CA 94102 1-206-220-7840 1-415-556-7333 FAX: 1-206-220-7840 FAX: 1-415-556-3634 TDD: 1-206-220-7849 TDD: 1-415-556-3323 ANNUAL REVIEW GUIDE ANNUAL REVIEWS Annual Review Requirements Section 107 of the Act calls for RSA to review certain State agency materials annually. These reviews may be conducted exclusively in the Regional offices or may be augmented by on-site reviews depending on resources. The Act specifies the following materials to be reviewed annually: o State agency policies, procedures and guidance materials; o decisions resulting from hearings conducted in accordance with due process; o strategic plans and updates; o consumer satisfaction surveys and other information provided by the State Rehabilitation Advisory Council; o reports; and o budget and financial management data. FY 1995 Focus Areas For FY 1995 RSA will focus its annual review monitoring on issues related to: 1. Eligibility/Ineligibility, 2. The Individualized Written Rehabilitation Program (IWRP), 3. The State Rehabilitation Advisory Council, 4. Order of Selection, 5. Consumer Participation, and 6. Due Process. Annual Review Monitoring Guidance Items In order to facilitate and organize suggested guidelines for conducting annual reviews, the following modules combine section 107 annual review requirements with review requirements for the focus areas and may be used as guidance for FY 1995 annual reviews: 1. Reports (review of reports as required by þ107) 2. Strategic Plans and Updates (review as required by þ107) 3. Fiscal Monitoring (review of reports and budget and financial data as required by þ107) 4. Eligibility/Ineligibility (focus area for FY 1995 and reviews of State agency policies, procedures and guidance materials as required by þ107) 5. Individualized Written Rehabilitation Programs (focus area for FY 1995 and reviews of State agency policies, procedures and guidance materials as required by þ107) 6. State Rehabilitation Advisory Councils and Information from Councils (focus area for FY 1995 and reviews of consumer satisfaction surveys and other information provided by the Council) 7. Order of Selection (focus area for FY 1995) 8. Consumer Participation (focus area for FY 1995) 9. Due Process (focus area for FY 1995) REPORTS COMPLIANCE CITATIONS Secs. 12(c), 101(a)(9)(D) & (10), the Act; 34 CFR 361.23 REGULATORY REQUIREMENT The State plan must assure that the State agency or the designated State unit, as appropriate, submits reports in the form and detail and at the time required by the Secretary, including reports required under special evaluation studies. The State agency or the State unit, as appropriate must also comply with any requirements necessary to assure the correctness and verification of reports. REVIEW GUIDE: A. Does the State agency or the State unit, as appropriate, submit required reports in the necessary form and detail? B. Does the State agency or the State unit submit these reports in accordance with prescribed due dates and accuracy? RELEVANT RSA POLICY ISSUANCES PD 91-09, March 8, 1991, "Promulgation of Form RSA 722, The Resolution of Applicant/Client Appeals." PD 91-10, April 2, 1991, "Approval of the RSA-911 Reporting System." PD 91-14, July 23, 1991, "Reporting Requirements for RSA-62: Annual Report on Post-Employment Services and Annual Reviews." PD 91-12, June 4, 1991, "Reporting Requirements for RSA-113: Quarterly Cumulative Caseload Report." PPD 90-04, February 14, 1990, "Revised Reporting for RSA-2 Annual VR Program/Cost Report." PD 91-13, July 3, 1991, "Promulgation of the Revised Financial Status Report-SF 269 for RSA Formula Grants under the Act." PPD 90-07, May 112, 1990, "Promulgation of RSA-15 Report of Vending Facility Program." PD 91-02, November 15, 1990, "Promulgation of Revised Form RSA-227, Annual Client Assistance Report." STRATEGIC PLANS COMPLIANCE CITATIONS Sections 101(a)(34), 120, 121, 122 and 123, The Act REQUIREMENTS In order to receive funds under parts B and C of title I of the Act, a State must submit a 3-year strategic plan for expanding and improving vocational rehabilitation services for individuals with disabilities on a statewide basis. At least 1.5 percent of the State's allotment under section 110 must be used for activities described in its strategic plan. The plan must be developed and updated annually with recommendations from the State Rehabilitation Advisory Council, the Statewide Independent Living Council, individuals with disabilities, and other interested parties. If, after consideration, the State rejects the above recommendations, the strategic plan shall include an explanation for the rejection. The strategic plan must be widely disseminated to individuals with disabilities, disability organizations, rehabilitation professionals, and other interested persons. REVIEW GUIDE The strategic plans have already been submitted to RSA, and would have been reviewed for content and development procedures using the Review Checklist for Strategic Plan. REFERENCES 1. TAC 93-02, May 12, 1993: Implementation of Part C of Title I, Innovation and Expansion Grants, of the Rehabilitation Act of 1973, as Amended 2. PD 93-06, June 17, 1993: Strategic Plan to be Submitted under Part C of Title I of the Rehabilitation Act of 1973, as Amended 3. Review Checklist for Strategic Plan FINANCIAL ADMINISTRATION COMPLIANCE CITATIONS Sections 7(7)(A), 19, 101(a)(34)(B), 108, 110(c)(2), and 111(a)(B)(ii) the Act REQUIREMENTS Match The State agency is required to contribute at least 21.3 percent of the total costs of the program. Carryover Federal Funds--Federal funds appropriated for a fiscal year, including reallotted funds, that are not obligated and expended by recipients during the appropriation year remain available for obligation and expenditure by those recipients during the next fiscal year, providing the State agency obligates its matching funds during the appropriation year. Program Income--The carryover provision also applies to any amount of program income, including reimbursement payments under the Social Security Act. Program income not obligated and expended by recipients during the fiscal year it was received remains available for obligation and expenditure during the succeeding fiscal year. Set Aside The State agency must use at least 1.5 percent of its allotment under section 110 for innovation and expansion activities described in section 123. Social Security Reimbursements Funds provided to a State Agency under the Social Security Act as reimbursement for section 110 expenditures may not be used for any purpose other than carrying out programs for which the State receives financial assistance under titles I, VI(C), or VII. Reallotment Reallotment funds are available to a State agency only if it is able to obligate the required non-Federal share of the cost of VR services in the fiscal year for which the amount was appropriated. Maintenance of Effort The amount payable to a State under section 110 shall be reduced by the amount by which expenditures from non-Federal sources under the State plan under this title for the previous fiscal year are less than the total of such expenditures for the second fiscal year preceding the previous fiscal year. Thus, if the State's non-Federal expenditures in 1994 are less than they were in 1992, the State has a maintenance of effort deficit, and the State's allotment in 1995 is reduced by that amount. REVIEW GUIDE The annual review of fiscal requirements will be met through reviews of relevant Standard Forms 269. When discrepancies are found on SF 269, consult with your financial management officer. In reviewing the SF 269 examine the following specific items: 1. Match. Assure that the State agency has reported sufficient matching funds for FY 1993 and FY 1994. 2. Carryover. Assure that the reported FY 1993 and the reported FY 1994 matching funds were sufficient to allow carryover of Federal funds into FY 1994 and FY 1995 respectively. 3. Set Aside. Assure that the State agency has reported at least 1.5 percent of its FY 1993 and FY 1994 section 110 allotment for innovation and expansion activities under section 123. 4. Program Income. Determine whether the State agency has approval to use the addition alternative. Assure that the State agency has reported sufficient Social Security reimbursements for FY 1993 and FY 1994 under the section 110 program and other eligible programs. 5. Reallotment. Determine whether the State agency kept its original allotment, returned part of its allotment, or received an additional allotment during FY 1993 and FY 1994. Evaluate the reported unobligated balance at the end of obligation period (appropriation year or carryover year, whichever is applicable). 6. Maintenance of Effort. Compare the most recent or final Financial Status Reports (General and Blind or Combined) for FY 1991 and FY 1993 to assure that the State has met the maintenance of effort requirement for FY 1993. Compare the most recent or final Financial Status Reports (General and Blind or Combined) for FY 1992 and FY 1994 to assure that the State has met the maintenance of effort requirement for FY 1994. Advise the Financial Management Information Service (FMISS) staff through your Regional Commissioner of any compliance issues. REFERENCES 1. Standard Form SF-269 and Instructions 2. Policy Directive RSA-PD-94-05, Obligation Requirements for Formula Grants 3. Technical Assistance Circular RSA-TAC-95-01, Supplementary Instructions for Completing the Standard Form 269 Under the Section 110 Program 4. Information Memorandum RSA-IM-93-09, New Fiscal Requirements for Formula Grants Under the Rehabilitation Act Amendments of 1992 5. Policy Directive RSA-PD-92-04, Use of Program Income: Payments from Social Security Administration, Insurance Carriers, Workers Compensation, Fees for Services and Income from State Operated Facilities ELIGIBILITY/INELIGIBILITY COMPLIANCE CITATIONS Sections 7(8)(A), 7(22)(A&C), 12(c), 15(A), 101(a)(9)(A&D), & 102(a, b & c), of the Act: REQUIREMENTS Applications The DSU must determine eligibility within a reasonable period of time not to exceed 60 days after the individual applies for services, unless: a. exceptional and unforeseen circumstances beyond the agency's control occur, and the individual agrees to an extension of time, or b. the DSU conducts an extended evaluation in order to obtain clear and convincing evidence that the individual is not capable of benefitting from VR services in terms of an employment outcome. Eligibility Determination To be eligible for VR services an individual must: a. have a physical or mental impairment that constitutes or results in a substantial impediment to employment, b. be able to benefit from VR services in terms of an employment outcome, and c. require VR services to prepare for, enter, engage in, or retain gainful employment. For VR purposes, an individual determined by SSA to have a disability may be considered to have a physical or mental impairment that constitutes or results in a substantial impediment to employment. The DSU must presume that an individual with disabilities can benefit from VR services in terms of an employment outcome unless there is clear and convincing evidence to the contrary. The DSU may not impose any durational or other residence requirement that excludes any individual who is present in the State. No applicant or group of applicants may be excluded or found ineligible solely on the basis of the type of disability. Eligibility requirements must be applied without regard to the age, gender, race, color, creed, or national origin of the applicant. No upper or lower age limit may be established that will, in and of itself, result in finding ineligible any individual who is otherwise eligible. Assessments The DSU must assess each applicant to determine his or her eligibility for VR and, if the State is operating under an order of selection, priority for services. The assessment for determining eligibility must include, to the extent necessary and appropriate, referral to other programs and/or services and the provision of rehabilitation technology services to assess and develop the capacities of the individual to perform in a work environment. The determination must be based, to the extent appropriate and available, on review of existing data, including information provided by the individual or the individual's family, education records, information used by the Social Security Administration and, determinations made by officials of other agencies. To the extent existing data do not describe the current functioning of the individual or are unavailable, insufficient, or inappropriate to make a determination, additional data based on the provision of VR services, including assistive technology devices and services and worksite assessments may be used. Extended Evaluations for Individuals with Severe Disabilities Before determining that an individual with a severe disability is incapable of benefitting from VR services in terms of an employment outcome, the DSU must conduct an extended evaluation to support such a determination with clear and convincing evidence. An extended evaluation shall not exceed 18 months, and VR services must be provided in the most integrated setting possible, consistent with the informed choice of the individual. During an extended evaluation the DSU must assess the individual's progress as frequently as necessary but at least once every 90 days, and must include in the assessment periodic reports from the service provider and description of the nature and scope of services needed. The DSU must terminate an extended evaluation at any point during the 18-month extended evaluation period, if there is clear and convincing evidence that the individual is not capable of benefitting from VR services in terms of an employment outcome or there is clear and convincing evidence that the individual can benefit in terms of an employment outcome from the provision of vocational rehabilitation services. Determining Priority for Services Under an Order of Selection If the State is operating under an order of selection for services the DSU must base its priority assignments on a review of data developed to make the eligibility determination and additional data, to the extent necessary. Ineligibility Determination The determination that an applicant ineligible for VR services, or that an individual receiving services under an individualized written rehabilitation program (IWRP) is no longer eligible for services, may be made only after providing an opportunity for full consultation with the individual, or as appropriate, with the individual's representative. When determined ineligible, the DSU must inform the individual in writing, or if appropriate by special modes of communication, of: a. the ineligibility determination, including the reasons for that determination, b. the means by which the individual may express and seek remedy for any dissatisfaction, including the procedures to review rehabilitation counselor or coordinator determinations, c. the services available from the client assistance program for the State. The DSU must also review the ineligibility determination within 12 months, unless the individual has refused the review, is no longer present in the State, or his or her whereabouts are unknown. If, subsequent to the provision of services under an IWRP, the DSU determines that an individual is ineligible because he or she is incapable of achieving an employment outcome, the DSU must review the ineligibility determination annually thereafter if requested by the individual, or, if appropriate, by the individual's representative. Closure Prior to Eligibility Determination The DSU may not close an applicant's case prior to making an eligibility determination unless the applicant is unavailable during an extended period of time to complete an assessment for determining eligibility and priority for services, including an extended evaluation if applicable, and the DSU has made repeated attempts to contact the applicant, or if appropriate, the applicant's representative, to encourage the applicant's participation. REVIEW GUIDE Examine relevant SA documents for compliance with eligibility and ineligibility process requirements. The documents may include the SA's: - policies and procedures manuals, - counselor training manuals and syllabi, - informational brochures, - pre-printed forms distributed to clients, and - case service forms. Do the documents above accurately reflect the requirements for eligibility, ineligibility, assessments, determining priority for an order of selection, and closure prior to a determination of eligibility? RELEVANT RSA POLICY ISSUANCES A. PQ 246, October 10, 1980, "Residency Requirements." B. PQ 247, August 22, 1980, "Eligibility of Cuban/Haitian Entrants to the United States for Vocational Rehabilitation Services." B. PI 81-02, December 18, 1980, "Notification to Applicants and Clients of Appeal Rights, Notification to Clients Regarding the Furnishing or Denial of VR Services, and Conditions for Continuing Services Pending Appeal." C. PI 81-06, February 3, 1981, "Certificate of Ineligibility for Clients Closed in Status 28 and 30." D. Memorandum to the Regional Director, Region I, November 19, 1976, "Proposed Connecticut Policy re: Referral of Individuals Not Present in the State." E. RSM Chapter 1505, "Eligibility", Effective, April 18, 1991. INDIVIDUALIZED WRITTEN REHABILITATION PROGRAM (IWRP) COMPLIANCE CITATIONS Sections 7(22)(B), 7(34), 101(a)(9), 101(a)(11), 101(a)(24)(A & B), 102(b)(1), 102(c), 103(a)(16) & 635(b)(6)(C), the Act; STATUTORY REQUIREMENTS General The DSU must initiate and periodically update an IWRP for each eligible individual. VR services must be provided in accordance with the IWRP. The IWRP must be designed to achieve the employment objective of the individual, consistent with his or her unique strengths, resources, priorities, concerns, abilities, and capabilities and must include the following items. When an individual with disabilities is also eligible for services under the Individuals with Disabilities Education Act, the IWRP must be prepared in coordination with the appropriate education agency, and include a summary of relevant elements of the individualized education program for that individual. Any decision that an individual receiving services under an IWRP is not capable of achieving an employment related goal and therefore is not eligible for VR services, may be made only upon the certification, as an amendment to the IWRP, or as a part of the specification of reasons for an ineligibility determination. The DSU must also provide a description of the rights and remedies available to the individual including, if appropriate, recourse to the appeals processes, including a description of the availability of the client assistance program. Goals and Objectives a. a statement of long-term rehabilitation goals based on the individual's career interests and assessment for eligibility and VR needs. To the maximum extent appropriate, the goals should include placement in integrated settings; b. a statement of intermediate rehabilitation objectives for attaining the individual's goals. The assessment used to determine the objectives must be carried out in the most individualized and integrated setting, consistent with the informed choice of the individual; and c. objective criteria, a schedule, and an evaluation procedure for determining whether the individual's goals and objectives are being achieved. VR Services a. A statement of specific VR services, including specific rehabilitation technology services as appropriate, that will be provided in the most integrated settings, to assist the individual in attaining his or her goals and objectives. b. Projected dates for the initiation and duration of each service, terms and conditions under which goods and services will be provided, and the identity of entity or entities that will provide the services, and the process used to provide or procure such services. c. Information identifying other related services and benefits provided pursuant to any Federal, State, or local program that will enhance the capacity of the individual to achieve his or her vocational objectives. d. If appropriate, a statement of the specific on the-job and related personal assistance services to be provided to the individual, including if desired by the individual, training in the management, supervision, and direction of those personal assistance services. e. An assessment of the expected need for post-employment services and, if appropriate, extended services. The IWRP must also include provisions for the reassessment of the need for post-employment services prior to the point of successful rehabilitation, and a statement detailing how such services will be provided or arranged through cooperative agreements with other service providers. Evidence of Consumer Choice/Involvement a. The IWRP must be jointly developed, agreed upon, and signed by the eligible individual or his/her authorized representative, as appropriate, and the VR counselor or coordinator. A copy of the IWRP and amendments must be provided to the individual with disabilities or his/her representative. b. The IWRP must be reviewed annually, at which time the individual with disabilities must be given the opportunity to revise and/or jointly redevelop the IWRP as above. Any revisions or amendments shall not take effect until agreed to and signed by the individual or his/her representative. c. To the maximum extent possible, the IWRP must be provided in the native language, or mode of communication of the individual or his/her authorized representative, as appropriate. d. A statement by the individual, in his or her words, (or, if appropriate, in the words of a parent, a family member, a guardian, an advocate, or an authorized representative, of the individual), describing how the individual was informed about and involved in choosing among alternative goals, objectives, services, entities providing such services, and methods used to provide or procure the services indicated in the IWRP. Supported Employment For individuals with severe handicaps for whom supported employment has been determined to be appropriate, each IWRP must also contain: a. A description of the time-limited services, not to exceed 18 months in duration, to be provided by the DSU; and b. A description of the extended services needed, an identification of the State, Federal, or private programs that will provide the continuing support, and a description of the basis for determining that continuing support is available. REVIEW GUIDE Review SA policies, procedures, guidance and training manuals, pre-printed IWRP forms and other IWRP related materials to ensure that SA staff involved in developing IWRPs with individuals with disabilities are knowledgeable about the above requirements. Do the SA materials ensure that IWRPs: a. are based on employability determinations; b. are designed to achieve vocational objectives that are determined through assessments of the individual's rehabilitation needs; c. provide for long-range and intermediate rehabilitation objectives based on an assessment of the individuals rehabilitation potential; d. include procedures and schedules for the periodic review and evaluation of progress based on objective criteria, and procedures for recording the results of those evaluations; e. include statement by the individual in his or her words, describing how he or she was informed about and involved in choosing among alternative goals, objectives, services, providers and methods for the provision or procurement of the services indicated in the IWRP; f. include specific VR services to be provided with projected dates for the initiation and duration of each service, the terms and conditions for the provision of services, including responsibilities of the individual, the availability of comparable services and benefits, and the extent of client participation in the cost of services; g. include assessment of expected need, and reassessment prior to case closure, for post-employment services; and h. contain evidence that the individual with disabilities has been informed of his or her rights, the means for expressing and resolving any dissatisfaction, and has been informed of the client assistance program. For individuals who receive supported employment services, the IWRP must also include: a. a description of the time-limited services, not to exceed 18 months in duration, to be provided by the DSU; and b. a description of the extended services needed, an identification of the State, Federal, or private programs that will provide the continuing support, and a description of the basis for determining that continuing support is available. RELEVANT RSA POLICY ISSUANCES A. RSM Chapter 1510, "Individualized Written Rehabilitation Program", Effective June 11, 1991. STATE REHABILITATION ADVISORY COUNCIL COMPLIANCE CITATION Section 105, the Act REQUIREMENTS General A State must establish a State Rehabilitation Advisory Council (Council). A State with two agencies may establish a separate Council for each agency. An independent commission that oversees State agency operations may function as the Council if that commission has (1) authority to review and analyze the effectiveness of VR service provision and consumer satisfaction, and (2) is consumer-controlled by persons representing a broad range of disabilities. If a State had an established Council before September 30, 1992 that was comparable to the Council described in this section, that established Council would be in compliance. However, for FY 1995, the State must have established a Council in full compliance with the above requirements. Council Membership A majority of Council members shall be persons who are individuals with disabilities, not employed by the DSU. An impartial hearing officer for due process cannot serve as a member of the Council. The Council membership must include: current/former applicants for, or recipients of, VR services; parents, family members, guardians, advocates or authorized representatives of individuals with disabilities who have difficulty representing themselves, or are unable to do so due to their disabilities; the Director of the DSU (ex officio member) representatives of disability advocacy groups representing a cross section of individuals with disabilities; at least one VR counselor with knowledge of and experience with VR programs (ex-officio, non-voting member if employed by the State agency); at least four representatives of business, industry and labor; at least one representative of each of the following: - the Statewide Independent Living Council (SILC); - a parent training and information center; - the Client Assistance Program; - community rehabilitation program service provider. Chairperson--The Council shall select a chairperson from its membership. In States in which the Governor does not have veto power under State law, the Governor must designate a member of the Council to serve as chairperson of the Council or require the Council to designate a chairperson. Appointment--Council members shall be appointed by the Governor or an entity with vested appointment authority. The appointing authority shall select members after soliciting recommendations from representatives of organizations representing and/or interested in a broad range of individuals with disabilities. Each member will serve for a term of not more than 3 years, and members appointed to fill a vacancy shall serve only the remainder of the vacant term. No member can serve more than two consecutive full terms. Terms of initial members will be staggered. Functions of the Council Meetings--The Council shall convene at least 4 meetings a year in such places as it determines to be necessary to conduct Council business and conduct such forums or hearings as the Council considers appropriate. The meetings, hearings, and forums shall be publicly announced. The meetings shall be open and accessible to the general public unless there is a valid reason for an executive session. The Council is authorized to hold hearings and forums it determines necessary to carry out Council duties. The Council must: 1. review, analyze and advise the DSU on the latter's performance under Title I, particularly relating to eligibility (including order of selection); extent, scope and effectiveness of services provided; and functions performed by State agencies that affect the ability of clients to achieve the goals/objectives of Title I; 2. advise the State agency and, at the discretion of the agency, assist in the preparation of applications, reports, needs assessments and evaluations, the State and strategic plans and any amendments to them as required by Title I; 3. to the extent feasible, conduct a review and analysis of the effectiveness of, and consumer satisfaction with, the performance of the State agencies and other entities responsible for serving individuals with disabilities; and VR services provided or paid for under the Act; 4. prepare and submit to the Governor, or appropriate State entity, and to the Commissioner, an annual report on the status of VR programs operated within the State, and make the report available to the public; 5. must coordinate with other councils within the State, including the SILC, the advisory panel established under the Individuals with Disabilities Education Act, the State Planning Council described in the Developmental Disabilities Assistance and Bill of Rights Act, and the State mental health planning council established under the Public Health Service Act; 6. advise the DSU, and provide for coordination and the establishment of working relationships between the DSU and the SILC and CILs in the State; and 7. perform such other functions, consistent with the purpose of Title I, as the Council determines to be appropriate, that are comparable to the other functions performed by the Council. Resources--The Council shall prepare with the DSU a plan for the provision of resources, including staff and other personnel, as may be necessary to carry out the functions of the Council. The resource plan shall, to the maximum extent possible, rely on the use of resources in existence during the period of implementation of the plan. If there is a disagreement between the Council and the designated State unit regarding the resources necessary to carry out the functions of the Council, the disagreement shall be resolved by the Governor or appointing agency. Each Council shall, consistent with State law, supervise and evaluate staff and other personnel necessary to carry out its functions. The Council may use funds appropriated under Title I (except funds appropriated to the client assistance program, and section 110(d) funds for Title I, Part D) to reimburse Council members for reasonable and necessary expenses of attending Council meetings and performing Council duties (including child care and personal assistance services), and to compensate members who are not employed or must forfeit wages from other employment, for each day the member is engaged in performing Council duties. Conflict of Interest--The staff and personnel assisting the Council in its duties, shall not be assigned duties by the DSU or any other State agency or office, that would create a conflict of interest. No member of the Council shall cast a vote on any matter that would provide direct financial benefit to the member or otherwise give the appearance of a conflict of interest under State law. REVIEW GUIDE Examine the establishment of the Council, the organizational structure and membership, its activities and administration to ensure compliance with the law. Does the DSU document that it seeks, and seriously considers on a regular and ongoing basis, advice from the Council regarding the development and implementation of: the State plan; the strategic plan; amendments to the plans; and other general policies and procedures pertaining to the provision of VR services in the State? Does the State plan attachment 2.5(f)A, include: o a summary of advice provided by the Council, including recommendations from the annual report of the Council; o the survey of consumer satisfaction conducted by the Council and other reports prepared by the Council; o a description of the response of the designated State agency to the advice and recommendations of the Council, including explanations with respect to advice and recommendations that were rejected? RELEVANT RSA POLICY ISSUANCES RSA-TAC-93-3, June 2, 1993--State Rehabilitation Advisory Council ORDER OF SELECTION STATUTORY CITATION 101(a)(5)(A) REQUIREMENTS Each State must explain how it will provide VR services to all eligible individuals with disabilities in the State. In the event that services cannot be provided to all eligible individuals, the State must follow an order of selection that serves first those individuals with the most severe disabilities, according to criteria determined by the State. The DSU must develop State plan attachments 9.3(b)A and 9.3(c)A as follows: a. SAs with an order of selection are required to have developed State plan attachment 9.3(c)A which includes criteria for identifying "individuals with the most severe disabilities;" and b. SAs that can serve all eligible applicants are required to have developed attachment 9.3(b)A, which describes how all eligible applicants are to be served. REVIEW GUIDE For the annual reviews, follow guidelines for reviewing the State plan attachments 9.3(b)A and 9.3(c)A. a. SAs with an order of selection are required to have developed State plan attachment 9.3(c)A which includes criteria for identifying "individuals with the most severe disabilities." In reviewing this attachment, ensure that: 1. SAs have a definition for "individuals with the most severe disabilities" and that this definition: o is not the same as the statutory definition of "individual with a severe disability;" o is derived from the statutory definition of "individual with a severe disability" and not from some other sources, such as the RSA 911 statistical reporting system. 2. The criteria for the priority categories are neutral with regard to age, sex, race, color, creed, national origin, type of disability, vocational expectation, and family/individual income as stated in RSM-2501 Order of Selection for Services: Policy, Section 2501.05. 3. Policy statements uphold the continuity of services provisions as stated in RSM-2501 - Order of Selection for Services: Sections 2501.05.I (Policy) and G2501.07.D (Guidance). 4. The order of selection policy allows for individualized decisions regarding the determination of severity for each eligible individual. b. SAs that can serve all eligible applicants are required to have developed attachment 9.3(b)A, which describes how all eligible applicants are to be served. The purpose of this attachment is to justify the decision NOT to implement an order of selection. Once the final regulations on order of selection are published, review of this attachment should ensure that the agency meets the requirements similar to those contained in section 361.36(a)(1) of the NPRM on order of selection. Pending issuance of final regulations, acceptable information for this attachment could include: 1. implementation of the requirements of section 361.36(a)(1) of the NPRM; 2. information about cost saving strategies; 3. recent agency performance with regard to timeliness and resource availability, especially information obtained from consumers; 4. projections of increases in appropriations and/or staff; and 5. any other general resource information that gives credence to the agency's decision not to implement an order of selection. Information not acceptable for this attachment: 1. the location of agency offices around the state 2. agency policies and procedures related to eligibility, development of an IWRP, and provision of services. Technical assistance for development of this attachment is available from the preamble of the NPRM on order of selection, and from the RSM-2501 - Order of Selection for Services: Guidance, sections G2501.04 and G2501.09. REFERENCES 1. RSM-2501 - Order of Selection for Services: Policy, 3/20/92 2. RSM-2501 - Order of Selection for Services: Guidance, 6/30/92 3. Memorandum to Regional Commissioners, I-X from Associate Commissioner, OPO - Principles Applying to An Order of Selection, 9/23/93 4. Memorandum to Regional Commissioners, I-X from Acting Commissioner, RSA - Order of Selection State Plan Attachment Report, 8/10/93 CONSUMER PARTICIPATION COMPLIANCE CITATIONS Sections 101(a)(5), (18), (20), (23), (25), (32) & (36)(A)(ii), the Act; 34 CFR 361.18(a(1 - 3), b, c & d) LEGAL AND REGULATORY REQUIREMENTS Public Participation in State Plan Development After appropriate and sufficient notice, and before development of the plan, the DSU must conduct public meetings throughout the State to allow interested groups, organizations, and individuals, including the Director of the Client Assistance Program and the State Rehabilitation Advisory Council, the opportunity to comment on the State plan and amendments and to participate in the formulation of policies governing the provision of vocational rehabilitation services under the State plan. Attachment 2.5(a)A provides a summary of the public comments on the State plan and the State unit's response to those comments. Written Description of Procedures The DSU must establish and maintain a written description of procedures used to obtain and consider views on State plan development and policy development and implementation. Public Access The DSU must make available for public review and inspection: a. the Title I State plan and its Title VI, Part C supplement; b. reports of State plan and policy development activities; and c. a summary of comments submitted at scheduled public meetings together with the DSU's response to these comments. Consultation with Indian Tribes and Tribal Organizations and Native Hawaiian Organizations As appropriate, the DSU must actively consult with Indian tribes and tribal organizations, and native Hawaiian organizations that represent significant numbers of individuals with disabilities within the State in the development of the State plan for vocational rehabilitation services. Consultation with State Rehabilitation Advisory Council The designated State agency and the designated State unit seek and seriously consider on a regular and ongoing basis advice from the State Rehabilitation Advisory Council regarding the development and implementation of the State plan, the strategic plan, amendments to the plans, and other policies and procedures of general applicability pertaining to the provision of vocational rehabilitation services in the State. Attachment 2.5(f)A provides a summary of advice provided by the Council, including recommendations from the annual report of the Council, the survey of consumer satisfaction conducted by the Council, and other reports prepared by the Council. The attachment also describes the response of the designated State agency to the advice and recommendations of the Council, including explanations with respect to advice and recommendations that were rejected. Other Consultations In connection with matters of general policy development and implementation arising in the administration of the State plan, the State unit seeks and takes into account the views of current or former clients of vocational rehabilitation services, or, as appropriate, their parents, guardians, or other representatives; personnel working in the field of vocational rehabilitation; providers of vocational rehabilitation services; the Director of the Client Assistance Program under section 112 of the Act; and the State Rehabilitation Advisory Council. REVIEW GUIDE A. Has the DSU conducted public meetings throughout the State? Were the meetings conducted after appropriate and sufficient notice, and before the development of the State plan? B. Does Attachment 2.5(a)A contain a summary of public comments and the State unit's response to those comments? D. Does the DSU have written procedures to obtain and consider views of the public regarding the development of the State plan and policies, and their implementation? F. Does the DSU make available to the public for review and inspection: o the Title I State plan and its VI-C supplement; o reports of activities undertaken in the area of State plan and policy development; and o summaries of comments submitted at the scheduled public meetings, and the State unit's response to these comments? G. Does the DSU identify those Indian tribes and tribal organizations and native Hawaiian organizations that represent significant numbers of individuals with disabilities within the State, and actively consult with them in the development of the State plan? H. Does the DSU consult with the Director of the Client Assistance Program when formulating policies governing the provision of VR services? I. Does the DSU seek and seriously consider, on a regular and ongoing basis, advice from the State Rehabilitation Advisory Council regarding the development and implementation of the State plan, the strategic plan, amendments to the plans, and other general policies and procedures concerning the provision of VR services in the State? J. Does the State plan attachment 2.5(f)A, include: o a summary of advice provided by the Council, including recommendations from the annual report of the Council; o the survey of consumer satisfaction conducted by the Council and other reports prepared by the Council; o a description of the response of the designated State agency to the advice and recommendations of the Council, including explanations with respect to advice and recommendations that were rejected? K. Does the State unit, in matters of general policy development and implementation arising in the administration of the State plan, seek and take into account the views of: o current or former clients of vocational rehabilitation services, or as appropriate, their parents, guardians, or other representatives; o personnel working in the field of vocational rehabilitation; o providers of vocational rehabilitation services; o the Director of the Client Assistance Program; and o the State Rehabilitation Advisory Council? RELEVANT RSA POLICY ISSUANCES A. PPD 90-08, June 6, 1990, "Conduct of Public Meetings on the Revision of the Title I State Plan and/or Its Title VI, Part C Supplement." DUE PROCESS COMPLIANCE CITATIONS Section 12(c) & 101(a)(6), 102(d), 107(a)(2)(C) the Act 34 CFR 361.48 and 361.49 REQUIREMENTS Impartial Hearings The procedures for resolving disputes between clients and the DSU is as follows: A. An impartial hearing officer to hear a particular case must be selected on a random basis, or by agreement between the DSU Director and the individual with a disability or his/her representative. The impartial hearing officer must be selected from a pool of qualified persons identified jointly by the DSU and certain members of the State Rehabilitation Advisory Council. B. The Director of the DSU may not overturn or modify a decision of an impartial hearing officer, or part of a decision, that supports the position of the individual unless the Director concludes, based on clear and convincing evidence, that the decision is clearly erroneous because it is contrary to federal or state law or policy. C. The DSU may not suspend, reduce or terminate services being provided under an IWRP (unless the client so requests), pending a final determination of an impartial hearing or other final resolution, unless such services have been obtained through fraud, collusion, or criminal conduct on the part of the client. RSA must conduct annual reviews of decisions resulting from hearings conducted in accordance with due process. Protection, Use and Release of Personal Information The DSU must adopt and implement policies and procedures to safeguard the confidentiality of all personal information, including photographs and lists of names. These policies and procedures must assure that: A. Specific safeguards protect current and stored personal information; B. All applicants, clients, representatives of applicants or clients, and, as appropriate, service providers, cooperating agencies, and interested persons are informed of the confidentiality of personal information and the conditions for accessing and releasing this information; C. All applicants or their representatives are informed about the State unit need to collect personal information and the policies governing its use, including; 1. Identification of the authority under which information is collected; 2. Explanation of the principal purposes for which the State unit intends to use or release the information; 3. Explanation of whether the individual's providing the information is mandatory or voluntary and the effects of not providing requested information to the State unit; 4. Identification of those situations where the State unit requires or does not require informed written consent of the individual before information may be released; and 5. Identification of other agencies to which information is routinely released. D. Persons who are unable to communicate in English or who rely on special modes of communication must be provided explanations about State policies and procedures affecting personal information through methods that can be adequately understood by them; E. These policies and procedures must prevail over less stringent State laws and regulations; and F. The State agency or the State unit may establish reasonable fees to cover extraordinary costs of duplicating records or making extensive searches, and must establish policies and procedures governing access to records. Review of Rehabilitation Counselor/Coordinator Determinations A. All applicants and clients must be informed of their due process right to appeal, including the names and addresses of individuals with whom appeals may be filed. B. The DSU must establish procedures ensuring that any applicant for, or client of, VR services who is dissatisfied with any determinations made by a rehabilitation counselor or coordinator concerning the furnishing or denial of services may request a timely review of those determinations. C. At a minimum, the DSU's formal review procedures must provide that: 1. a hearing by an impartial hearing officer is held within 45 days of a request by the applicant or client; 2. the applicant or client or, if appropriate, the individual's parent, guardian, or other representative, is afforded an opportunity to present additional evidence, information, and witnesses to the impartial hearing officer, to be represented by counsel or other appropriate advocate, and to examine all witnesses and other relevant sources of information and evidence; 3. the impartial hearing officer makes a decision based on the provisions of the approved State plan and the Act and provides to the applicant or client or, if appropriate, the individual's parent, guardian, or other representative, and to the Director of the DSU a full written report of the findings and grounds for the decision within 30 days of the completion of the hearing; 4. if the Director of the DSU decides to review the decision of the impartial hearing officer, the Director shall notify in writing the applicant or client or if appropriate, the individual's parent, guardian, or other representative, of that intent within 20 days of the mailing of the impartial hearing officer's decision; 5. if the Director of the DSU fails to provide the required notice, the impartial hearing officer's decision becomes a final decision; 6. the decision of the Director of the DSU to review any impartial hearing officer's decision must be based on standards of review contained in written State unit policy; 7. if the Director of the DSU decides to review the decision of the impartial hearing officer, the applicant or client, or, if appropriate, the individual's parent, guardian or other representative, must be provided an opportunity to submit additional evidence and information relevant to the final decision; 8. within 30 days of providing notice of intent to review the impartial hearing officer's decision the Director of the DSU must make a final decision and provide a full report in writing of the decision, and of the findings and grounds for the decision, to the applicant or client, or, if appropriate, the individual's parent, guardian, or other representative; and 9. the Director of the DSU may not delegate responsibility to make any final decision to any other officer or employee of the DSU. Nondiscrimination A State and subgrantee must comply with the following statutes and regulations that prohibit: A. Discrimination on the basis of race, color or national origin: Title VI of the Civil Rights Act of 1964. (45 U.S.C. 2000d through 2000d-4; 34 CFR Part 100) B. Discrimination on the basis of sex: Title IX of the Education Amendments of 1972. (20 U.S.C. 1681-1683; 34 CFR Part 106) C. Discrimination on the basis of handicap: (Sec. 504, the Act; 29 U.S.C. 794; 34 CFR Part 104) D. Discrimination on the basis of age: (42 U.S.C. 6101 et seq.; 45 CFR Part 90). REVIEW GUIDE Impartial Hearings Legislative intent regarding the selection of hearing officers notes that the term "random basis" does not mean a statistical definition; rather, that the DSU Director uses a system that allows each individual in the pool an equal opportunity to be selected to serve for a particular hearing. The pool of qualified persons will be identified by the designated entities following an open process in which interested parties throughout the State are invited to provide their credentials. The Senate Committee did not intend that services be continued pending appeal to the courts, but noted that the courts retained their equitable powers to enjoin a State agency from changing the status quo. For example, a court could issue a restraining order or injunction for the State agency to continue services pending the outcome of judicial deliberations. - Review the DSU's policies and procedures for appeals to assure compliance with requirements for selection of hearing officers in the amendments; also examine the qualifications of the hearing officers selected. - Review Form RSA-722, Resolution of Applicant/Client Appeals to identify systematic or thematic problems. - Obtain and review copies of final hearing decisions including report of findings. Ensure that the decisions are in accordance with the Act, Federal regulations and policy, and/or with approved SA policies and procedures. - If the Director overturned an impartial hearing officer's decisions, ensure that they were made in accordance with the Act, regulation and policy. Protection, Use and Release of Personal Information Do the DSU policies and procedures: - safeguard the confidentiality of all personal client and applicant information, including current and stored personal information, photographs and lists of names? - ensure that all applicants, clients, representatives of applicants or clients, and, as appropriate, service providers, cooperating agencies, and interested persons are informed of the confidentiality of personal information and the conditions for accessing/releasing it? - state that all applicants/clients, or their representatives, must be informed about the State unit's need to collect personal information and the policies governing its use, including: a. the authority under which information is collected? b. an explanation of the principal purposes for which the State agency intends to use or release the information? c. an explanation of whether providing particular information by an individual is mandatory or voluntary, and the effects of not providing requested information to the DSU? d. the identification of those situations where the State unit requires or does not require informed written consent of the individual before information may be released? e. the identification of the other agencies to which information is routinely released? - provide procedures for explaining confidentiality policies to persons who are unable to communicate in English or who rely on special modes of communication? - spell out requirements relating to accessing records? Review of Rehabilitation Counselor/Coordinator Determinations A. Has the State unit established formal appeals procedures so that any applicant for, or recipient of, VR services who is dissatisfied with any determinations made by a rehabilitation counselor or coordinator concerning the furnishing or denial of services may request a timely review of those determinations? B. Do the DSU's procedures meet the minimum requirements indicated in 34 CFR 361.48(c)(2)? C. Does the DSU ensure that all applicants and clients are informed of the opportunities available for reviews of rehabilitation counselor or coordinator determinations including the names and addresses of individuals with whom appeals may be filed? Nondiscrimination Do the DSU policies and procedures assure compliance with the nondiscrimination requirements relating to race, color, national origin, sex, age or handicap? RELEVANT RSA POLICY ISSUANCES A. PQ 245, July 24, 1980, "Release of Client Information to State Child Support Enforcement Offices." B. PRM 85-22, September 17, 1985, "Confidentiality of Records and Client Assistance Program." C. RSM Chapter 0550, "Protection, Use and Release of Personal Information" effective September 9, 1991. D. PI 81-02, December 18, 1980, "Notification to Applicants and Clients of Appeal Rights, Notification to Clients Regarding the Furnishing or Denial of Vocational Rehabilitation Services, and Conditions for Continuing Services Pending Appeal." E. Memorandum to RSA Acting Regional Commissioner, Region IV, June 23, 1988, "Hearing Policy - North Carolina General." F. Memorandum to RSA Regional Commissioner, Region IX, August 24, 1988, "Impartial Hearing Officer." G. Memorandum to RSA Regional Commissioner, Region VIII, September 26, 1988, "Montana Appeals Procedures and the Montana Board of Social and Rehabilitation Appeals." H. Memorandum to RSA Regional Commissioner, Region VII, March 13, 1990, "Fair Hearings and Confidentiality." ON-SITE REVIEW GUIDE PERIODIC ON-SITE MONITORING REVIEWS COMPREHENSIVE ON-SITE MONITORING Comprehensive on-site monitoring activities will be conducted with selected State agencies, that are representative in terms of population, size of grant, results of past monitoring, identified TA needs, Regional Office recommendations, time since previous reviews/monitoring, and other factors. The cognizant Regional Commissioner will have lead responsibility for planning and coordinating the comprehensive monitoring activity with the State agency, directing the activities of an inter-regional monitoring team, and writing the final report. Phase 1 The RSA monitoring team will conduct an on-site visit to the State and gather information from the State agency and the VR program by: - conducting public hearings (at least two in a State); - meeting with the SRAC; - meeting with rehabilitation counselors and other State agency partners in the field; and Based on information received at public hearings, and after consultation with State agency, determine the need for and the method to be used in meeting with individuals with disabilities, and as appropriate their parents, guardians or other representatives, with employers, advocates and other persons interested in VR. SUGGESTED ACTIVITIES PRIOR TO ON-SITE REVIEWS Schedule all on-site activities in coordination with the State agency. - Schedule public hearings. - Schedule on-site reviews to coincide with a SRAC meeting and arrange to attend at least a part of the meeting. - Schedule meetings with the counselors, supervisors and other State agency personnel. Obtain State agency's protocols for conducting State plan public hearings to assist in developing RSA procedures. Complete annual review monitoring for the State and identify significant issues. Review past monitoring activity reports for the State for significant issues. Review RSA-911, RSA-113, RSA-62, RSA-2, RSA-269, RSA 15, RSA-227, RSA 722 and other appropriate reports. ON-SITE ACTIVITIES Hold Public Hearings Meet with the SRAC Meet with employers, other agencies and other persons as appropriate Meet with Counselors and other personnel Meet with State agency management PUBLIC HEARINGS Purpose The purpose for conducting hearings is to collect information from the public on the State's administration of its State plan; to assess the general rehabilitation climate in the State; and, to obtain input from the public that may be useful in preparation for reauthorization of the Act. Procedural details for RSA hearings to be conducted in each State should be determined as appropriate for that State, by the State Director and the Regional Commissioner. Following are general guidelines for planning and conducting RSA hearings. General Coordinate activities related to the public hearings with the State agency, especially on the selection of date, time and location for the hearings. - To the extent possible, combine with general meetings related to rehabilitation that may by already scheduled in the State. - Use the State agency's hearing protocols as a guide to determine the number of hearings appropriate for that State. RSA requires at least two State plan hearings for each State; that may also be appropriate for RSA's public hearings. - In the event of joint hearings with the State agency, the announcement and agenda must clearly identify the separate hearings and note the time for each organization to receive comments. - RSA is responsible for the costs of its public hearings. In the event of joint hearings, RSA will share the cost of joint expenditures and will be responsible for those costs associated specifically with the Federal segments. - In the event that RSA's public hearings are not held in conjunction with another State meetings, obtain advice from the State agency to arrange for accessible rooms, interpreters, translators and recorders. - If video teleconferencing is available and used in the State, research its cost-effectiveness and coverage as to whether this medium will satisfy all the requirements for RSA public hearings. Share and discuss information received during the hearing with the State agency. Also share written comments that may be received before and after hearing. Advertise Public Hearings: - In the announcements, indicate the purpose of the hearing, and make clear the State-Federal partnership. - Identify the RSA public hearing focus. Suggested FY 1995 focus is on Eligibility/Ineligibility, Individualized Written Rehabilitation Programs (IWRP), SRACs, Order of Selection, Consumer Participation, and Due Process. - Insure that all announcements are available in accessible formats (braille, tape, disk, etc.). - In the announcement, include the appropriate addresses and dates for submitting written comments prior to the public hearing as well as a closing date. Also advertise the availability of assistance to receive comments in accessible formats (RSA-BBS, telephone, TDD and FAX numbers, etc.). - Notify by mail those on the State agency mailing list as well as all RSA formula and discretionary grant recipients in the State. - In consultation with the State agency, arrange for notices on radio, TV, and newspapers (use media generally found to be effective for the State agency). Include flyers in VR field offices. - Notify CAP and other advocacy agencies, and request their assistance in publicizing the public hearings. Conduct of Meeting: - Describe VR State-Federal program and indicate RSA's desire to respond to rehabilitation needs as identified by its customers. - Introduce State agency personnel attending the hearings. - Invite comments on VR as well as general rehabilitation concerns, needs, strengths, etc. in the State. - Listen to and record as accurately as possible, comments regarding the provision of rehabilitation services, needs, perceptions, etc. The hearing is for the specific purpose of receiving comment. Detailed responses and rebuttals by RSA or the State agency is not appropriate at the hearing. MEETING THE STATE REHABILITATION ADVISORY COUNCIL COMPLIANCE CITATION Section 105, the Act REQUIREMENTS General A State must establish a State Rehabilitation Advisory Council (Council). A State with two agencies may establish a separate Council for each agency. An independent commission that oversees State agency operations may function as the Council if that commission has (1) authority to review and analyze the effectiveness of VR service provision and consumer satisfaction, and (2) is consumer-controlled by persons representing a broad range of disabilities. If a State had an established Council before September 30, 1992 that was comparable to the Council described in this section, that established Council would be in compliance. However, for FY 1995, the State must have established a Council in full compliance with the above requirements. Council Membership A majority of Council members shall be persons who are individuals with disabilities, not employed by the DSU. An impartial hearing officer for due process cannot serve as a member of the Council. The Council membership must include: current/former applicants for, or recipients of, VR services; parents, family members, guardians, advocates or authorized representatives of individuals with disabilities who have difficulty representing themselves, or are unable to do so due to their disabilities; the Director of the DSU (ex officio member); representatives of disability advocacy groups representing a cross section of individuals with disabilities; at least one VR counselor with knowledge of and experience with VR programs (ex-officio, non-voting member if employed by the State agency); at least four representatives of business, industry and labor; and at least one representative of each of the following: - the Statewide Independent Living Council (SILC); - a parent training and information center; - the Client Assistance Program; - community rehabilitation program service provider. Chairperson--The Council shall select a chairperson from its membership. In States in which the Governor does not have veto power under State law, the Governor must designate a member of the Council to serve as chairperson of the Council or require the Council to designate a chairperson. Appointment--Council members shall be appointed by the Governor or an entity with vested appointment authority. The appointing authority shall select members after soliciting recommendations from representatives of organizations representing and/or interested in a broad range of individuals with disabilities. Each member will serve for a term of not more than 3 years, and members appointed to fill a vacancy shall serve only the remainder of the vacant term. No member can serve more than two consecutive full terms. Terms of initial members will be staggered. Functions of the Council Meetings--The Council shall convene at least 4 meetings a year in such places as it determines to be necessary to conduct Council business and conduct such forums or hearings as the Council considers appropriate. The meetings, hearings, and forums shall be publicly announced. The meetings shall be open and accessible to the general public unless there is a valid reason for an executive session. The Council is authorized to hold hearings and forums it determines necessary to carry out Council duties. The Council must: 1. review, analyze and advise the DSU on the latter's performance under Title I, particularly relating to eligibility (including order of selection); extent, scope and effectiveness of services provided; and functions performed by State agencies that affect the ability of clients to achieve the goals/objectives of Title I; 2. advise the State agency and, at the discretion of the agency, assist in the preparation of applications, reports, needs assessments and evaluations, the State and strategic plans and any amendments to them as required by Title I; 3. to the extent feasible, conduct a review and analysis of the effectiveness of, and consumer satisfaction with, the performance of the State agencies and other entities responsible for serving individuals with disabilities; and VR services provided or paid for under the Act; 4. prepare and submit to the Governor, or appropriate State entity, and to the Commissioner, an annual report on the status of VR programs operated within the State, and make the report available to the public; 5. must coordinate with other councils within the State, including the SILC, the advisory panel established under the Individuals with Disabilities Education Act, the State Planning Council described in the Developmental Disabilities Assistance and Bill of Rights Act, and the State mental health planning council established under the Public Health Service Act; 6. advise the DSU, and provide for coordination and the establishment of working relationships between the DSU and the SILC and CILs in the State; and 7. perform such other functions, consistent with the purpose of Title I, as the Council determines to be appropriate, that are comparable to the other functions performed by the Council. Resources--The Council shall prepare with the DSU a plan for the provision of resources, including staff and other personnel, as may be necessary to carry out the functions of the Council. The resource plan shall, to the maximum extent possible, rely on the use of resources in existence during the period of implementation of the plan. If there is a disagreement between the Council and the designated State unit regarding the resources necessary to carry out the functions of the Council, the disagreement shall be resolved by the Governor or appointing agency. Each Council shall, consistent with State law, supervise and evaluate staff and other personnel necessary to carry out its functions. The Council may use funds appropriated under Title I (except funds appropriated to the client assistance program, and section 110(d) funds for Title I, Part D) to reimburse Council members for reasonable and necessary expenses of attending Council meetings and performing Council duties (including child care and personal assistance services), and to compensate members who are not employed or must forfeit wages from other employment, for each day the member is engaged in performing Council duties. Conflict of Interest--The staff and personnel assisting the Council in its duties, shall not be assigned duties by the DSU or any other State agency or office, that would create a conflict of interest. No member of the Council shall cast a vote on any matter that would provide direct financial benefit to the member or otherwise give the appearance of a conflict of interest under State law. MEETINGS WITH REHABILITATION COUNSELORS AND OTHER STATE AGENCY PERSONNEL Purpose Section 107 requires RSA to meet with counselors and other personnel to gain information on the state of rehabilitation in the State. In addition to determining the State agency's compliance with its State plan and the specific personnel requirements of the Act, these meetings will give RSA subjective information on the extent that the State-Federal VR program responds to State and National disability needs. Reviewers may wish to interview staff in the field or local offices as well as in the State office. Counselors and other personnel may also be interviewed in groups. Groups may be conducted around specific themes such as RSA's FY 1995 focus areas. The State agency may wish to discuss RSA's findings relative to these interviews. In Preparation for the Interviews - In consultation with the State agencies, identify categories of counselors and personnel to be interviewed by caseloads such as generalists, specialists in deafness, learning disabilities, etc., and identify the counselors to be interviewed. The interviews may be conducted individually, in person or telephone, or in groups. Use varied geographic distribution where feasible. - The number of personnel interviewed will depend on size of agency. Additionally, you may wish to conduct a group meeting for all counselors and staff that are interested, including support and administrative staff, to speak on any issue they wish. - Obtain information from State agency management about general training provided to counselors. Also refer to training and personnel materials obtained during annual review. - The following questions are provided as guidance and may be altered to fit the particular situation and needs of the State agency and its administration. SUGGESTED QUESTIONS FOR COUNSELORS Rehabilitation Policy Issues In your opinion, have the Rehabilitation Act Amendments of 1992 affected services to persons with disabilities in your community? How? Do you think that the Rehabilitation Act Amendments of 1992 have created other significant changes? If yes, would you specify? How have the new requirements been integrated into State agency operations? What steps has your agency, and you as a counselor, taken to insure increased client choice in his or her rehabilitation program? How has it affected your work? The quality of services? Outcomes for clients? How has the requirement for 60 day eligibility affected your work? Services and outcomes for clients? How has the requirement for "clear and convincing" evidence to determine an individual not eligible for VR services affected your making decisions regarding individuals with severe disabilities? Please describe the mission of your agency. Is knowledge of the Rehabilitation Act and Federal regulations important to you doing your work as a counselor? How? In your opinion, does the mission of your agency reflect the purpose of the Act, and/or of the needs in your community? How? How is agency policy formulated? Do you feel that you have adequate opportunity to provide input into the development of agency procedures and policies? Please describe how policies are developed and implemented. Are there policies, Federal or State, that help you work more efficiently and effectively? Describe. Are there policies, Federal or State, that prevent you from working more efficiently and effectively? If yes, what are they? Is your agency on an order of selection? If not, do you think it should be? Discuss limited case service dollars (financial resources available to the counselor). If your agency is on an order of selection, what effect does the order of selection have on your agency? On individuals with disabilities in the State? How can the current system be changed to enable you to place more individuals with disabilities into employment? Qualifications/Training What is your position? What are your duties? (Specialized caseloads, caseload size, closures expected, other special assignments, etc.) How many years have you worked in this job? How many in other areas of rehabilitation? Which ones? What was your educational preparation when you began working here? Was this training adequate or inadequate for your job? Have you had any training at, or through, the agency to qualify you for advancement at the agency? Discuss. Do you feel qualified to do the work you presently do? How do you describe your own particular strengths and limitations. Are there any areas of your duties around which you wish you had additional training? Would you specify? In your opinion, are these views representative of your peers? Agency Support If your agency is under a separate umbrella agency, how does the arrangement impact on your job as a counselor, or on the services you provide to clients? Do you have the administrative support and financial resources you need to do your job well? (e.g. supervision, training in policies and procedures, information on latest rehabilitation issues/research, etc.) Describe specific resources and needs. Are the resources in your community, e.g. training facilities, evaluation programs, vendors etc., adequate to assist you in working with your client caseload? Describe specific resources and needs. As a counselor, what kinds of interactions have you had with the Client Assistance Program in your State? With local community rehabilitation programs? Describe. DEVELOPING A STATE MONITORING PLAN Phase 2 Analyze information gathered from annual reviews, State agency reports, data and information provided to RSA by the State agency, comments from the public meetings, meetings with counselors, consumers and Council. Discuss information with the State agency staff and obtain their suggestions and concerns. Develop a monitoring plan together with the State agency in order to determine areas of concern, TA needs and potential compliance issues. State issues and concerns clearly and catalog items identified with the State agency into the major areas found in the State plan pre-print. The monitoring plan may not have issues of concern in all areas, or even in the majority of the areas. The monitoring plan should be individualized for the State agency and include strategies for reviewing significant issues identified during Phase 1. SECOND ON-SITE MONITORING VISIT Phase 3 A second on-site visit will be used to implement the monitoring plan developed in Phase 2 and to verify findings of the annual monitoring reviews. Activities during the second visit may include: o review of implementation of requirements in the Act related to Strategic plans, Eligibility/Ineligibility, The IWRP, and Order of Selection. o review of sample case files; o monitoring the implementation of certain State plan assurances; o visits to selected facilities for community rehabilitation programs and/or integrated employment sites connected with the State agency; o reviews of the implementation of selected cooperative agreements; o monitoring of CAP and other RSA funded discretionary grant projects in the State, etc. Initiate this on-site visit with an entrance conference with the State agency administration and review the parameters of the monitoring activity. Conclude with an exit conference and discuss preliminary findings. As appropriate and feasible after consulting with the State agency, meet with individuals with disabilities who have applied for and/or received services from the State agency. The meetings may include individuals whose case files were part of the case review sample, or who received services from counselors interviewed during Phase 1. FACILITIES/COMMUNITY REHABILITATION PROGRAMS VISIT Visits to facilities for community rehabilitation programs are for the purpose of assessing the relationship of the State agency and the facilities. The intent of the visit is to ensure that the appropriate processes are in place to transition workers into the most integrated employment setting possible, and not to assess the potential of each worker. Discuss the proposed visit with the State agency prior to visit; obtain input from the State agency. As appropriate, select community rehabilitation programs to visit on the basis of amount of Federal support the program receives under the Act, either directly or indirectly, and preferably RSA grants. - Are evaluation and rehabilitation services for VR clients provided in the "most integrated setting possible?" - Are the programs making maximum efforts to move workers into the most integrated competitive employment possible? - Review a sample of VR client folders during site visits. - Assess level of inter-agency cooperation. Is state agency input present in the form of attendance at meetings, visits to the facility, vouchers, or case notes? - Is there evidence that long-term workers are assessed annually concerning their ability to progress beyond sheltered employment? STRATEGIC PLANS COMPLIANCE CITATIONS Sections 101(a)(34), 120, 121, 122 and 123, The Act REQUIREMENTS In order to receive funds under parts B and C of title I of the Act, a State must submit a 3-year strategic plan for expanding and improving vocational rehabilitation services for individuals with disabilities on a statewide basis. At least 1.5 percent of the State's allotment under section 110 must be used for activities described in its strategic plan. The plan must be developed and updated annually with recommendations from the State Rehabilitation Advisory Council, the Statewide Independent Living Council, individuals with disabilities, and other interested parties. If, after consideration, the State rejects the above recommendations, the strategic plan shall include an explanation for the rejection. The strategic plan must be widely disseminated to individuals with disabilities, disability organizations, rehabilitation professionals, and other interested persons. IMPLEMENTATION REVIEW GUIDE To determine implementation of the Strategic Plan requirements: 1. Review strategic plan activities with agency staff and Advisory Committee members to determine if the activities are appropriate and meet the State's programmatic needs. 2. Review statewide studies, caseload trends and other available information to identify suggestions for new or modified strategic plan activities. 3. Ensure that the SA has implemented the activities proposed in its plan within the time-frame identified. 4. Ensure that the SA has set aside 1.5% of its allotment for activities described in its strategic plan. 5. Ensure that the SA has widely disseminated the plan to individuals with disabilities, disability organizations, rehabilitation professionals, and other interested persons, in accessible formats. REFERENCES 1. TAC 93-02, May 12, 1993: Implementation of Part C of Title I, Innovation and Expansion Grants, of the Rehabilitation Act of 1973, as Amended 2. PD 93-06, June 17, 1993: Strategic Plan to be Submitted under Part C of Title I of the Rehabilitation Act of 1973, as Amended 3. Review Checklist for Strategic Plan ELIGIBILITY/INELIGIBILITY Note--A review of cases using the case review guide will provide information necessary to determine whether the State appropriately implements its eligibility policies and procedures. COMPLIANCE CITATIONS Sections 7(8)(A), 7(22)(A&C), 12(c), 15(A), 101(a)(9)(A&D), & 102(a, b & c), of the Act. REQUIREMENTS Applications The DSU must determine eligibility within a reasonable period of time not to exceed 60 days after the individual applies for services, unless: a. exceptional and unforeseen circumstances beyond the agency's control occur, and the individual agrees to an extension of time, or b. the DSU conducts an extended evaluation in order to obtain clear and convincing evidence that the individual is not capable of benefitting from VR services in terms of an employment outcome. Eligibility Determination To be eligible for VR services an individual must: a. have a physical or mental impairment that constitutes or results in a substantial impediment to employment, b. be able to benefit from VR services in terms of an employment outcome, and c. require VR services to prepare for, enter, engage in, or retain gainful employment. For VR purposes, an individual determined by SSA to have a disability may be considered to have a physical or mental impairment that constitutes or results in a substantial impediment to employment. The DSU must presume that an individual with disabilities can benefit from VR services in terms of an employment outcome unless there is clear and convincing evidence to the contrary. The DSU may not impose any durational or other residence requirement that excludes any individual who is present in the State. No applicant or group of applicants may be excluded or found ineligible solely on the basis of the type of disability. Eligibility requirements must be applied without regard to the age, gender, race, color, creed, or national origin of the applicant. No upper or lower age limit may be established that will, in and of itself, result in finding ineligible any individual who is otherwise eligible. Assessments The DSU must assess each applicant to determine his or her eligibility for VR and, if the State is operating under an order of selection, priority for services. The assessment for determining eligibility must include, to the extent necessary and appropriate, referral to other programs and/or services and the provision of rehabilitation technology services to assess and develop the capacities of the individual to perform in a work environment. The determination must be based, to the extent appropriate and available, on review of existing data, including information provided by the individual or the individual's family, education records, information used by the Social Security Administration and, determinations made by officials of other agencies. To the extent existing data do not describe the current functioning of the individual or are unavailable, insufficient, or inappropriate to make a determination, additional data based on the provision of VR services, including assistive technology devices and services and worksite assessments may be used. Extended Evaluations for Individuals with Severe Disabilities Before determining that an individual with a severe disability is incapable of benefitting from VR services in terms of an employment outcome, the DSU must conduct an extended evaluation to support such a determination with clear and convincing evidence. An extended evaluation shall not exceed 18 months, and VR services must be provided in the most integrated setting possible, consistent with the informed choice of the individual. During an extended evaluation the DSU must assess the individual's progress as frequently as necessary but at least once every 90 days, and must include in the assessment periodic reports from the service provider and description of the nature and scope of services needed. The DSU must terminate an extended evaluation at any point during the 18-month extended evaluation period, if there is clear and convincing evidence that the individual is not capable of benefitting from VR services in terms of an employment outcome or there is clear and convincing evidence that the individual can benefit in terms of an employment outcome from the provision of vocational rehabilitation services. Determining Priority for Services Under an Order of Selection If the State is operating under an order of selection for services the DSU must base its priority assignments on a review of data developed to make the eligibility determination and additional data, to the extent necessary. Ineligibility Determination The determination that an applicant ineligible for VR services, or that an individual receiving services under an individualized written rehabilitation program (IWRP) is no longer eligible for services, may be made only after providing an opportunity for full consultation with the individual, or as appropriate, with the individual's representative. When determined ineligible, the DSU must inform the individual in writing, or if appropriate by special modes of communication, of: a. the ineligibility determination, including the reasons for that determination, b. the means by which the individual may express and seek remedy for any dissatisfaction, including the procedures to review rehabilitation counselor or coordinator determinations, c. the services available from the client assistance program for the State. The DSU must also review the ineligibility determination within 12 months, unless the individual has refused the review, is no longer present in the State, or his or her whereabouts are unknown. If, subsequent to the provision of services under an IWRP, the DSU determines that an individual is ineligible because he or she is incapable of achieving an employment outcome, the DSU must review the ineligibility determination annually thereafter if requested by the individual, or, if appropriate, by the individual's representative. Closure Prior to Eligibility Determination The DSU may not close an applicant's case prior to making an eligibility determination unless the applicant is unavailable during an extended period of time to complete an assessment for determining eligibility and priority for services, including an extended evaluation if applicable, and the DSU has made repeated attempts to contact the applicant, or if appropriate, the applicant's representative, to encourage the applicant's participation. IMPLEMENTATION REVIEW GUIDE A review of cases using the attached case review guide will provide information necessary to determine whether the State appropriately implements its eligibility policies and procedures. RELEVANT RSA POLICY ISSUANCES A. PQ 246, October 10, 1980, "Residency Requirements." B. PQ 247, August 22, 1980, "Eligibility of Cuban/Haitian Entrants to the United States for Vocational Rehabilitation Services." B. PI 81-02, December 18, 1980, "Notification to Applicants and Clients of Appeal Rights, Notification to Clients Regarding the Furnishing or Denial of VR Services, and Conditions for Continuing Services Pending Appeal." C. PI 81-06, February 3, 1981, "Certificate of Ineligibility for Clients Closed in Status 28 and 30." D. Memorandum to the Regional Director, Region I, November 19, 1976, "Proposed Connecticut Policy re: Referral of Individuals Not Present in the State." E. RSM Chapter 1505, "Eligibility", Effective, April 18, 1991. INDIVIDUALIZED WRITTEN REHABILITATION PROGRAM (IWRP) Note--A review of cases using the attached case review guide will provide information necessary to determine whether the State appropriately implements its policies and procedures related to the IWRP. COMPLIANCE CITATIONS Sections 7(22)(B), 7(34), 101(a)(9), 101(a)(11), 101(a)(24)(A & B), 102(b)(1), 102(c), 103(a)(16) & 635(b)(6)(C), the Act. STATUTORY REQUIREMENTS General The DSU must initiate and periodically update an IWRP for each eligible individual and for each individual being provided services under an extended evaluation to determine rehabilitation potential. VR services must be provided in accordance with the IWRP. The IWRP must be designed to achieve the employment objective of the individual, consistent with his or her unique strengths, resources, priorities, concerns, abilities, and capabilities and must include the following items. When an individual with disabilities is also eligible for services under the Individuals with Disabilities Education Act, the IWRP must be prepared in coordination with the appropriate education agency, and include a summary of relevant elements of the individualized education program for that individual. Any decision that an individual receiving services under an IWRP is not capable of achieving an employment related goal and therefore is not eligible for VR services, may be made only upon the certification, as an amendment to the IWRP, or as a part of the specification of reasons for an ineligibility determination. The DSU must also provide a description of the rights and remedies available to the individual including, if appropriate, recourse to the appeals processes, including a description of the availability of the client assistance program. Goals and Objectives a. a statement of long-term rehabilitation goals based on the individual's career interests and assessment for eligibility and VR needs. To the maximum extent appropriate, the goals should include placement in integrated settings; b. a statement of intermediate rehabilitation objectives for attaining the individual's goals. The assessment used to determine the objectives must be carried out in the most individualized and integrated setting, consistent with the informed choice of the individual; and c. objective criteria, a schedule, and an evaluation procedure for determining whether the individual's goals and objectives are being achieved. VR Services a. A statement of specific VR services, including specific rehabilitation technology services as appropriate, that will be provided in the most integrated settings, to assist the individual in attaining his or her goals and objectives. b. Projected dates for the initiation and duration of each service, terms and conditions under which goods and services will be provided, and the identity of entity or entities that will provide the services, and the process used to provide or procure such services. c. Information identifying other related services and benefits provided pursuant to any Federal, State, or local program that will enhance the capacity of the individual to achieve his or her vocational objectives. d. If appropriate, a statement of the specific on the-job and related personal assistance services to be provided to the individual, including if desired by the individual, training in the management, supervision, and direction of those personal assistance services. e. An assessment of the expected need for post-employment services and, if appropriate, extended services. The IWRP must also include provisions for the reassessment of the need for post-employment services prior to the point of successful rehabilitation, and a statement detailing how such services will be provided or arranged through cooperative agreements with other service providers. Evidence of Consumer Choice/Involvement a. The IWRP must be jointly developed, agreed upon, and signed by the eligible individual or his/her authorized representative, as appropriate, and the VR counselor or coordinator. A copy of the IWRP and amendments must be provided to the individual with disabilities or his/her representative. b. The IWRP must be reviewed annually, at which time the individual with disabilities must be given the opportunity to revise and/or jointly redevelop the IWRP as above. Any revisions or amendments shall not take effect until agreed to and signed by the individual or his/her representative. c. To the maximum extent possible, the IWRP must be provided in the native language, or mode of communication of the individual or his/her authorized representative, as appropriate. d. A statement by the individual, in his or her words, (or, if appropriate, in the words of a parent, a family member, a guardian, an advocate, or an authorized representative, of the individual), describing how the individual was informed about and involved in choosing among alternative goals, objectives, services, entities providing such services, and methods used to provide or procure the services indicated in the IWRP. Supported Employment For individuals with severe handicaps for whom supported employment has been determined to be appropriate, each IWRP must also contain: a. A description of the time-limited services, not to exceed 18 months in duration, to be provided by the DSU; and b. A description of the extended services needed, an identification of the State, Federal, or private programs that will provide the continuing support, and a description of the basis for determining that continuing support is available. IMPLEMENTATION REVIEW GUIDE A review of cases using the case review guide will provide information necessary to determine whether the State appropriately implements its policies and procedures related to the IWRP. RELEVANT RSA POLICY ISSUANCES RSM Chapter 1510, "Individualized Written Rehabilitation Program", Effective June 11, 1991. ORDER OF SELECTION STATUTORY CITATION 101(a)(5)(A) REQUIREMENTS Each State must explain how it will provide VR services to all eligible individuals with disabilities in the State. In the event that services cannot be provided to all eligible individuals, the State must follow an order of selection that serves first those individuals with the most severe disabilities, according to criteria determined by the State. The DSU must develop State plan attachments 9.3(b)A and 9.3(c)A as follows: a. SAs with an order of selection are required to have developed State plan attachment 9.3(c)A which includes criteria for identifying "individuals with the most severe disabilities;" and b. SAs that can serve all eligible applicants are required to have developed attachment 9.3(b)A, which describes how all eligible applicants are to be served. IMPLEMENTATION REVIEW GUIDE To determine appropriate implementation of order of selection policies and procedures the following guidelines are suggested. A. For States not on an order of selection: 1. determine whether waiting lists exist, and how the State manages the waiting lists; 2. examine caseload reports, etc. to determine whether the State should be on an order; 3. review complaints and hearings related to delays and interruptions in services; and 4. review selected case records to assess if services are being provided in a timely and appropriate manner. B. For States on an order of selection: 1. examine training and materials related to the order of selection that is provided to field staff; and 2. examine for appropriateness, information about order of selection provided to the SRAC and the SRAC's response. REFERENCES 1. RSM-2501 - Order of Selection for Services: Policy, 3/20/92 2. RSM-2501 - Order of Selection for Services: Guidance, 6/30/92 3. Memorandum to Regional Commissioners, I-X from Associate Commissioner, OPO - Principles Applying to An Order of Selection, 9/23/93 4. Memorandum to Regional Commissioners, I-X from Acting Commissioner, RSA - Order of Selection State Plan Attachment Report, 8/10/93 MONITORING REPORT OUTLINE The following is a suggested outline for the final monitoring report to be sent to the State agency after a comprehensive monitoring review. This format may be used for any monitoring reports, including on-site monitoring according to Regional initiatives and annual reviews I INTRODUCTION II DESCRIPTION OF REVIEW PROCESS - What kind of review, for what purpose; - What items were reviewed/examined, where, when and how. III OVERVIEW OF ISSUES AND CONCERNS IDENTIFIED - General and over-arching issues, comments, concerns found in monitoring, and general impressions. IV REVIEW OF FINDINGS AND DISCUSSION - Specific findings, concerns, commendations and discussions. V RECOMMENDATIONS - Specific recommendations for TA, corrective actions, etc. DRAFT--May 15, 1995 CASE REVIEW GUIDE (CRG) USER'S MANUAL CASE REVIEW GUIDE TABLE OF CONTENTS Page I. Introduction 73 II. Objectives 74 III. Standards 75 IV. Procedures 76-77 V. CRG - Part A 78-79 VI. CRG - Part B 80-94 VII. Response Sheets 95-101 INTRODUCTION Section 107 of the Act requires RSA to review individual case files, including eligibility and ineligibility determinations, and individualized written rehabilitation programs. RSA has developed procedures in order to ensure that these reviews are conducted fairly from State to State. The Case Review Guide (CRG) is RSA's system to monitor State agency casework practices to assure compliance with the statute. RSA has established a policy for reviewing case files from a sample of State agencies each year in order to assess compliance with these requirements and to provide appropriate technical assistance to address deficiencies. The purpose of this manual is to provide RSA staff with a uniform and standardized process for reviewing State agency implementation of Federal casework practice requirements. The CRG is based on the Rehabilitation Act of 1973, as amended in 1992. As the name implies, the CRG is "guidance" and is not intended to be a prescriptive process that must be used rigidly or in its entirety. As a device to improve communication between the State Federal partners, and as a tool to assess compliance with Federal law, its use will depend on numerous factors specific to the State agency being reviewed. The CRG is multi-faceted and may be used in part, or in total, depending upon the Regional Commissioner's assessment of information gathered through other monitoring reviews, public hearings and meetings with the State Rehabilitation Advisory Council. OBJECTIVES A. RSA objectives for the use of the CRG are: 1. To identify exemplary casework practices, or those practices that must be developed or changed by the designated State agency, to achieve employment outcomes and to maintain compliance with Federal law. 2. To determine the need for and to ensure the provision of technical assistance to designated State agencies to achieve compliance with Federal casework practice requirements. 3. To integrate case review findings into an overall assessment of State agency implementation of Federal requirements. 4. To collaborate with State agency management in developing and maintaining a quality assurance system that uses case review findings in a continuous loop extending from policy to training to practice, and back to policy. STANDARDS Primary to the accomplishment of the objectives of the Act is a State-Federal partnership that facilitates compliance with the Federal statute, and that may result in improvements in the quality of service delivery. A case review may be conducted during each comprehensive monitoring review. If deemed appropriate by the Regional Commissioner, case reviews may also be conducted on or off-site with State agencies not selected for comprehensive monitoring. It is RSA policy that, whenever possible, case reviews be conducted by a State-Federal review team. A. The following standards will be applied in each application of the CRG in order to maintain the consistency of the process and to focus on issues identified by the review team during pre-review monitoring activities: 1. An orientation session will be provided to reviewers prior to each application of the CRG to ensure consistency of interpretation. The reviewers skill level in applying the CRG determines the content and length of this session. The session may be held by teleconference and will consist of an application of the CRG with two or more case files from the State agency to be reviewed. 2. The results of the case review will be analyzed and integrated with other review findings, and used in the monitoring report provided to the State agency. PROCEDURES A. Pre-Case Review Activities 1. A sample is selected to provide RSA with information concerning the State agency's most recent casework practices reflecting the implementation of the Amendments of 1992. Whenever possible, in reviewing closed cases, individuals should have been referred after November 1, 1992, and closed within the six months preceding the case review. 2. The sample selection may be made from a print out of case files in the following five categories: o active cases with an approved IWRP where services have not yet been initiated; o active cases where services have been initiated under an IWRP; o cases closed for individuals successfully rehabilitated; o cases closed unsuccessfully before or after initiation of an IWRP; and o cases closed when individuals are not found eligible. 3. If active cases are used, efforts must be made in order not to interfere with the provision of services. B. Case Review Activities 1. An entrance conference will take place prior to the case review. 2. During the case review, a copy of the State agency's policy, procedures and guidance materials should be made available to the reviewers. 3. Response sheets will be completed for each case file reviewed. Reviewers are encouraged to document strengths or particularly good casework practices, and required to document specific reasons for negative responses. This information will be used in developing the report to the State agency. 4. A State agency contact person will be identified in the event that the reviewers require clarification regarding State agency policies or practices. 5. At the conclusion of the case review, the RSA monitoring review team leader will give closure to the activity by reviewing preliminary impressions of the review with the participants. 6. An exit conference will be held in order to discuss the preliminary findings of the case review. C. Post-Case Review Activities 1. Person(s) responsible for developing the report to the State agency will be responsible for ensuring the accuracy of the case review responses. 2. A copy of the report provided to the State agency will be sent to the Central Office. CASE REVIEW GUIDE - PART A Case Review Guide - Part A has been designed to assess State agency implementation of the important themes included in the Act that are critical to the success of the State-Federal partnership's joint efforts to reinvent the VR system. Part A emphasizes the achievement of successful employment outcomes, informed choice and consumer participation in the development and implementation of the IWRP and eligibility and ineligibility determinations. The important themes from the Act are listed as Case Review Indicators. The indicators may be re-phrased as questions by the review team. Depending on the scope of the review, and after consultation with State agency management, the reviewers may choose to meet with VR counselors and individuals served by the VR agency in order to provide additional information regarding compliance with the indicators. It is recommended that the initial portion of the case review be concerned with a discussion of these major themes, and that this discussion serves as a segue to the case review. The entire CRG, and Part A in particular, is deliberately flexible and adaptable in order to apply to the specific needs of the State being reviewed. --------------------------------------------------- ------------- TO BE EVALUATED: I. ACHIEVEMENT OF EMPLOYMENT OUTCOME CASE REVIEW INDICATORS: 1. COMMENSURATE WITH INDIVIDUAL'S ABILITIES, CAPABILITIES, INTERESTS, AND INFORMED CHOICE 2. IN THE MOST INTEGRATED SETTING POSSIBLE, CONSISTENT WITH THE INDIVIDUAL'S INFORMED CHOICE 3. RESULTED FROM SERVICES PROVIDED UNDER THE PLAN 4. PROVIDED THE OPPORTUNITY FOR THE INDIVIDUAL TO PURSUE A CAREER CHOSEN BY THE INDIVIDUAL 5. MAINTAINED FOR AT LEAST 60 DAYS TO BE EVALUATED: II. INFORMED CHOICE AND CONSUMER PARTICIPATION CASE REVIEW INDICATORS: 1. EFFECTIVE CONSUMER-COUNSELOR COMMUNICATION 2. CONTINUITY AND CONTINUOUS COMMUNICATIONS WITH THE CONSUMER 3. CONSUMER'S PARTICIPATION IN SELECTING THE VOCATIONAL GOAL, INTERMEDIATE OBJECTIVES, SERVICES AND SERVICE PROVIDERS 4. CONSUMER'S PARTICIPATION IN THE COST OF SERVICES BASED ON FINANCIAL NEED TO BE EVALUATED: III. CASE CLOSURE - WITHOUT A FINDING OF ELIGIBILITY CASE REVIEW INDICATORS: USE CRG - PART B, SECTION Va: CASE CLOSURE - WITHOUT A FINDING OF ELIGIBILITY TO BE EVALUATED: IV. CASE CLOSURE - ELIGIBLE, DID NOT ACHIEVE AN EMPLOYMENT OUTCOME CASE REVIEW INDICATORS: USE CRG - PART B, Section Vb: CASE CLOSURE - ELIGIBLE, DID NOT ACHIEVE AN EMPLOYMENT OUTCOME TO BE EVALUATED: V. ELIGIBILITY - EMPLOYMENT OUTCOME ACHIEVED CASE REVIEW INDICATORS: USE CRG - PART B, SECTION I: ELIGIBILITY AND SECTION Vc: CASE CLOSURE - EMPLOYMENT OUTCOME ACHIEVED CASE REVIEW GUIDE - PART B Case Review Guide - Part B assesses State agency compliance with the casework practice requirements found in the Act in a format that is similar to that used in the Case Review System (CRS) and the Human Services Management Institute (HSMI) Case Review Instrument. While Part A emphasizes a thematic approach to assessing the achievement of successful employment outcomes and informed choice and consumer participation in the development and implementation of the IWRP, Part B examines each casework practice requirement in the Act, and closely reflects the flow of VR service delivery from eligibility determination to closure. Interviews with consumers, VR counselors and employers may further contribute to validating good VR practices or problems needing corrective action. SECTION I: ELIGIBILITY Does the case file show . . . 1. evidence that the eligibility determination was made within 60 days and/or that unforeseen circumstances occurred and/or extended evaluation was warranted? Criterion is met when: A. The determination took 60 days or less after the individual applied for services. Section 102(a)(5)(A) B. Unforeseen circumstances beyond the control of the counselor occurred and caused the determination to exceed 60 days and the individual agreed to the delay. Any delay was handled as expeditiously as possible. Section 102(a)(5)(A)(i) C. An appropriate decision was made to provide a period of extended evaluation and the decision was made within 60 days. Section 7(22)(C)(ii)(I) 2. evidence of a physical or mental impairment? Criterion is met when: A. The case file contains sufficient evidence that the individual has an impairment. Section 7(8)(A)(I) & 7(26)(A) B. If appropriate, the case file contains evidence that the individual receives Social Security or Supplemental Security Income benefits because of the presence of a disabling condition. Section 102(a)(2)(A) 3. evidence that the impairment constitutes or results in a substantial impediment to work? Criterion is met when: A. The counselor assessed the impairment in terms of functional limitations and provided documentation of how the impairment causes a substantial impediment to employment. This evidence was provided in relation to job activities. Sections 7(8)(A)(I); 7(26)(A) B. If appropriate, the case file contains evidence that the individual receives Social Security or Supplemental Security Income benefits because of the presence of a disabling condition. Section 102(a)(2)(A) 4. evidence that the individual requires vocational rehabilitation services to prepare for, enter, engage in, or retain gainful employment? Criterion is met when: A. The counselor provides evidence that at least one VR service was necessary for the individual to enter or maintain employment and it is clear that this service will address the employment impediment(s) caused by the impairment. Section 102(a)(1(B) SECTION II: COMPREHENSIVE ASSESSMENT OF REHABILITATION NEEDS Does the case file show . . . 1. consideration of physical and mental factors, strengths and resources, and, to the extent necessary, functional capacities, and medical, psychological, social, and environmental factors which may affect rehabilitation and employment needs of the individual? Criterion is met when: A. The assessment is limited to that information necessary to identify the rehabilitation needs of the individual and to develop the IWRP with the individual. Sections 7(22)(B)(i), (iii) & (iv) B. To the extent pertinent, the case file contains assessment of all factors which may affect the employment needs of the individual. These factors would include psychological and psychiatric factors, medical factors, educational factors, vocational information and abilities, and personal, social, cultural, and recreational factors. Sections 7(22)(B)(iii-iv) C. To the extent appropriate, an assessment of the need for supported employment services has been assessed. Section 7(22)(B) D. To the extent necessary, rehabilitation technology services have been provided during the assessment of rehabilitation needs. Section 7(22)(C)(ii) E. Goods and services necessary to complete the assessment were provided. Section 7(22)(A)(ii) F. To the extent appropriate, existing information and information provided by the individual and the individual's family was used as a primary source, to the maximum extent possible and appropriate. Sections 7(22)(B)(ii) & 102(a)(3) 2. that the individual's career interests were assessed and the IWRP was based on these interests and was designed to achieve the employment objective of the individual? Criterion is met when: A. The case file documents an assessment of the individual's career interests. Sections 2(a)(3)(B-F), (b)(1-2), & (c)(1); 7(22)(B)(iii); 100(a)(1)(F); & 102(b)(1)(B)(i) B. The IWRP is based on the individual's career interests (consistent with the individual's abilities and capabilities). Sections 2(a)(3)(B-F), (b)(1-2), & (c)(1); 7(22)(B)(iii); 100(a)(1)(F); & 102(b)(1)(B)(i) C. The design of the IWRP will allow the individual to achieve his/her employment objective (consistent with the individual's abilities and capabilities). Sections 2(a)(3)(B-F), (b)(1-2), & (c)(1); 7(22)(B)(iii); 100(a)(1)(F) & 102(b)(1)(B)(i) 3. that the IWRP was jointly developed and agreed upon by the individual and the VR counselor? Criterion is met when: A. The case file contains evidence (prior to the signing of the IWRP) that the individual was involved in the process of developing the IWRP. An IWRP signature alone is not sufficient to demonstrate involvement. Sections 2(a)(3)(B-C); 2(a)(6)(A); 2(c)(1); 100(a)(3)(C); 101(a)(29); & 102(b)(1)(A)(i) B. It is clear that the individual had informed choice in selecting goals, objectives, services and service providers. Sections 2(a)(3)(B-F), (b)(1-2) & (c)(1); 100(a)(3)(C); 101(a)(29) & 102(b)(1)(A)(i) 4. that the individualized assessment and IWRP development were conducted in a timely manner? Criterion is met when: A. The progress in the case file indicates that the assessment took place in a timely manner. The case file demonstrates that assessments were scheduled as soon as needs were known and provides acceptable rationale for any delays. Sections 100(a)(2) & 102(b)(1)(A) IF THE STATE AGENCY IS OPERATING UNDER AN ORDER OF SELECTION, RESPOND TO ITEM 5. 5. that consumer was provided services in accordance with the State agency's order of selection priority category assigned? Section 7(22)(a)(i)(II) SECTION III: INDIVIDUALIZED WRITTEN REHABILITATION PROGRAM Is the IWRP . . . 1. to the maximum extent possible, provided in native language or mode of communication of the individual? Criterion is met when: A. The IWRP documents are provided in the native language or mode of communication, of the individual, or when appropriate, the individual's parent(s), or other representative(s). Sections 2(c)(3) & 102(b)(1)(B)(xiv) Does the IWRP . . . 2. contain a statement of the long-term rehabilitation goals, the rehabilitation objectives, and the specific VR services to be provided? Criterion is met when: A. The employment direction is consistent with the assessment of vocational rehabilitation needs; and Section 102(b)(1)((B)(ii-iv) B. The objectives are outcome oriented and consistent with the unique strengths, resources, priorities, concerns, abilities and capabilities of the individual; and Sections 2(a)(3)(B-F), (b)(1-2), & (c)(1); 100(a)(3)(C); 101(a)(29); & 102(b)(1)((A)(i) C. The services will contribute to the accomplishment of the objective. Section 102(b)(1)((B)(ii-iv) 3. contain objective criteria, evaluation procedures, and schedules for determining whether goals and objectives are being met? Criterion is met when: A. There is an evaluation procedure for determining whether or not goals and objectives are being met. Section 102(b)(1)(B)(vii) B. The procedure includes objective criteria for measuring the accomplishment of goals and objectives. Section 102(b)(1)(B)(vii) C. There is a schedule for evaluating progress toward accomplishment of the objectives. The schedule is reasonable and will allow for measurement which is frequent enough to make any necessary changes or alterations in the services or objectives. Section 102(b)(1)(B)(vii) D. If appropriate, there is evidence of an annual review of the IWRP including evidence that the individual was involved in the review and jointly agreed to any changes in IWRP terms. Section 102(b)(2) 4. include the identification of the entity/entities that provided the VR services and the process used to provide or procure such services. Criterion is met when: A. The IWRP identifies the vendor(s) who will provide each vocational rehabilitation service. Section 102(b)(1)(B)(ix) B. The IWRP identifies the process which was used to obtain and/or arrange the services to be provided. Section 102(b)(1)(B)(ix) 5. contain the terms and conditions under which goods and services described were provided in the most integrated settings. Criterion is met when: A. The IWRP and the case file clearly demonstrate that goods and services were provided in the most integrated settings possible; or Sections 2(a)(3)(F); 2(a)(4); 2(a)(6)(B); 2(b)(1); 2(c)(3); 100(a)(1)(C); 100(a)(3)(B); & 102(b)(1)(B)(ii), (iii), & (viii) B. If this is not possible, the IWRP includes an explanation of why it was not possible or was not the informed choice of the individual. Sections 2(a)(3)(F); 2(a)(4); 2(a)(6)(B); 2(b)(1); 2(c)(3); 100(a)(1)(C); 100(a)(3)(B); & 102(b)(1)(B)(ii), (iii), & (viii) 6. include the projected beginning date and anticipated duration of each service? Criterion is met when: A. The IWRP provides an initiation date and an ending date or a projected duration for each service. Section 102(b)(1)(B)(iv)(I) B. The dates are as comprehensive as possible and appear to provide reasonable time frames for the successful accomplishment of the services. Section 102(b)(1)(B)(iv)(I) 7. if appropriate, include information identifying other related services and benefits that will enhance the capacity of the individual to achieve his/her vocational objective? Criterion is met when: A. The IWRP is not limited just to those services provided by or through the VR agency; or Sections 101(a)(11)(A) & 102(b)(1)(B)(xv) B. The IWRP identifies any additional or related services and benefits which may be of benefit to the individual in achieving his/her vocational objective. Sections 101(a)(11)(A) & 102(b)(1)Z(B)(xv) 8. include an assessment of the expected need for postemployment services and, if appropriate, extended services? Criterion is met when: A. At the time of the development of the IWRP there is an assessment of whether or not the individual is expected to need postemployment services. Section 102(b)(1)(B)(v) B. For an individual receiving supported employment services, the IWRP includes plans for the expected extended services needed; and Sections 102(b)(1)(B)(v); 7(27), (33) & (34); & CFR 363.11(g)(3)(1) C. If postemployment or extended services are included on the IWRP, the IWRP must state how such services will be provided or arranged through cooperative agreements or other service providers. Section 102(b)(1)(vi)(II) 9. contain a statement by the individual describing how s/he was informed about and involved in choosing among alternative goals, objectives, services, service providers, and methods used to provide/procure such services? Criterion is met when: A. The IWRP includes a narrative statement either written by the individual or in the words of the individual which describes how the individual was given adequate information about and was involved in selecting the goals, objectives, service providers, and methods used to provide or procure such services that are reflected in the IWRP. Section 101(a)(29) 10. contain the signature of the individual and the VR counselor on the initial IWRP and all amendments? Criterion is met when: A. The individual has signed the IWRP; and Sections 102(b)(1)(A)(i) & 102(b)(2) B. The counselor has signed the IWRP; and Section 102(b)(1)(A)(i) C. Amendments to the IWRP do not take effect until agreed to and signed by the individual and the counselor. Section 102(b)(2) SECTION IV: FINANCIAL ACCOUNTABILITY Does the case file . . . 1. show that only those funds necessary for evaluation and rehabilitation services were expended? Criterion is met when: A. The assessment is limited to that information necessary to identify the rehabilitation needs of the individual and to develop the IWRP with the individual. Section 7(22)(B)(1)(iii-iv) B. Services provided to support the assessment process are justified in the case file. Section 7(22)(C)(iii)(I) C. Information is not purchased when adequate information exists and can be obtained or is available from the individual or the individual's family. Sections 7(22)(B)(ii)(I-II); 101(a)(9)(A) & 102(a)(3) D. All major expenditures are covered by the IWRP or its amendments. Any minor expenditures not covered by the IWRP are supported by a rationale in the case file. Section 101(a)(8) E. Title I funds are used for evaluation of vocational rehabilitation potential for purposes of eligibility determination of individuals who receive supported employment services. Sections 7(22)(B) & 102(b)(1)(A) F. If the individual receives supported employment services, the case file provides documentation that the requirements of this program were met. Individuals served by the supported employment program must be individuals with the most severe disabilities who are eligible for vocational rehabilitation services and who require supported employment services to enter or retain competitive employment. Section 634 2. show that comparable services and benefits were considered and utilized when appropriate? Criterion is met when: A. A determination of the availability of comparable services and benefits under any other program takes place prior to expenditure of agency funds for services. Sections 101(a)(8)(A-B) & 101(a)(12)(A) B. Determination of the availability of comparable services and benefits is not required: (1) for the assessment for determining eligibility and vocational rehabilitation needs; Sections 101(a)(8) & 103(a)(1) (2) for counseling, guidance, and work related placement services, including job search assistance, placement assistance, job retention services, personal assistance services, and follow-up, follow-along, and specific postemployment services necessary to assist individuals to maintain, or regain, or advance in employment; Sections 101(a)(8) & 103(a)(2) (3) for vocational and other training services (except no payment shall be made for training services in institutions of higher education unless maximum efforts have been made to secure grant assistance to pay for such training). These services include personal and vocational adjustment, books, or other training materials, and such services to the families of individuals with disabilities as are necessary to the adjustment or rehabilitation of such individuals; Sections 101(a)(8) & 103(a)(3) (4) rehabilitation technology services; Sections 101(a)(8) & 103(a)(12) (5) if the determination would delay the provision of services to any individual at extreme medical risk; or Section 101(a)(8)(A) (6) prior to the provision of services if an immediate job placement would be lost due to a delay in the provision of comparable benefits. Sections 101(a)(8)(A) & (B) SECTION Va: CASE CLOSURE - DID NOT ACHIEVE AN EMPLOYMENT OUTCOME Does the Case File . . . 1. contain the rationale for closure? Criterion is met when: A. The rationale for closure is consistent with the facts demonstrated by the entire case file. B. If the individual was determined to be ineligible, the determination of ineligibility includes the reasons for the determination and is provided to the individual. Section 102(a)(6) D. If the reason for a determination of ineligibility concerns the severity of the disability, the case file provides evidence of the provision and results of an extended evaluation, and contains clear and convincing evidence that the individual is incapable of benefitting from vocational rehabilitation services in terms of achieving an employment outcome. Sections 102(a)(4)(A-B) & 102(b)(2) 2. contain evidence of consumer notification of appeal rights, when appropriate? Criterion is met when: A. The determination of ineligibility will specify the rights and remedies available to the individual, and the availability of services provided by the client assistance program. Sections 102(a)(6)(B) & (C) B. A determination that an individual can not benefit in terms of an employment outcome from vocational rehabilitation services will be made only in full consultation with the individual. Section 102(c)(2) 3. contain evidence that the ineligibility determination is made within 60 days, that unforeseen circumstances occurred, or that an extended evaluation is provided due to issues concerning severity? Criterion is met when: A. The eligibility determination was made within 60 days. Section 102(a)(5) B. Unforeseen circumstances beyond the control of the counselor occurred and caused the determination to exceed 60 days but the delay was handled as expeditiously as possible. Section 102(a)(5) C. The determination took more than 60 days but the extended period resulted from unwarranted delays caused completely by the individual applying for services. Section 102(a)(5) D. An appropriate decision was made to provide a period of extended evaluation and the decision was made within 60 days. Section 102(a)(4)(B) SECTION Vb: CASE CLOSURE - ELIGIBLE, DID NOT ACHIEVE AN EMPLOYMENT OUTCOME Does the IWRP or Case File . . . 1. contain the rationale for closure? Criterion is met when: A. The rationale for closure is consistent with the facts demonstrated by the entire case file. B. If an individual was determined to be ineligible, the determination of ineligibility includes the reasons for the determination. If there is an IWRP, the reasons must be recorded on it. Section 102(b)(1)(B)(xi)(I) 2. contain evidence of consumer participation in the closure decision and consumer notification of appeal rights, when appropriate? Criterion is met when: A. If the individual has been found to be ineligible and has an IWRP, the IWRP amendment must specify the rights and remedies available to the individual. Section 102(b)(1)(B)(xi)(II) B. If the individual does not have an IWRP, the determination of ineligibility must specify the rights and remedies available to the individual. Section 102(b)(1)(B)(xi)(II) C. An individual who has an IWRP or has been found ineligible prior to the development of an IWRP must be involved in any decision of ineligibility. Section 102(b)(1)(A)(i) D. An individual who has been determined to be ineligible was provided an explanation of the resources available in the client assistance program. Section 102(b)(1)(C) E. If there has been an IWRP, there is an IWRP amendment which is agreed to and signed by the individual. Sections 102(b)(1)(C) & 102(b)(2) F. The IWRP amendment must also be signed by the counselor. Section 102(b)(1)(C) 3. The IWRP is put into effect and follow-up is conducted in a timely manner? Criterion is met when: A. There is no undue delays caused by the counselor in beginning IWRP services and following the progress of the individual. Section 100(a)(2) SECTION Vc: CASE CLOSURE - EMPLOYMENT OUTCOME ACHIEVED Does the case file . . . 1. show that the individual achieved a successful employment outcome? Criterion is met when: A. The case file clearly demonstrates that, as appropriate, the counselor provided information to the individual about vocational choices and assisted the individual in learning about available choices. Sections 2(a)(3)(C) & (E); 2(c)(1) & 102(b)(1) B. The case file clearly demonstrates that the individual had choice in selecting his/his vocational direction and became employed in that field. Sections 2(a)(3)(C) & (E); 2(c)(1) & 102(b)(1) C. The services planned on the IWRP were substantially provided and contributed significantly to achieving the employment goal of the individual Sections 2(a)(4) & (6); 2(b)(1) & 102(b)(1) D. The counselor provided follow-up and related services to the extent necessary to assure that the individual and his/her employer were satisfied with the employment and that it is stable and permanent. Section 7(5) E. When appropriate, the counselor provided referral to assist the individual in securing needed services available through other agencies. Sections 103(a)(2) & 103(a)(13) F. The work achieved is competitive or it is clear that it is the work chosen by the individual. Sections 101(a)(16)(A)(i) & 102(b)(1)(B)(x) G. The work is performed in an integrated setting or it is clear that a non-integrated setting is chosen by the individual. Sections 7(5) & 102(b)(1) 2. document that the need for postemployment services was reassessed prior to closure and that any necessary plans were made? Criterion is met when: A. The need for postemployment services was reassessed prior to closure of the case file. Section 102 b)(1)(B)(vi)(I) B. If postemployment services appear to be necessary, the plan for such services has been developed. Sections 102(b) & 102(b)(2) 3. show that the individual was involved in the decision to close the case file and that closure did not take effect until agreed to by the individual? Criterion is met when: A. The case file contains clear evidence that the individual was involved in the decision to close the case. Section 102(b)(2) B. The individual agreed to the closure of the case. Section 102(b)(2) CASE REVIEW GUIDE--RESPONSE SHEETS PART A I. ACHIEVEMENT OF EMPLOYMENT OUTCOME 1. YES NO Strengths Weaknesses 2. YES NO Strengths Weaknesses 3. YES NO Strengths Weaknesses 4. YES NO Strengths Weaknesses 5. YES NO Strengths Weaknesses II. INFORMED CHOICE AND CONSUMER PARTICIPATION 1. YES NO Strengths Weaknesses 2. YES NO Strengths Weaknesses 3. YES NO Strengths Weaknesses 4. YES NO Strengths Weaknesses NOTE: Use Part B Response Sheets for completion of Eligibility and Case Closure sections CASE REVIEW GUIDE--RESPONSE SHEETS PART B Reviewer: Review Date: Agency Code: Case I.D.: Title: Closure Type: SECTION I: ELIGIBILITY 1. YES NO Comments: 2. YES NO Comments: 3. YES NO Comments: 4. YES NO Comments: SECTION II: COMPREHENSIVE ASSESSMENT OF REHABILITATION NEEDS 1. YES NO Strengths Weaknesses 2. YES NO Strengths Weaknesses 3. YES NO Strengths Weaknesses 4. YES NO Strengths Weaknesses RESPOND TO ITEM 5 ONLY IF SA IS UNDER AN ORDER OF SELECTION 5. YES NO Strengths Weaknesses SECTION III: INDIVIDUALIZED WRITTEN REHABILITATION PROGRAM 1. YES NO Strengths Weaknesses 2. YES NO Strengths Weaknesses 3. YES NO Strengths Weaknesses 4. YES NO Strengths Weaknesses 5. YES NO Strengths Weaknesses 6. YES NO Strengths Weaknesses 7. YES NO Strengths Weaknesses 8. YES NO Strengths Weaknesses 9. YES NO Strengths Weaknesses 10. YES NO Strengths Weaknesses SECTION IV: FINANCIAL ACCOUNTABILITY 1. YES NO Strengths Weaknesses 2. YES NO Strengths Weaknesses CHECK ONE SECTION Va: CASE CLOSURE - WITHOUT A FINDING OF ELIGIBILITY SECTION Vb: CASE CLOSURE - ELIGIBLE, DID NOT ACHIEVE AN EMPLOYMENT OUTCOME SECTION Vc: CASE CLOSURE - EMPLOYMENT OUTCOME ACHIEVED 1. YES NO Strengths Weaknesses 2. YES NO Strengths Weaknesses 3. YES NO Strengths Weaknesses Summary Observations