The 1995 VR monitoring guide I distributed several months ago has now been revised and expanded to a 1996 version. It indicates what the federal Rehabilitation Services Administration currently expects from the state vocational rehabilitation programs it funds. In developing input to the process of reauthorizing the Rehabilitation Act, This material can help the disability community decide whether the present VR system is moving in the right direction. Since the document is about 350K in size, I've put "End of Document" at the bottom to indicate whether you received it completely. If not and you want it, let me know and I'll send it on disk. Jamal Mazrui National Council on Disability Email: 74444.1076@compuserve.com ---------- STATE VOCATIONAL REHABILITATION SERVICES PROGRAM FY 1996 MONITORING AND TECHNICAL ASSISTANCE GUIDE UNITED STATES DEPARTMENT OF EDUCATION OFFICE OF SPECIAL EDUCATION AND REHABILITATIVE SERVICES REHABILITATION SERVICES ADMINISTRATION Fredric K. Schroeder, Ph.D., Commissioner April, 1996 TABLE OF CONTENTS Page Numbers I. Introduction 1 - 3 II. Annual Review Guide 5 - 36 A. Requirements 5 B. Annual Review Modules 6 - 36 1. Achievement of 6 - 10 employment outcomes 2. Informed choice 11 - 14 3. Minority outreach 15 - 18 4. Decisions resulting from 19 - 24 hearings conducted in accordance with due process 5. Strategic plans and updates 25 6. Consumer satisfaction surveys 26 - 29 and other information provided by the State Rehabilitation Advisory Council 7. Order of selection 30 - 32 8. Reports 33 9. Budget and financial data 34 - 36 III. Comprehensive On-Site Review Guide 37 - 75 A. Requirements 38 1. Phase One 39 - 44 a. Public hearings 40 - 41 b. Meeting with the State 42 - 43 Rehabilitation Advisory Council c. Visit facilities/community 44 rehabilitation programs 2. Phase Two 45 a. Developing a State agency 45 monitoring and technical assistance plan 3. Phase Three 46 - 75 a. Second on-site monitoring 46 visit (1) Achievement of 47 - 48 employment outcomes (2) Informed choice 49 - 51 (3) Minority outreach 52 - 54 (4) Service Record Review Guide 55 - 70 (5) Strategic plans 71 (6) Order of selection 72 (7) Budget and financial data 73 4. Phase Four 74 a. Monitoring report guidelines 74 APPENDIX A. FY 1995 Annual Review Modules 76 - 84 o Eligibility/ineligibility 76 - 78 o IWRP 79 - 81 o Meetings with rehabilitation counselors 82 - 84 and other State VR agency personnel B. State Plan Checklist 85 - 105 C. Strategic Plan Checklist 106 - 112 D. State Agency Financial Administration 113 - 154 Review Instrument (SAFARI) E. RSA Survey Instrument for 155 - 162 Designated State Vocational Rehabilitation Unit F. RSA Survey Instrument for 163 - 169 for VR Involvement in Consolidated Training and Employment Programs INTRODUCTION The FY 1996 Monitoring and Technical Assistance Guide is primarily intended to provide guidance for RSA staff in the conduct of monitoring and the provision of technical assistance for the State Vocational Rehabilitation Services Program under Title I of the Rehabilitation Act of 1973, as amended (the Act). It is also our intent to assist State agency management in streamlining their service delivery systems through a process of self-evaluation, to identify and promote policies and practices maximizing the achievement of employment outcomes and to facilitate productive State-Federal monitoring reviews. The specific monitoring requirements for RSA in the 1992 amendments to the Act and the impact of improved computer technology have created a need for continuous change and improvement in our monitoring and technical assistance efforts. The strategies outlined enable RSA monitoring staff to focus their reviews on an examination of the quality of services, the achievement of employment outcomes for persons with disabilities and the provision of technical assistance to assist in maintaining compliance with the Act. Section 107 of the Act requires RSA to conduct annual reviews and periodic (comprehensive) 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 technical assistance to State VR agencies in order to improve the quality of VR services provided, and in the event a State VR agency fails to comply substantially with its State plan, to establish a corrective action plan. These requirements, while prescriptive in some aspects, should in no way lessen 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. Through cooperative State-Federal monitoring, it is RSA's goal to facilitate the streamlining of the VR program so that it may more efficiently achieve the purpose of the program, to empower individuals with disabilities to achieve employment. The strategies presented in this document will enable RSA to work together with our State partners in ensuring positive outcomes for the persons receiving 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 comprehensive on-site reviews with selected State agencies each year. The on-site reviews will be divided into Regional and National initiatives. Comprehensive national on-site monitoring will be conducted in selected States by inter-regional teams, including RSA Central Office staff, 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 and technical assistance 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, to conduct reviews of service records and to perform other activities as identified by State VR agency staff and the review team. Selected on-site monitoring and technical assistance initiatives will also be planned and conducted as needed at the discretion of each Regional Commissioner. FY 1996 Focus Areas For FY 1996, RSA will focus its monitoring and technical assistance activities on issues related to: 1. Achievement of Employment outcomes; 2. Informed choice; and 3. Minority outreach. The focus areas are selected based upon an analysis of: reports and other information submitted to RSA; findings from prior years' monitoring, including the results of public hearings and interviews with persons with disabilities; and input from persons and groups interested in the VR program. The focus areas are dynamic and will change from year to year based on the interplay of these factors. FY 1995 Focus Areas The focus areas for RSA FY 1995 monitoring were: 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. The RSA Regional Commissioners may determine that it is necessary to conduct further monitoring or to provide specific technical assistance to follow-up last year's findings in these focus areas. To provide easy access to areas not included in the FY 1996 Annual Review Guide, modules on Eligibility/ineligibility; The Individualized Written Rehabilitation Program (IWRP); and Consumer Participation may be found in the Appendix. The Future of RSA Monitoring and Technical Assistance 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 conducting streamlining activities to more effectively and efficiently achieve the goals of meaningful and gainful employment. RSA's monitoring and technical assistance system is dynamic and will be revised in response to the reauthorization of the Act, or the issuance of final Federal Regulations, as well as in response to recommendations from State agency personnel, individuals with disabilities and their parents and other representatives, and interested members of the public. If you have any recommendations, or would like to speak to a member of the RSA monitoring staff, please contact us at: Rehabilitation Services Administration RSA Monitoring Unit Mary Switzer Building 330 C Street, S,.W., Room 3216 Washington, D.C. 20202-2735 Voice : (202) 205-8694, or 205-9346 FAX : (202) 205-9340, or 205-9772 TDD : (202) 205-9295, or 205-8919 INTERNET: Judy_Tynes@ED.GOV Jerry_Elliott@ED.GOV RSA monitoring and technical assistance guidance is available on the RSA Bulletin Board System (BBS). The RSA BBS telephone number is (202) 401-6147. Contact Ms. Terri Darter at (202) 205-8444 for further information with regard to the BBS. The RSA Regional Commissioners and Regional Office State Representatives may also be contacted regarding the use of the FY 1996 Monitoring and Technical Assistance Guide and other questions regarding the Act. The information necessary to contact the Regional Commissioners follows: Mr. John J. Szufnarowski RSA Regional Commissioner Regions I and II (Boston and New York) Department of Education J.W. McCormack POCH Building, Room 232 Boston, MA 02109 1-617-223-4090 FAX: 1-617-223-4573 TDD: 1-617-223-4097 Dr. Douglas Burleigh RSA Regional Commissioner (Acting) Regions V and VII (Chicago and Kansas City) Department of Education 10220 N. Executive Hills Blvd. Kansas City, MO 64153-1367 1-816-880-4100 FAX: 1-816-891-0807 TDD: 1-816-374-6917 Mr. Gilbert Williams RSA Regional Commissioner Regions IX and X (San Francisco and Seattle) Department of Education Federal Office Bldg., Room 215 50 United Nations Plaza San Francisco, CA 94102 1-415-437-7840 FAX: 1-415-437-7848 TDD: 1-415-437-7845 Dr. Ralph N. Pacinelli RSA Regional Commissioner Regions III and IV (Philadelphia and Atlanta) Department of Education 3535 Market Street, Room 16120 Philadelphia, PA 19104 1-215-596-0317 FAX: 1-215-596-0471 TDD: 1-215-596-0269 Mr. Loerance Deaver RSA Regional Commissioner Regions VI and VIII (Dallas and Denver) Department of Education 1200 Main Tower Bldg. Room 2220 Dallas, TX 75202 1-214-767-2961 FAX: 1-214-767-8127 TDD: 1-214-767-8125 ANNUAL REVIEW GUIDE REVIEW REQUIREMENTS Section 107 of the Act calls for RSA to review certain State VR agency materials annually. These reviews may be conducted exclusively in the Regional Offices or may be on-site reviews. The breadth and scope of these reviews are individualized according to the State agency under review and the resources available to RSA. In addition to the three new focus areas: Achievement of employment outcomes; Informed choice; and Minority outreach, RSA will continue to review the following annual review requirements using updated versions of the modules developed last year: 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 Order of selection; o Reports; and o Budget and financial management data. All State agency policies, procedures, State plans and attachments, Strategic plans and updates, guidance materials, reports, and other information relevant to the monitoring of these requirements will be reviewed by the Regional Office. The guiding principle of this monitoring and technical assistance approach is to facilitate the development and implementation of policies and procedures that result in improving the quality of VR services and the achievement of employment outcomes and that are in compliance with the statutory, regulatory and policy provisions relative to the Act. The RSA Regional Commissioners, in partnership with the management staff of the State VR agencies, will use an individualized approach in conducting monitoring and providing appropriate technical assistance. If necessary, more detailed review guidance for the achievement of employment outcomes; informed choice; minority outreach; order of selection; and the Strategic plan may be found in the Comprehensive On-Site Review Guide. In order to respond to concerns arising from State VR agency streamlining activities and VR involvement in consolidated training and employment programs, appropriate guidance is provided in the Appendix. State Agency Annual Review Reports Prior to the end of FY 1996, the Regional Commissioners will provide reports to the State VR agency directors containing the results of the annual reviews. Each report will contain an executive summary and a discussion of State agency achievements on each of the three FY 1996 focus areas. The reports should summarize any important findings and/or exemplary practices, the need for corrective action and a timetable for follow-up, when necessary. Copies of the reports will be provided to the RSA Monitoring Unit by cc:Mail. 1. ACHIEVEMENT OF EMPLOYMENT OUTCOMES COMPLIANCE CITATIONSSections 7(5), 106(a)(2), the Act; & 34 CFR 361.43 REQUIREMENTS The purpose of title I of the Act is to assist States in operating a comprehensive, coordinated, effective, efficient, and accountable program of VR that is designed to assess, plan, develop, and provide VR services for individuals with disabilities, consistent with their strengths, resources, priorities, concerns, abilities, and capabilities, so that such individuals may prepare for and engage in gainful employment. The term "employment outcome" means, with respect to an individual, entering or retaining full-time or, if appropriate, part-time competitive employment in the integrated labor market (including satisfying the vocational outcome of supported employment) or satisfying any other vocational outcome the Secretary may determine, consistent with the Act. An individual determined to have achieved an employment outcome must have been as a minimum: (1) determined to be eligible; (2) provided an assessment for determining eligibility and VR needs, and counseling and guidance as essential VR services; (3) provided appropriate and substantial VR services in accordance with the IWRP; and (4) determined to have achieved and maintained a suitable employment goal for at least 60 days. For individuals with the most severe disabilities who achieved a supported employment outcome, the employment goal must be maintained for at least 60 days following transition to extended services. The State VR agency is also responsible for providing post-employment services, if necessary, to individuals determined to have achieved an employment outcome to assist them to maintain or regain other suitable employment. REVIEW GUIDE Reviews of Relevant Policies, Procedures and Guidance During FY 1996, RSA has joined with its State partners in focusing formula grant program monitoring and technical assistance activities on the primary purpose of the State-Federal VR program, to assist eligible individuals with disabilities to obtain meaningful and gainful employment. Title I monitoring of the VR program will continue to emphasize the review of agency policies, procedures and practices with regard to their potential impact on the achievement of employment outcomes. The review team will discuss with State VR agency management the interplay between outcomes and policies, and provide appropriate technical assistance for streamlining the service delivery system. In implementing this performance driven monitoring and technical assistance approach, it is RSA's intent to assist State VR agency staff in identifying and promoting programs, policies and practices that exemplify the highest standards of achievement. A. Review State VR agency policies and procedures to determine the extent to which the following areas are addressed: 1. Individuals with disabilities achieve competitive employment commensurate with their abilities, interests and capabilities; 2. Individuals with disabilities achieve employment in an integrated setting or it is clear that a non-integrated setting is chosen by the individual; 3. Efforts are made to develop employment opportunities with the potential for career advancement; 4. Assistive technology and other work related placement services are available to assist individuals obtain, maintain or advance in employment; 5. Follow-up services before closure are available such as regular contact with employers, the individuals, the parents, family members, guardians, advocates or authorized representatives of the individuals, and informed advisors in order to reinforce and stabilize the job placement; 6. Policies and procedures include activities that assess the extent of consumer satisfaction with employment and employer satisfaction with the employee at closure; 7. Post employment services are considered to assist individuals to maintain, regain or advance in employment; and 8. Annual reviews of individuals in extended employment settings, as well as individuals compensated in accordance with the Fair Labor Standards Act in other employment settings, are conducted to determine interests and priorities of needs for individuals for employment in an integrated setting. B. Discuss the results of this review with State VR agency staff to determine possible relationships between policies, procedures and outcome data. Identify activities which may have contributed to positive outcomes and potential barriers to effective service delivery to be included in the monitoring report. Review of Data Regarding the Achievement of Employment Outcomes The RSA Central Office staff will develop national summary data and individual State VR agency data for each calculation found below, arranged by Region and in other formats appropriate to the data elements. All members of the Federal review team will participate in training teleconferences during which the national and State VR agency data will be reviewed and each data element discussed. The assigned RSA Regional Office State Representatives will analyze and describe trends in the data related to differences in State VR agency data during the past several Federal fiscal years. When appropriate, and in consultation with State VR agency staff, individual State VR agency data may be compared with the national data tabulations. In analyzing the data, the reviewer may wish to consider external factors such as: local employment rates or other economic factors; availability of comparable benefits and service providers; and lack of community service providers. In addition, the reviewers may wish to consider internal factors, such as: the possible effects of policy and procedures; and staffing and other resource allocation issues including funds for services available. Five key phrases from the Act were the basis for developing the data elements in this section. These key phrases are "employment outcomes", "competitive employment", "integrated", "full-time or part-time", and "gainful". The overall purpose of the analysis of these data items is to explore the results of program efforts related to these key concepts, and to assist State VR agencies in improving performance. A. The following data analysis plan is based on information compiled from the RSA-911 and other sources. Data Elements 1. Percentage of closures with an employment outcome. This data element looks at the number of status 26 closures as a percentage of all State VR agency closures. The formula used in compiling this element is: 26 / (08 + 26 + 28 + 30) 2. Percentage of individuals who achieve an employment outcome as a percentage of all individuals who exit the VR program after receiving services under an IWRP. This data element focuses on the effect of the provision of VR services on the achievement of employment outcomes. This data element is compiled using the formula: 26 / (26 + 28) 3. Individuals determined to have achieved a specific type of employment outcome as a percentage of all individuals who exit the VR program after achieving an employment outcome. This data element shows how employment outcomes are distributed among the six employment outcome categories: competitive labor market; sheltered workshop; self-employed; Business Enterprise Program (BEP); homemaker; and unpaid family worker. This gives the reviewers an overview of what kind of employment outcomes are achieved by individuals successfully exiting the State VR program. The data will consist of a table showing the number of persons achieving each employment outcome and the percentage each individual employment outcome represents of the total number of successful employment outcomes. 4. Individuals with severe disabilities who have achieved a specific type of employment outcome as a percentage of all individuals with severe disabilities who have achieved an employment outcome. This data element looks at the distribution of employment outcomes among the six outcome categories for persons with severe disabilities. It will result in the same table as described in 3 above, but will only include individuals with severe disabilities. 5. Percentage of employment outcomes in competitive, self- or BEP employment. This data element is a way to approximate the number of employment outcomes that result in integrated, competitive, gainful employment. This data element is calculated as follows: (Competitive + self + BEP) / Total 26 6. Percentage of employment outcomes in competitive, self or BEP employment for individuals with severe disabilities. This data element is identical to 5 above except that only individuals with severe disabilities will be included in the calculation. 7. Weekly earnings at closure for individuals who have achieved a competitive, self, or BEP employment outcome. This data element is one of several designed to look at the "gainful" aspect of employment outcomes. This data element will consist of two items: a table showing average weekly wage at closure for the three employment outcomes taken separately and taken together, and a table that shows the distribution of weekly wages at closure by dollar amounts. 8. The ratio of the weekly earnings at closure for individuals who have achieved a competitive, self or BEP employment outcome to the State average weekly wage. This data element looks at the "gainful" aspect of employment outcomes in relation to wage practices in the individual State. The table will include each of the three employment outcomes taken separately, and all three outcomes taken together. 9. Percentage of individuals for whom wages at closure in competitive, self or BEP employment meet various definitions of self-support. This is another way to look at the "gainful" aspect of employment outcomes. Benchmarks for comparison will include Substantial Gainful Activity (SGA) as defined by the Social Security Administration generally and for persons who are blind, the poverty level for a single person under age 65, and the minimum wage for a work week of at least 35 hours. 10. Hours worked per week for individuals who successfully achieve an employment outcome in competitive, self or BEP employment. This data element looks at the "full-time or part-time" aspect of employment outcomes. This data element will show the number and percentage of individuals in each of the three employment outcome categories distributed among hour ranges. For purposes of this table, the ranges will be 0-10 hours per week, 11-20 hours per week , 21-34 hours per week and 35 or more hours per week. Defining full-time work as thirty-five hours per week is arbitrary, but allows for the significant number of workplaces that operate on thirty-five or thirty-seven and one-half hours per week schedules. 11. Service costs per employment outcome. This data element will result in two products. One table will show the average cost of the six employment outcomes taken separately and taken together for persons with severe disabilities and for persons with non-severe disabilities. A second table will display the cost per employment outcome distributed by dollar ranges. B. RSA will analyze and describe trends in the data. In conducting this analysis, the reviewers may wish to examine the potential causes of trends or data different from the national average. External factors such as statewide local employment rates, and internal factors such as staffing of agency and other resource allocation issues including service funds available, should also be considered. C. RSA will discuss the trends with State VR agency staff to further determine the potential causes of significant changes in the trend lines. Identify activities which may have contributed to positive outcomes and potential barriers to effective service delivery to be included in the monitoring report. RELEVANT RSA POLICY ISSUANCES A. PD-91-01, April 18, 1991, "Criteria for Closing Cases" B. PPD-84-1, January 13, 1984, "Closures in Sheltered Employment" C. PQ-1505-100A, May 7, 1982, "Suitable Employment" D. PQ-2030-16, December 23, 1976, "Periodic Review of Extended Employment in Rehabilitation Facilities " E. PQ-1541-25, December 14, 1976, "Mormon Missionary Assignments as Employment" 2. INFORMED CHOICE COMPLIANCE CITATIONSSections 2(a)(3)(C), 2(a)(6)(A), 2(c), 12(e), 100(a)(3)(C), 101(a)(29), 102, 123(5) & 302, the Act REQUIREMENTS General The Act establishes the fact that disability is a natural part of human experience and in no way diminishes the right of individuals to make choices, and that individuals with disabilities need to be provided with the tools necessary to make informed choices and decisions. A. All programs, projects, and activities funded by the Act shall be carried out in a manner consistent with the principles of respect for individual dignity and the pursuit of meaningful careers, based on informed choice of individuals with disabilities; and B. Individuals with disabilities must be active participants in their own rehabilitation programs, including making meaningful and informed choices about the selection of their vocational goals and objectives and the VR services they receive. State Plans The State plan describes how individuals with disabilities will be given choice and increased control in determining their VR goals and objectives. Eligibility/Ineligibility Eligibility will be determined within a reasonable period of time, not to exceed 60 days after the submission of an application, unless the State VR agency notifies the individual that exceptional and unforeseen circumstances beyond the control of the agency preclude the agency from completing the determination within the prescribed time, and the individual agrees to an extension of the time limit. If a determination of ineligibility is made prior to the initiation of an IWRP, the State VR agency will insure that the preliminary assessment includes a specification of the rights and remedies available. When the State VR agency determines that the individual is not capable of achieving a goal, or is not eligible for VR services, this decision will only be made in full consultation with such individual. The Director of the State VR agency will establish procedures for the review of ineligibility determinations made by the rehabilitation counselor or coordinator upon the request of an individual with a disability. Such review procedures shall provide an opportunity to such individuals for the submission of additional evidence and information to an impartial hearing officer who shall make a decision based on the provisions of the State plan approved under section 101(a) of the Act. The impartial hearing officer shall be selected to hear a particular case on a random basis; or by agreement between the Director of the State VR agency and the individual with a disability; or in an appropriate case, the Director and a parent, a family member, a guardian, an advocate, or an authorized representative of such individual. Individualized Written Rehabilitation Program The IWRP is jointly developed, agreed upon, and signed by the eligible individual (or, in an appropriate case, a parent, a family member, a guardian, an advocate, or an authorized representative, of such individual). The IWRP is to include a statement of the intermediate rehabilitation objectives related to the attainment of such goals, determined through such assessment carried out in the most individualized and integrated setting (consistent with the informed choice of the individual). The IWRP is to include a statement by the individual, in the words of the individual (or family member, 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, service providers, and methods used to provide or procure such services. The IWRP is to be reviewed annually, at which time such individual (or, in an appropriate case, the parent or guardian of the individual) will be given an opportunity to review the program and jointly redevelop and agree to its terms. Each IWRP shall be revised as needed. Any revisions or amendments to the program resulting from such review shall be incorporated into or affixed to such program. Such revisions or amendments shall not take effect until agreed to and signed by the individual with a disability, or, if appropriate, by a parent, a family member, a guardian, an advocate, or an authorized representative, of such individual. Unless the individual with a disability requests, or, in an appropriate case, a parent, a family member, a guardian, an advocate, or an authorized representative, of such individual requests, pending a final determination of such hearing or other final resolution under this subsection, the State VR agency will not suspend, reduce, or terminate services being provided under the IWRP, unless such services have been obtained through misrepresentation, fraud, collusion, or criminal conduct on the part of the individual with a disability. Innovation and Expansion Grants Section 123 of the Act addresses Innovation and Expansion Grants and the development of Strategic plans by the State VR agency. A State may use funds made available under this section of the Act, directly or by grant, contract, or other arrangement to carry out programs and activities that expand and improve the extent and type of involvement of persons served by the State VR agency in the review and selection of her/his training and employment goals. In-Service Training Grants Section 302 of the Act authorizes RSA to, among other things, make in-service training grants to increase the number of qualified personnel to provide services under the Act. The in-service training may be used to increase and upgrade the skills and abilities of State VR agency staff. A reasonable activity could be to train staff in the skills necessary to help individuals with disabilities to become active decision makers in the rehabilitation process. REVIEW GUIDE Reviews of Relevant Policies, Procedures and Guidance A. Review the following State plan attachments: 1. 8.3A (Description of How Choice Will be Given to Individuals With Disabilities) to determine whether it has been adequately developed consistent with instructions for the interim State plan; and 2. 2.5(f)A (Recommendations of the State Rehabilitation Advisory Council) for any recommendations related to implementation of informed choice and the provision of services as required by section 12(e) of the Act. B. Review agency policies and procedures specific to the implementation of choice and the provision of services to ensure that such policies and procedures incorporate the requirements of section 12(e) of the Act. C. Review RSA-227, Annual Client Assistance Program (CAP) Report, to identify issues regarding the implementation of choice that have been documented by the CAP. D. Review Form RSA-722, Resolution of Applicant/Client Appeals, to identify any systemic or thematic problems related to the implementation of choice and/or resolution of disputes about ineligibility determinations and the provision of services. E. Review the State VR agency's IWRP form and related instructions to ensure that these materials address: (1) the individual's involvement and participation in the selection of goals, services, service providers, scope of VR services; and (2) the need to include a statement by 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 such services. F. If Innovation and Expansion grant funds are being used by the State VR agency to expand and improve the extent and type of involvement of persons served by the State VR agency in the review and selection of the training and employment goals, review the agency's Strategic plan to determine whether these priorities are addressed in the Strategic plan. G. IF Section 302 In-Service Training grant funds are being used by the State VR agency to provide training to VR agency staff in implementing informed choice, review the effectiveness of this approach with State VR agency human resource development staff. If not, would this be an appropriate use of these funds? H. Does the State VR agency have any policies, practices, guidance documents or other materials that may be useful to other VR agencies in implementing informed choice? RELEVANT RSA POLICY ISSUANCES AND GUIDANCE MATERIALS A. TAC-96-01, February 23, 1996, "Conduct of Review and Analysis of the Effectiveness of and Consumer Satisfaction with Functions Performed and Vocational Rehabilitation Services Provided by Public and Private Entities" B. 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" C. TAC-93-3, June 2, 1993, "State Rehabilitation Advisory Council" D. 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" E. Review "Checklist for Strategic Plan" (See Appendix) 3. MINORITY OUTREACH COMPLIANCE CITATIONS101(a)(11), (15)(D), (20), 105(c)(3), the Act; 34 CFR 361.29(a)(2) & 34 CFR 361.43 REQUIREMENTS State VR agencies participating in programs funded under Title I are required to submit to the Commissioner a State plan for VR services for a 3-year period. Included in this State plan is a description of outreach procedures to identify and serve individuals with disabilities from minority backgrounds. The statute requires the State VR agencies to conduct continuing statewide studies to determine the current needs of individuals with disabilities within the State and the best methods to meet those needs. The statewide studies must include a review of the effectiveness of outreach procedures used to identify and serve individuals with disabilities from minority backgrounds. The State VR agencies are also required, as appropriate, to actively consult with Indian tribes and tribal organizations and native Hawaiian organizations in the development of the State plan. Except as otherwise provided in section 130, the State VR agency is required to provide VR services to American Indians residing in the State to the same extent as the State provides such services to other significant segments of the population residing in the State. Section 21 of the Act "Traditionally Underserved Populations" Although Congress has found that Titles II - VIII suffer from patterns of inequitable treatment with regard to minorities, the State-Federal VR program must be sensitive to the issues and concerns raised, and be vigilant in providing required services to all Americans with disabilities regardless of race, sex and ethnicity. Section 21 discusses the following issues and trends: A. America's Racial Profile - While the rate of increase for white Americans is 3.2 percent, the rate of increase for racial and ethnic minorities is much higher: 38.6 percent for Latinos, 14.6 percent for African-Americans, and 40.1 percent for Asian-Americans and other ethnic groups. By the year 2000, the Nation will have 260,000,000 people, one of every three of whom will be either African-American, Latino, or Asian-American. B. Rate of Disability - Ethnic and racial minorities tend to have disabling conditions at a disproportionately high rate. The rate of work-related disability for American Indians is about one and one-half times that of the general population. African-Americans are also one and one-half times more likely to be disabled than whites and twice as likely to be severely disabled. C. Inequitable Treatment - Patterns of inequitable treatment of minorities have been documented in all major junctures of the VR process. As compared to white Americans, a larger percentage of African-American applicants to the VR system is denied acceptance. Of applicants accepted for service, a larger percentage of African-Americans are closed without having achieved an employment outcome. Minorities are provided less training than their white counterparts. Consistently, less money is spent on minorities than their white counterparts. REVIEW GUIDE General The Act requires State VR agencies to implement strategies to ensure that individuals from minority backgrounds have equal access to VR services. It also requires the State VR agency to study the effectiveness of these strategies. The annual review guide module will gather information regarding the following five questions: A. Has the State VR agency developed a strategy to identify and serve individuals with disabilities who are from minority backgrounds? B. What plans, policies, and procedures related to strategies to reach individuals with disabilities from minority backgrounds have been put in place? C. Is there an evaluation component in place to assess State VR agency effectiveness in reaching out to minorities? Describe. D. Has the State VR agency achieved its goals regarding outreach to minorities? Describe. E. How has the State VR agency used the results of the analysis and evaluation to change or otherwise improve its plans, policies or procedures for reaching individuals from minority backgrounds? Reviews of Relevant Policies, Procedures and Guidance A. Review State VR agency policies and procedures to determine the extent to which the following areas are addressed: 1. Does the State plan attachment 9.4A (Methods to Expand and Improve Services to Individuals With the Most Severe Disabilities and to Individuals Who are Minorities or Who Have Been Unserved or Underserved) describe outreach procedure to identify and serve individuals with disabilities who are from minority backgrounds? 2. Does the State plan attachment describe the State VR agency's objectives, when the objectives will be accomplished and how the objectives will be met? 3. Does the attachment describe the State VR agency's efforts to improve and expand services to minority individuals in the State? 4. Has the State VR agency sufficiently trained staff to work effectively with multi-cultural populations? Has the State VR agency provided training to staff to work effectively with multi-cultural populations? Examine the in-service training program documentation, and request additional information from the State VR agency as necessary. 5. Has the State promoted the recruitment of individuals from minority backgrounds, as appropriate, i.e., as members of the advisory councils and as staff members? If so, describe how? Review the State VR agency's affirmative action plan. Review the composition of the State Rehabilitation Advisory Council and State VR agency staff. If needed, ask for staff composition information. Review job descriptions, job announcements and recruiting policies. 6. Is there an assigned staff member responsible for the input and distribution of information from the minority community to the State VR agency? Interview this staff person and other staff members to evaluate the effectiveness of the outreach system. 7. Has the State VR agency, as appropriate, consulted with Indian tribes and tribal organizations and native Alaskan and Hawaiian organizations to develop the State plan? Review State plan attachments, public hearing comments, needs assessments and any other evidence of programs funded to address the needs of this specific population. Review of Data Regarding Minority Outreach As with the "Achievement of Employment Outcomes" data section, the information needed for each data element in this section will be provided to the RSA Regional Office State Representatives by the RSA Central Office. Training will be provided to RSA staff in interpreting the data and in developing appropriate monitoring and technical assistance plans. The assigned RSA Regional Office State Representatives will analyze and describe trends in the data. It is anticipated that the data analysis will provide information to be used in the review of the minority outreach programs and in determining its effectiveness. A. The following data analysis plan is based on information compiled from the RSA-911 and other sources. Data Elements 1. Rate of service provision for individuals from minority backgrounds and for individuals from non-minority backgrounds. Using FY 1994 RSA-911 data, compare the rate of service provision for individuals with disabilities from minority backgrounds to the rate of service provision for individuals with disabilities from non-minority backgrounds. Since only data from closures are available, the following formula is used to estimate the rate of service provision: (26 + 28) / (08 + 26 + 28 + 30) = Rate of service provision The results will be displayed in a table that will also break out individuals with severe disabilities and individuals with non-severe disabilities. 2. Rehabilitation rates for individuals from minority backgrounds and individuals from non-minority backgrounds. Using FY 1994 data, compare the rehabilitation rate for individuals with disabilities from minority backgrounds with the rehabilitation rate of individuals from non-minority backgrounds using the following formula: 26 / (26 + 28) 3. Compare the costs of services by disabling conditions for persons from minority backgrounds successfully closed from the VR system, with persons from non-minority backgrounds. 4. Compare the costs of services by disabling conditions for persons from minority backgrounds with severe disabilities successfully closed from the VR system, with persons with severe disabilities from non-minority backgrounds. B. RSA will analyze and describe trends in the data. In conducting this analysis, the reviewers may wish to examine the potential causes of trends or data different from the national average. External factors such as the prevalence of individuals from minority backgrounds in the State may also be considered. C. RSA will discuss the trends with State VR agency staff to further determine the potential causes of significant changes in the trend lines. Identify activities which may have contributed to positive results, as well as potential barriers to effective service delivery to be included in the monitoring report. 4. DECISIONS RESULTING FROM HEARINGS CONDUCTED IN ACCORDANCE WITH DUE PROCESS COMPLIANCE CITATIONS Sections 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 persons served by the State VR agency and the State VR agency are as follows: A. An impartial hearing officer to hear a particular case must be selected on a random basis, or by agreement between the State VR agency 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 State VR agency and members of the State Rehabilitation Advisory Council. B. The Director of the State VR agency 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 State VR agency may not suspend, reduce or terminate services being provided under an IWRP (unless the individual 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 individual. RSA must conduct annual reviews of decisions resulting from hearings conducted in accordance with due process. Protection, Use and Release of Personal Information The State VR agency 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, persons served by the State VR agency, representatives of applicants or persons served, 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 VR agency's 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 VR agency 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 VR agency; 4. Identification of those situations where the State VR agency 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 VR agency 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 VR agency 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 persons served by the State VR agency 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 State VR agency must establish procedures ensuring that any applicant or person receiving 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 State VR agency'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 person receiving services; 2. the applicant or person receiving services 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 person receiving services or, if appropriate, the individual's parent, guardian, or other representative, and to the Director of the State VR agency 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 State VR agency decides to review the decision of the impartial hearing officer, the Director shall notify in writing the applicant or person receiving services 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 State VR agency fails to provide the required notice, the impartial hearing officer's decision becomes a final decision; 6. the decision of the Director of the State VR agency to review any impartial hearing officer's decision must be based on standards of review contained in written State VR agency policy; 7. if the Director of the State VR agency decides to review the decision of the impartial hearing officer, the applicant or person receiving services, 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 State VR agency 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 person receiving services, or, if appropriate, the individual's parent, guardian, or other representative; and 9. the Director of the State VR agency may not delegate responsibility to make any final decision to any other officer or employee of the State VR agency. Nondiscrimination A State and subgrantee must comply with the following statutes and regulations that prohibit: A. Discrimination on the basis of handicap: (Sec. 504, the Act, as Amended; 29 U.S.C. 794; 34 CFR Part 104) 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 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) 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 State VR agency 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 just powers to enjoin a State VR agency from changing the status quo. For example, a court could issue a restraining order or injunction for the State VR agency to continue services pending the outcome of judicial deliberations. A. Review the State VR agency'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. B. Review Form RSA-722, Resolution of Applicant/Client Appeals, to identify systemic problems. C. Obtain and review copies of final hearing decisions including reports of findings. Ensure that the decisions are in accordance with the Act, Federal regulations and policy, and/or with approved State VR agency policies and procedures. D. Is the State VR agency adhering to the timelines established for due process hearings? E. If the Director overturned an impartial hearing officer's decisions, ensure that they were made in accordance with the Act, regulations and policies. Protection, Use and Release of Personal Information Do the State VR agency's policies and procedures: A. safeguard the confidentiality of all personal information regarding applicants and persons receiving services, including current and stored personal information, photographs and lists of names? B. ensure that all applicants, persons receiving services, representatives of individuals, 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? C. state that all applicants and persons receiving services, or their representatives, must be informed about the State VR agency's need to collect personal information and the policies governing its use, including: 1. the authority under which information is collected? 2. an explanation of the principal purposes for which the State VR agency intends to use or release the information? 3. an explanation of whether providing particular information by an individual is mandatory or voluntary, and the effects of not providing requested information to the State VR agency? 4. the identification of those situations where the State VR agency requires or does not require informed written consent of the individual before information may be released? 5. the identification of the other agencies to which information is routinely released? D. provide procedures for explaining confidentiality policies to persons who are unable to communicate in English or who rely on special modes of communication? E. spell out requirements relating to accessing records? Review of Rehabilitation Counselor/Coordinator Determinations A. Has the State VR agency 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 State VR agency's procedures meet the minimum requirements indicated in 34 CFR 361.48(c)(2)? C. Does the State VR agency ensure that all applicants and persons receiving services 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 State VR Agency's policies and procedures assure compliance with the nondiscrimination requirements relating to race, color, national origin, sex, age or disability? RELEVANT RSA POLICY ISSUANCES A. RSM Chapter 0550, effective September 9, 1991, "Protection, Use and Release of Personal Information" B. Memorandum to RSA Regional Commissioner, Region VII, March 13, 1990, "Fair Hearings and Confidentiality" C. Memorandum to RSA Regional Commissioner, Region VIII, September 26, 1988, "Montana Appeals Procedures and the Montana Board of Social and Rehabilitation Appeals" D. Memorandum to RSA Regional Commissioner, Region IX, August 24, 1988, "Impartial Hearing Officer" E. Memorandum to RSA Acting Regional Commissioner, Region IV, June 23, 1988, "Hearing Policy - North Carolina General" F. PRM 85-22, September 17, 1985, "Confidentiality of Records and Client Assistance Program" G. 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" H. PQ 245, July 24, 1980, "Release of Client Information to State Child Support Enforcement Offices" 5. 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 VR 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 plan updates will be submitted to RSA along with the State plan, and will be reviewed for content and development using the Review Checklist for Strategic Plan found in the Appendix. RELEVANT RSA POLICY ISSUANCES A. 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" B. 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" C. Review "Checklist for Strategic Plan" (See Appendix) 6. CONSUMER SATISFACTION SURVEYS AND OTHER INFORMATION PROVIDED BY THE STATE REHABILITATION ADVISORY COUNCIL COMPLIANCE CITATIONSections 101(a)(32), (36) & 105, the Act REQUIREMENTS General A State must establish a State Rehabilitation Advisory Council (Council) that meets the requirements of Section 105 of the Act, unless a consumer-controlled independent commission that meets the requirements of Section 101(a)(36)(b) operates or oversees the operation of the VR program. A State with two VR agencies may establish a separate Council for each agency. Council Membership A majority of Council members shall be persons who are individuals with disabilities, not employed by the State VR agency. 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 State VR agency (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 VR 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; and - 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: A. review, analyze and advise the State VR agency 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 VR agencies that affect the ability of persons receiving services to achieve the goals/objectives of Title I; B. advise the State VR 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; C. to the extent feasible, conduct a review and analysis of the effectiveness of, and consumer satisfaction with, the performance of the State VR agencies and other entities responsible for serving individuals with disabilities; and VR services provided or paid for under the Act; D. 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; E. must coordinate with other councils within the State, including the State Independent Living Council, 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; F. advise the State VR agency, and provide for coordination and the establishment of working relationships between the State VR agency and the State Independent Living Council and Centers for Independent Living in the State; and G. 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 State VR agency 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 State VR agency 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 State VR agency 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 The Act requires the Council to function as an independent advisory body to the State VR agency. Examine the establishment of the Council, the organizational structure and membership, its activities and administration to ensure compliance with the law. Review the Council's resource plan to determine if it is adequate to fulfill the requirements of the Act. Does the State VR agency 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 (Summary of Advice and Recommendations of the State Rehabilitation Advisory Council), include: A. a summary of advice provided by the Council, including recommendations from the annual report of the Council; B. the survey of consumer satisfaction conducted by the Council and other reports prepared by the Council; and C. a description of the response of the State VR agency to the advice and recommendations of the Council, including explanations with respect to advice and recommendations that were rejected? RELEVANT RSA POLICY ISSUANCES A. TAC-96-01, February 23, 1996, "Conduct of Review and Analysis of the Effectiveness of and Consumer Satisfaction with Functions Performed and Vocational Rehabilitation Services Provided by Public and Private Entities" B. TAC-93-3, June 2, 1993, "State Rehabilitation Advisory Council" 7. ORDER OF SELECTION COMPLIANCE CITATIONSections 101(a)(5)(A), 7(15)(A), & 105(c)(1)(A), the Act REQUIREMENTS Each State VR agency 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 VR agency must follow an order of selection that serves first those individuals with the most severe disabilities, according to criteria determined by the State VR agency. The State VR agency must develop State plan attachments 9.3(b)A (Description of How the Designated State Unit Will Serve All Eligible Individuals) and 9.3(c)A (Description of the Order of Selection, Its Justification, and the Outcome and Service Goals Within Each Category of the Order) as follows: A. State VR agencies 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. State VR agencies 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 Council should review, analyze, and advise the State VR agency regarding performance of responsibilities related to eligibility, including order of selection. REVIEW GUIDE For the annual reviews, follow guidelines for reviewing the State plan attachments 9.3(b)A and 9.3(c)A. A. State VR agencies 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. State VR agencies have a definition for "individuals with the most severe disabilities" and that this definition: (a) is not the same as the statutory definition of "individual with a severe disability;" (b) 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. State VR agencies 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 in sections 361.36(a)(2) or 361.36(a)(3). C. 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 persons with disabilities served by the State VR agency; 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. D. Information not acceptable for this attachment: 1. the location of agency offices around the State; and 2. agency policies and procedures related to eligibility, development of an IWRP, and provision of services. E. TA 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. Review State plan attachment 2.5(f)(A) for recommendations related to order of selection and the agency's response to such recommendations. RELEVANT RSA POLICY ISSUANCES A. Memorandum to Regional Commissioners, I-X from Associate Commissioner, OPO, September 23, 1993, "Principles Applying to An Order of Selection" B. Memorandum to Regional Commissioners, I-X from Acting Commissioner, RSA, August 10, 1993, "Order of Selection State Plan Attachment Report" C. RSM-2501, June 30, 1992, "Order of Selection for Services: Guidance" D. RSM-2501, March 20, 1992, "Order of Selection for Services: Policy" 8. REPORTS COMPLIANCE CITATIONSSections 12(c), 101(a)(9)(D) & (10), the Act; 34 CFR 361.23 REQUIREMENTS The State plan must assure that the State VR 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 VR 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 VR agency or the State unit, as appropriate, submit required reports in the necessary form and detail? B. Does the State VR agency or the State unit submit these reports in accordance with prescribed due dates and accuracy? RELEVANT RSA POLICY ISSUANCES A. PD-96-03, February 20, 1996, "Revised Reporting for RSA-2, Annual Vocational Rehabilitation Program/Cost Reporting" B. Memorandum to RSA Senior Management Team, November 7, 1995, "Form RSA-227, Annual Client Assistance Program Report" C. PD-95-08, September 29, 1995, "Form RSA-15, Report of Vending Facility Program for Fiscal Year 1995 Data" D. PD-95-05, June 22, 1995, "Annual Report of Post-Employment Services and Annual Reviews (RSA-62 Form)" E. PD-95-04, May 1, 1995, "Announcement of OMB Approval for Collection of Data in the Case Service Report (RSA-911)" F. PD-95-03, February 17, 1995, "Announcement of OMB Approval for Collection of the Quarterly Cumulative Caseload Report (Form RSA-113)" G. PD-94-07, August 11, 1994, "Promulgation of Form RSA-722, Resolution of Applicant/Client Appeals" H. PD-91-13, July 3, 1991, "Promulgation of the Revised Financial Status Report-SF 269 for RSA Formula Grants under the Act" I. PPD-90-07, May 12, 1990, "Promulgation of RSA-15 Report of Vending Facility Program" 9. BUDGET AND FINANCIAL DATA COMPLIANCE CITATIONSSections 7(7)(A), 19, 101(a)(34)(B),108, 110(c)(2), and 111(a)(B)(ii), the Act REQUIREMENTS Match The State VR 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 VR 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 VR 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 VR 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 VR 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 1995 are less than they were in 1993, the State has a maintenance of effort deficit, and the State's allotment in 1996 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: A. Match - Assure that the State VR agency has reported sufficient matching funds for FY 1994 and FY 1995. B. Carryover - Assure that the reported FY 1994 and the reported FY 1995 matching funds were sufficient to allow carryover of Federal funds into FY 1995 and FY 1996 respectively. C. Set Aside - Assure that the State VR agency has reported at least 1.5 percent of its FY 1994 and FY 1995 section 110 allotment for innovation and expansion activities under section 123. D. Program Income - Determine whether the State VR agency has approval to use the addition alternative. Assure that the State VR agency has reported sufficient Social Security reimbursements for FY 1994 and FY 1995 under the section 110 program and other eligible programs. E. Reallotment - Determine whether the State VR agency kept its original allotment, returned part of its allotment, or received an additional allotment during FY 1994 and FY 1995. Evaluate the reported unobligated balance at the end of obligation period (appropriation year or carryover year, whichever is applicable). F. Maintenance of Effort - 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. Compare the most recent or final Financial Status Reports (General and Blind or Combined) for FY 1993 and FY 1995 to assure that the State has met the maintenance of effort requirement for FY 1995. Based on the results of this review, the Regional Commissioner will determine the necessity of more in-depth fiscal monitoring using the State Agency Financial Administrative Review Instrument (SAFARI). A copy of the SAFARI may be found in the Appendix. The Regional Commissioner will advise the Director of the Financial Management Information Service (FMISS) of any compliance issues. RELEVANT RSA POLICY ISSUANCES A. PD-94-05, June 1, 1994, "Obligation Requirements for Formula Grants" B. TAC-95-01, January, 1991, "Supplementary Instructions for Completing the Standard Form 269 Under the Section 110 Program" C. IM-93-09, January, 1993, "New Fiscal Requirements for Formula Grants Under the Rehabilitation Act Amendments of 1992" D. PD-92-04, December 6, 1991, "Use of Program Income: Payments from Social Security Administration, Insurance Carriers, Workers Compensation, Fees for Services and Income from State Operated Facilities" E. IM-91-15, April, 1991, "Definition and Documentation of "Expenditures from Non-Federal Sources Under the State Plan" in the Title I Vocational Rehabilitation (VR) Services Program" F. Standard Form SF-269 and Instructions COMPREHENSIVE ON-SITE REVIEW GUIDE REQUIREMENTS Comprehensive on-site monitoring and technical assistance activities will be conducted with selected State VR agencies with consideration given to: population; size of grant; results of past monitoring; identified technical assistance 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 and technical assistance activities with the State VR agency, directing the activities of an inter-regional monitoring team, and writing the final report. The guidance provided in this section is intended to ensure a high degree of consistency in the implementation of RSA monitoring and the provision of technical assistance. Flexibility in the sequence of monitoring events may be appropriate based upon the needs of the State VR agency and the resources of the Regional Office. For example, the meeting with the State Rehabilitation Advisory Council may occur during phase 3 instead of phase 1. SUGGESTED ACTIVITIES PRIOR TO COMPREHENSIVE ON-SITE REVIEWS A. Complete Annual Review Guide for the State VR agency and identify significant issues. B. Review past monitoring activity reports for the State VR agency for significant issues. C. Review RSA-911, RSA-113, RSA-62, RSA-2, RSA-269, RSA-15, RSA-227, RSA-722 and other appropriate reports. D. Schedule all on-site activities in coordination with the State VR agency. 1. Schedule public hearings. 2. Schedule on-site reviews to coincide with a State Rehabilitation Advisory Council meeting and arrange to attend at least a part of the meeting. 3. Schedule meetings with the counselors, supervisors and other State VR agency personnel. 4. Obtain State VR agency's protocols for conducting State plan public hearings to assist in developing RSA procedures. Phase 1 The RSA monitoring team will conduct an on-site visit to the State and gather information from the State VR agency and the VR program by: 1. conducting public hearings (at least two in a State); 2. meeting with the State Rehabilitation Advisory Council; and 3. meeting with rehabilitation counselors and other State VR agency partners in the field. Based on information received at public hearings, and after consultation with State VR 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. PUBLIC HEARINGS Purpose The purpose for conducting hearings is to collect information from the public on the State VR agency'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 VR agency 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 VR agency, especially on the selection of date, time and location for the hearings. A. To the extent possible, combine with general meetings related to rehabilitation that maybe already scheduled in the State. B. Use the State VR 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. C. In the event of joint hearings with the State VR agency, the announcement and agenda must clearly identify the separate hearings and note the time for each organization to receive comments. D. 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. E. In the event that RSA's public hearings are not held in conjunction with another State meetings, obtain advice from the State VR agency to arrange for accessible rooms, interpreters, translators and recorders. F. 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 VR agency. Also share written comments that may be received before and after hearing. Advertising the Public Hearings A. In the announcements, indicate the purpose of the hearing, and make clear the State-Federal partnership. B. Identify the RSA public hearing focus. FY 1996 focus areas are: achievement of employment outcomes; informed choice; and minority outreach. C. Insure that all announcements are available in accessible formats (braille, tape, disk, etc.). D. The announcement should include a notice that persons needing reasonable accommodations in order to participate in the hearings should contact the Regional Commissioner. E. Individuals needing auxiliary aids or services in order to communicate fully should make this request to the Regional Commissioner. F. 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.). G. Notify by mail those on the State VR agency mailing list as well as all RSA formula and discretionary grant recipients in the State. Advocacy groups and other organizations representing persons with disabilities should also be informed. H. In consultation with the State VR agency, arrange for notices on radio, TV, and newspapers (use media generally found to be effective for the State VR agency). Include flyers in VR field offices. I. Notify Client Assistance Program staff and other advocacy agencies, and request their assistance in publicizing the public hearings. Conducting the Public Hearings A. Describe VR State-Federal program and indicate RSA's desire to get feedback on how VR services are being provided in the State, and to respond to rehabilitation needs as identified by persons receiving services. B. Introduce State VR agency personnel attending the hearings. C. Invite comments on VR as well as on the FY 1996 monitoring focus areas, general rehabilitation concerns, needs, strengths, etc. D. 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. Time limits should be announced in order to hear as many participants as possible. Some follow-up to questions posed during the hearing may be necessary, but detailed responses and rebuttals by RSA or the State VR agency are not appropriate. MEETING THE STATE REHABILITATION ADVISORY COUNCIL REQUIREMENTS General Prior to the meeting with the State Rehabilitation Advisory Council (the Council), the Federal review team will have conducted the annual review of Consumer Satisfaction Surveys and Other Information Provided by the Council on pages 26 - 29. Issues and concerns arising from this review will be followed-up at the meeting with the Council. REVIEW GUIDE A. Is the Council membership in accordance with the statutory requirements? B. Is the Council meeting as required by law? C. Is there evidence that the Council is reviewing, analyzing and advising the State VR agency on its performance in meeting the purpose of title I, particularly relating to eligibility (including order of selection); extent, scope and effectiveness of services provided; and functions performed by the State VR agency that affect the persons receiving services to achieve employment outcomes? D. Based on the results of RSA's review of the consumer satisfaction survey, are there any questions that need to be raised? E. The Federal reviewers will review the annual report to the Governor, or appropriate State entity, and to the Commissioner, and develop pertinent questions regarding the status of VR programs operated within the State. F. At the Council meeting, discuss how the Council coordinates with other councils within the State, including the State Independent Living Council and other advisory panels and commissions, as required by Section 105. G. The Council members should be asked how they provide for coordination and working relationships between the State VR agency, the State Independent Living Council and the Centers for Independent Living in the State. H. Did the Council prepare, with the State VR agency, a plan for the provision of resources, including staff, to carry out the functions of the Council? If disagreements arise, are they resolved by the Governor or appointing agency. I. How are Council members reimbursed for attending Council meetings and performing Council duties? J. Are the staff and personnel assisting the Council in its duties assigned additional duties by the State VR agency or any other State agency or office, that would create a conflict of interest? K. Do Council members cast votes on matters providing direct financial benefit to themselves, or otherwise give the appearance of a conflict of interest under State law. L. The Federal reviewers will discuss appropriate questions from the FY 1996 Focus Areas at the State Rehabilitation Advisory Council meeting to assess the importance placed on these issues by the State VR agency. VISIT TO FACILITIES/COMMUNITY REHABILITATION PROGRAMS Visits to facilities for community rehabilitation programs are for the purpose of assessing the relationship of the State VR agency and the facilities. The intent of the visit is to ensure that the appropriate processes are in place to advance workers into the most integrated employment setting possible, and not to assess the potential of each worker. Discuss the proposed visit with the State VR agency prior to visit; obtain input from the State VR 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. A. Are evaluation and rehabilitation services for persons receiving services provided in the "most integrated setting possible?" B. Are the programs making maximum efforts to move workers into the most integrated competitive employment possible? C. Review a sample of service records for persons receiving services during site visits. D. Assess level of inter-agency cooperation. Is State VR agency input present in the form of attendance at meetings, visits to the facility, vouchers, or service record notes? E. Is there evidence that long-term workers are assessed annually concerning their ability to progress beyond sheltered employment? F. Interview staff and persons receiving services using appropriate questions from the FY 1996 Comprehensive On-Site Review Guide focus area modules. Phase 2 DEVELOPING A STATE VR AGENCY MONITORING AND TECHNICAL ASSISTANCE PLAN Analyze information gathered from annual reviews, State VR agency reports, data and information provided to RSA by the State VR agency, comments from the public meetings, meetings with counselors, persons receiving services and State Rehabilitation Advisory Council. Discuss information with the State VR agency staff and obtain their suggestions and concerns. Develop a monitoring and technical assistance plan together with the State VR agency in order to determine areas of concern, technical assistance needs and potential compliance issues. State issues and concerns clearly and catalog items identified with the State VR agency into the major areas found in the State plan preprint. The monitoring and technical assistance 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 VR agency and include strategies for reviewing significant issues identified during Phase 1. Phase 3 SECOND ON-SITE MONITORING VISIT A second on-site visit will be used to implement the monitoring and technical assistance plan developed in Phase 2 and to verify findings of the annual monitoring reviews. Activities during the second visit may include: A. review of implementation of requirements in the Act related to the achievement of employment outcomes; informed choice; minority outreach; Strategic plans; Order of Selection; and Financial Management. B. review of sample service records. C. monitoring the implementation of certain State plan assurances. D. reviews of the implementation of selected cooperative agreements. E. reviews of the Client Assistance Program and selected RSA funded discretionary grant projects in the State. Initiate this on-site visit with an entrance conference with the State VR agency administration and review the parameters of the monitoring and technical assistance activities. Conclude with an exit conference and discuss preliminary findings. As appropriate and feasible after consulting with the State VR agency, meet with individuals with disabilities who have applied for and/or received services from the State VR agency. The meetings may include individuals whose service records were part of the service record review sample, or who received services from counselors interviewed during Phase 1. ACHIEVEMENT OF EMPLOYMENT OUTCOMES REQUIREMENTS Review the findings of the "Achievement of Employment Outcomes" module contained in the Annual Review Guide on pages 6 - 10 for information regarding the preliminary off-site review of State VR agency policies, procedures, guidance materials and statistical data relevant to this focus area. An analysis of this information provides the basis for the comprehensive on-site monitoring and the provision of appropriate technical assistance. REVIEW GUIDE A. Conduct interviews with a sample of counselors and job placement specialists (if available) to determine any issues which might be impacting their ability to assist individuals with disabilities to achieve an employment outcome. Suggested Questions for Counselors and Job Placement Persons 1. What do you think are the key factors to assist individuals with disabilities achieve employment outcomes? 2. Do you have the authority and resources essential to pursuing these key factors? 3. Are there any barriers in Federal policy and procedures which prevent you from being more successful in assisting individuals with disabilities to achieve employment outcomes? 4. What changes in Federal laws, regulations or policies would assist you in achieving more employment outcomes for individuals with disabilities? 5. Are there any barriers in State VR agency policy and procedures which prevent you from being more successful in achieving employment outcomes with individuals with disabilities? 6. What changes in State VR agency policies and procedures would result in more success in achieving employment outcomes for individuals with disabilities? 7. Are there any barriers in procedures or activities at the local level which prevent you from being more successful in achieving employment outcomes with individuals with disabilities? 8. Are the cooperative agreements with other programs who provide job placement services for individuals with disabilities served by the State VR agency, such as employment security, private industry councils, Projects with Industry, community rehabilitation programs, etc., effective in assisting you and persons receiving services in achieving employment outcomes? 9. What changes in procedures or activities could be implemented at the local office level or at your individual level that might result in the achievement of more employment outcomes for individuals with disabilities? B. Interview employers or members of the agency's Business Advisory Council. Suggested Questions for Employers 1. What do you think are the key factors to assist individuals with disabilities achieve employment outcomes? 2. Does it appear to you that State VR counselors understand these key factors? 3. Are there any significant barriers in the State policy and procedures which prevent the agency from being more successful in achieving employment outcomes with individuals with disabilities? 4. What changes would you recommend for the State VR agency or its counselors that would assist persons receiving services in achieving more or better employment outcomes? Suggested Questions for Members of the State Rehabilitation Advisory Council Who Are Also Business Persons 1. Do you have in-put on policy decisions regarding job placement activities? 2. Have any persons receiving services from the State VR agency been employed within your organization? Have you provided any feedback to the agency on the interactions with the agency during the process of placement? C. Review the cooperative agreements with other programs who provide job placement services for individuals with disabilities served by the State agency, such as employment security, private industry councils, Projects with Industry, community rehabilitation programs, etc. Determine if agreements have been implemented in an effective manner for maximizing employment outcomes. 1. Are such agreements or arrangements consistent with employment requirements in the 1992 Amendments of the Rehabilitation Act? 2. Do they identify roles and responsibilities of mutual parties in job development and job placement? 3. Do they facilitate interagency cooperation to ensure the achievement of employment outcomes? Describe. D. Analyze results of Service Record Review Guide Section I "Outcomes" relating to the achievement of employment outcomes. E. Analyze comments from above four levels of review and the results of the analysis of data from the annual review to determine nature of issues and their relation to State VR agency policy or procedures, or Federal policy and recommend any changes which might improve the achievement of employment outcomes. INFORMED CHOICE REQUIREMENTS Review the findings of the "Informed Choice" module contained in the Annual Review Guide on pages 11 - 14 for information regarding the preliminary off-site review of State VR agency policies, procedures, guidance materials and statistical data relevant to this focus area. An analysis of this information provides the basis for the comprehensive on-site monitoring. REVIEW GUIDE To determine implementation of the requirements related to informed choice: A. Review service records using the Service Record Review Guide to determine whether the State VR agency appropriately implements its policies and procedures related to informed choice and to the resolution of disputes about determinations of ineligibility and provision of services. B. Review training and guidance materials to determine whether agency counselors and supervisory staff have been informed about the implementation of informed choice requirements. C. Review the methods used by the agency to provide or assist persons with disabilities in obtaining information about available services and service providers to ensure that agencies are meeting the requirements of section 12(e). INTERVIEW QUESTIONS Persons Receiving Services A. How were you involved in choosing your vocational goal? B. How did you get information about the different services and service providers that would help you reach your goal? How helpful was this information? C. If you and your counselor disagreed about either goals, services, or providers, how did you resolve those disagreements? D. Are you satisfied with the choices you and your counselor made about goals, services, and service providers? Describe why/why not. Counselors A. How do you assure that persons receiving services are involved in the selection of alternative goals, objectives, services, and service providers? B. What methods are you using to provide information, or assist persons receiving services in obtaining information, about available services and service providers? Describe any special methods you are using for individuals with cognitive or other disabilities who may require additional support and assistance to fully implement informed choice. C. Do agency service policies help you in implementing informed choice? If not, why not? D. Did you receive training related to implementation of informed choice? Was it helpful? Do you want any additional training/technical assistance/ guidance materials related to implementation of informed choice? E. What effect has the implementation of informed choice had on your agency? Your work? What additional steps, if any, do you recommend to further enhance implementation of informed choice? Why? State Rehabilitation Advisory Council A. If appropriate, follow up on any specific questions related to choice that resulted from review of State plan attachment 2.5(f)A (Recommendations of the State Rehabilitation Advisory Council), conducted as part of the annual review process. B. Has information about services and service providers gathered by consumer satisfaction surveys or other means resulted in any changes in agency service policies, in available services, and in service providers? If so, please describe. C. What effect has the implementation of informed choice had on this agency? What additional steps, if any, is the Council recommending to further enhance implementation of informed choice? Why? Client Assistance Program A. If appropriate, follow up with specific questions related to implementation of choice and/or resolution of disputes about ineligibility determinations and the provision of services that resulted from review of Form RSA-722, Resolution of Applicant/Client Appeals, conducted as part of the annual review process. B. Is the Client Assistance Program (CAP) involved in the development, implementation, or revision of agency policies and procedures related to choice? To what extent has input provided by CAP been incorporated into agency policies and procedures? Describe problems encountered during the policy development process, if any. C. Based on CAP activities related to informed choice, does it appear that counselors and other field staff generally understand agency policies related to choice, service provision, and due process? If not, describe problem areas. D. Describe the issues related to implementation of informed choice that most frequently result in persons receiving services contacting the CAP. Has the agency been responsive to CAP concerns regarding these issues? E. What effect has the implementation of informed choice had on the provision of services to persons served by this agency? What is the CAP recommending to further enhance implementation of informed choice? Why? What steps has the CAP taken to present these recommendations to State VR agency staff? MINORITY OUTREACH REQUIREMENTS Review the findings of the "Minority Outreach" module contained in the Annual Review Guide on pages 15 - 18 for information regarding the preliminary off-site review of State VR agency policies, procedures, guidance materials and statistical data relevant to this focus area. An analysis of this information provides the basis for the comprehensive on-site monitoring and the provision of appropriate technical assistance. REVIEW GUIDE A. How does the State VR agency estimate the number of potential persons eligible to receive VR services in the State? Does the information provide specific breakdowns by race and ethnicity? By geographic area, i.e. rural and urban? B. In reviewing the data regarding disability, race and ethnicity, and geographic location, are there any disabilities occurring more frequently in a specific group or area? 1. If so, what plans has the State VR agency made to address this issue? 2. If the State VR agency does not conduct such an assessment, what recommendations may be made to implement such a procedure? C. What methods does the State VR agency use to assure that individuals from minority backgrounds have comparable access to rehabilitation services? Examine the service trends evident in FY's 1993 through FY 1995 cost of services by race and ethnicity. D. Review the State VR agency's system for determining the effectiveness of its outreach efforts. Discuss with State VR agency staff how data is collected, analyzed and evaluated to determine the effectiveness of outreach efforts. E. What cooperative agreements or other examples of coordination are in place between the State VR agency and other State government agencies to meet the needs of persons with disabilities from minority backgrounds? Describe these activities. Are there policies or practices that may be useful in other State VR agencies? Other examples may include: training the staff of other agencies; networking efforts; advocacy efforts; and liaison or other informal interagency efforts. F. Has the State VR agency developed and implemented an outreach system with community based programs that provides services to individuals from minority backgrounds for referrals? For example, the Urban League and the National Association for the Advancement of Colored People (NAACP). Review policies and procedures, meeting schedules and other documentation. G. Review the State VR agency's system for obtaining input from communities composed primarily of minority group members. Review the policies and procedures manual, minutes from State plan hearings comments, public hearings, State Rehabilitation Advisory Council, State Independent Living Council, and any other advisory groups to determine the inclusion of input from members of minority groups. H. Does the State VR agency participate in minority community efforts to educate the community about all programs and services that are available? I. Review samples of State VR agency materials which are available in accessible formats and languages for persons receiving services, such as: brochures; videos; newsletters; etc., to assess sensitivity to culturally diverse values. J. Discuss the preliminary findings resulting from the annual review of the Minority Outreach module in the Annual Review Guide with members of the State Rehabilitation Advisory Council. What trends do they observe regarding service provision? K. Discuss the preliminary findings resulting from the review of the Minority Outreach module in the Annual Review Guide with the Director of the Client Assistance Program. What trends do they observe regarding service provision and the achievement of employment outcomes? Does a proportionate number of requests for assistance from the Client Assistance Program come from individuals with disabilities who are also from minority backgrounds? What trends are apparent? Recruitment and retention of State VR agency staff A. Review the State or State VR agency affirmative action plan. What is the racial composition of the staff in relationship to the population in the State? B. Does the State VR agency make efforts to recruit volunteers and interns from minority backgrounds? C. Has the State VR agency provided additional activities, such as cultural diversity training for staff and/or access to interpreters, that is responsive to the needs of other State government offices and improves the achievement of employment outcomes for the underserved? Describe this structure and give examples, if appropriate. Interview Questions for the State Rehabilitation Advisory Committee Interview questions may be asked of the Chair of the Council, an appropriate sub-committee of the Council, or the entire Council membership during a scheduled meeting. INTERVIEW QUESTIONS A. How has the State Rehabilitation Advisory Council assisted in the development of strategies and programs to identify and serve individuals with disabilities who are minorities? B. Has the Council reviewed, and made recommendations on, the State VR agency's training programs and courses for State VR agency employees which emphasize effective skills in working with culturally diverse populations? C. Has the Chairperson of the Council established a subcommittee, if necessary, to: promote outreach to persons from minority backgrounds; and recruit persons from minority groups as members of the advisory councils, and paid and unpaid staff positions? D. Has the Council reviewed and analyzed the performance of the State VR agency in achieving its responsibility to review the effectiveness of outreach procedures to identify and serve individuals with disabilities who are minorities? E. Has the Council convened forums or hearings in accordance with the Council's annual plan to gain information about the needs of the minority population with specific disabilities prevalent in specific minority groups? F. How does the Council assess the efforts of the State VR agency to improve and expand services to individuals from minority backgrounds in the State? G. What are the impressions of the members of the Council regarding the State VR agency's efforts to modify policies and procedures based on surveys conducted by the Council or an independent commission? SERVICE RECORD REVIEW GUIDE INTRODUCTION Service records document how individuals with disabilities fulfill their aspirations for meaningful and gainful employment through vocational rehabilitation. They also reflect most prominently a State VR agency's implementation of its policies and procedures. A review of service records is an integral part of RSA's monitoring responsibilities, both to ensure that State VR programs are being administered according to their respective State plans, and to identify any technical assistance needs that may exist. Reviews of individual service records, including individualized written rehabilitation programs and ineligibility determinations, are also legislated in Section 107 of the Act as one of RSA's required on-site monitoring activities. The purpose of RSA's review of service records is to identify the need for, and to ensure the provision of, technical assistance so that State VR agencies may maintain legal compliance in their administration of the Act and enhance the potential for employment outcomes. Service record reviews also provide RSA the opportunity to collaborate with State VR agencies in maintaining optimum levels of quality in service record documentation that extend from policy to practice. PROCEDURES Service record reviews will be conducted routinely as part of RSA's comprehensive monitoring of identified State VR agencies each fiscal year. Service record reviews may also be conducted in other State VR agencies, as determined by the Regional Commissioner. The service record review instrument jointly developed by CSAVR and RSA will be used in its entirety for service record reviews conducted by RSA as part of the comprehensive monitoring. There may be instances when a State VR agency and RSA will jointly make a decision to include additional items to the service record review instrument to address specific areas of interest. RSA service record reviews using this instrument are intended to be conducted by review teams comprising staff from RSA and the State VR agency, with all members of the team reviewing service records. It is assumed that all reviewers will have a working knowledge of the State-Federal VR program, the requirements of the Rehabilitation Act, and the State VR agency's policies and procedures. Copies of relevant materials should be available to reviewers during the service record review. Texts of specific references to the Act cited in the service record review instrument are provided as an appendix to the instrument. In order for the service record review to be relevant, the service record sample should reflect the State VR agency's implementation of the 1992-1993 amendments to the Rehabilitation Act of 1973. Therefore, it is suggested that all closed service records reviewed are those of individuals referred to the agency after November 1, 1992. The service record review sample size may be determined for each review as appropriate, with a suggested minimum of 50 service records except in unusually small agencies. The selection should include service records from the following categories: o closed service records of individuals who successfully achieved an employment outcome; o closed service records of individuals who did not successfully achieve an employment outcome, after an eligibility determination and service provision; o closed service records of individuals whose disabilities were determined too severe to benefit from services, including service records closed before and after a determination of eligibility; and o active service records currently receiving services under an IWRP. INSTRUCTIONS FOR SERVICE RECORD REVIEW INSTRUMENT One set of response sheets may be used to document answers to all questions for each service record reviewed. The response sheets allow for distinct responses to each of the multiple facets of the questions. Reviewers are asked to indicate specific reasons for negative responses and are encouraged to comment on particularly good practices. Responses will be tabulated on the completion of the service record review so that preliminary trends may be identified immediately for the State VR agency. This service record review instrument is provided to assist in examining counselor practices, not simply service record documentation, and as such each service record should be reviewed in its entirety, i.e., forms, service record notes and supporting documents, with a focus on quality and outcomes. In reviewing service records for quality of counselor service record documentation practice and the achievement of employment outcomes, certain process requirements that are the bases of the rehabilitation program will need to be examined. For example, to answer positively to any of the questions related to the individual's informed choice and joint development of the IWRP, the service record of an individual whose language is not english, or who needs an alternate form of communication, should include evidence that the native language, or mode of communication, of the individual was used in developing the IWRP. The instrument is divided into four sections, each of which are applicable to certain service records. Section I Outcomes applies only to service records for persons who achieved an employment outcome. Section IIIWRP applies to all service records with an IWRP developed. Section IIIEligibility applies to all service records that were determined eligible. Section IVOther Closures applies to all service records that were closed for any reason other than achieving an employment outcome. SERVICE RECORD REVIEW GUIDE I. OUTCOMES Closure - - Employed Does the service record show... 1. That the services planned on the IWRP were substantially provided and contributed significantly to achieving the employment goal of the individual? Section 2 (a) (4) and (6); Section 2 (b) (1); and Section 102 (b) (1) 2. That the work achieved is competitive in an integrated setting and/or is the choice of the person with disabilities? Section 101 (a) (16) (A) (i) and Section 102 (b) (1) (B) (x) 3. That the need for post-employment services was reassessed prior to closure; and, if post-employment services appeared to be necessary, was a plan for such services developed? Section 102 (b) (1) (B) (vi) (I) and Section 102 (b) (2) 4. That the individual was involved in the decision to close the service record and the individual's views were stated? Section 102 (b) (2) II. IWRP Does the service record show... 1. That the IWRP was jointly developed and agreed upon by the individual and the VR Counselor? Section 102 (b) (1) (A) (i); Section 2 (a) (3) (B) and (C); Section 2 (a) (6) (A); Section 2 (c) (1); Section 100 (a) (3) (C); Section 101 (a) (29); Section 102 (b) (1) (B) (xiv); and Section 102 (b) (2) 2. That it is clear that the individual had informed choice in selecting goals, objectives, services, and service providers? Section 2 (a) (3) (B) - (F); Section 2 (b) (1) and (2), and (c) (1); Section 100 (a) (3) (C); Section 102 (a) (29); Section 102 (b) (1) (A) (i); and Section 102 (b) (1) (B) (x) 3. That the Vocational goal and IWRP objectives and services were based on the individual's interests and consistent with his/her capabilities and are outcome oriented; and, that services provided were necessary to achieve the employment goal and were listed on the IWRP or amendments? Section 2 (a) (3) (B) - (F); Section 2 (b) (1) and (2), and (c) (1); Section 100 (a) (3) (C); Section 101 (a) (29); and Section 102 (b) (1) (A) (i); and Section 102 (b) (1) (B) (ii - iv, vii and xv) 4. That comparable services and benefits were considered and utilized as appropriate? Section 101 (a) (8) III. ELIGIBILITY Does the service record show... 1. That the eligibility determination was made within 60 days of the date of application? Section 102 (a) (5) (A) 1.a. If the answer is no...Did the individual agree to an extended time frame for eligibility determination? Section 102 (a) (5) (A) (i) 2. Evidence of a physical or mental impairment which for the individual constitutes or results in a substantial impediment to employment? Section 7 (8) (A) (i); Section 7 (26) (A) 3. Evidence that the individual requires vocational rehabilitation services to prepare for, enter, engage in, or retain gainful employment? Section 102 (a) (1) (B) Respond to item 4 only if the State VR agency is operating under an order of selection. 4. That the person receiving services was provided services in accordance with the State VR agency's order of selection priority category assigned? Section 7 (22) IV. OTHER CLOSURES Does the service record show: 1. That the ineligibility decision was made within 60 days or the individual agreed to an extension? Section 102 (a) (5) (A) (i) 2. That when the issue concerns the severity of the disability, an extended evaluation is provided and there is clear and convincing evidence that the individual is incapable of benefiting from VR services in terms of achieving an employment outcome? Section 102 (a) (4) (A) 3. A rationale for closure of individuals who did not achieve an employment outcome? Section 102 (a) (6) and 102 (b) (1) (B) (xi) (I) 4. That the person with disabilities was given written notification of the appeal process, rights and remedies available and CAP services? Section 102 (a) (1) (6) (B) and (C) 5. That the person with disabilities was notified in writing of closure? Section 102 (b) (2) (c) SERVICE RECORD REVIEW GUIDE TEXT OF STATUTORY CITATIONS Section I Closure - Employed Item 1 1) Section 2 (a) (4) increased employment of individuals with disabilities can be achieved through the provision of individualized training, independent living services, educational and support services, and meaningful opportunities for employment in integrated work settings through the provision of reasonable accommodations. 2) Section 2 (a) (6) the goals of the Nation properly include the goal of providing individuals with disabilities with the tools necessary to-(A) make informed choices and decisions. 3) Section 2 (b) (1) to empower individuals with disabilities to maximize employment, economic self-sufficiency, independence, and inclusion and integration into society, through-(A) comprehensive and coordinated state-of-the-art programs of vocational rehabilitation. 4) Section 102 (b) (1) (A) As soon as a determination has been made that an individual is eligible for vocational rehabilitation services, the designated State unit shall complete an assessment for determining eligibility and vocational rehabilitation needs described in subparagraphs (B) and (C) of section 7(22)(if such assessment is necessary) and ensure that-(i) an individualized written rehabilitation program is jointly developed, agreed upon, and signed by-(I) such eligible individual (or, in an appropriate case, a parent, a family member, a guardian, an advocate, or an authorized representative, of such individual); and (II) the vocational rehabilitation counselor or coordinator; and (ii) such program meets the requirements set forth in subparagraph (B). Each individualized written rehabilitation program shall(i) be designed to achieve the employment objective of the individual, consistent with the unique strengths, resources, priorities, concerns, abilities, and capabilities, of the individual; (ii) include a statement of the long-term rehabilitation goals based on the assessment for determining eligibility and vocational rehabilitation needs described in section 7(22)(B), including an assessment of career interests, for the individual, which goals shall, to the maximum extent appropriate; include placement in integrated settings. (iii) include a statement of the intermediate rehabilitation objectives related to the attainment of such goals, determined through such assessment carried out in the most individualized and integrated setting (consistent with the informed choice of the individual); (iv)(I) include a statement of the specific vocational rehabilitation services to be provided, and the projected dates for the initiation and the anticipated duration of each such service; (II) if appropriate, include a statement of the specific rehabilitation technology services to be provided to assist in the implementation of intermediate rehabilitation objectives and long-term rehabilitation goals for the individual; and (III) if appropriate, include a statement of the specific on-the-job and related personal assistance services to be provided to the individual, and if appropriate and desired by the individual, the training in managing, supervising, and directing personal assistance services to be provided to the individual; (v) include an assessment of the expected need for post employment services and, if appropriate, extended services (vi) provide for-(I) a reassessment of the need for postemployment services and, if appropriate, extended services prior to the point of successful rehabilitation, in accordance with this subsection; and (II) if appropriate, the development of a statement detailing how such services shall be provided or arranged through cooperative agreements with other service providers; (vii) include objective criteria and an evaluation procedure and schedule for determining whether such goals and objectives are being achieved; (viii) include the terms and conditions under which goods and services described above will be provided to the individual in the most integrated settings; (ix) identify the entity or entities that will provide the vocational rehabilitation services and the process used to provide or procure such services; (x) include a statement by the individual, in the words of the individual (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 such services; (xi) include, if necessary, an amendment specifying - (I) the reasons that an individual for whom a program has been prepared is no longer eligible for vocational rehabilitation services; and (II) the rights and remedies available to such an individual including, if appropriate, recourse to the processes set forth in subsection (b)(2) and (d); (xii) set forth the rights and remedies available to such an individual including, if appropriate, recourse to the processes set forth in subsections (b)(2) and (d); (xiii) provide a description of the availability of a client assistance program established pursuant to section 112; (xiv) to the maximum extent possible, be provided in the native language, or mode of communication, of the individual, or, in an appropriate case, of a parent, a family member, a guardian, an advocate, or an authorized representative, of such individual; and (xv) include 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 the vocational objectives of the individual. (C) The designated State unit shall furnish a copy of the individualized written rehabilitation program and amendments to the program to the individual with a disability or, in an appropriate case, a parent, a family, member, a guardian, an advocate, or an authorized representative, of the individual. Item 2 1) Section 101 (a) (16) (A) (i) at least annual review and reevaluation of the status of each individual with a disability who achieved employment in an extended employment setting in a community rehabilitation program (including a workshop) or other employment under section 14(c) of the Fair Labor Standards Act (29 U.S.C. 214(c)), to determine the interests, priorities, and needs of the individual for employment, or training for competitive employment, in an integrated setting in the labor market. 2) Section 102 (b) (1) (B) (x) include a statement by the individual, in the words of the individual (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 such services. Item 3 1) Section 102 (b) (1) (B) (vi) (I) a reassessment of the need for postemployment services and, if appropriate, extended services prior to the point of successful rehabilitation, in accordance with this subsection. 2) Section 102 (b) (2) Each individualized written rehabilitation program shall be reviewed annually at which time such individual (or in appropriate cases, the parents or guardians of the individual) will be afforded an opportunity to review such program and jointly redevelop and agree to its terms. Any revisions or amendments to the program resulting from such review shall be incorporated into or affixed to such program. Such revisions or amendments shall not take effect until agreed to and signed by the individual with a disability, or, if appropriate, by a parent, a family member, a guardian, an advocate, or an authorized representative, of such individual. Each individualized written rehabilitation program shall be revised as needed. Item 4 1) Section 102 (b) (2) SEE I.3.2) ABOVE II. IWRP Item 1 1) Section 102 (b) (1) (A) (i) an individualized written rehabilitation program is jointly developed, agreed upon, and signed by-(I) such eligible individual (or, in an appropriate case, a parent, a family member, a guardian, an advocate, or an authorized representative, of such individual); and (II) the vocational rehabilitation counselor or coordinator. 2) Section 2 (a) (3) (B) enjoy self-determination; and (C) make choices. 3) Section 2 (a) (6) (A) SEE I.1.2) ABOVE 4) Section 2 (c) (1) respect for individual dignity, personal responsibility, self-determination, and pursuit of meaningful careers, based on informed choice, of individuals with disabilities. 5) Section 100 (a) (3) (C) Individuals with disabilities must be active participants in their own rehabilitation programs, including making meaningful and informed choices about the selection of their vocational goals and objectives and the vocational rehabilitation services they receive. 6) Section 101 (a) (29) described the manner in which individuals with disabilities will be given choice and increased control in determining their vocational rehabilitation goals and objectives. 7) Section 102 (b) (1) (B) (xiv) to the maximum extent possible, be provided in the native language, or mode of communication, of the individual, or, in an appropriate case, of a parent, a family member, a guardian, an advocate, or an authorized representative, of such individual. 8) Section 102 (b) (2) SEE I.3.2) ABOVE Item 2 1) Section 2 (a) (3) (B) - (F) enjoy self-determination; (C) make choices; (D) contribute to society; (E) pursue meaningful careers; and (F) enjoy full inclusion and integration in the economic, political, social, cultural, and educational mainstream of American society. 2) Section 2 (b) (1) SEE I.1.3) ABOVE 3) Section 2 (b) (2) to ensure that the Federal Government plays 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 and independent living. 4) Section 2 (c) (1) It is the policy of the United States that all programs, projects, and activities receiving assistance under this Act shall be carried out in a manner consistent with the principles of (1) respect for individual dignity, personal responsibility, self-determination, and pursuit of meaningful careers, based on informed choice, of individuals with disabilities. 5) Section 100 (a) (3) (C) Individuals with disabilities must be active participants in their own rehabilitation programs, including making meaningful and informed choices about the selection of their vocational goals and objectives and the vocational rehabilitation services they receive. 6) Section 102 (a) (29) described the manner in which individuals with disabilities will be given choice and increased control in determining their vocational rehabilitation goals and objectives. 7) Section 102 (b) (1) (A) (i) SEE II.1.1) ABOVE 8) Section 102 (b) (1) (B) (x) 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? Item 3 1) Section 2 (a) (3) (B) - (F) (B) enjoy self-determination; (C) make choices; (D) contribute to society; (E) pursue meaningful careers; and (F) enjoy full inclusion and integration in the economic, political, social, cultural, and educational mainstream of American society. 2) Section 2 (b) (1) and (2) The purposes of this Act are- (1) to empower individuals with disabilities to maximize employment, economic self-sufficiency, independence, and inclusion and integration into society, through - (A) comprehensive and coordinated state-of-the-art programs of vocational rehabilitation; (B) independent living centers and services; (C) research; (D) training; (E) demonstration projects; and (F) the guarantee of equal opportunity; and (2) to ensure that the Federal Government plays 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 and independent living. 3) Section 2 (c) (1) SEE II.2.4) ABOVE 4) Section 100 (a) (3) (C) SEE II.2.5) ABOVE 5) Section 101 (a) (29) SEE II.1.6) ABOVE 6) Section 102 (b) (1) (A) (i) SEE II.1.1) ABOVE 7) Section 102 (b) (1) (B) (ii-iv, vii and xv) (ii) include a statement of the long-term rehabilitation goals based on the assessment for determining eligibility and vocational rehabilitation needs described in section 7(22)(B), including an assessment of career interests, for the individual, which goals shall, to the maximum extent appropriate; include placement in integrated settings; (iii) include a statement of the intermediate rehabilitation objectives related to the attainment of such goals, determined through such assessment carried out in the most individualized and integrated setting (consistent with the informed choice of the individual); (iv)(I) include a statement of the specific vocational rehabilitation services to be provided, and the projected dates for the initiation and the anticipated duration of each such service; (II) if appropriate, include a statement of the specific rehabilitation technology services to be provided to assist in the implementation of intermediate rehabilitation objectives and long-term rehabilitation goals for the individual; and (III) if appropriate, include a statement of the specific on-the-job and related personal assistance services to be provided to the individual, and if appropriate and desired by the individual, the training in managing, supervising, and directing personal assistance services to be provided to the individual.(vii) include objective criteria and an evaluation procedure and schedule for determining whether such goals and objectives are being achieved. (xv) include 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 the vocational objectives of the individual. Item 4 1) Section 101 (a) (8) provide, at a minimum, for the provision of the vocational rehabilitation services specified in paragraphs (1) through (3) and paragraph 12 of section 103(a), and for the provision of such other services as are specified under such section after a determination that comparable services and benefits are not available under any other program, except that except that such a determination shall not be required (A) if the determination would delay the provision of such services to any individual at extreme medical risk; or (B) prior to the provision of such services if an immediate job placement would be lost due to a delay in the provision of such comparable benefits. III. Eligibility Item 1 1) Section 102 (a) (5) (A) The designated State unit shall determine whether an individual is eligible for vocational rehabilitation services under this title within a reasonable period of time, not to exceed 60 days after the individuals has submitted an application to receive the services unless- 2) Section 102 (a) (5) (A) (i) the designated State unit notifies the individual that exceptional and unforeseen circumstances beyond the control of the agency preclude the agency from completing the determination within the prescribed time and the individual agrees that an extension of time is warranted. Item 2 1) Section 7 (8) (A) (i) has a physical or mental impairment which for such individual constitutes or results in a substantial impediment to employment. 2) Section 7 (26) (A) The term "disability" means- (A) except as otherwise provided in subparagraph (B), a physical or mental impairment that constitutes or results in a substantial impediment to employment. Item 3 1) Section 102 (a) (1) (B) requires vocational rehabilitation services to prepare for, enter, engage in, or retain gainful employment. Item 4 1) Section 7 (22) The term "assessment for determining eligibility and vocational rehabilitation needs" means, as appropriate in each case (A)(i) a review of existing data (I) to determine whether an individual is eligible for vocational rehabilitation services; and (II) to assign the priority described in section 101(a)(5)(A) in the States that use an order of selection pursuant to section 101(a)(5)(A); and (ii) to the extent additional data is necessary to make such determination and assignment, a preliminary assessment of such data (including the provision of goods and services during such assessment); (B) to the extent additional data is necessary, a comprehensive assessment (including the administration of the assessment) of the unique strengths, resources, priorities, interests, and needs, including the need for supported employment, of an eligible individual to make a determination of the goals, objectives, nature, and scope of vocational rehabilitation services to be included in the individualized written rehabilitation programs of the individual, which comprehensive assessment- (i) is limited to information that is necessary to identify the rehabilitation needs of the individual and to develop the rehabilitation program of the individual; (ii) uses, as a primary source of such information, to the maximum extent possible and appropriate and in accordance with confidentiality requirements- (I) existing information; and (II) such information as can be provided by the individual and, where appropriate, by the family of the individual; (iii) may include, to the degree needed to make such a determination, an assessment of the personality, interest, interpersonal skills, intelligence and related functional capacities, educational achievements, work experience, vocational attitudes, personal and social adjustments, and employment opportunities of the individual, and the medical, psychiatric, psychological, and other pertinent vocational, educational, cultural, social, recreational, and environmental factors, that affect the employment and rehabilitation needs of the individual; and (iv) may include an appraisal of the patterns of work behavior of the individual and services needed for the individual to acquire occupational skills, and to develop work attitudes, work habits, work tolerance, and social and behavior patterns necessary for successful job performance, including the utilization of work in real job situations to assess and develop the capacities of the individual to perform adequately in a work environment; and (C)(i) referral; (ii) where appropriate, the provision of rehabilitation technology services to an individual with a disability to assess and develop the capacities of the individual to perform in a work environment; and (iii)(I) the provision of vocational rehabilitation services to an individual for a total period not in excess of 18 months for the limited purpose of making determinations regarding whether an individual is eligible for vocational rehabilitation services and regarding the nature and scope of vocational rehabilitation services needed for such individual; and (II) an assessment at least once in every 90 day period during which such services are provided, of the results of the provision of such services to an individual to ascertain whether any of the determinations described in subparagraph (I) may be made. IV. Other Closures Item 1 1) Section 102 (a) (5) (A) (i) SEE III.1.2) ABOVE Item 2 1) Section 102 (a) (4) (A) It shall be presumed that an individual can benefit in terms of an employment outcome from vocational rehabilitation services under section 7(8)(A)(ii), unless the designated State unit can demonstrate by clear and convincing evidence that such individuals is incapable of benefiting from vocational rehabilitation services in terms of an employment outcome. (B) In making the demonstration required under subparagraph (A) with respect to cases in which the issue concerns the severity of the disability of an individual, the designated State unit shall first conduct an extended evaluation by providing the services described in subparagraph (C)(iii)(I), and conducting the assessment described in subparagraph (C)(iii)(II), of section 7(22). Item 3 1) Section 102 (a) (6) The designated State unit shall ensure that a determination of ineligibility made with respect to an individual prior to the initiation of an individualized written rehabilitation program, based on the review, and to the extent necessary, the preliminary assessment, shall include specification of - (A) the reasons for such a determination. 2) Section 102 (b) (1) (B) (xi) (I) the reasons that an individual for whom a program has been prepared is no longer eligible for vocational rehabilitation services. Item 4 1) Section 102 (a) (1) (6) (B and C) (B) the rights and remedies available to the individual, including, if appropriate, recourse to the processes set forth in subsections (b)(2) and (d); and (C) the availability of services provided by the client assistance program under section 112 to the individual. Item 5 1) Section 102 (b) (2) (C) The designated State unit shall furnish a copy of the individualized written rehabilitation program and amendments to the program to the individual with a disability or, in an appropriate case, a parent, a family, member, a guardian, an advocate, or an authorized representative, of the individual. SERVICE RECORD REVIEW GUIDE RESPONSE SHEET State Agency:______________ Service Record Number:________Status:__________ Review Date:_______________ Reviewer:____________________________ I. OUTCOMES (Closure - Employed) 1. YES NO - substantially provided YES NO - contributed significantly Comments:________________________________________________________ ____ _________________________________________________________________ _____ 2. YES NO - competitive/integrated YES NO - individual's choice Comments:________________________________________________________ ____ _________________________________________________________________ _____ 3. YES NO - post-employment need reassessed YES NO N/A - post-employment plan developed Comments:________________________________________________________ ____ _________________________________________________________________ _____ 4. YES NO - individual involved YES NO - views stated Comments:________________________________________________________ ____ _________________________________________________________________ _____ II. IWRP 1. YES NO - jointly developed YES NO - agreed upon Comments:________________________________________________________ ____ _________________________________________________________________ _____ 2. YES NO - goals/objectives YES NO - services YES NO - service providers Comments:________________________________________________________ ____ _________________________________________________________________ _____ 3. YES NO - goals/objectives/services based on interests YES NO - goals/objectives/services based on capabilities YES NO - goals/objectives/services outcome oriented YES NO - services necessary for employment goal YES NO - services listed on IWRP/amendments Comments:________________________________________________________ ____ _________________________________________________________________ _____ 4. YES NO - considered YES NO - utilized Comments:________________________________________________________ ____ _________________________________________________________________ _____ III. ELIGIBILITY 1. YES NO - eligibility within 60 days YES NO N/A - agreement on extended time frame Comments:________________________________________________________ ____ _________________________________________________________________ _____ 2. YES NO - impairment YES NO - substantial impediment Comments:________________________________________________________ ____ _________________________________________________________________ _____ 3. YES NO - requires VR services Comments:________________________________________________________ ____ _________________________________________________________________ _____ Service Record Number:________________________ 4. YES NO N/A - service provision in accordance with OOS Comments:________________________________________________________ ____ _________________________________________________________________ _____ IV. OTHER CLOSURES (Did Not Achieve an Employment Outcome) 1. YES NO N/A - ineligibility within 60 days YES NO N/A - agreement on extended time frame Comments:________________________________________________________ ____ _________________________________________________________________ _____ 2. YES NO N/A - extended evaluation provided YES NO N/A - clear and convincing evidence Comments:________________________________________________________ ____ _________________________________________________________________ _____ 3. YES NO N/A - rationale for closure Comments:________________________________________________________ ____ _________________________________________________________________ _____ 4. YES NO N/A - appeals process YES NO N/A - rights and remedies YES NO N/A - CAP Comments:________________________________________________________ ____ _________________________________________________________________ _____ 5. YES NO N/A - individual notified in writing Comments:________________________________________________________ ____ _________________________________________________________________ _____ General Comments:_______________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ _________________________________________________________________ ____ STRATEGIC PLANS REQUIREMENTS The Strategic Plan and Updates will have been reviewed with the Review Checklist for Strategic Plan as part of the annual review. Any issues and/or concerns arising from this review will be discussed on-site with State VR agency management. REVIEW GUIDE To determine implementation of the Strategic Plan requirements: A. 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. B. Review statewide studies, trends regarding services provided to individuals throughout the State, and other available information to identify suggestions for new or modified strategic plan activities. C. Ensure that the State agency has implemented the activities proposed in its plan within the time-frame identified. D. Ensure that the State agency has set aside 1.5% of its allotment for activities described in its strategic plan. E. Ensure that the State VR agency has widely disseminated the plan to individuals with disabilities, disability organizations, rehabilitation professionals, and other interested persons, in accessible formats. ORDER OF SELECTION REQUIREMENTS Each State VR agency 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 VR agency must follow an order of selection that serves first those individuals with the most severe disabilities, according to criteria determined by the State. The Federal reviewers will have reviewed the State VR agency's policies, procedures, guidance and State plan attachments 9.3(b)A (Description of How the Designated State Unit Will Serve All Eligible Individuals) and 9.3(c)A (Description of the Order of Selection, Its Justification, and the Outcome and Service Goals Within Each Category of the Order) during the annual review. Issues regarding Order of Selection may also arise during the Public Hearings, meeting with the Council, interviews with counselors and other State VR agency personnel and by other means prior to the on-site monitoring visit. It is also recommended that statistical reports pertaining to service record data be reviewed prior to the on-site visit. REVIEW GUIDE To determine appropriate implementation of order of selection policies and procedures the following guidelines are suggested. A. For State VR agencies not on an order of selection: 1. determine whether waiting lists exist, and how the State VR agency manages the waiting lists; 2. examine service record statistical reports, etc., to determine whether the State VR agency should be on an order; 3. review complaints and hearings related to delays and interruptions in services; and 4. review selected service records to assess if services are being provided in a timely and appropriate manner. B. For State VR agencies on an order of selection: 1. examine training and materials related to the order of selection that is provided to field staff; 2. examine for appropriateness, information about order of selection provided to the Council and the Council's response; and 3. discuss the implementation of the Order of Selection with responsible State VR agency staff to ensure that it does not discriminate against persons with specific disabling conditions, and that it treats all individuals fairly, regardless of where they reside in the State. BUDGET AND FINANCIAL Federal requirements pertaining to the financial administration of the VR program may be found in the Annual Review Guide section titled "Budget and Financial Data". Based upon the results of this review, the Regional Commissioner may determine the need for a more in-depth review during the on-site comprehensive review. Appropriate sections of the State Agency Financial Administration Review Instrument (SAFARI) will be used during this review. A copy of the SAFARI may be found in the Appendix. Phase 4 MONITORING REPORT GUIDANCE The following is the outline for the final monitoring report to be sent to the State VR agency within 30 days following the conclusion of the comprehensive on-site monitoring review. The Regional Commissioner will determine, based upon the findings of the review, whether a draft report is necessary. In appropriate cases, such as the absence of findings requiring corrective actions, the Regional Commissioner may wish to issue only the final report. This outline may also be used for reports resulting from annual reviews and other on-site reviews conducted at the discretion of the Regional Commissioners. Executive Summary A. Description of the FY 1996 review process and focus areas. B. Brief overview of significant findings regarding State VR agency accomplishments with regard to the FY 1996 focus areas; a description of exemplary policies and practices; and the need for technical assistance and/or corrective action plans. Report I. Introduction II. Description of Review Process - Statutory responsibility to conduct on-site monitoring and provide technical assistance. - Purpose of the review. - What was reviewed (when, where, how). III. Overview of Issues and Concerns - Over-arching themes found in monitoring and general impressions of the review team. IV. Review of Findings and Discussion - Develop sections for each focus area and integrate the annual and comprehensive on-site findings, including the results of interviews, service record reviews, meetings, etc. - Other important review findings. V. Recommendations - Specific recommendations for technical assistance and the need for corrective action plans. APPENDIX Appendix A - FY 1995 Annual Review Modules ELIGIBILITY/INELIGIBILITY Note--A review of service records using the Service Record Review Guide will provide information necessary to determine whether the State VR agency 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), the Act. REQUIREMENTS Applications The State VR agency 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 State VR agency 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 the Social Security Administration 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 State VR agency 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 State VR agency 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 State VR agency 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 State VR agency 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 State VR agency 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 State VR agency 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 VR services. Determining Priority for Services Under an Order of Selection If the State is operating under an order of selection for services the State VR agency 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 State VR agency 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 State VR agency 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 State VR agency determines that an individual is ineligible because he or she is incapable of achieving an employment outcome, the State VR agency 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 State VR agency 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 State VR agency has made repeated attempts to contact the applicant, or if appropriate, the applicant's representative, to encourage the applicant's participation. REVIEW GUIDE A review of service records using the attached Service Record 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, April 18, 1991, "Eligibility" INDIVIDUALIZED WRITTEN REHABILITATION PROGRAM (IWRP) Note--A review of service records using the attached Service Record Review Guide will provide information necessary to determine whether the State VR agency 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 State VR agency 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 State VR agency 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 Informed 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 State VR agency; 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 A review of service records using the Service Record Review Guide will provide information necessary to determine whether the State VR agency appropriately implements its policies and procedures related to the IWRP. RELEVANT RSA POLICY ISSUANCES A. RSM Chapter 1510, "Individualized Written Rehabilitation Program", Effective June 11, 1991. MEETINGS WITH REHABILITATION COUNSELORS AND OTHER STATE VR 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 VR 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 central office. Counselors and other personnel may also be interviewed in groups. Groups may be conducted around specific themes such as RSA's FY 1996 focus areas. The State VR agency may wish to discuss RSA's findings relative to these interviews. In Preparation for the Interviews A. In consultation with the State VR agency, 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. B. 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. C. Obtain information from State VR agency management about general training provided to counselors, including the in-service training grant. D. The following questions are provided as guidance and may be altered to fit the particular situation and needs of the State VR agency and its administration. SUGGESTED QUESTIONS FOR COUNSELORS Rehabilitation Policy Issues A. In your opinion, have the Rehabilitation Act Amendments of 1992 affected services to persons with disabilities in your community? How? B. Do you think that the Rehabilitation Act Amendments of 1992 have created other significant changes? If yes, would you specify? C. How have the new requirements been integrated into State VR agency operations? D. What steps has your agency, and you as a counselor, taken to insure increased informed choice in his or her rehabilitation program? How has it affected your work? The quality of services? Outcomes for persons served? E. How has the requirement for 60 day eligibility affected your work? Services and outcomes for persons served? F. 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? G. Please describe the mission of your agency. H. Is knowledge of the Rehabilitation Act and Federal regulations important to you doing your work as a counselor? How? I. In your opinion, does the mission of your agency reflect the purpose of the Act, and/or of the needs in your community? How? J. 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. K. Are there policies, Federal or State, that help you work more efficiently and effectively? Describe. L. Are there policies, Federal or State, that prevent you from working more efficiently and effectively? If yes, what are they? M. 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). N. 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? O. How can the current system be changed to enable you to place more individuals with disabilities into employment? Qualifications/Training A. What is your position? B. What are your duties? (Specialized caseloads, caseload size, closures expected, other special assignments, etc.) C. How many years have you worked in this job? How many in other areas of rehabilitation? Which ones? D. What was your educational preparation when you began working here? Was this training adequate or inadequate for your job? E. Have you had any training at, or through, the agency to qualify you for advancement at the agency? Discuss. F. Do you feel qualified to do the work you presently do? How do you describe your own particular strengths and limitations. G. Are there any areas of your duties around which you wish you had additional training? Would you specify? H. In your opinion, are these views representative of your peers? Agency Support A. 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? B. 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. C. Are the resources in your community, e.g. training facilities, evaluation programs, vendors etc., adequate to assist you in working with your caseload? Describe specific resources and needs. D. As a counselor, what kinds of interactions have you had with the Client Assistance Program in your State? With local community rehabilitation programs? Describe. Appendix B INTERIM TITLE I STATE PLAN AND TITLE VI, PART C STATE PLAN SUPPLEMENT Review Checklist STATE: _________________________ REGION: ____ TYPE OF AGENCY: General ___ Blind ___ Combined ___ The reviewer should place a check mark after the appropriate response and provide any appropriate comments. 1. DOES THE STATE'S TRANSMITTAL LETTER: A. Describe the materials being transmitted and identify the effective date for the materials? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ B. Indicate the plan was being simultaneously submitted for State clearance under 34 CFR part 79? Yes_____ No_____ N/A_____ Comments: _________________________________________ ____________________________________________________ C. Note any information regarding comments received as a result of the clearance procedures in 34 CFR part 79 or note that the 60 days allotted for review have elapsed? Yes_____ No_____ N/A_____ Comments: _________________________________________ ____________________________________________________ D. Specifically request that the plan materials be approved? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ E. Contain an original signature of either the head of the designated State unit or the designated State agency? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ F. Contain any other information which is critical to approval of the plan or which requires special action in the opinion of the reviewer? Yes_____ No_____ N/A_____ Comments: _________________________________________ ____________________________________________________ G. Transmit an official State plan and two copies? Yes_____ No_____ 2. TITLE I STATE PLAN PREPRINT: A. Has the State used the interim preprint issued by RSA without altering any of the preprinted information? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ B. Is all requested information present at the top of each page of the preprint? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ C. Is the effective date of the plan indicated at the bottom of each page? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ D. Are the page number, the total number of pages comprising each attachment, the identification of the corresponding section or subsection of the preprint, and the effective date indicated at the bottom of every page of each attachment (e.g., Attachment 9.4A, Page 1 of 4 Pages, Effective Date: October 1, 1993)? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ E. Section 1.1: Has the designated State agency or designated State unit been correctly identified? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ F. Section 1.2: Has the designated State agency agreed to administer the vocational rehabilitation program in accordance with its State plan and all applicable Federal requirements? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ G. Section 1.3: Has the designated State unit agreed to administer the supported employment program in accordance with its plan supplement and all applicable Federal requirements? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ H. Section 1.5: If applicable, has the State statutory authority for administration by local agencies been accurately identified? Yes_____ No_____ N/A_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ I. Section 1.8: Has the title of a State Officer, who has the authority under State law to receive, hold, and disburse Federal funds made available under the State plan, been indicated? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ J. Section 1.9: Has the title of a State Officer, who has the authority to submit the State plan, been indicated? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ K. Section 1.10: Does this section contain a signature, the typed name of the signatory, his/her title, and the date signed? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ L. Section 2.1: Has each of the questions been accurately answered? Yes_____ No_____ If appropriate, has Attachment 2.1A (Statement of Concurrence of the State Developmental Disabilities and Advisory Council and the State Agency or Agencies Which Administer the Developmental Disabilities Program) been submitted? Yes_____ No_____ N/A_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ N/A_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: If the Title I State plan is consolidated with that of the State's developmental disabilities program, then the State must provide a statement of concurrence from the cognizant State developmental disabilities program officials. The concurrence statement may be in the format of the State's choice. M. Section 2.2: Has each of the questions been accurately answered? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ N. Section 2.5(a): Has Attachment 2.5(a)A (Summary of the Public Comments and the Designated State Unit's Response to the Comments) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 2.5(a)A must describe two main points: (1) a summary of the comments provided at the public meetings conducted by the designated State unit throughout the State, after appropriate and sufficient notice, to allow interested groups, organizations, and individuals (including the Director of the Client Assistance Program and the State Rehabilitation Advisory Council) an opportunity to comment on the Title I State plan and its Title VI, Part C supplement before development of the plan by the State, any amendments to the plan, and State policies governing the provision of vocational rehabilitation and supported employment services under the State plan; and (2) the designated State unit's response to those comments. O. Section 2.5(f): Has Attachment 2.5(f)A (Summary of Advice and Recommendations of the State Rehabilitation Advisory Council) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 2.5(f)A must provide a summary of advice provided by the State Rehabilitation Advisory 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 must also describe the response of the designated State agency to the advice and recommendations of the Council. In this response, the designated State agency must include explanations with respect to advice and recommendations that were rejected. P. Section 3.1: Has the type of designated State agency been correctly identified and is this answer consistent with the information provided in Section 1 of the plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ Q. Section 3.2(a): Has Attachment 3.2A (Organization and Functions of the Designated State Agency and the Designated State Unit) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 3.2A must describe the organizational structure of the designated State agency including: (1) the organizational units of the designated State agency; (2) the programs and functions assigned to each of these units; and (3) the relationships among these organizational units within the designated State agency. Attachment 3.2A must also provide the needed organizational charts that reflect: (1) the relationship of the designated State agency to the Governor and his/her office and to the other agencies administering major programs of public education, public health, public welfare, or labor of parallel stature within the State government; (2) the internal structure of the designated State agency; (3) the internal structure of the designated State unit, if applicable; (4) all vocational rehabilitation functions for which the designated State agency is responsible; and (5) clear lines of administrative and supervisory authority. R. Section 3.2(c): If appropriate, has the designated State unit been correctly identified and is this answer consistent with information provided in Sections 1 and 3 of the plan? Yes_____ No_____ N/A_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ S. Sections 3.3(a) and (c): Has an option been correctly checked for each of the items? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ T. Section 3.4: Has a waiver of statewideness been requested to provide expanded vocational rehabilitation activities in one or more political subdivisions of the State? Yes_____ No_____ N/A_____ If appropriate, has Attachment 3.4(b)A (Identification of the Types of Activities to be Carried Out Under Waiver of Statewideness) been submitted? Yes_____ No_____ N/A_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ N/A_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Under the title I program, the Rehabilitation Act has a statewideness requirement (sec. 101(a)(4) of the Act; 34 CFR 361.2(a)) which ensures that the Title I State plan is in effect in all political subdivisions of the State. The Act and its implementing regulations allow a State to request a waiver of statewideness in instances where: (1) it desires to carry out activities in one or more political subdivisions through local financing in order to promote the vocational rehabilitation of substantially larger numbers of individuals with disabilities or of individuals with particular types of disabilities; or (2) in order to accomplish the purpose of the Act more effectively, it seeks to provide services to individuals with disabilities through a special joint project or program with another agency or agencies of the State and the project or program involves shared funding and administration. Where the State desires to engage in activities in one or more political subdivisions through local financing under a waiver of statewideness, the State plan must identify the types of activities to be carried out (34 CFR 361.12(a)). Activities carried out under a special joint project or program with shared funding and administration, while eligible for a waiver of the statewideness requirement, are not required to be similarly identified in the State plan. Attachment 3.4(b)A must only identify those activities undertaken pursuant to the first option described above. U. Section 4.5: Has Attachment 4.5A (Description of a Comprehensive System of Personnel Development) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 4.5A must provide a description of a comprehensive system of personnel development that identifies procedures and activities undertaken to ensure an adequate supply of qualified rehabilitation professionals and paraprofessionals for the designated State unit. Specifically, this attachment must describe the following: (1) the development and maintenance of a system for the annual determination of (a) the number and type of personnel that are employed by the State agency in the provision of vocational rehabilitation services, including ratios of counselors to persons receiving services, and (b) the number and type of personnel needed by the State agency and a projection of the numbers of such personnel that will be needed in five years; (2) the manner in which activities will be undertaken to coordinate this system of personnel development with personnel development under the Individuals with Disabilities Education Act, where appropriate; (3) the development and maintenance of a system for determining, on an annual basis, information on the institutions of higher education within the State that are preparing rehabilitation professionals, including the number of students enrolled in programs and the number who graduated with certification or licensure or with credentials to qualify for such certification or licensure during the past year; (4) the development, updating, and implementation of a plan that will (a) address the current and projected State unit personnel training needs and (b) provide for the coordination and facilitation between the State unit and institutions of higher education and professional associations to recruit, prepare, and retain qualified personnel, including personnel from minority backgrounds and personnel who are individuals with disabilities; (5) the procedures and activities the State agency will undertake to ensure that all personnel employed by the State unit are appropriately and adequately trained and prepared, including a system for the continuing education of rehabilitation professionals and para-professionals, particularly in rehabilitation technology; procedures for acquiring and disseminating significant knowledge obtained from research and other sources; and procedures for providing training on the Rehabilitation Act Amendments of 1992; (6) the policies and procedures relating to the establishment and maintenance of standards to ensure that personnel needed within the State agency are appropriately and adequately prepared and trained, including standards that recognize national or State professional licensing or certification requirements in appropriate areas, and the steps being taken to ensure such licensing and certification of personnel working in these areas; and (7) the actions to establish and maintain minimum standards to ensure the availability of personnel within the designated State unit who, to the maximum extent feasible, are trained to communicate in the native language or mode of communication of the persons receiving services. V. Section 4.6: Has Attachment 4.6A (System of Staff Evaluation) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 4.6A must describe how the system for evaluating the performance of staff (including rehabilitation counselors, coordinators, and other personnel) used in the State facilitates the accomplishment of the purpose and policy of title I of the Act. In addition, This attachment must describe how such a system of staff evaluation does not impede such accomplishments, including the policy of serving, among others, individuals with the most severe disabilities. W. Section 6.1(a)(16): Has Attachment 6.1(a)(16)A (Description of How On-the-Job or Other Related Personal Assistance Services Will Be Provided to Individuals with Disabilities Receiving Vocational Rehabilitation Services) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 6.1(a)(16)A must describe the manner in which on-the-job or other related personal assistance services will be provided to assist individuals with disabilities while the individuals are receiving vocational rehabilitation services. Specifically, this attachment describes strategies for developing the statewide capacity to provide on-the-job or other related personal assistance services to an increasing number of individuals with disabilities to improve their employment potential. Such strategies might include developing policies and procedures regarding such services, providing training for vocational rehabilitation counselors and other appropriate personnel, and collaborating with other community organizations to develop resources. X. Section 6.1(a)(19): Has attachment 6.1(a)(19)A (Description of How Rehabilitation Technology Services Will Be Provided to Assist an Increasing Number of Individuals with Disabilities) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 6.1(a)(19)A describes the manner in which the State agency will utilize rehabilitation technology services in providing assistance to an increasing number of individuals with disabilities to improve their employment potential. Within this context, this attachment must describe the activities the State agency will undertake: (1) to incorporate a broad range of rehabilitation technology services into each stage of the rehabilitation process, including a description of the manner in which assistive technology devices and services will be provided or worksite assessments will be made as part of the assessment for determining eligibility and vocational rehabilitation needs of an individual; (2) to ensure that a broad range of such services are provided on a statewide basis; and (3) to provide training to vocational rehabilitation counselors, client assistance personnel, and other related services personnel. To accomplish the objectives described in this narrative, it is anticipated that a substantial commitment on the part of the State agency will be required, (e.g., development of policies and procedures; creating resources, expertise, and technical assistance capabilities; promoting research; collaborating with community organizations with rehabilitation technology expertise; etc.). Y. Sections 6.2(a), (b), (c), (e), (f), (g), and (h): Have all questions been answered? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ Z. Section 6.2(d): Has Attachment 6.2(d)A (Utilization of Community Rehabilitation Programs) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 6.2(d)A should describe the method(s) that will be followed to maximize the utilization of community rehabilitation programs. The description must be based on the information provided by continuing statewide studies (section 101(a)(15) of the Act) and the annual evaluation of the effectiveness of programs (section 101(a)(19) of the Act), assessing among other things the capacity and effectiveness of community rehabilitation programs and, if appropriate, the need for new, improved, or expanded programs. This attachment should also identify the needs and utilization of community rehabilitation programs under the Act commonly known as the Wagner-O'Day Act. Finally, Attachment 6.2(d)A should also describe the manner in which cooperative agreements with private nonprofit vocational rehabilitation service providers will be established. aa. Section 6.6: Has the State unit policy regarding a financial needs test for services been indicated? Yes_____ No_____ If appropriate, has Attachment 6.6(a)A (Identification of Services for Which There Is A Financial Needs Test) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: There is no Federal requirement that the financial needs of individuals with disabilities be considered in the provision of vocational rehabilitation services. If, however, the State unit chooses to consider the financial needs of individuals with disabilities for purposes of determining the extent of their participation in the costs of certain vocational rehabilitation services, the State unit must specify those vocational rehabilitation services for which the designated State unit has established a financial needs test (34 CFR 361.47(a)). Attachment 6.6A should identify such services. It should not detail the designated State unit's policies and/or procedures relating to financial needs administration. bb. Section 8.3: Has attachment 8.3A (Description of How Choice Will Be Given to Individuals with Disabilities) been submitted? Yes_____ No_____ N/A_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ N/A_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: One of the principles which serves as a basis for the vocational rehabilitation program is that individuals with disabilities must be active participants in their own rehabilitation programs, including making meaningful and informed choices about the selection of their vocational goals and objectives and the vocational rehabilitation services they receive. Attachment 8.3A must describe the manner in which an eligible individual is provided choice and increased control in determining the vocational rehabilitation goals and objectives during the development and amendment of the individualized written rehabilitation program. This attachment should also describe the manner in which such an individual is given choice and increased control in determining services, providers of the services, and methods to provide and/or secure the services. cc. Section 9.1(a): Has Attachment 9.1(a)A (Summary of the Results of the Comprehensive Statewide Assessment of the Rehabilitation Needs of Individuals with Severe Disabilities Residing Within the State and the State's Response to the Assessment) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 9.1(a)A should describe three main points: (1) the results, in summary fashion, of a comprehensive, statewide assessment of the rehabilitation needs of individuals with severe disabilities; (2) the State's response to the assessment; and (3) a summary of the results of the assessment relating to the need for supported employment services, including the coordination and use of information provided by State special education agencies pursuant to section 618(b)(1)(C) of the Individuals with Disabilities Education Act. dd. Section 9.1(c): Has Attachment 9.1(c)A (Changes in Policy and in the Strategic Plan Resulting from Continuing Statewide Studies, the Annual Program Evaluation, and Consumer Satisfaction Surveys) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 9.1(c)A should describe the changes in State agency policy and in the strategic plan required under part C of title I based on the following: (1) the findings of the continuing statewide studies; (2) the results of the annual evaluation of the effectiveness of the State's program; and (3) the results of the consumer satisfaction surveys conducted by the State Rehabilitation Advisory Council. ee. Section 9.3: Has the designated State unit indicated that it is providing services to all eligible individuals? Yes_____ No_____ (1) If the State unit checked "yes," has Attachment 9.3(b)A (Description of How the Designated State Unit Will Serve All Eligible Individuals) been submitted? Yes_____ No_____ N/A_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ N/A_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: If a designated State unit assures that it serves all eligible individuals, Attachment 9.3(b)A must provide an explanation of the methods the State utilizes to provide vocational rehabilitation services to all individuals with disabilities within the State who are eligible for such services. (2) If the State unit checked "no" and is operating under an order of selection, has Attachment 9.3(c)A (Description of the Order of Selection, Its Justification, and the Outcome and Service Goals Within Each Category of the Order) been submitted? Yes_____ No_____ N/A_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ N/A_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: If a designated State unit cannot serve all eligible individuals and thus must establish an order of selection for serving eligible individuals, Attachment 9.3(c)A must be developed. In the attachment, the agency must describe and justify its particular order of selection, including a description of the outcome and service goals to be achieved for individuals with disabilities, in each priority category, and the time within which these goals may be achieved. In the development of an order, individuals with the most severe disabilities, as determined by criteria established by the State and identified in this attachment, must be selected for service before other individuals with disabilities. ff. Section 9.4: Has Attachment 9.4A (Methods to Expand and Improve Services to Individuals with the Most Severe Disabilities and to Individuals Who are Minorities or Who Have Been Unserved or Underserved) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: In Attachment 9.4A, the State agency articulates its plans and objectives for the upcoming fiscal year in support of the expansion and improvement of its services. This attachment should describe the methods used by the State agency to expand and improve services to those individuals with the most severe disabilities, including individuals served under the State Supported Employment Services Program authorized by title VI, part C of the Act. It should also describe outreach procedures to identify and serve individuals with disabilities who are minorities and individuals with disabilities who have been unserved or underserved by the vocational rehabilitation system. Attachment 9.4A must also identify the number of individuals with disabilities to be served with funds provided under the Act. In short, Attachment 9.4A should serve as a summary narrative of the agency's annual operational planning efforts and provide a succinct yet clear understanding of what activities the agency plans to initiate. In this regard, this description should be tied into the findings of statewide studies (34 CFR 361.17(b)) and the annual evaluation of the State agency's program (34 CFR 361.17(c)). gg. Section 10.2(a): Has the State indicated whether it has established a State Rehabilitation Advisory Council that meets the criteria set forth in section 105 of the Act? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ hh. Section 10.3: Have all four questions regarding the existence of an independent commission been answered? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ii. Section 10.7(b): Has whether or not the designated State unit utilizes an informal administrative review process been indicated? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ jj. Section 10.9(b): Has Attachment 10.9(b)A (Designated State Unit's Plans, Policies, and Methods Related to the Transition of Students Who Are Individuals with Disabilities) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 10.9(b)A should describe the designated State unit's activities in working with education agencies to effect a smooth transition from education to employment-related activities of students who are individuals with disabilities. Specifically, this attachment must describe the following: (1) a summary of the previous year's activities and accomplishments as well as a description of the State unit's plans, policies, and methods to be followed for the upcoming year; (2) the formal interagency cooperative agreement developed in accordance with section 101(a)(11)(C) of the Act; (3) how the designated State unit's plans, policies, and methods facilitate the development and accomplishment of long-term rehabilitation goals, intermediate rehabilitation objectives, and goals and objectives related to enabling a student to live independently before the student leaves a school setting; (4) how the designated State unit's plans, policies, and methods facilitate the transition from the provision of a free, appropriate, public education under the responsibility of an educational agency to the provision of vocational rehabilitation services under the responsibility of a designated State unit, including plans to coordinate the provision of transition services; (5) how the designated State unit's plans, policies, and methods address provisions for determining State lead agencies and qualified personnel responsible for transition services, procedures for outreach to and identification of youth in need of such services, and a timeframe for evaluation and follow-up of youth who have received such services; and (6) the manner in which students who are individuals with disabilities and who are not in special education programs can access and receive vocational rehabilitation services, where appropriate. kk. Section 10.11: Has an option been checked? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ 3. TITLE VI, PART C STATE PLAN SUPPLEMENT: A. Section 1.7: Has Attachment 1.7A (Description of Quality, Scope, and Extent of Supported Employment Services) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan supplement? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 1.7A should describe the quality, scope, and extent of supported employment services to be provided to individuals with the most severe disabilities under the State Supported Employment Services Program. B. Section 1.8: Has Attachment 1.8A (State's Goals and Plans Regarding Distribution of Funds Received Under Title VI, Part C of the Act) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan supplement? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 1.8A should describe the designated State unit's goals for the upcoming year regarding the State Supported Employment Services Program and how the Federal funds received under title VI, part C of the Act will be utilized and/or distributed by the designated State unit. The attachment should provide an overview of the goals and operational objectives that the designated State unit has established for the upcoming year for its State Supported Employment Services Program (e.g., identification of numbers and types of individuals to be served, strategies for supported employment capacity building, and supported employment models to be used) and how title VI, part C funds will be utilized (e.g., contracts, fee-for-service reimbursement agreements, etc.). C. Section 1.9: Has Attachment 1.9A (Demonstration of Evidence of Collaboration with Respect to Supported Employment Services) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan supplement? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 1.9A should describe the designated State unit's efforts to identify and make arrangements for collaboration (including entering into cooperative agreements) with other State agencies and other appropriate entities to assist in the provision of supported employment services (defined in section 7(34) of the Act) during the eighteen-month period in which the State unit funds such services. D. Section 1.10: Has Attachment 1.10A (Demonstration of Evidence of Collaboration With Respect to Extended Services) been submitted? Yes_____ No_____ Has this attachment been adequately developed consistent with instructions for the interim State plan supplement? Yes_____ No_____ Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ Selected Guidance to Reviewer: Attachment 1.10A should describe the designated State unit's efforts to identify and make arrangements for collaboration (including entering into cooperative agreements) with other public and private nonprofit agencies within the State, employers, and other appropriate resources in the community (including arranging for natural supports) for the provision of extended services (defined in section 7(27) of the Act) following termination of supported employment services provided by the designated State unit. In demonstrating this collaboration, the designated State unit may submit cooperative agreements it has developed pursuant to 34 CFR 363.50 or provide a description of each agreement addressing the content requirements in 34 CFR 363.50(b). The attachment should also address the planned activities for the upcoming year in regard to developing additional agreements and/or modifying present agreements. 4. SUMMARY: Are there any existing conformity or compliance issues or negotiations for corrective action that should be considered before the State plan and supplement are approved? Yes_____ No_____ If "yes" is checked, provide comments and recommend any special information or conditions that should be included in the approval letter. If the reviewer believes the materials cannot be approved, he/she should make an appropriate recommendation here and explain the basis for the decision. The reviewer may also attach any pertinent documentation which supports the opinion and any recommendations. If necessary, attach additional pages with comments. Comments: _________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ ____________________________________________________ A proposed approval letter is_____ or is not_____ attached. _________________________________________________________ Reviewer's Signature and Date ________________________________________________________ Optional Additional Reviewer's Signature and Date ________________________________________________________ Optional Additional Reviewer's Signature and Date Appendix C REVIEW CHECKLIST FOR STRATEGIC PLAN STATE: _________________________ REGION: ____ TYPE OF AGENCY: General ___ Blind ___ Combined ___ INSTRUCTIONS: The reviewer should place a check mark after the appropriate response and provide any appropriate comments. Questions followed by an asterisk are derived from statutory requirements contained in the 1992 Amendments to the Rehabilitation Act of 1973 or from requirements contained in the Education Department General Administrative Regulations (EDGAR). The reviewer must be able to answer these questions in the affirmative to determine that the State agency's strategic plan meets the requirements of the statute and that, accordingly, the State agency is eligible to receive funds under title I of the Act. Questions that are not followed by an asterisk are derived from RSA-PD-93-06 and RSA-TAC-93-02 and are provided to achieve consistency in the review of the strategic plans across all ten Regional Offices. Therefore, an affirmative answer to these questions, while desirable, is not required to determine that the strategic plan is in compliance with all relevant statutory provisions. 1. Does the State agency's transmittal letter describe the strategic plan materials being transmitted and identify that the effective date for the strategic plan is October 1, 1993? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ 2. Does the State agency's transmittal letter contain the signature of the same State official who has the authority to submit State plan materials? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ 3.* Does the State agency indicate that the strategic plan has been submitted for clearance under 34 CFR part 79 or that the strategic plan is exempt from clearance procedures under 34 CFR part 79? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ 4.* Does the State agency note any information regarding comments received as a result of the clearance procedures in 34 CFR Part 79 or note that the 60 days allotted for review have elapsed? Yes _____ No _____ N/A _____ Comments: _________________________________________________ ____________________________________________________________ 5.* Does the strategic plan cover a three-year period, beginning on October 1, 1993 and ending on September 30, 1996? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ 6.* Will at least 1.5 percent of the State's allotment under part B of title I of the Act be utilized for uses described in section 123 of the Act? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ 7. In those States that have two State agencies, have the directors of these agencies consulted with each other to assure that the full 1.5 percent of the total state allotment is expended for uses described in section 123 of the Act? Yes _____ No _____ N/A _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ 8.* Prior to its development, were public forums held to solicit comments on the development and implementation of the strategic plan? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ 9.* Did the State agency meet with, solicit, and seriously consider recommendations from members of the State Rehabilitation Advisory Council and the Statewide Independent Living Council on the development and implementation of the strategic plan? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ 10.* If recommendations from the State Rehabilitation Advisory Council, the Statewide Independent Living Council, or the public forums were rejected, does the strategic plan provide an explanation of the rejection? Yes _____ No _____ N/A _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ 11.* Were the results of the continuing statewide studies and the annual evaluation of the effectiveness of the vocational rehabilitation (VR) program utilized in the development of the strategic plan? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ 12.* Does the strategic plan contain a statement of the mission, philosophy, values, and principles of the VR program in the State? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ 13.* Is the statement of mission, philosophy, values, and principles in the strategic plan consistent with the findings, purpose, and policy contained in sections 2(a), (b), and (c) of the Act and is it consistent with the purposes of title I and title VI, Part C of the Act contained in sections 100(a) and 631 of the Act, respectively? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ 14.* Does the strategic plan contain specific goals and objectives for expanding and improving the system for providing the VR program? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ 15.* Does the strategic plan contain specific multifaceted and systemic approaches for accomplishing the objectives, including interagency coordination and cooperation, that build upon state-of-the-art practices and research findings, and that implement the Title I State plan and the Title VI, Part C supplement? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ 16.* Does the strategic plan contain a description of the specific programs, projects, and activities and does it describe how the programs, projects, and activities accomplish the objectives in the plan? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ 17.* Does the strategic plan contain specific criteria for determining whether the objectives have been achieved, an assurance that the State will conduct an annual evaluation to determine the extent to which the objectives have been achieved, and if specific objectives have not been achieved, the reasons that the objectives have not been achieved and a description of alternative approaches that will be taken? Yes _____ No _____ Comments: _________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ 18.* The 1.5 percent allotment under part B of title I of the Act must be used for the activities described in section 123 of the Act. Which of the following activities does the State agency plan to carry out? (At least one of the activities listed below must be checked in the affirmative.) a. programs to initiate and expand employment opportunities for individuals with severe disabilities in integrated settings that allow for the use of on-the-job training to promote the objectives of Title I of the Americans with Disabilities Act of 1990; Yes _____ No _____ b. programs or activities to improve the provision of, and expand, employment services in integrated settings to individuals with sensory, cognitive, physical, and mental impairments who have traditionally not been served by the State VR agency; Yes _____ No _____ c. programs and activities to maximize the ability of individuals with disabilities to use rehabilitation technology in employment settings; Yes _____ No _____ d. programs and activities that (1) assist employers in accommodating, evaluating, training, or placing individuals with disabilities in the workplace of the employer consistent with provisions of the Rehabilitation Act and Title I of the Americans with Disabilities Act of 1990 and (2) may include short-term technical assistance or other effective strategies; Yes _____ No _____ e. programs and activities that expand and improve the extent and type of involvement of persons receiving services in the review and selection of the training and employment goals of the individuals served; Yes _____ No _____ f. programs and activities that expand and improve opportunities for career advancement for individuals with severe disabilities; Yes _____ No _____ g. programs, projects, and activities designed to initiate, expand, or improve working relationships between VR services provided under title I of the Act and independent living services provided under title VII of the Act; Yes _____ No _____ h. programs, projects, and activities designed to improve functioning of the system for delivering VR services and to improve coordination and working relationships with other State and local agencies, business, industry, labor, community rehabilitation programs, and centers for independent living, including projects designed to: (1) increase the ease of access to, timeliness of, and quality of VR services through the development and implementation of policies, procedures, and systems and interagency mechanisms for providing VR services; (2) improve the working relationships between State VR agencies, and other State agencies, centers for independent living, community rehabilitation programs, educational agencies involved in higher education, adult basic education, and continuing education, and businesses, industry, and labor organizations in order to create and facilitate cooperation in planning and implementing services and the development of an integrated system of community-based VR service that includes appropriate transitions between service systems; and (3) improve the ability of professionals, persons receiving services, advocates, business, industry, and labor to work in cooperative partnerships to improve the quality of VR services and job and career opportunities for individuals with disabilities; Yes _____ No _____ i. support efforts to ensure that the annual evaluation of the effectiveness of the program in meeting the goals and objectives set forth in the State plan, including the system for evaluating the performance of rehabilitation counselors, coordinators, and other personnel used in the State, facilitates and does not impede the accomplishment of the purpose and policy of title I of the Act, including serving, among others, individuals with the most severe disabilities; Yes _____ No _____ j. support the initiation, expansion, and improvement of a comprehensive system of personnel development; Yes _____ No _____ k. support the provision of training and technical assistance to persons receiving services, business, industry, labor, community rehabilitation programs, and others regarding the implementation of the amendments made by the 1992 Amendments to the Rehabilitation Act, of Title V of the Rehabilitation Act, and of the Americans with Disabilities Act of 1990; and Yes _____ No _____ l. support the funding of the State Rehabilitation Advisory Council and the Statewide Independent Living Council. Yes _____ No _____ _________________________________________________________ Reviewer's Signature and Date ________________________________________________________ Optional Additional Reviewer's Signature and Date Appendix D STATE AGENCY FINANCIAL ADMINISTRATIVE REVIEW INSTRUMENT (SAFARI) STATE AGENCY Dates of Review through FYs of Review through Formula Grant Programs(s) Reviewed BASIC SUPPORT SUPPORTED EMPLOYMENT INDEPENDENT LIVING SERVICES Review Team Members: TABLE OF CONTENTS SECTION PAGES I. ACCOUNTING 115 - 118 II. AUDIT RESOLUTION 119 - 120 III. BUDGET FORMULATION AND ADMINISTRATION 121 - 123 IV. CASH MANAGEMENT 124 - 127 V. INDIRECT COST 128 VI. NON-FEDERAL EXPENDITURES 129 - 134 VII. PAYROLL 135 - 138 VIII. PERSONNEL MANAGEMENT 139 - 140 IX. PROCUREMENT 141 - 144 X. PROGRAM INCOME 145 - 148 XI. PROPERTY MANAGEMENT 149 - 152 XII. RECORD RETENTION 153 - 154 I. ACCOUNTING 1. Does the organization have written accounting policies and procedures to assure uniform practice? Y / N 2. Does the agency utilize the same policies and procedures for accounting for and expending Federal funds as it does for its State funds? Y / N 3. A. Are there procedures in place to ensure that the accounting staff receive and maintain Federal policies, procedures, and instructions on accounting for and expending Federal funds? Y / N B. Are these procedures being followed? Y / N 4. A. Is the State VR accounting system fully Y / N computerized? B. Is the SF-269 reporting system computerized? Y / N 5. A. Are manual records kept? Y / N B. If so, why? C. What type? 6. Identify key accounting staff and specific responsibilities? 7. Is there sufficient staff to carry out the Y / N accounting function? 8. Is the State agency's accounting system on a A. Cash Basis? Y / N B. Accrual Basis? Y / N C. Modified Accrual? Y / N 9. A. Do the other components of State government account for their funds in the same manner? Y / N B. If not, does the agency have authority and established procedures to operate differently? Y / N 10. When the agency reports on the accrual modified basis, are there adequate controls, such as checklists for statement-closing procedures, to insure that open invoices and amounts for goods and services received are properly accrued or recorded in the books or controlled through worksheet entries? Y / N / NA 11. Are sources of Federal funds identified and tracked in the accounting system? Y / N 12. Is there sufficient detail in the State agency's Chart of Accounts to meet their management needs and federal reporting requirements? Y / N 13. For each Federal grant, does the accounting system provide information on the following: A. Authorizations? Y / N B. Obligations? Y / N C. Funds received? Y / N D. Program Income? Y / N E. Subgrants (IL, Part B only)? Y / N F. Obligations? Y / N G. Outlays? Y / N H. Unobligated balances? Y / N 14. Are obligations recorded by A. Budget cost category? Y / N B. Funding sources? Y / N C. Object code? Y / N D. Sub-object code? Y / N 15. A. Does the accounting system allow for the Y / N liquidation of prior-year obligations? B. If not, how is this done? 16. Is there a system in place which provides funding control of obligations at a decentralized level such as in an area or district office which reflects funds available, obligation incurred on a timely basis? Y / N 17. Is there an automated interface between the accounting system and the case service payment system? Y / N 18. A. Are accounting records supported by source documentation (e.g., canceled checks, paid bills, payrolls, contract and subgrant award documents, etc)? Y / N B. At what organizational level? 19. Are payment vouchers identified by: A. Grant Number? Y / N B. Expense classification? Y / N C. Transaction Date? Y / N D. Funding source? Y / N 20. Are purchasing and payment functions separate? Y / N 21. Do accounting staff review the following prior to entry into the system: A. Authorizations? Y / N B. Purchase Orders? Y / N C. Payments? Y / N 22. Are entries into the accounting system made on a timely basis? Y / N 23. Are postings spot-checked on a random sampling basis? Y / N 24. A. Are the revenue and expense accounts reconciled to the General Ledger? Y / N B. How often__________ 25. Is request for payment to Education Finance Division based on information from the accounting system? Y / N 26. Does the accounting staff have responsibility for assuring that prior approval is received on certain items identified in OMB Circular A-87? Y / N 27. Does the accounting system identify and segregate unallowable costs? Y / N 28. Does the system provide for prompt and timely recording and reporting of all financial transactions? Y / N 29. Are there built-in controls to preclude A. Under- or Over-obligation? Y / N B. Theft? Y / N C. Under- or Overstatement of unliquidated obligation? Y / N D. Duplicate payments? Y / N E. Duplicate funding? Y / N F. Inappropriate charges to grants? Y / N 30. A. Is there a system in effect to assure the accuracy of the accounting records? Y / N B. How does the system operate? C. Is the system used in the decision-making process? Y / N 31. Does the accounting system provide meaningful data to management on a timely basis? Y / N 32. A. Identify and list types of accounting reports prepared. B. For whom are they prepared? 33. A. Are appropriate accounting reports distributed to staff? Y / N B. Are the reports used in the decision-making process? Y / N 34. Identify and list types of accounting reports prepared and to whom distributed. 35. Are Federal reports prepared on the same basis as the accounting system (cash, accrual, etc)? Y / N 36. A. Do the accounting reports support the expenditures reported on the SF-269? Y / N B. If not, are workpapers available to support adjustments to the financial information reported to RSA? Y / N Comments: II. AUDIT RESOLUTION 1. Has the State agency had any audit findings in the last three years? A. From an A-128 audit? Y / N / NA B. Other independent audit? Y / N / NA C. Direct Federal audits, reviews? Y / N / NA D. From RSA formula grant program monitoring? Y / N / NA 2. Did these audit findings result in: A. Disallowed administrative costs? Y / N / NA B. Disallowed program costs? Y / N / NA C. System weakness corrections? Y / N / NA D. Other non-monetary actions? Y / N / NA (If any responses are "yes" summarize findings in Comments Section.) 3. A. Did the State agency appeal any disallowed Y / N / NA costs? B. If "yes", indicate finding and results of appeal: ________________________________________________________________ ____________________________________________________________ ____ 4. Does the State agency have policies and pro- Y / N / NA cedures for audit resolution, including followup? 5. Was the State agency required to develop any Y / N / NA specific corrective action plans for sustained audit findings? 6. Have records been maintained verifying adequate Y / N / NA implementation of all necessary corrective action plans by the State agency? 7. Has RSA conducted any follow-up reviews to Y / N / NA assess adequacy of the implementation of corrective action plans? 8. Does the State agency review as part of its sub-grantee and contractor oversight responsibility: A. Audit status (A-133 compliance)? Y / N / NA B. Audit findings? Y / N / NA C. Corrective Action Plan implementation? Y / N / NA Comments: III. BUDGET FORMULATION AND ADMINISTRATION Formulation 1. Does the agency have an operating budget for Y / N each of its RSA formula grant programs? 2. Are operating budgets prepared by: A. Activity Cost Center? Y / N / NA B. Location? Y / N / NA C. Fund? Y / N D. Total Organization? Y / N 3. Is responsibility for budget preparation defined Y / N at all organizational levels? 4. Does the final approved budget reflect review Y / N and consolidation of budget preparations from all organizational elements? 5. Is the accounting program data utilized to determine the cost effectiveness of the VR Program? Y / N 6. Does the budget process allow time for full Y / N review, adjustment, approval and dissemination prior to commencement of the new budget period? 7. Do the estimates of revenues and expenditures Y / N consider trends established in recently completed budget periods and general economic conditions? 8. Do all persons having a management responsibility Y / N have a decision-making role in budget formulation? 9. Who are the persons responsible for developing the budget for the agency? 10. What is the approval process for the budget? Administration 11. Is the budget function carried out separately Y / N from that of the accounting? 12. Are mechanisms in place which ensure the Y / N integrity of the budget processes during revisions? 13. Does the agency have an accounting system which Y / N identifies cost centers and provides data on a timely basis to financial and program managers? 14. Is there a means by which management, including Y / N the State Agency Director, releases the authority to spend under the budget plan (e.g., are allotments, allowances, or spending plans approved for district offices, local offices, etc.)? 15. Does the organization have fiscal controls which result in: A. Control of expenditures within the approved Y / N program plan? B. A management review prior to issuing budget Y / N amendments or incurring obligations or expenditures which deviate from the program plan? C. Who performs this review? 16. Is there timely, periodic financial reporting to management which permits: A. Comparison of actual expenditures with the Y / N budget plan for the same period? B. Comparison of revenue estimates with actual Y / N revenue for the same period? 17. A. With regard to item 16, with what frequency are the financial reports prepared? B. Who receives the financial reports? 18. Is the responsibility for maintaining budget Y / N control established at all appropriate levels for the organizational structure and management system? 19. Are there procedures to determine allowability, Y / N allocability, and reasonableness of costs? 20. Are appropriate individuals in the agency aware Y / N of the prior approval requirements for certain categories of costs (OMB Circular A-87 and RSA-PAC-85-1)? 21. What steps are taken if projected revenues are not sufficient to cover projected expenditures? Comments: IV. CASH MANAGEMENT If the State VR agency does not issue any checks, complete Part B only. Otherwise, complete Part A and Part B. All of the questions in Part A and B refer to the State VR agency. Part A State Agency Issues Checks 1. A. Are all receipts (Federal grant funds and Y / N / NA all other funds including program income) deposited promptly? B. Are all receipts deposited intact? Y / N / NA 2. Are current receipts controlled by registers? Y / N / NA 3. A. Is the cash receipts function performed by Y / N / NA someone other than the person who is responsible for signing checks, reconciling bank accounts or maintaining noncash accounting records, such a accounts receivable, the general ledger, or the general journal? B. Who performs the cash receipts function? Name and Position: C. Who signs the checks? Name and Position: D. Who maintains the accounts receivable, the general ledger and the general journal? Names and Positions: 4. Are bank statements received directly, unopened Y / N / NA by the person who prepares the bank reconciliation? 5. A. Are bank statements reconciled at least Y / N / NA monthly? B. Who reconciles the bank statements? Name and Position: 6. Are paid checks examined for date, name, Y / N / NA cancellation, and endorsements at the time the reconciliation is prepared? 7. Is the sequence of check numbers accounted for Y / N / NA when the bank account is reconciled? 8. Are vouchers or supporting documents identified Y / N / NA by grant, number, date and expense classifica- tion? 9. Do supporting documents accompany checks when Y / N / NA they are submitted for signature? 10. Are supporting documents cancelled to prevent Y / N / NA reuse? 11. Are invoices or vouchers approved in advance by Y / N / NA authorized officials? 12. Are voided checks properly mutilated and retained Y / N / NA for future examination? 13. Are blank checks controlled? Y / N / NA 14. Is the practice of drawing cash payable to Y / N / NA "cash," "bearer," etc., prohibited? 15. Are authorized signatures limited to employees Y / N / NA who have no access to accounting records? 16. Is the issuance of checks on only oral authority Y / N / NA not prohibited? 17. Are procedures in place to prevent checks from Y / N / NA being issued on oral authority? 18. Are employees prohibited from having custody of Y / N / NA any unrecorded cash or negotiable instruments of the State agency? 19. Does the State agency have adequate policies and Y / N / NA procedures to ensure that the time elapsing between the transfer of funds to its subgrantees and their disbursement of those funds is minimized? 20. If the grant program under review is not subject Y / N / NA to the Cash Management Improvement Act, does the State agency have adequate policies and procedures on the draw down of Federal funds? Part B State Treasury Issues Checks on Behalf of the State VR Agency 21. A. Are all receipts (Federal grant funds, if Y / N / NA applicable, and all other funds including program income) deposited promptly? B. Are all such receipts deposited intact? Y / N / NA 22. Are all such receipts controlled by registers? Y / N / NA 23. A. Is the cash receipts function performed Y / N / NA by someone other than the person who is responsible for reconciling bank accounts or maintaining non-cash accounting records, such as accounts receivable, the general ledger, or the general journal? B. Who performs the cash receipts function? Names and Positions: C. Who maintains the accounts receivable, the general ledger, or the general journal? Name and Position: 24. A. Are bank statements reconciled at least Y / N / NA monthly? B. Who reconciles the bank statements? Name and Position: 25. Does the agency have written policies and Y / N / NA procedures for processing payments? 26. Are vouchers to be processed for payment Y / N / NA identified by grant number, date, and expense classification? 27. Are those vouchers accompanied by supporting Y / N / NA documentation? 28. Are supporting documents cancelled to prevent Y / N / NA reuse? 29. Are invoices or vouchers approved in advance by Y / N / NA authorized officials? 30. Are authorized signatures on vouchers limited Y / N / NA to employees who have no access to accounting records? 31. Are there procedures for determining if vouchers Y / N / NA have been paid? 32. Are employees prohibited from having custody of Y / N / NA any unrecorded cash or negotiable instruments of the State agency? 33. Does the State agency have adequate policies and Y / N / NA procedures to ensure that the time elapsing between the transfer of funds to its subgrantees and their disbursement of those funds is minimized? 34. If the grant program under review is not subject Y / N / NA to the Cash Management Improvement Act, does the State agency have adequate policies and procedures on the draw down of funds? Comments: V. INDIRECT COSTS 1. Does the State agency have an approved current A. indirect cost rate? Y / N / NA B. indirect cost allocation plan? Y / N / NA 2. If yes to question 1, which Federal agency approved the rate or Plan? ___________________________________________ 3. Does the State agency have adequate procedures Y / N to ensure that the same costs that have been treated as indirect costs are not claimed as direct costs? 4. Were indirect costs claimed during the most recent completed Federal fiscal year in accordance with the approved indirect cost rate or plan for the: A. Basic Support Program Y / N / NA B. Supported Employment Program Y / N / NA C. Independent Living Services Program Y / N / NA 5. How much was claimed for indirect costs for the most recent completed Federal fiscal year under the A. Basic Support Program __________ B. Supported Employment Program __________ C. Independent Living Services Program __________ Comments: VI. NON-FEDERAL EXPENDITURES 1. A. Is there a variation of non-Federal Y / N / NA expenditures reported on the year-end vs. the final Financial Status Report over the last three years that exceeds the 10 percent threshold? B. If yes, for what years? 2. A. Is the variability of non-Federal Y / N / NA expenditures reported on the year-end vs. the most recent Financial Status Report explained and acceptable? B. If no, describe the status. 3. For the fiscal year under review, are there any Y / N / NA non-Federal funds expended by the VR program that do not come from State funds? (Even if all are appropriated, focus in the breakdown below on funds that initially come from other sources, as opposed to funds coming from State sources.) Fiscal Year Program Total Funds Available (including Federal, State or local, and other sources) Total Federal Funds Available Total (non-Federal funds from State or local sources) BREAKDOWN OF OTHER SOURCES Political subdivisions Transfers from other agencies of the State Cooperative Agreements Facilities per Establishment Grants Facilities per Construction Grants Gifts and Bequeaths Other sources (for example, set-asides) Specify ... (in-kind, special cash) 4. Have there been recent State or Federal audit Y / N / NA findings questioning the non-Federal funds reported on the SF-269? 5. Does the State agency have control of its Y / N / NA accounting (for example, an operating plan) to assure that sufficient non-Federal funds will be available to match the Federal funds during the grant period? (This control should assure continuation of services and that the associated Federal funds can be claimed.) 6. Are there adequate policies and procedures to Y / N / NA prevent reversion to donor? (Reversion to donor is when funds are donated with the expectation that those funds will be used by the State for Federal financial participation for expenditures that would directly benefit a specified individual or entity. The prohibition on reversion to donor does not apply to an establishment grant.) 7. A. Have in-kind contributions been charged to Y / N / NA the program? Note: In-kind contributions are not permitted in the Basic Support Program. B. If charged, how were they valued? C. How were they documented? 8. Establishment Authority: A. If any non-Federal share is provided by Y / N / NA the facility, is it exactly the amount needed to earn the Federal funds awarded to it? B. Are any such funds provided in cash to the Y / N / NA State agency and posted to its account? Construction Authority: C. If any non-Federal share is provided by Y / N / NA the facility, is it exactly the amount needed to earn the Federal funds awarded to it? D. Are any such funds provided in cash to Y / N / NA the State agency and posted to its account? 9. Cooperative Programs: A. Are non-Federal funds accounted for by Y / N / NA the other agency in a separate accounting process allowing for clear review and audit trail? B. Does the VR State agency have control over Y / N / NA expenditures and... C. ...are the expenditures at Y / N / NA the discretion of the State VR agency to assure that applicable standards are met? D. Is appropriate source documentation Y / N / NA maintained by the non-State agency? 10. A. Did the State Agency ever revert Title I Y / N / NA funds? If yes, did it: B. Transfer to Blind or General Agency? Y / N / NA C. Give up for reallotment? Y / N / NA D. Report an unobligated balance at the end Y / N / NA of the fiscal year? MEETING THE MATCHING REQUIREMENT 11. A. Has the State met its matching requirement Y / N / NA for the year under review? B. If not, by how much did it fail? 12. A. After being notified that it was out of Y / N / NA compliance, has the State agency in the last three years revised reports and come into compliance? B. Is there adequate justification for Y / N / NA the revisions made? 13. A. Who in the State agency is monitoring the matching requirement? B. Is that person knowledgeable about Y / N / NA matching requirements and alternatives and appropriate for the organizational structure? 14. A. Has the State carried over Federal funds Y / N / NA in the subsequent year, as allowed in the 1992 Amendments (beginning with the FY 1993 grant)? B. Were the funds matched by non-Federal funds Y / N / NA in the appropriation year? MEETING THE MAINTENANCE OF EFFORT REQUIREMENT (Title I Review ONLY) 15. A. Does the State report all allowable and Y / N / NA applicable to Title I non-Federal expenditures? B. If not, provide details. 16. A. Did the State agency operate any State-only Y / N programs solely with State revenue? B. Describe program and amounts...... C. Was the program appropriately defined as Y / N State-only? 17. Do State agency personnel have an adequate Y / N / NA understanding that all non-Federal expenditures must be reported? 18. A. Are there State agency written policies/ Y / N / NA procedures which address the issue of reporting all non-Federal expenditures? B. If not, does the State agency rely solely Y / N / NA on RSA written guidance? C. How does the State agency assure that all non-Federal expenditures are reported? 19. A. After a review of the latest Financial Y / N Status Reports, has the State met the Maintenance of Effort requirement for the year under review? B. If not, by how much was it out of compliance? 20. A. In any year where a State was short of its Y / N / NA Maintenance of Effort, did it request a waiver? B. If yes, provide details. C. Was the waiver approved? Y / N / NA D. In any year where a State was short of its Y / N / NA Maintenance of Effort, was it penalized? E. If yes, provide details. F. If the State was not granted a waiver or penalized, explain why and what action is planned. 21. A. Have revised SF-269s now shown this Agency Y / N / NA to be out of compliance, when it previously was in compliance? B. If yes, provide details. 22. A. Has the State agency revised reports and Y / N / NA come into compliance after initially not being in compliance? B. Is there adequate justification for the Y / N / NA revisions made? 23. A. Who in the State agency is the person responsible for monitoring the Maintenance of Effort requirement? B. Is this person knowledgeable about Y / N / NA Maintenance of Effort requirements and alternatives and appropriate for the organizational structure? SUMMARY 24. Do accounting records substantiate the Y / N / NA non-Federal funds reported on the Financial Status Reports. 25. Are there continuing problems with: A. liquidation of obligations.... Y / N / NA B. match... Y / N / NA ...did not report match sufficient Y / N / NA for Federal funds claimed..... ...had insufficient funds to claim Y / N / NA the full Federal allotment. C. Maintenance of Effort... Y / N / NA D. late reporting... Y / N / NA F. unobligated balances? Y / N / NA 26. Should this State agency be placed under Y / N / NA review in RSA's annual risk determination process? A. Is it currently designated at-risk? Y / N / NA B. Is it currently designated high-risk? Y / N / NA Comments: VII. PAYROLL 1. Are there written policies and procedures governing payroll administration? Y / N 2. Do these policies reflect the generally accepted practice of the State government? Y / N 3. Are the following duties carried out by different persons: A. timekeeping? Y / N B. personnel administration? Y / N C. check distribution? Y / N 4. Give name and title of primary person responsible for the systems for: A. timekeeping B. preparation of the payroll C. distribution of checks 5. Are payrolls supported by time and attendance or equivalent records for individual employees, including part-time employees? Y / N 6. Are time and attendance records approved by the supervisors? Y / N 7. Is overtime authorized for employees of the agency? Y / N 8. Is overtime compensated by A. Pay? (Rate ) Y / N B. Compensatory Time? Y / N C. Other? Describe. 9. Are procedures adequate for controlling A. Overtime wages? Y / N B. Overtime work authorization? Y / N C. Supervisory approval of overtime? Y / N 10. Are written authorizations on file for all employees, covering rates of pay, withholdings, and deductions? Y / N 11. A. Is the payroll periodically verified? Y / N B. How? C. How often? D. Who verifies payroll? 12. A. Are payroll charges reviewed against program budgets? Y / N B. Are deviations reported to management for follow-up action? Y / N 13. Are there written policies on recording time distribution for employees who work on more than one program or cost objective? Y / N 14. Does the agency require time distribution records for employees who work on more than one program or cost objective? Y / N If no, skip to Question No. 18. 15. Do the time distribution records A. Reflect a distribution of the actual time spent on each activity by the employee? Y / N B. Account for the total activity for which each employee is compensated? Y / N C. Summarize the distribution of the employee's activity for the month in question? Y / N Account for time of clerical employees in the following manner: D. A clerical employee who provides clerical services for a single employee may base his or her time distribution records on the time distribution of that employee? Y / N E. A clerical employee who provides clerical services for more than one employee may base his or her time distribution records on the time distribution of each employee served, adjusted through the use of a reasonable averaging method? Y / N 16. Where an employee performs administrative, training, classroom teaching, technical assistance or other functions on a specific project that benefit more than one program or cost objective and the employee is unable to divide the time between each of the programs or cost objectives because of the nature of the project, are costs charged to the programs or cost objectives equitably distributed among funding sources? Y / N 17. Are the time distribution records A. Prepared contemporaneously, at least monthly? Y / N B. Prepared by the employee relying upon available supporting documentation, such as calendars, class schedules, travel vouchers, work products? Y / N C. Signed by the employee or by a supervisory official who has first-hand knowledge of the activities performed by the employees? Y / N D. Is the supervisor responsible for overseeing time distribution records on a monthly basis? Y / N 18. Does the agency utilize a substitute system for meeting time distribution records requirement? Y / N If no, skip questions 19-22. 19. If the agency is utilizing a substitute system, has a certification been secured from an independent public accounting firm or another qualified auditor that meets the standards of independence in the General Accounting Office Government Auditing Standards? Y / N 20. Does the certification A. State that the substitute system is consistent with Generally Accepted Accounting Principles? Y / N B. Provide distribution of costs to various program and cost objectives equitably in accordance with OMB Circular A-87 and take into account the benefit actually derived by each program or cost objective? Y / N C. Describe the system employed? Y / N D. Include random sampling, case counts, counts of persons receiving services, transaction counts, or other quantifiable measures of employee effort for a time period? Y / N E. Include a statement that the certification will be made available for inspection by the Secretary or his designee, along with supporting documentation upon which the certification was based? Y / N 21. If the system uses sampling methods, A. Does the universe from which a sample of employees is taken include all of the employees whose salaries and wages are to be allocated by means of the sampling? Y / N B. Is the entire time period for which salaries and wages are to be charged to a Federal grant involved covered? Y / N C. Are the results statistically valid and applied only to the time period to which the sample may be validly extrapolated? Y / N D. Are the results of the sampling system periodically updated to reflect changes in the measures used such as case counts or counts of persons receiving services? Y / N E. Does the recipient use a valid and uniform system for converting the measure of employee effort into time? Y / N 22. A. Other than the auditor who provided the certification for a substitute system, does someone else audit the certification or system in question in accordance with an organization-wide or single audit under OMB Circular A-28? Y / N B. If yes, provide the name and position: Comments: VIII. PERSONNEL MANAGEMENT Policies and Procedures 1. Does the agency have copies of State personnel Y / N / NA policies, regulations, etc. 2. Has the agency developed its own personnel Y / N / NA policy and procedural materials? 3. Are there written procedures for classification Y / N / NA of agency positions including salary determination, etc.? 4. Are there written policies for recruiting, Y / N / NA including EEO/AA activity and outreach to disabled, minorities, etc.? 5. Does the agency have a reasonable accommodation Y / N / NA policy? 6. Is there a standardized hiring process for Y / N / NA selections? 7. Do employees receive written materials covering Y / N / NA benefits including leave, medical benefits, etc.? 8. Do employees receive written materials covering Y / N / NA Standards of Conduct, i.e., conflict of interest, confidentiality, time and attendance, etc.? 9. Does the agency have Drug Free policies and Y / N / NA procedures that meet Federal requirements? 10. Does the agency have policies and procedures for Y / N / NA the evaluation of employee performance? 11. Does the agency have policies and procedures Y / N / NA for adverse personnel actions, including termination, RIFs, etc.? 12. Does the agency have policies and procedures for Y / N / NA employee grievances and conflict resolution? 13. Does the agency have an ongoing staff development Y / N / NA plan and process? Administration 14. Does the agency maintain a current Organizational Y / N / NA Chart? 15. Who is responsible for the agency's personnel functions? _________________________________________________________ 16. What is the total number of agency employees? ___________________________ ________________________ Professional Support 17. What is the average staff turnover rate for the last three years? ___________________________ ________________________ Professional Support 18. What is the average individual staff development cost for the last three years? $__________________________ $_______________________ Professional Support Comments: IX. PROCUREMENT 1. Does the State agency use the State's policies Y / N / NA and procedures for procurement? 2. Does the State agency assure that any purchase Y / N / NA order or contract includes clauses required by Federal statutes and executive orders and their implementing regulations? 3. A. Is all procurement conducted using full Y / N / NA and open competitive procurement? B. Does the State agency prescribe a minimum Y / N / NA number of bids that should be required to proceed to procure goods and services? C. If yes, what number is the minimum? 4. Concerning sole source practices: A. Does the State agency ever use sole source? Y / N / NA B. Do sole source procurements comply with the Y / N / NA State requirements for justification of that type of procurement? C. Is the justification sufficient? Y / N / NA D. Is the frequency for the use of sole source procurement reasonable? 5. Do the State procurement policies and procedures meet the following standards? A. Does State contract administration ensure Y / N / NA that their contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase order? B. Does the State provide specific oversight Y / N / NA to guard against fraud, waste, and abuse? C. Does the State conduct a cost or price Y / N / NA analysis in connection with every procurement action? D. Are there attempts to obtain the most Y / N / NA economical purchase? 6. A. Is there a written code of conduct Y / N / NA governing the performance of employees engaged in the award and administration of contracts which addresses conflict of interest? B. Does the State agency have a code of Y / N / NA ethics for their employees which is separate from State rules? C. Are those rules the same as what the Y / N / NA State follows? 7. Is there a review of proposed procurement to Y / N / NA avoid unnecessary or duplicative purchases? 8. A. Is there consideration, when appropriate, Y / N / NA for intergovernmental agreements for procurement? B. Is there consideration, when appropriate, Y / N / NA for use of common goods and services? 9. A. Does the State agency have an evaluation Y / N / NA process to ensure that awards are given only to responsible contractors? B. Is there consideration taken for past Y / N / NA performance? 10. Has the State agency maintained records of Y / N / NA sufficient detail concerning the history of the procurement to meet applicable EDGAR requirements? 11. Does the State agency have a bidder's protest Y / N / NA procedure? 12. The State agency does not encourage the use of Y / N / NA in-State or local geographical preferences in in the evaluation of bids or proposals? 13. A. Are all prequalified lists of persons, Y / N / NA firms, or products which are used in acquiring goods and services current? B. Do all lists include enough qualified Y / N / NA sources to ensure maximum open and free competition? 14. A. Has the grantee sought approval for Y / N / NA any of the following: automated data processing capital expenditures management studies professional services B. Provide details on each of the above categories for which prior approval was sought: C. Were any expenditures found where the State Y / N / NA agency failed to seek prior approval? D. If so, what were they? 15. A. Is one official designated to carry out Y / N / NA the duties of procurement? B. Who is responsible for purchasing equipment and services? C. Who is responsible for purchasing administrative equipment and supplies? 16. Does the State agency set limits on the Y / N / NA dollar amount for a procurement official who is singly responsible in procuring supplies or equipment? 17. A. Does the State agency set limits on the Y / N / NA threshold of the dollar amount using different procurement procedures for procuring different goods and services? B. What are the different thresholds and provide details? C. When is approval needed above those dollar amounts and who approves? 18. Is the receipt of goods/services documented to Y / N / NA support payment? 19. Is there separation of responsibility between Y / N / NA the authorization for purchasing and the subsequent authorization to pay? 20. A. Are requisitions, purchase orders, and Y / N / NA receiving slips prenumbered? B. How? C. Are requisitions, purchase orders, and Y / N / NA receiving slips safeguarded? D. How? Comments: X. PROGRAM INCOME ACCOUNTING 1. Are the written policies and procedures on Y / N / NA the receipt of program income adequate? 2. Is there an individual assigned and responsible Y / N / NA for the receipt of program income funds? 3. Is there an individual assigned and responsible Y / N / NA for the obligation of program income funds? 4. Is the individual under #2 and the individual Y / N / NA under #3 the same person? 5. Are the policies and procedures adequate to Y / N / NA assure that program income is obligated properly and during the required period? REVENUE 6. Has program income been received? Y / N / NA 7. A. Were there any costs incident to the Y / N / NA generation of program income? B. If yes, were costs deducted from gross Y / N / NA income to determine net program income? C. Describe the methodology. 8. For the period under review, provide the dollar amounts for each source of program income. A. SSA Payment B. Insurance Carriers C. Workers Compensation D. Fees for Services E. Income from State Operated Facilities F. Other 9. Indicate the amount of program income carried over from the previous fiscal year to the subsequent fiscal year (for example, if reviewing FY 1993, was any FY 1993 money carried over into FY 1994) A. SSA Payments B. Insurance Carriers C. Workers Compensation D. Fees for Services E. Income from State Operated Facilities F. Other 10. Was any interest earned on any program income Y / N / NA received? 11. If yes, was that interest added to the Y / N / NA program income account that gave rise to that interest income? 12. Is Social Security reimbursement kept in a Y / N / NA separate account from other program income? 13. Are there adequate procedures to identify Y / N / NA and record program income to the correct accounts? EXPENDITURES 14. Under the addition alternative, has the Agency Y / N/ NA made plans to spend the program income? 15. If the addition alternative hasn't been Y / N / NA requested, did the Agency conduct a review of the fiscal impact? 16. Under #15, for current period and beyond, Y / N / NA are the planned expenditures for Social Security reimbursements for Section 110 expenditures for the programs under Title I, Title VI C, or Title VII? 17. Under #16, for the current period and beyond, for Y / N / NA reimbursements other than Social Security, are the planned expenditures, solely for the program from which program income was earned? 18. Do appropriate staff know how program income Y / N / NA should be used for the deduction and addition alternatives? 19. Does the Agency have any written policy Y / N / NA regarding whether program income will be obligated in the appropriate period? 20. Was all program income obligated during the Y / N / NA required period? 21. If no, what amount of program income was unobligated? ___________________________ 22. Was the program income used for allowable Y / N / NA expenditures? 23. Did any of these expenditures require prior Y / N / NA Federal approval? 24. A. Is documentation of the approval available? Y / N / NA B. Where is it located? ____________________________________________________________ _________________________________________________________________ _________________________________________________________________ _________________ 25. Was the program income used in accordance with Y / N / NA the authorized use alternative? REPORTING 26. Has the Agency reported any program income Y / N / NA during the last three years? 27. If yes, from what source? A. Social Security Payments_______________________________ _____ B. Insurance Carriers______________________________________ C. Workers Compensation__________________________________ ______ D. Fees for Service_______________________________________ _____ E. Use or Rental of Real or Personal Property__________________ F. Sale of Commodities____________________________________ _____ G. State Operated Facilities______________________________ _____ H. Other__________________________________________________ ____ 28. Was the program income reported correctly on Y / N / NA the financial status report? 29. Was any program income counted toward satisfying Y / N / NA the non-Federal share requirement? 30. If yes, was there prior authorization by RSA? Y / N / NA 31. Was gross income reduced by costs of production Y / N / NA when reported on the financial status report for the year under review? 32. Was any program income reported on the RSA-2 Y / N / NA for the year under review? X. 5 AUDITING 33. Are there written policies and procedures Y / N / NA for reviews (including audits) by the State agency? 34. Are there reviews/audits that address Y / N / NA program income. 35. If yes, what were the findings? _________________________________________________ _________________________________________________ _________________________________________________ _________________________________________________ 36. How were the findings resolved? _______________________________________________________ ________________________________________________________ ________________________________________________________ ________________________________________________________ ________________________________________________________ Comments: XI. PROPERTY MANAGEMENT Real Property 1. Does the State agency have written policies regarding title of real property purchased under Construction or Establishment authorities? Y / N / NA 2. Does the State agency have written policies governing the use of real property purchased under Construction or Establishment? Y / N / NA 3. For real property acquired under a Construction grant, do the policies state that for no less than 20 years after completion of the construction, the rehabilitation facility will be used as a public or other non-profit rehabilitation facility? Y / N / NA 4. Does the State agency have written policies governing the disposition of real property... A. by the State? Y / N / NA B. by a grantee of the State? Y / N / NA 5. Do the policies require: A. the State agency to request disposition instructions from RSA? Y / N / NA B. the grantee of the State to request disposition instructions from the State? Y / N / NA 6. If the State agency disposed of real property since the last financial review, did the agency adhere to its disposition requirements? Y / N / NA 7. If a grantee of the State disposed of real property since the last financial review, did it adhere to the disposition require- ments set forth by the State? Y / N / NA Equipment 8. Does the Agency have written policies governing equipment: A. use? Y / N B. management? Y / N C. disposition? Y / N 9. Are the written policies maintained and up-to-date? Y / N 10. Do the policies require inventory records on equipment purchased for the following: A. Administration? Y / N B. Individuals served? Y / N C. Vending facilities? Y / N / NA D. Small Business Enterprises? Y / N / NA E. Services to Groups? Y / N / NA F. Establishment? Y / N / NA G. Construction? Y / N / NA 11. Do State laws and procedures require the equipment records to include: A. A description of the equipment? Y / N B. A serial number or other identification number? Y / N C. Source? Y / N D. Who holds title? Y / N E. Acquisition date? Y / N F. Cost of equipment? Y / N G. Percentage of Federal participation in cost? Y / N H. Location? Y / N I. Use? Y / N J. Condition of the equipment? Y / N K. Disposition data including date of disposal and sale price of the equipment? Y / N 12. Does the State require: A. A physical inventory of the equipment and reconciliation with the equipment records at least every two years? Y / N Date of last inventory ___________ B. A control system that safeguards against loss, damage, or theft of the equipment? Y / N C. The investigation of loss, damage, or theft? Y / N D. Maintenance procedures to keep the equipment in good condition? Y / N E. The establishment of adequate sales procedures to assure the highest possible return if disposition should occur? Y / N 13. Are the requirements in questions #12 A-E such that, based upon actual property losses, they are adequate to prevent fraud, waste and abuse? Y / N 14. Did the last audit resolved by RSA contain findings related to equipment use, management or disposition? Y / N If so, was the corrective action implemented? Y / N 15. Does the State agency adhere to the State requirements for property use, management and disposition? Y / N Supplies 16. Does the State agency have written policies relative to title for non-consumable supplies purchased for grants, subgrants, and contracts? (EDGAR 34 CFR 80.3) Y / N / NA 17. Do disposition policies state that if there is a residual inventory of unused supplies exceeding $5,000 in total aggregate fair market value upon termination or completion of the award, and if the supplies are not needed for any other federally sponsored programs or projects, that the subgrantee shall compensate the awarding agency for its share? Y / N 18. Does the foregoing policies, procedures, and practices meet EDGAR requirements? Y / N Comments: XII. RECORD RETENTION AND ACCESS 1. Has the State established its own policies for retention of records that are... A. financial? Y / N B. programmatic? Y / N 2. Do State policies meet or exceed Federal retention requirements for... A. General Requirement -- three years Y / N / NA from the final expenditure report or audit resolution or other action, whichever is later. B. Real Property and Equipment -- three years Y / N / NA from the date of disposition or replacement or transfer at the direction of the awarding agency? Indirect Cost -- Related Records C. If submitted for negotiation, three Y / N / NA years from date of submission? D. If not submitted for negotiation, Y / N / NA three years from the end of the fiscal year (or other accounting period) covered by the plan? E. In the Title I Program--has the State Y / N / NA maintained all records to document the Maintenance of Effort for the year under review, including the applicable base year. 3. Has the State provided the review team access to relevant records, such as.... A. Payroll/Time Distribution? Y / N / NA B. Service Records? Y / N / NA C. Purchase Orders/Contracts? Y / N / NA D. Indirect Cost? Y / N / NA E. Other Financial Records? Y / N / NA F. Other? Y / N / NA 4. Has the grantee retained all records related to pending litigation, claims, negotiations, audits, or other actions involving records, if beyond the regular record retention requirement? Y / N / NA Comments: Appendix E RSA Survey Instrument for Designated State VR Unit This module tests for compliance with the Federal statutory requirements related to the designated State VR unit that is responsible for the administration of the VR program of the designated State VR agency. The statutory requirements for the designated State unit are found in section 101(a)(2)(A) of the Rehabilitation Act of 1973, as amended. Such an unit is required by the statute when the State designates as the State agency responsible for the administration of the VR program either a State agency administering or supervising the administration of education or vocational education in the State, or a State agency that includes at least two other major organizational units each of which administers one or more of the major public education, public health, public welfare, or labor programs of the State. Section 101(a)(2)(A) spells out specific requirements related to the designated State unit. These provisions require that the unit must: * be primarily concerned with VR, or vocational and other rehabilitation, of individuals with disabilities; * be responsible for the VR program of the designated State agency; * have a full-time director; * have staff all or substantially all of whom are employed full time on the rehabilitation work of the unit; and * be located at an organizational level and have organizational status within the designated State agency comparable to that of other major organizational units of the designated State VR agency. This module will focus specifically on these statutory requirements and related regulatory provisions. The module also examines how these legal requirements are addressed within the relationship between the designated State unit and the designated State agency. 1. Is the work of the designated State unit primarily concerned with vocational rehabilitation, or vocational and other rehabilitation of individuals with disabilities? 2. Does the director of the designated State unit have the authority and responsibility to direct and administer the designated State agency's VR program? 3. Does the designated State unit have clear and direct responsibility for all decisions affecting: (a) eligibility of individuals applying for VR services? (b) the nature and scope of VR services to be provided to individuals with disabilities? (c) the provision of services to individuals with disabilities? 4. Does the director of the designated State unit have ready access to the director of the designated State agency? 5. Does the director of the designated State unit have a substantive role with respect to the designated State agency's VR program regarding: (a) legislative proposals? (b) regulations? (c) budget development? (d) program planning? (e) program evaluation? (f) personnel management? (g) allocation of staff and funds? (h) human resource development? (i) management information systems? (j) fiscal and statistical reports? 1. YES NO 2. YES NO 3(a). YES NO 3(b). YES NO 3(c). YES NO 4. YES NO 5(a). YES NO 5(b). YES NO 5(c). YES NO 5(d). YES NO 5(e). YES NO 5(f). YES NO 5(g). YES NO 5(h). YES NO 5(i). YES NO 5(j). YES NO 6. Does the designated State unit get adequate and timely support and responses from the designated State agency with respect to administrative functions centralized at the designated State agency level. 7. If VR funds are utilized to support administrative functions at the designated State agency level: (a) is there an approved cost allocation plan? or (b) are direct charges reasonable? 8. Does the director of the designated State unit exercise supervisory and administrative control over staff of the unit? 9. Does the director of the designated State unit devote full-time to the work of the unit? 10. Does at least 90% of the staff of the designated State unit devote full time to the rehabilitation (VR, or vocational and other rehabilitation) work of the unit? 11. Does the director of the designated State VR unit report to the director of the designated State agency in a manner comparable to that of directors of other organizational units within the designated State agency? 12. Is the status of the director of the designated State VR unit comparable to that of directors of other major designated State units within the designated State agency? 13. Are the delegations of authority to the director of the designated State VR unit comparable to those of directors of other major organizational units within the designated State agency? 6. YES NO 7(a). Y N N/A 7(b). Y N N/A 8. YES NO 9. YES NO 10. YES NO 11. YES NO 12. YES NO 13. YES NO APPENDIX FOR DESIGNATED STATE UNIT INSTRUMENT This provides a brief explanation and references for additional information regarding each question in the designated State unit instrument. QUESTION #1 The notion of "primarily concerned with" acknowledges the fact that the statute allows for some flexibility with respect to the scope of programmatic responsibility of the designated State unit. Within this context, the designated State unit could have responsibility for activities that fall outside of the notion of "vocational rehabilitation, or vocational and other rehabilitation". The extent of such responsibility must be subordinate to and less than the responsibility that the designated State unit has for its "vocational rehabilitation, or vocational and other rehabilitation" activities. The designated State unit's responsibility can encompass activities that are termed as "other rehabilitation" in addition to its responsibility for the VR program. Thus it is clear from the statute that the designated State unit can have responsibilities that extend beyond the VR program to encompass both "other rehabilitation" activities and also programs that are neither VR or "other rehabilitation". In the case of the latter, however, such responsibility must be secondary to the primary responsibility of the designated State unit for the VR program, or vocational and other rehabilitation programs. REFERENCES 101(a)(2)(A)(i) of the Act. 34 CFR 361.6(b)(1) of the current implementing regulations. 34 CFR 361.13(b)(1) of the proposed implementing regulations and the associated preamble discussion. Policy Directive 96-02, dated November 7, 1995 and entitled "Special Education Programs as 'Other Rehabilitation' for Purposes of the Application of the Provisions of Sections 101(a)(1)(B)(i) and (2)(A)(i) of the rehabilitation Act of 1973, as amended." PQ 85, dated December 1, 1977, and entitled "Policy Clarification Issued July 22, 1977, Regarding "All or Substantially All Full Time Staff." PQ 260, dated May 20, 1981, and entitled, "Policy Interpretation on Definition of Vocational and Other Rehabilitation of Handicapped Individuals." RSA Memorandum, dated May 11, 1967, and entitled "Organizational Level of State Rehabilitation Programs for the Blind." Program Instruction 75-31, dated June 3, 1975, and entitled "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended." Program Instruction 77-26, dated July 26, 1977, and entitled "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended." (Amends Program Instruction 75-31) QUESTIONS #2-#8 These questions are designed to assess if the statutory provision that the designated State unit is responsible for the vocational rehabilitation program of the designated State VR agency is being satisfied. The statute does not have any provisions that specifically spell out or clarify the nature and scope of this "responsibility" or how this responsibility is to be carried out by the designated State unit. The current implementing regulations do, however, identify the minimum non-delegateable functions that must be carried out by the designated State unit with respect to its "responsibility" for the VR program of the designated State agency. These functions relate to all decisions affecting eligibility, the nature and scope of services, and the provision of those services. The proposed regulations also reflect these current regulatory provisions which are discussed at length in the preamble section of the proposed regulations. RSA policy has viewed these functions as prime examples of what is meant by the designated State unit's "responsibility" for the VR program of the designated State VR agency and not as the total extent of the responsibility of the designated State unit to direct and administer the VR program of the State agency. Question #5 is designed to test for the extent and degree of the operational, day-to-day involvement of the designated State unit in the administration of the VR program of the designated State agency when functions are centralized at the designated State agency level. Legislative history, implementing regulations and RSA subregulatory policy have not addressed in a comprehensive and definitive manner the operational considerations with respect to what is meant by the notion of the designated State unit being "responsible" for the VR program of the designated State agency. The clearest statement in this regard is reflected in the regulatory provisions that identify the functions that must be carried out by designated State unit staff and that cannot be delegated to any other agency or individual. RSA subregulatory policies developed in the 1970s within the context of the then current program regulations characterized the operational involvement as the designated State unit "having an effective voice" and "strong input" with respect to the administration of the designated State agency's VR program when functions are centralized at the designated State agency level. In assessing this involvement, question #5 uses the term "substantive" since the draft proposed regulations in 1994 described the role of the director of the designated State unit as being "substantial" with respect to the identified functions when they are centralized at the level of the designated State agency. Based on the findings of any review with respect to the degree of the designated State unit's involvement in such centralized functions, the reviewer will need to make a judgment as to whether any involvement exists and, if so, whether it meets the test of being "substantial", i.e., affords the director of the designated State unit an "effective voice" and "strong input" with respect to the administration of the centralized functions. The reviewer's judgment regarding whether the designated State unit director's involvement in the administration of the program is "substantial" would be based on the degree of involvement the reviewer assesses with respect to all of the functions listed in question #5, taken together, not necessarily on the degree of involvement determined to exist in one or two of the listed functions. REFERENCES 101(a)(2)(A)(i) of the Act. 34 CFR 361.5(e) and 361.6(a)(2) and (b)(1) of the current implementing regulations. 34 CFR 361.13(c) of the proposed implementing regulations and associated preamble discussion. Program Instruction 75-31, dated June 3, 1975, and entitled "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended." Program Instruction 77-26, dated July 26, 1977, and entitled "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended." (Amends Program Instruction 75-31) PQ-47, dated March 23, 1977, and entitled "Responsibilities of the Designated Sole State Agency". QUESTION #9 The director of the designated State unit must devote full-time to the work of the unit within the context of the scope of the unit's programmatic responsibilities. (See discussion above for Question #1). The director is not required to devote full-time to the VR component of the designated State unit's work. Title I funds can be used to support the work of the director of the designated State unit only to the extent of the director's activities spent on VR work. REFERENCES 101(a)(2)(A)(i) and (ii) of the Act. 34 CFR 361.6(b)(1) and (2), and 361.8 of the current implementing regulations. 34 CFR 361.13(b)(1)(i) and (ii) of the proposed implementing regulations and the associated preamble. 45 CFR 401.8, dated December 5, 1974 and associated preamble discussion. QUESTION #10 As discussed above in questions #1 and #9, the work of the designated State unit can encompass activities that extend beyond VR and other rehabilitation; however, the Act and the regulations prescribe that all or substantially all staff of the designated State unit must devote full-time to the VR and other rehabilitation work of the unit. Longstanding RSA subregulatory policy has defined this portion of the designated State unit's staff that can be committed to activities that are not VR and other rehabilitation as being "no more than 5 to 10 percent of the total staff...". Consistent with this subregulatory RSA policy, the proposed regulations set the maximum limit at 10%. REFERENCES 101(a)(2)(A)(iii) of the Act. 34 CFR 361.6(b)(3) of the current implementing regulations. 34 CFR 361.13(b)(1)(iii) of the proposed implementing regulations and associated preamble. Program Instruction 75-31, dated June 3, 1975, and entitled "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended." Program Instruction 77-26, dated July 26, 1977, and entitled "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended." PQ 85, dated December 1, 1977, and entitled "Policy Clarification Issued July 22, 1977, Regarding "All or Substantially All Full Time Staff." QUESTIONS #11-#13 These questions deal with the statutory provision that the designated State unit be located at an organizational level and have organizational status within the agency comparable to that of other major organizational units of the agency. To test for this comparability, the instrument focuses on factors such as the access of the directors of the various organizational units to the director of the designated State agency; the status (pay, grade, title) of the directors of the various units; and the nature and scope of the authority and responsibilities invested in the directors of the various designated State units to administer their programs. REFERENCES 101(a)(2)(B)(i) of the Act. 34 CFR 361.6(c) of the current implementing regulations. 34 CFR 361.13(b)(iv) of the proposed implementing regulations. Program Instruction 75-31, dated June 3, 1975, and entitled "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended." Appendix F RSA Survey Instrument for VR Involvement in Consolidated Training and Employment Programs This module tests for compliance with the Federal statutory requirements related to the designated State VR agency's administration of and control over the VR program and the expenditure of title I funds in those instances in which the VR program is a participant with other agencies in program consolidation and integration efforts such as one-stop centers. The nature and scope of such involvement will vary from State to State; however, Federal statutory and regulatory requirements governing the VR program must be satisfied regardless of the manner and degree of VR involvement in such initiatives to consolidate and integrate the various State training and employment related programs. Program integration and consolidation initiatives with the involvement of the VR program have been undertaken frequently over the past 30 years. The VR program contributed significantly to such efforts as Model Cities and the Comprehensive Employment and Training Act, while maintaining its programmatic integrity and control of title I funds. The title I funds are a dedicated source of financial support to assist individuals with disabilities to obtain employment outcomes consistent with their abilities, capabilities, interests and informed choice and for the administration of the title I State plan. Utilization of title I funds for purposes other than these would not comply with the statutory requirements of the Act. As State VR agencies move towards becoming full participating partners in initiatives to make State training and employment services more accessible, efficient and effective, such collaborative efforts must be undertaken within the context of the requirements of title I of the Act and its implementing regulations. To help ensure that State planning and implementation efforts related to one-stop centers are consistent with these legal requirements, the following instrument was developed addressing the key operational issues faced by State VR agencies as they negotiate their roles and participation in these program consolidation efforts. 1. Are title I funds being utilized to support activities that relate solely to individuals with disabilities who either are applicants for VR services or eligible individuals receiving such services? 2. Are title I funds being utilized solely for the provision of VR services, the administration of the title I State plan and its title VI, part C supplement and the implementation of the State's strategic plan? 3. Does the designated State VR agency exercise control over the expenditure of title I funds? 4. If title I funds are utilized to share in the costs of an activity that involves other State agencies, is there a cost allocation plan that fairly distributes costs among all participants in the effort? 5. In any collaborative effort such as a "one-stop" center, does the VR program retain administrative control over its staff? 6. In any collaborative effort such as a "one-stop" center, does the VR program maintain control over decisions affecting: (a) eligibility of individuals applying for VR services? (b) the nature and scope of VR services to be provided to individuals with disabilities? (c) the provision of services to individuals with disabilities? 7. Does the VR agency and the individual with a disability have access to the services of the participating agencies as comparable services and benefits? 8. If a designated State VR unit staff member is carrying out non-VR work in the collaborative project, are the costs connected with such activity charged against some funding source other than title I? 1. YES NO 2. YES NO 3. YES NO 4. YES NO 5. YES NO 6(a). YES NO 6(b). YES NO 6(c). YES NO 7. YES NO 8. YES NO 9. If costs contributed or certified by the other participating agencies are used to match title I funds, does the VR agency control the expenditures and staff involved in the collaborative effort? 10. Is personal information of the individual protected in the administration of the collaborative program such as in a one-stop center in a manner consistent with Federal regulatory requirements on the protection, use and release of personal information? 11. Are services of the collaborative project provided by qualified personnel who meet the designated State unit's standards for service providers? 12. Are the rehabilitation needs of individuals with disabilities adequately accommodated by the collaborative project? 9. YES NO 10. YES NO 11. YES NO 12. YES NO APPENDIX FOR EMPLOYMENT/TRAINING CONSOLIDATION INSTRUMENT This provides a brief explanation and references for additional information regarding each question in the instrument related to the involvement of the VR program in the consolidation of employment and training programs such as one-stop centers. QUESTIONS #1-#2 Title I funds are made available to the States solely for the purposes of: * providing VR services to individuals with disabilities for the purpose of assisting them to achieve employment outcomes consistent with their strengths, abilities, capabilities, interests and outcomes; * the administration of the title I plan for VR services; and * the development and implementation of the State's strategic plan. Thus title I funds cannot be utilized for activities that benefit non-disabled persons or for non-VR activities regardless of the disability status of the recipient. REFERENCES 111(a)(1) of the Act. 34 CFR 361.3 of the proposed implementing regulations. QUESTION #3 The statute and the implementing regulations clearly require the designated State VR agency (or its designated organizational unit, if there is an unit) to be responsible for the administration of the VR program and the expenditure of title I funds. REFERENCES 101(a)(1) and (2) of the Act. 34 CFR 361.5 of the current implementing regulations. 34 CFR 361.13 of the proposed implementing regulations. PQ-47, dated March 23, 1977, and entitled "Responsibilities of the Designated Sole State Agency." QUESTION #4 If the VR agency participates in a collaborative project and shares in the costs of the initiative such as for a common management information system, utilities, space, equipment, maintenance, etc., then it can utilize title I funds to pay for those costs that directly relate to the VR program or through a cost allocation plan for an appropriate and proportionate share of the costs. Title I funds, however, can not be used for any activities that do not comply with the provisions of the State's approved title I State plan. REFERENCES 101(a)(1) and (2) of the Act. 34 CFR 361.5 of the current implementing regulations. 34 CFR 361.13 of the proposed implementing regulations. EDGAR, 34 CFR 80.22. QUESTION #5-#6 The Act and the regulations are specific in respect to the responsibility of the designated State agency and, if the agency has one, the designated State unit to administer and direct the VR program. Included in this responsibility is the supervision and direction of the designated VR program staff and the decisions affecting an individual with a disability at key points in the rehabilitation process. These responsibilities cannot be delegated to any other individual or agency, even if other participants are involved in the assessment of and the planning for the individual. Nor can VR staff be directly supervised by non-VR personnel since such an arrangement would undermine the responsibility of the designated State agency (unit) to administer the VR program. REFERENCES 101(a)(1) and (2) of the Act. 34 CFR 361.5 and 6 of the current implementing regulations. 34 CFR 361.13 of the proposed implementing regulations. Program Instruction 75-31, dated June 3, 1975, and entitled "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended." Program Instruction 77-26, dated July 26, 1977, and entitled "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended." (Amends Program Instruction 75-31) QUESTION #7 Services of the collaborative project should be available to all individuals who access the project's service delivery system. In a one-stop center, core services should be available to individuals with disabilities as a comparable service and benefit. REFERENCES 101(a)(8) of the Act. 34 CFR 361.47(b) of the current implementing regulations. 34 CFR 361.5(b)(9) and 361.53 of the proposed implementing regulations. QUESTION #8 See discussion and references under QUESTIONS #1 AND #2 QUESTION #9 See discussion and references under QUESTION #3. Additional references are: 34 CFR 361.13 of the current implementing regulations. 34 CFR 361.28 of the proposed implementing regulations. QUESTION #10 One of the more vexing implementation issues related to a collaborative effort involving various State agencies relates to the protection, use and release of personal information. The Federal provisions with respect to the VR program are strict when compared with those of most other agencies. To the extent appropriate, State agencies should fully participate with other agencies in the use of common forms, procedures, and information necessary for the efficient and effective administration of the collaborative effort while satisfying the confidentiality requirements governing the VR program. REFERENCES 34 CFR 361.49 of the current implementing regulations. 34 CFR 361.38 of the proposed implementing regulations and associated preamble discussion. QUESTION #11 Another issue that may impact the participation of the VR agency in the one-stop centers is the statutory and regulatory provisions relating to "qualified personnel". Each State will need to define who meets this standard to assess individuals with disabilities and to be a provider of VR services. Such standards are safeguards to ensure the quality of services an individual with a disability receives. REFERENCES 103(a) of the Act. 34 CFR 361.45 of the current implementing regulations. 34 CFR 361.42(a)(1)(i) and 361.51 of the proposed implementing regulations and associated preamble discussions. QUESTION #12 All recipients of Federal funds are required to make reasonable accommodations to make their programs accessible to individuals with disabilities. Such accommodations must not only involve making the physical site accessible but ensuring that other appropriate accommodations are provided to meet the particular training and employment needs of an individual with a disability. REFERENCES Title II of the Americans with Disabilities Act. 504 of the Rehabilitation Act. ---------- End of Document