STATE VOCATIONAL REHABILITATION SERVICES PROGRAM FY 1997 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 January, 1997 "The purposes of the Rehabilitation Act, as amended, are - to empower individuals with disabilities to maximize employment, economic self- sufficiency, independence, and inclusion and integration into society ...; and 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." TABLE OF CONTENTS Page Numbers I. Introduction i - iii II. Annual Review Guide A. Requirements 2 - 3 B. Annual Review Modules 1. Achievement of 4 - 10 employment outcomes 2. Informed choice 11 - 14 3. Minority outreach 15 - 19 4. Decisions resulting from hearings 20 - 26 conducted in accordance with due process 5. Consumer satisfaction surveys 27 - 30 and other information provided by the State Rehabilitation Advisory Council 6. Order of Selection 31 - 35 7. Budget and financial data 36 - 38 8. Reports 39 - 40 Page Numbers III. Comprehensive On-Site Review Guide A. Requirements 42 - 43 1. Phase One 44 a. Public hearings 45 - 47 b. Meeting with the State 48 - 49 Rehabilitation Advisory Council c. Visit facilities/community 50 rehabilitation programs 2. Phase Two 51 a. Developing a State VR 51 agency monitoring and technical assistance plan 3. Phase Three 52 a. Second on-site monitoring 52 visit (1) Achievement of 53 - 55 employment outcomes (2) Informed choice 56 - 58 (3) Minority outreach 59 - 61 (4) Service Record 62 - 70 Review Guide (5) Strategic plans 71 (6) Order of selection 72 - 74 Page Numbers (7) Budget and financial 75 data (8) Designated State 76 - 84 VR Unit (9) VR involvement in 85 - 91 consolidated training and employment programs IV. RSA Monitoring Continuum A. Guidelines for the Monitoring and Technical 93 - 94 Assistance Report B. How to Obtain Further Information 95 - 96 C. The Future of RSA Monitoring and 97 Technical Assistance INTRODUCTION In fulfilling the purposes of the Rehabilitation Action of 1973, as amended (the Act), the Rehabilitation Services Administration (RSA) is responsible for providing a leadership role in promoting the employment of persons with disabilities, especially individuals with severe disabilities, and in assisting the States in improving the achievement of employment outcomes. The FY 1997 Monitoring and Technical Assistance Guide is intended to provide guidance for RSA staff in the conduct of monitoring and the provision of technical assistance for the State Vocational Rehabilitation (VR) Services Program under Title I of the Act. It is also our intent to assist State VR agency management in streamlining their service delivery systems through a process of self-evaluation, to identify and promote policies and practices leading to the achievement of employment outcomes and to facilitate productive State-Federal monitoring reviews. RSA is carrying out the principles of the National Performance Review (NPR) by developing a "customer-driven" monitoring system that focuses on results. RSA's primary "customers" are individuals with disabilities, especially individuals with severe disabilities. This year's Guide continues to emphasize the "customer driven" philosophy that focuses on the achievement of employment outcomes chosen by individuals with disabilities. The State VR agencies are also important "customers" directly served by RSA. In order to meet our goal of improving the achievement of employment outcomes for eligible persons with disabilities, RSA will develop and implement performance-based partnerships with each State VR agency. How a State VR agency performs will be measured by its success in achieving its goal of providing efficient and effective services to individuals with disabilities leading to meaningful and gainful employment. We have made every effort to "streamline" the Guide while, concurrently, providing adequate guidance to RSA staff and the VR community so that they will be able to respond to the monitoring requirements contained in the Act, and the need for individuals with disabilities to become more active partners in shaping the direction of the State-Federal VR program. This year's Guide is half the size of the 1996 Guide. We have included references to the material that has been omitted, and all RSA monitoring guidance will be provided in accessible formats and through electronic means. The name and contact information for the responsible Federal officials empowered to assist our "customers" with any issue regarding the implementation of the Act is included at the end of the Guide. If a specific question pertains to another Federal program, we will assist you in locating the appropriate person regardless of which Federal agency is responsible. RSA staff are often asked what determines whether or not a specific Federal requirement is included in Monitoring and Technical Assistance Guide. RSA meets with individuals with disabilities, advocates and rehabilitation professionals throughout the year in various forums designed to solicit broad input on a range of issues and topics impacting on the current state i and the future of the VR program. Based on an analysis of this information, and through the careful use of available resources, RSA develops a monitoring strategy to focus on as many of these concerns as possible and, concurrently, to meet the requirements of the Act. The specific monitoring requirements for RSA included in the 1992 amendments to the Act, the impact of the NPR and the continuing initiatives to "streamline" the State VR service delivery systems have combined to create a need for continuous change and improvement in our monitoring and technical assistance efforts. The strategies outlined in the Guide enable RSA monitoring staff to focus their reviews on: an examination of the quality of VR services provided by the State VR agencies; the achievement of employment outcomes for persons with disabilities; and the provision of technical assistance to continuously improve State VR agency performance and compliance with the Act. Section 107 of the Act requires RSA to conduct annual reviews and periodic on-site monitoring of State 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 persons 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 persons 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. 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 VR agencies, and comprehensive on-site reviews with selected State VR agencies each year. During FY 1997 RSA will continue to review State VR agency achievement in the following focus areas: þ Achievement of Employment Outcomes; þ Informed Choice; and þ Minority Outreach. The focus areas are selected based upon an analysis of: reports and other information ii 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 may change from year to year based on the interplay of these factors. The first and third focus areas include performance indicators with which to measure performance. The indicators used last year have been modified to reflect the gradual evolution of the Evaluation Standards and Performance Indicators required by the Act, which are targeted for implementation during FY 1998. During FY 1997, the performance indicators are the primary benchmark for measuring State VR agency achievement in fulfilling the requirements of the Act. Program achievement will be reviewed by RSA and discussed with State VR agency staff. This information will be used to jointly develop with State VR agency staff a monitoring plan to explore the practices resulting in exemplary, average or sub-standard performance. Based on this monitoring plan, RSA and the State VR agency staff will discuss the specific actions to be taken to either share exemplary practices or to improve program performance. In addition to the comprehensive on-site monitoring reviews, selected on-site monitoring and technical assistance initiatives will also be planned and conducted as needed at the discretion of each Regional Commissioner. Selected on-site monitoring and technical assistance initiatives will retain maximum flexibility with regard to composition of the review team, procedures for conducting the review and reporting requirements, so as to facilitate the accomplishment of monitoring objectives. iii 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 VR agency under review and the resources available to RSA. In addition to the three focus areas: Achievement of employment outcomes; Informed choice; and Minority outreach, RSA will continue to review the following annual review requirements using the following review modules: o Decisions resulting from hearings conducted in accordance with due process; o Consumer satisfaction surveys and other information provided by the State Rehabilitation Advisory Council; o Order of selection; and o Budget and financial management data. RSA will have reviewed and approved the FY 1997 State plans and attachments and the FY Strategic Plans and updates prior to the beginning of FY 1997. The review guidance pertaining to these requirements has not changed and is contained in the FY 1996 Monitoring and Technical Assistance Guide. The requirements regarding State VR agency reporting requirements may also be found in last year's Guide. Since late and inaccurate reports continue to be a problem with a small number of State VR agencies, RSA will continue to work closely with these agencies in complying with the Federal requirements. All State VR agency policies, procedures, State plans and attachments, Strategic plans and updates, guidance materials, reports, and other information relevant to the monitoring of these requirements are reviewed on an ongoing basis by the responsible RSA State Representative. 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. Section 107 of the Act provides RSA with the necessary flexibility to determine the parameters for the annual reviews and to prevent repetitive reviews of the same material. For example, State VR agency policies and procedures that have not been significantly revised and that last year were determined to be consistent with statutory and regulatory requirements, and RSA policy guidance, are not required for review during FY 1997. Data regarding the achievement of employment outcomes and minority outreach must be reviewed during FY 1997 since this data has been updated and will form the basis for this year's monitoring. State VR agency performance and the need to follow-up previous monitoring findings will determine the scope and breadth of further review, and whether or not other State VR agency documents need to be re-reviewed. Appropriate sections of the On-Site Comprehensive Guide may be used, when necessary, during the conduct of the annual reviews. The overall goal of this monitoring strategy is to use an individualized approach with each State VR agency that employs a wide variety of monitoring and technical assistance resources depending upon the particular needs of the agency under review. 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 persons with disabilities, consistent with their strengths, resources, priorities, concerns, abilities, and capabilities, so that such persons may prepare for and engage in gainful employment. The term "employment outcome" means, with respect to a person, 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. A person 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 persons 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 persons 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 1997, 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 persons 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. Persons with disabilities achieve competitive employment commensurate with their abilities, interests and capabilities; 2. Persons with disabilities achieve employment in an integrated setting or it is clear that a non-integrated setting is chosen by the person; 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 persons obtain, maintain or advance in employment; 5. Follow-up services before closure are available, such as, regular contact with employers, the person served, the parents, family members, guardians, and advocates or authorized representatives of the person served 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 persons to maintain, regain or advance in employment consistent with the person's strengths, resources, priorities, concerns, abilities, capabilities and interests; and 8. Annual reviews of persons in extended employment settings, as well as persons in other employment settings, are conducted to determine interests and priorities of needs for persons 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. 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 preliminary FY 1995 RSA-911 data bases and other sources. Data Elements 1. Percentage of persons who achieve an employment outcome as a percentage of all persons 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) 2. Persons determined to have achieved a specific type of employment outcome as a percentage of all persons 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 persons successfully exiting the State VR program. The data consists of a table showing the number of persons achieving each employment outcome and the percentage each employment outcome represents of the total number of successful employment outcomes. 3. Persons with severe disabilities who have achieved a specific type of employment outcome as a percentage of all persons 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 2 above, but will only include persons with severe disabilities. 4. 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 outcomes+ self-employment outcomes + BEP outcomes) / Total employment outcomes 5. Percentage of employment outcomes in competitive, self or BEP employment with earnings equal to or greater than the minimum wage rate as a percentage of all individuals determined to have an employment outcome. This data element estimates the percentage of persons who achieved employment outcomes that are both in integrated, competitive settings and which achieved an earnings level at or above the minimum wage that governs most integrated competitive employment. 6. Percentage of employment outcomes in competitive, self or BEP employment for persons with severe disabilities. This data element is identical to 4 above except that only persons with severe disabilities will be included in the calculation. 7. Percentage of persons with severe disabilities who achieve employment outcomes in competitive, self or BEP employment with earnings at or above the minimum wage as a percentage of all persons who achieve employment outcomes in competitive, self, or BEP employment with earnings at or above the minimum wage. This data element attempts to look at the achievement of competitive, integrated employment outcomes with at least minimum wage earnings by persons with severe disabilities. 8. Weekly earnings at closure for persons 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. 9. The percentage of persons who have achieved a competitive, self or BEP employment outcome who earn wages equal to or greater than 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 data table will show the percentage of persons who are earning at or above the State average weekly wage at the time of closure. The Department of Labor, Bureau of Labor Statistics, is the source for the State average weekly wage. The table will include each of the three employment outcomes taken separately, and all three outcomes taken together. 10. Percentage of persons 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. These results will be shown in a table that also includes the information in data element 7 above. 11. The percentage of persons who exit the VR program in full-time competitive employment who have medical insurance available to them through their employment at closure. This data element is calculated by choosing those who work 35 hours or more in competitive employment earning at or above the minimum wage and then determining the number of this group who have health insurance available through their employment. 12. Hours worked per week for persons 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 persons 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 full-time work schedules. 13. 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 to make choices, and that persons 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 persons with disabilities; and B. Persons 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 persons 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 person that exceptional and unforeseen circumstances beyond the control of the agency preclude the agency from completing the determination within the prescribed time, and the person 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 person 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 person. 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 person with a disability. Such review procedures shall provide an opportunity to such persons 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 person 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 person. Individualized Written Rehabilitation Program The IWRP is jointly developed, agreed upon, and signed by the eligible person (or, in an appropriate case, a parent, a family member, a guardian, an advocate, or an authorized representative, of such person). 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 person). The IWRP is to include a statement by the person, in the words of the person (or family member, guardian, an advocate, or an authorized representative, of the person), describing how the person 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 person (or, in an appropriate case, the parent or guardian of the person) 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 person with a disability, or, if appropriate, by a parent, a family member, a guardian, an advocate, or an authorized representative, of such person. Unless the person with a disability requests, or, in an appropriate case, a parent, a family member, a guardian, an advocate, or an authorized representative, of such person 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 person 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 persons with disabilities to become active decision makers in the rehabilitation process. REVIEW GUIDE Reviews of Relevant Policies, Procedures and Guidance A. Review the following FY 1997 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 State VR 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 FY 1996 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 FY 1996 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 person'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 person describing how the person 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. 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 FY 1996 Monitoring and Technical Assistance Guide) 3. MINORITY OUTREACH COMPLIANCE CITATIONS101(a)(11), (15)(D), (20), 105(c)(3), the Act; 34 CFR 361.31(a)(2); 361.38 & 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 persons with disabilities from minority backgrounds. The statute requires the State VR agencies to conduct continuing statewide studies to determine the current needs of persons 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 persons 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 persons 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 persons with disabilities who are from minority backgrounds? B. What plans, policies, and procedures related to strategies to reach persons 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 persons 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 persons 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 persons 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 persons 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 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. 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. Due to geographic disparities in ethnic populations, it may be appropriate for the Regional Office State Representative to consult with State VR agency staff during this analysis. A. The following data analysis plan is based on information compiled from the RSA-911 and other sources. Data Elements 1. Rehabilitation rates for persons from minority backgrounds and persons from non-minority backgrounds. Using FY 1995 data, compare the rehabilitation rate for persons with disabilities from minority backgrounds with the rehabilitation rate of persons from non-minority backgrounds using the following formula: 26 / (26 + 28) 2. 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. In examining costs, factor in the use of comparable services and benefits. 3. 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 persons 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 person 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 person 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 person 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 person. 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 person'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 person 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 persons 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 person'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 person'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 person'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 person'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 person'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 person 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 a sample of 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 persons, 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 person 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 person 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 persons 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, disability, and other groups covered by State law? 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. 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 persons 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: o current/former applicants for, or recipients of, VR services; o parents, family members, guardians, advocates or authorized representatives of persons with disabilities who have difficulty representing themselves, or are unable to do so due to their disabilities; o the Director of the State VR agency (ex officio member); o representatives of disability advocacy groups representing a cross section of persons with disabilities; o 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); o at least four representatives of business, industry and labor; o 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 persons 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 and 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 persons 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. a review and analysis of the recommendations from the survey of consumer satisfaction 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" 6. ORDER OF SELECTION COMPLIANCE CITATIONSections 101(a)(5)(A), 7(15)(A), & 105(c)(1)(A), the Act 34 CFR 361.36 REQUIREMENTS Prior to the beginning of each fiscal year, each State VR agency determines whether to establish and implement an order of selection. In making this determination, agencies must consult with and seriously consider the advice of the Council. A. An agency that does not establish an order of selection must assure that it will provide a full range of VR services, as appropriate, to all eligible persons with disabilities in the State. This assurance and other information are provided in State plan attachment 3.9(b)(1) or 3.9(b)(2) (Methods by Which the Agency Will Serve All Eligible Individuals). 1. Attachment 3.9(b)(1) is completed by agencies that, during the current and preceding fiscal years, have provided all needed vocational rehabilitation services to all eligible persons; made referral forms widely available throughout the state; conducted outreach activities; and did not delay eligibility determinations, development of IWRPs, or provision of services to persons with IWRPs. In general, 3.9(b)(1) consists of a) an assurance statement that, during the current and preceding years, the agency met the requirements stated above; and b) a narrative explanation, of the agency's own choosing, that describes the agency's continuing ability to serve all eligible persons. Specific content requirements can be found in the State plan instructions for 3.9(b)(1) and at 34 CFR 361.36(a)(1)(i) and (a)(2). 2. Attachment 3.9(b)(2) is completed by agencies that during the current or preceding fiscal year, either provided services under an order of selection; OR were not on an order but delayed or suspended services due to lack of fiscal or personnel resources; OR were not on an order and served all eligible persons, but were able to do so by not meeting other program requirements related to wide availability of referral forms, outreach activities, and timely eligibility determinations, development of IWRPs, and provision of services. In general, 3.9(b)(2) consists of a) comparisons of cost and resource data for the coming fiscal year and for the current and preceding years that illustrate the changed circumstances that will allow the agency to serve all eligible persons, and b) a demonstration that, with those changed circumstances, resources for the coming year are adequate to allow the agency to serve eligible persons and meet all program requirements. Specific content requirements can be found in State plan instructions for 3.9(b)(2) and at 34 CFR 361.36(a)(1)(i) and (a)(3). B. A State VR agency that establishes and implements an order of selection must serve first those persons with the most severe disabilities, according to criteria that are established by the State VR agency and that are consistent with the definition of "individual with a severe disability." State VR agencies implementing an order of selection must develop State plan attachment 3.9(c) (Order of Selection for Services) that includes the order to be followed in selecting eligible persons for services, a definition of "individuals with the most severe disabilities," a justification of the order, and outcome and service goals for each priority category. State agencies on an order of selection must also: (a) implement the order on a statewide basis; (b) notify all eligible persons of their assignment to a particular priority category and their right to appeal this assignment; (c) assure continuity of services to all persons who were receiving services under an IWRP prior to the effective date of the order; (d) assure that funding arrangements are consistent with the order of selection; and (e) consult with the Council on priority categories, the definition of "individuals with most severe disabilities," and administration of the order. Note that for FY 1997, the State plan attachment related to order of selection is renumbered to 3.9. REVIEW GUIDE Annual review activities will vary depending upon whether the State VR agency is or is not implementing an order of selection. Review activities may also vary based on the extent to which the final order of selection regulations, issued in May 1996, required changes in agency policies, procedures, guidance, and State plan attachments. For VR agencies serving all eligible persons. A. Review State plan attachment 2.5(f)(A) for the Council's advice related to the decision not to implement an order of selection, and the agency's response. B. Review State plan attachment 2.5(a)(A) for any public comments related to the decision not to implement an order of selection or to the agency's capacity to serve all eligible persons in a timely and appropriate manner, and the agency's response to such comments. C. Review State plan attachment 3.9(b) (Methods by Which the Agency Will Serve All Eligible Individuals) to assure that the agency submitted the appropriate attachment (either (b)(1) or (b)(2)), that the attachment meets appropriate information requirements, and that the information provided is consistent with other known information about the agency's ability to serve all eligible persons. For attachment 3.9(b)(1): 1. Assure that the information meets the requirements found in State plan instructions for 3.9(b)(1). 2. Based on any information related to order of selection that may be included in attachments 2.5(a)(A) and 2.5(f)(A), determine the extent to which advocates, consumers, CAP, the Council, and others agree with the assurance statement in attachment 3.9(b)(1). 3. Determine whether the narrative explanation in attachment 3.9(b)(1) is consistent with other known information about the agency's fiscal and personnel resources, streamlining initiatives, cost-saving strategies, or any other efforts at more effective program administration. For attachment 3.9(b)(2): 1. Assure that the information meets the requirements found in State plan instructions for 3.9(b)(2). 2. Determine the extent to which the information provided in the attachment is: a) consistent with known fiscal and personnel resource data and program initiatives; and b) supports the agency's decision not to implement an order of selection. For VR agencies implementing an order of selection. A. Review State plan attachment 2.5(f)(A) for indications that the agency has consulted with the Council on the decision to implement an order of selection, the priority categories, the definition of "individuals with most severe disabilities," and administration of the order. B. Review State plan attachment 2.5(a)(A) for any public comments related to the decision to implement an order of selection, the content of the order, and administration of the order, and the agency's response to such comments. C. Review State plan attachment 3.9(c) (Order of Selection for Services) to assure that: 1. The attachment includes the order to be followed in selecting eligible persons for services, a definition of "individuals with the most severe disabilities," a justification of the order, and a description of the outcome and service goals for each priority category. 2. The definition for "individuals with the most severe disabilities" and the priority categories are based on severity of disability, i.e., the number and degree of the person's functional limitations to an employment outcome that require multiple VR services over an extended period of time. 3. The priority categories use only criteria that are related to severity and are not based on any other factors, including any duration of residency, age, gender, race, color, creed, national origin, type of disability, type of expected employment outcome, specific services or the cost of services, and family/person income level. NOTE: Order of selection priority categories apply only to eligible persons. Agencies that serve only persons who are blind and visually impaired and agencies that serve only American Indians with disabilities may define the term "eligible individual" in their attachment and then use the term "eligible individuals" when describing order of selection priority categories. Agencies serving persons who are blind and tribal VR agencies cannot use factors such as levels of visual acuity, tribal affiliation, or any other prohibited factors when describing priority categories. 4. Persons with the most severe disabilities are selected for services before all other persons, and all eligible persons can be assigned to a priority category. 5. Policy statements uphold continuity of services for persons under an IWRP prior to implementation of an order of selection and for persons selected for services under an order. D. Verify that the State VR agency has policies and procedures related to notifying eligible persons about their assignment to a particular priority category and their right to appeal this assignment. E. For agencies whose priority categories and order of selection policies were affected by publication of the final order of selection regulations, determine whether the State VR agency has revised any guidance related to implementing the order of selection, especially guidance pertaining to determining severity of disability. RELEVANT RSA POLICY ISSUANCES 34 CFR 361.36 Order of Selection Final Regulations, published in the FEDERAL REGISTER, May 14, 1996 CM-96-16, May 30, 1996, "Transmittal of Regional Identical Memorandum: Instructions for Preparation and Submission of State Plan Assurance and Attachment 3.9" CM-96-14, May 8, 1996, "Analysis of State Plan Attachment 9.3(c)(A), Order of Selection for Services" CM-96-13, May 8, 1996, "Technical Assistance on Developing an Order of Selection for State VR Agencies Serving Individuals Who Are Blind and Visually Impaired" CM-96-10, April 11, 1996, "State VR Agencies on a Order of Selection as of April 1, 1996" 7. 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 1996 are less than they were in 1994, the State has a maintenance of effort deficit, and the State's allotment in 1997 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 1996 and FY 1996. B. Carryover - Assure that the reported FY 1995 and the reported FY 1996 matching funds were sufficient to allow carryover of Federal funds into FY 1996 and FY 1997 respectively. C. Set Aside - Assure that the State VR agency has reported at least 1.5 percent of its FY 1995 and FY 1996 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 1995 and FY 1996 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 1995 and FY 1996. 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 1993 and FY 1995 to assure that the State has met the maintenance of effort requirement for FY 1995. Compare the most recent or final Financial Status Reports (General and Blind or Combined) for FY 1994 and FY 1996 to assure that the State has met the maintenance of effort requirement for FY 1996. 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 FY 1996 Monitoring and Technical Assistance Guide. 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 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" 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. Comprehensive on-site monitoring will be conducted in three phases. The first phase will include information gathering visits with the State VR agency and the public hearings required by law. During the second phase, RSA, in coordination with the State VR 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. 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. 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. 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 persons 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 1997 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. Persons 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 1997 monitoring focus areas, general rehabilitation concerns, needs, strengths, etc. D. Inform participants that if they wish to speak to the RSA representative privately regarding an issue inappropriate in a public forum, they may arrange this meeting after the public hearing. E. 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 27 - 30. 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 1997 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 1997 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 a sample of service records. C. monitor the implementation of certain State plan assurances. D. review the implementation of selected cooperative agreements. E. meet with staff from 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. The findings from the annual reviews, public hearings and other reviews conducted off-site may be discussed at this time. As appropriate and feasible after consulting with the State VR agency, meet with persons with disabilities who have applied for and/or received services from the State VR agency. The meetings may include persons whose service records were part of the service record review sample, or who received services from counselors interviewed during Phase 1. An exit conference to discuss preliminary findings concludes the on-site review. The Federal and State VR agency review team members and key State VR agency staff should be present at the exit conference. Broader participation by the State VR agency staff may affect the issues discussed at this conference. ACHIEVEMENT OF EMPLOYMENT OUTCOMES REQUIREMENTS Review the findings of the "Achievement of Employment Outcomes" module contained in the Annual Review Guide on pages 4 - 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 persons 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 persons 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 persons with disabilities to achieve employment outcomes? 4. What changes in Federal laws, regulations or policies would assist you in achieving more employment outcomes for persons 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 persons with disabilities? 6. What changes in State VR agency policies and procedures would result in more success in achieving employment outcomes for persons 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 persons with disabilities? 8. Are the cooperative agreements with other programs who provide job placement services for persons 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 persons with disabilities? B. Interview employers or members of the agency's Business Advisory Council, if applicable. Suggested Questions for Employers 1. What do you think are the key factors to assist persons with disabilities achieve employment outcomes? 2. Does it appear to you that State VR counselors understand these key factors? 3. Describe any exemplary State policies and/or procedures which result in improved achievement of employment outcomes for persons with disabilities. 4. Describe any significant barriers in the State policy and procedures which prevent the State VR agency from being more successful in achieving employment outcomes for persons with disabilities. 5. Describe how the State VR agency or its counselors can 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 input on policy decisions regarding job placement activities? 2. Have you hired persons served by the State VR agency? Have you provided feedback to the State VR agency to assist them improve the achievement of employment outcomes? 3. Describe how the State VR agency can improve its ability to assist more persons to achieve competitive employment. C. Review the cooperative agreements with other programs who provide job placement services for persons with disabilities served by the State VR 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 State VR agency counselors and supervisory staff have been informed about the implementation of informed choice requirements. C. Review the methods used by the State VR 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 persons with cognitive or other disabilities who may require additional support and assistance to fully implement informed choice. C. How do State VR agency service policies help or hinder you in implementing informed choice? 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 State VR agency policies and procedures related to choice? To what extent has input provided by CAP been incorporated into State VR 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 State VR 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 State VR 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 the State VR 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 - 19 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 persons 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 persons 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 persons 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 persons 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 persons 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 persons 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 persons 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. In order to facilitate the development and implementation of an efficient and effective service delivery system, the Service Record Review Guide (SRRG) focuses on the statutory requirements identified as essential to the rehabilitation process and the achievement of meaningful and gainful employment. In addition to these requirements, the State VR agencies are responsible for maintaining compliance with all casework documentation requirements contained in the Act. Rather than emphasizing the evidence of compliance in each service record, RSA will integrate the findings from the annual reviews and the service record reviews to develop and implement performance-based partnerships with each State VR agency. 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. In the interest of streamlining service delivery and increasing the achievement of employment outcomes, it may be appropriate to include qualified reviewers from the SRAC, other State VR agencies or members of the rehabilitation community as members of the review team. RSA and State VR agency staff may also jointly reviewed a sample of the same service records to foster a consistent interpretation of Federal casework requirements, and how the State VR agency was fulfilling those requirements. 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. 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 persons referred to the State VR 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 persons who successfully achieved an employment outcome; o closed service records of persons who did not successfully achieve an employment outcome, after an eligibility determination and service provision; o closed service records of persons 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. The Service Record Review Instrument provides the reviewers with a common framework to examine 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 many instances, such as with questions regarding the development of the IWRP, case notes and the results of assessments, evaluations and medical documentation will also need to be reviewed. 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 person's informed choice and joint development of the IWRP, the service record of an person 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 person was used in developing the IWRP. The instrument is divided into four sections, each of which are applicable to certain service records. during the orientation to the SRRG, the team leader may emphasize which sections of the instrument need to be completed for the specific service records to be reviewed. 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 RESPONSE SHEET State Agency:______________ Service Record Number:____________Status:______ Review Date:_______________ Reviewer:____________________________ 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 person? Section 2(a)(4) and (6); Section 2(b)(1); Section 102(b)(1) YES NO - substantially provided YES NO - contributed significantly Comments:___________________________________________________ _________ ____________________________________________________________ __________ 2. That the work achieved is competitive in an integrated setting and/or is the choice of the consumer? Section 101(a)(16)(A)(i) and Section 102(b)(1)(B)(x) YES NO - competitive/integrated YES NO - person's choice Comments:___________________________________________________ _________ ____________________________________________________________ __________ 3. That the need for post-employment services was reassessed prior to service record closure; and, if post-employment services appeared to be necessary, was a plan for such services developed? Section 102(b)(1)(B)(vi) and Section 102(b)(2) YES NO - post-employment need reassessed YES NO N/A - post-employment plan developed Comments:___________________________________________________ _________ ____________________________________________________________ _________ 4. That the person was involved in the decision to close the service record and the person's views were stated? Section 102(b)(2) YES NO - person involved YES NO - views stated Comments:___________________________________________________ _________ ____________________________________________________________ _________ II. IWRP Does the service record show... 1. That the IWRP was jointly developed and agreed upon by the person 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) YES NO - jointly developed YES NO - agreed upon Comments:___________________________________________________ _________ ____________________________________________________________ _________ 2. That it is clear that the person 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) YES NO - goals/objectives YES NO - services YES NO - service providers Comments:___________________________________________________ _________ ____________________________________________________________ _________ 3. That the Vocational goal and IWRP objectives and services were based on the person'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); Section 102(b)(1)(A)(i); and Section 102(b)(1)(B)(ii-iv, vii and xv) 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. That comparable services and benefits were considered and utilized as appropriate? Section 101(a)(8) YES NO NA - considered YES NO NA - utilized Comments:___________________________________________________ _________ III. ELIGIBILITY Does the service record show... 1. That the eligibility determination was made within 60 days of the date of application or the person agreed to an extension? Section 102(a)(5)(A) YES NO - eligibility within 60 days YES NO N/A - agreement on extended time frame Comments:___________________________________________________ _________ ____________________________________________________________ _________ 2. Evidence of a physical or mental impairment which for the person constitutes or results in a substantial impediment to employment? Section 7(8)(A)(i); Section 7(26)(A) YES NO - impairment YES NO - substantial impediment Comments:___________________________________________________ _________ ____________________________________________________________ _________ 3. Evidence that the person requires vocational rehabilitation services to prepare for, enter, engage in, or retain gainful employment? Section 102(a)(1)(B) YES NO - requires VR services Comments:___________________________________________________ _________ ____________________________________________________________ _________ Respond to item 4 only if the State 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) YES NO N/A - service provision in accordance with OOS Comments:___________________________________________________ _________ ____________________________________________________________ _________ IV. OTHER CLOSURES (Did Not Achieve an Employment Outcome) Does the service record show... 1. That the ineligibility decision was made within 60 days or the person agreed to an extension? Section 102(a)(5)(A)(i) YES NO N/A - ineligibility within 60 days YES NO N/A - agreement on extended time frame Comments:___________________________________________________ _________ ____________________________________________________________ _________ 2. That when the issue concerns the severity of disability, an extended evaluation is provided and there is clear and convincing evidence that the person is incapable of benefiting from VR services in terms of achieving an employment outcome? Section 102(a)(4)(A) YES NO N/A - extended evaluation provided YES NO N/A - clear and convincing evidence Comments:___________________________________________________ _________ ____________________________________________________________ _________ 3. A rationale for closure of persons who did not achieve an employment outcome? Section 102(a)(6) and 102(b)(1)(B)(xi)(1) YES NO N/A - rationale for closure Comments:___________________________________________________ _________ ____________________________________________________________ _________ 4. That the person was given written notification of the appeal process, rights and remedies available and CAP services? Section 102(a)(1)(6)(B) and (C) YES NO N/A - appeals process YES NO N/A - rights and remedies YES NO N/A - CAP Comments:___________________________________________________ _________ ____________________________________________________________ _________ 5. That the person was notified in writing of service record closure? Section 102(b)(2)(c) YES NO N/A - person 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 State VR 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 persons throughout the State, and other available information to identify suggestions for new or modified strategic plan activities. C. Ensure that the State VR agency has implemented the activities proposed in its plan within the time-frame identified. D. Ensure that the State VR 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 persons with disabilities, disability organizations, rehabilitation professionals, and other interested persons, in accessible formats. ORDER OF SELECTION REQUIREMENTS State VR agencies that are serving all eligible persons must be able to provide assessment services to all applicants and the full range of services, as appropriate, to all eligible persons; make referral forms widely available throughout the State; conduct outreach efforts to identify and serve unserved or underserved persons; and provide timely determinations of eligibility, development of IWRPs, and provision of services for persons for whom IWRPs have been developed. Whenever changed circumstances indicate that the State VR agency may no longer be able to serve all eligible persons, the agency must reevaluate the need for an order of selection. State VR agencies implementing an order of selection must a) follow an order of selection that serves first those persons with the most severe disabilities; b) implement the order on a statewide basis; c) notify all eligible persons of their assignment to a particular priority category and their right to appeal this assignment; (d) assure continuity of services to all persons who were receiving services under an IWRP prior to the effective date of the order; (e) assure that funding arrangements are consistent with the order of selection; and (f) consult with the Council on administration of the order. REVIEW GUIDE The following guidelines are suggested for determining appropriate implementation of program requirements related to order of selection. The guidelines vary depending upon whether or not a State VR agency is on an order of selection. The suggested guidelines are related to potential issues about order of selection that may arise during review of State plan attachments 3.9(b) or (c), 2.5(a)(A), and 2.5(f)(A) and review of State VR agency policies, procedures, and guidance materials; during public hearings, meetings with the Council and CAP, interviews with counselors and other State VR agency personnel; or by other means prior to the on-site monitoring visit. A. For State VR agencies serving all eligible persons: 1. Review reports of complaints/appeals; statistical reports that show the movement of persons through the program; consumer satisfaction surveys; or any other relevant information that provides evidence that the application and eligibility determination process and the provision of services have occurred without inappropriate delays or interruptions, especially delays or interruptions resulting from lack of fiscal and/or personnel resources. 2. Determine that the State VR agency is conducting outreach activities. Is there any evidence that applications are not available throughout the State? 3. Review information provided by the State VR agency to the Council about the decision not to implement an order of selection and the advice provided by the Council to the agency. 4. During review of service records, note any inappropriate delays in determining eligibility, developing IWRPs, and providing VR services and determine whether such delays were caused by lack of fiscal and/or personnel resources. 5. If the State VR agency submitted Attachment 3.9(b)(2) and if review of financial data is conducted, is the information consistent? 6. Are there any indications that the availability of fiscal and personnel resources changed during the current/past fiscal year? If so, did the State VR agency reevaluate the need for an order of selection? If so, what were the results of the reevaluation? Did the agency consult with the Council on the reevaluation and what were the results? In summary, the purpose of the review activities is to determine whether, in practice, the State VR agency served all eligible persons in a timely and appropriate manner while meeting other program requirements, especially requirements related to wide availability of applications and implementation of outreach activities. B. For State VR agencies on an order of selection: 1. Review relevant guidance materials related to the order of selection, especially information related to determining severity of disability, to determine whether the materials are consistent with program requirements. 2. Review service records for documentation supporting decisions related to determining severity of disability, the extent to which severity determinations are consistent with program requirements, and for timely and appropriate provision of services to persons selected for services. 3. Review State VR agency policies/procedures for notifying all eligible persons of their assignment to a particular priority category and their right to appeal that assignment. Review decisions resulting from such appeals, if any, and subsequent actions taken by the agency. 4. Review information provided by the State VR agency to the Council about order of selection and the resulting advice provided by the Council to the agency, especially any advice related to administration of an order of selection. 5. Review cooperative agreements to determine the extent to which they are consistent with the State VR agency's order of selection, especially the extent to which they focus on identifying and serving persons with the most severe and severe disabilities. In summary, the purpose of the review activities is to determine that the State VR agency is administering the order of selection in a manner that meets statutory and regulatory requirements. 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), a copy of which is contained in the FY 1996 Monitoring and Technical Assistance Guide, will be used during this review. 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 withdisabilities? (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? 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 (g) allocation of staff and funds? (h) human resource development? (i) management information systems? (j) fiscal and statistical reports? 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? 5(g). YES NO 5(h). YES NO 5(i). YES NO 5(j). YES NO 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. 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? 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 A. 101(a)(2)(A)(i) of the Act B. 34 CFR 361.6(b)(1) of the current implementing regulations C. 34 CFR 361.13(b)(1) of the proposed implementing regulations and the associated preamble discussion D. PD-96-02, November 7, 1995 "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" E. PQ-85, December 1, 1977, "Policy Clarification Issued July 22, 1977, Regarding "All or Substantially All Full Time Staff" F. PQ-260, May 20, 1981, "Policy Interpretation on Definition of Vocational and Other Rehabilitation of Handicapped Individuals" G. RSA Memorandum, May 11, 1967, "Organizational Level of State Rehabilitation Programs for the Blind" I. PI-75-31, June 3, 1975, "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended" J. PI-77-26, July 26, 1977, "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended" (Amends PI-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 A. 1(a)(2)(A)(i) of the Act B. CFR 361.5(e) and 361.6(a)(2) and (b)(1) of the current implementing regulations C. CFR 361.13(c) of the proposed implementing regulations and associated preamble discussion D. PI-75-31, June 3, 1975, "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended" E. PI-77-26, July 26, 1977, "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended," (Amends Program Instruction 75-31) F. PQ-47, March 23, 1977, "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 A. 1(a)(2)(A)(i) and (ii) of the Act B. CFR 361.6(b)(1) and (2), and 361.8 of the current implementing regulations C. CFR 361.13(b)(1)(i) and (ii) of the proposed implementing regulations and the associated preamble D. CFR 401.8, 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 A. 1(a)(2)(A)(iii) of the Act B. CFR 361.6(b)(3) of the current implementing regulations C. CFR 361.13(b)(1)(iii) of the proposed implementing regulations and associated preamble D. PI-75-31 (see above) E. PI-77-26 (see above) F. PQ-85 (see above) 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 A. 101(a)(2)(B)(i) of the Act B. 34 CFR 361.6(c) of the current implementing regulations C. 34 CFR 361.13(b)(iv) of the proposed implementing regulations D. PI-75-31 (see above) 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? 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. 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? 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? 8. YES NO 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 A. 111(a)(1) of the Act B. 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 A. 101(a)(1) and (2) of the Act B. 34 CFR 361.5 of the current implementing regulations C. 34 CFR 361.13 of the proposed implementing regulations D. PQ-47, March 23, 1977, "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 A. 101(a)(1) and (2) of the Act B. 34 CFR 361.5 of the current implementing regulations C. 34 CFR 361.13 of the proposed implementing regulations D. 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 A. 101(a)(1) and (2) of the Act B. 34 CFR 361.5 and 6 of the current implementing regulations C. 34 CFR 361.13 of the proposed implementing regulations D. PI-75-31, June 3, 1975, "RSA Policy Statement on Interpretation of State VR Organizational Requirements of the Rehabilitation Act, as amended" E. PI-77-26, July 26, 1977, "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 A. 101(a)(8) of the Act B. 34 CFR 361.47(b) of the current implementing regulations C. 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: A. 34 CFR 361.13 of the current implementing regulations B. 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 A. 34 CFR 361.49 of the current implementing regulations B. 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 A. 103(a) of the Act B. 34 CFR 361.45 of the current implementing regulations C. 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 A. Title II of the Americans with Disabilities Act B. 504 of the Rehabilitation Act RSA MONITORING CONTINUUM GUIDELINES FOR THE MONITORING AND TECHNICAL ASSISTANCE REPORT The following is the outline for the monitoring report to be sent to the State VR agency director within 30 days following the conclusion of the comprehensive on-site monitoring review. This report format may also be used for reports following annual and other periodic reviews of the VR program. The Regional Commissioner will determine the necessity of a draft report and, in appropriate cases, such as the absence of findings requiring corrective actions, may wish to issue only the final report. A copy of the final monitoring report will be provided to the RSA Monitoring Unit by cc:Mail no later than October 31, 1997. Executive Summary A. Description of the FY 1997 review process and focus areas. B. Brief overview of significant findings regarding State VR agency accomplishments with regard to the FY 1997 focus areas; a description of exemplary policies and practices; technical assistance provided; and the need for additional 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: public hearings; analysis of State VR agency performance data; interviews; consumer satisfaction surveys; service record reviews; meetings; etc. - Describe technical assistance provided and any exemplary policies or practices that may be useful to other State VR agencies. V. Recommendations - Specific recommendations for technical assistance and the need for corrective action plans. HOW TO OBTAIN FURTHER INFORMATION The RSA Monitoring and Technical Assistance Guides, policy directives and technical assistance documents, are available in various formats on the RSA Bulletin Board System (BBS). The FY 1997 Guide, as well as the Guides published during the past several years, may be found in the 'MONITORG' library. The RSA policy directives are located in the 'POL-DIR' library. File names for the Guide are "GUIDE97.TXT" for ASCII and "GUIDE97.WP5" for the Word Perfect format file. 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. Additional RSA monitoring guidance may be found in the Monitoring and Technical Assistance Guides for FY's 1995 and 1996. This information may be useful to State VR agency management in either conducting a self-assessment or in preparing for Federal monitoring. The following modules, not included herein, may be found in the two previous Guides: FY 1995 Eligibility/ineligibility Individualized Written Rehabilitation Plan Meetings with rehabilitation counselors and other State VR agency personnel FY 1996 Strategic plans and updates State Plan Checklist Strategic Plan Checklist State Agency Financial Administration Review Instrument (SAFARI) You may also obtain more information regarding the Rehabilitation Services Administration by visiting the Department of Education's home page on the World Wide Web at http://www.ed.gov. The Rehabilitation Services Administration is located within the Department of Education's Office of Special Education and Rehabilitative Services and plans to develop its own home page during FY 1997. The RSA Regional Commissioners and Regional Office State Representatives are available to answer questions regarding any of the programs funded under the Rehabilitation Act, as amended. The information necessary to contact the Regional Commissioners is as 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. 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 Dr. Douglas Burleigh RSA Regional Commissioner 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: 1-816-891-0985 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 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 THE FUTURE OF RSA MONITORING AND TECHNICAL ASSISTANCE RSA is committed to playing a leadership role in promoting the employment of persons with disabilities, especially persons 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 VR agency personnel, persons with disabilities and their parents and other representatives, and interested members of the public. Monitoring findings are used by the RSA Commissioner to manage the VR program, determine the need for training and to recommend changes to legislation impacting on persons with disabilities, and to report to the President and to the Congress. If you have any recommendations for improving the Guide, or would like further information pertaining to its use, please contact the RSA Monitoring Unit at: Rehabilitation Services Administration RSA Monitoring Unit Mary Switzer Building 330 C Street, S,.W., Room 3216 Washington, D.C. 20202-2735 Voice : (202) 205-9346 FAX : (202) 205-9340 TDD : (202) 205-9295 INTERNET : Judy_Tynes@ED.GOV Jerry_Elliott@ED.GOV Charles_Sadler@ED.GO