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Policy & Procedures Manual April 2016
TABLE OF CONTENTS
1. MISSION
1.1 INFORMED CHOICE
2. CASELOAD MANAGEMENT
2.1 CASE MANAGEMENT SYSTEM (CMS)
2.2 CASE STATUS AND PROGRESSION
2.3 FISCAL MANAGEMENT
2.4 CASE DOCUMENTATION
2.5 CASE REVIEW PROCESS
2.6 CASE TRANSFER
2.7 ARCHIVING OF CASE FILES
3. OUTREACH, REFERRAL AND APPLICATION PROCESS
3.1 OUTREACH
3.2 REFERRALS
3.3 INFORMATION AND REFERRAL
3.4 APPLICATION PROCESS
4. ELIGIBILITY DETERMINATION
4.1 TIMEFRAMES FOR DETERMINING ELIGIBILITY
4.2 CRITERIA FOR ELIGIBILITY
4.3 DISABILITY TOO SEVERE
4.4 INFORMATION REQUIRED FOR ELIGIBILITY
4.5 CONDITIONS NOT AFFECTING ELIGIBILITY
4.6 DETERMINATION OF VISUAL IMPAIRMENT
4.7 PRIORITY CATEGORIES UNDER ORDER OF SELECTION
4.8 CHOOSING A PRIORITY CATEGORY
4.9 IMPLEMENTATION OF ORDER OF SELECTION
4.10 INELIGIBILITY DETERMINATION
4.11 CLOSURES WITHOUT ELIGIBILITY DETERMINATION
4.12 INELIGIBILITY “TOO” SIGNIFICANTLY DISABLED
5. APPROPRIATE ASSESSMENT ACTIVITIES
5.1 ASSESSMENT ACTIVITIES
5.2 BENEFITS COUNSELING
6. TRANSITION
6.1 DEFINITIONS
6.2 COOPERATIVE PROGRAMS
6.3 TRANSITION METHODS
7. REHABILITATION SERVICES
7.1 GENERAL INFORMATION
7.2 COMPARABLE BENEFITS (CFR361.53)
7.3 PARTICIPATION IN COST OF SERVICES (CFR361.54)
7.4 AGENCY’S RESPONSIBILITIES
8. INDIVIDUALIZED PLAN FOR EMPLOYMENT (IPE)
8.1 IPE
8.2 MANDATORY IPE PROCEDURES
8.3 MANDATORY IPE COMPONENTS
8.4 MANDATORY INFORMATION FOR CONSUMERS
8.5 SSATICKET TO WORK
8.6 SSA REIMBUSEMENT INCENTIVE PROGRAM
8.7 ADMENDMENTS TO IPE
8.8 ANNUAL REVIEW OF THE IPE
9. PLACEMENT IN SUITABLE EMPLOYMENT
9.1 PLACEMENT
9.2 TYPES OF EMPLOYMENT
9.3 POSITIVE EMPLOYMENT OUTCOME
10. SUPPORTED EMPLOYMENT
10.1 SUPPORTED EMPLOYMENT
10.2 DEFINITIONS
10.3 ELIGIBILITY REGUIREMENTS
10.4 FUNDING
10.5 VENDORS
10.6 PROCEDURES
10.7 SUPPORTED EMPLOYMENT IPE
10.8 SE POST-EMPLOYMENT SERVICES
11. CASE CLOSURES
11.1 SUCCESSFUL EMPLOYMENT CLOSURES
11.2 EMPLOYMENT GOAL CHANGED TO HOMEMAKER (take out)
11.3 OTHER SUCCESSFUL OUTCOMES (take out)
11.4 UNSUCCESSFUL CLOSURES
11.5 RE-APPLICATION
12. POST EMPLOYMENT
12.1 STANDARDS FOR PROVISION
12.2 PROCEDURES
13. APPEAL RIGHTS
13.1 APPEAL RIGHTS
13.2 ADMINISTRATIVE REVIEW
13.3 MEDIATION PROCESS
13.4 IMPARTIAL HEARING PROCESS
13.5 CLIENT ASSISTANCE PROGRAM (CAP)
14. CONFIDENTIALITY
14.1 INTERNAL PROCEDURES FOR RELEASE
14.2 COMMUNICATION OF POLICIES/PROCEDURES
14.3 INFORMATION FROM OTHER SOURCES
15. PROFESSIONAL STANDARDS
15.1 PERSONNEL DEVELOPMENT
15.2 CERTIFIED REHABILITATION COUNSELOR
15.3 RSA PERFORMANCE STANDARDS
16. PROGRAMS/SERVICES UNIQUE TO OFB
16.1 BIOPTIC DRIVING
16.2 CHARLES W. McDOWELL REHABILITATION CENTER
16.3 DEAF-BLIND
16.4 INDEPENDENT LIVING
16.5 KY BUSINESS ENTERPRISES
16.6 ORIENTATION AND MOBILITY
16.7 REHABILITATION TECHNOLOGY
17. COMMUNITY REHABILITATION PROGRAMS
17.1 GENERAL INFORMATION
17.2 COMPREHENSIVE VOCATIONAL ASSESSMENT
17.3 ASSESSMENT SERVICES
17.4 ADJUSTMENT SERVICES
18. OTHER TRAINING AND EMPLOYMENT PROCEDURES
18.1 VOCATIONAL AND POST-SECONDARY TRAINING
18.2 ON-THE-JOB TRAINING (OJT)
18.3 WORK EXPERIENCE AND WORK ADJUSTMENT
18.4 SELF-EMPLOYMENT
18.5 COMMUNITY BASED WORK TRANSITION
1. MISSION
The Office for the Blind, an agency within the Department for Workforce Investment, Education and Workforce Development Cabinet, mission is to provide opportunities for employment and independence to individuals who are blind or visually impaired.
1.1 INFORMED CHOICE
Consumers are assured the right to choose providers and services. Information and support services will be available to assist consumers in exercising their right of informed choice from the initial assessment throughout the entire vocational rehabilitation process.
A Consumer Handbook, which includes an explanation of informed choice as well as appeal rights, will be provided at the time of application to assist with making choices. The Client Assistance Program (CAP) is available for additional assistance and advocacy during the entire rehabilitation process. More information regarding CAP is contained in the Consumer Handbook.
An Individualized Plan for Employment (IPE) shall be developed and implemented in a manner that offers the consumer the opportunity to exercise informed choice in selecting an employment outcome, the specific vocational rehabilitation services to be provided under the plan, the entity that will provide the vocational rehabilitation services, and the methods used to procure the services.
Information and assistance in the selection of vocational rehabilitation services and service providers will be available to consumers. Counselors will work extensively with consumers to search out resources available for services and will include the following factors; cost, accessibility, duration of potential services, customer satisfaction, qualification of service providers, types of services offered, and outcomes achieved by consumers working with these providers. Services will be provided in an integrated setting.
2. CASELOAD MANAGEMENT
Caseload Management is a skill that must be learned and continuously refined. Organization is the key factor that results in successful management. The counselor and the assistant are responsible for outreach, referrals, and the application process (Section 3). It is imperative to take enough applications, make timely eligibility decisions, and keep caseload size large enough to produce required future positive employment outcomes. It is recommended that the counselor/assistant team actively monitor their caseload monthly and be aware of the case flow. Four techniques to manage pro-actively are; (1) monitor the number of applicants, accepted cases, and closure rate. A rule of thumb would be that an average of 5 applications and 3 accepted cases per month are needed to generate the required positive employment outcomes (2) provide or arrange the services needed for the consumer to progress, (3) monitor caseload budget and (4) adequately plan time for all the various components, such as job placement activities, case documentation, etc. It is important to anticipate the individual and unique needs of the consumer, the requirements of the agency and budgetary restraints, and to plan accordingly.
The counselor is responsible for organizing collected data and monitoring the movement of cases as they progress through the various phases of the rehabilitation process. The Case Management System (CMS) will assist the counselor in monitoring the progression of the cases. Counselors can use Crystal Reports to generate a current picture about their own caseload. Crystal Reports draw on data from CMS. Examples of the type of reports available from Crystal include Consumer List report, Authorization report, Case Status report, and Consumers by County report.
2.1 Case Management System (CMS)
CMS is a web based data management system used to: collect and verify required data elements for federal reporting; assist counselors and field staff to manage caseload tasks; produce authorization documents for the purchase of necessary consumer goods and services and properly allocate expenditures; accurately track staff provided services; and produce flexible, accurate, real-time reports to assist in decision making at all levels. Access to the CMS manuals are located at: http://ovrtraining.ky.gov/trainingresources/cms.htm.
2.2 Case Status and Progression
The counselor is responsible for organizing collected data, and monitoring the movement of cases as they progress through the various phases of the rehabilitation process. In order to simplify this process, the following categorization system was developed. The table below details the status numbers and their accompanying descriptions:
Status / Description00 / Referral
02 / Application
04 / Out of Selection
06 / Extended Evaluation
08 / Closed from Referral, Applicant, or Extended Status
10 / Accepted Status
12 / Plan Developed Status
14 / Plan Implemented Status
16 / Physical Restoration Status
18 / Training Status
20 / Ready for Employment
22 / Employed Status
24 / Interrupted Status
26 / Closed – Successfully Rehabilitated Status
28 / Closed – Not Rehabilitated Status
30 / Closed – Not Rehabilitated Status – Before Plan Developed
32 / Post-Employment Status
38 / Closed from Out of Selection Status
The counselor should continually assess their caseload to ensure that each case has been recorded in the appropriate status. The CMS computerized case management system can assist counselors in monitoring the progression of their cases.
2.3 Fiscal Management
Fiscal management is the responsibility of the counselor. Fee schedules must be adhered to as well as agency policies and third party funding. Monthly monitoring of caseload funds is essential. Assistants should be assisting with monitoring of caseload funds and assuring the policies are adhered to through the authorization process.
It is important that the counselor and/or assistant pre-authorize rehabilitation services using the authorization form that is generated in CMS. This allows the counselor and assistant to accurately track expenditures for the caseload. There may be times when a verbal authorization is given to a vendor, but this should occur infrequently. If a verbal authorization is given, the service(s) that the counselor agreed to pay should be carefully documented.
Fee exceptions for any amount allowed under the Office rate of payment schedule shall be made at the discretion of the Assistant Director of Consumer Services or designee with sufficient documentation supporting the rehabilitation needs of the consumer.
(1) A request for a fee exception shall be submitted to the assistant director by either the counselor or the consumer.
(2) A written decision based upon the rehabilitation needs of the consumer shall be provided to the counselor and consumer within ten (10) working days of submission of the request.
Comparable benefits should be used if available and the counselor should encourage their utilization. While the agency does not have a financial need policy, except for post-secondary training, it is suggested that the consumer participate in the cost of services, if possible.
2.4 Case Documentation
The purpose of documentation is to show the progress of a case. Documentation should be done so that a third party, totally unfamiliar with the case, can easily see what is happening with the case and can understand why the counselor made a particular decision. Proper documentation allows for more thorough and easier case reviews.
The progress notes are considered an important component of case documentation. However, the entire case record serves as documentation and information contained elsewhere does not have to be duplicated in the progress notes.
Progress notes should include a summary of counseling sessions, indicating services rendered that are not clearly marked in other case documents. These notes could denote problem areas, spell out any responsibility of counselor or consumer before next meeting and include referral or collaboration with other professionals, agencies, etc. Notes should be an overview capturing the content of a session or event. For initial interviews, some counselors have developed a structured form with key questions and a checklist of forms to guide the interview and ensure consistency.
An entry in the progress notes will give the counselor credit for the many services rendered. Much hard work and effort is often not reflected in the case records unless progress notes make reference to these services. Notes should be kept as objective and factual as possible. Each case is a legal document that potentially could be examined in a court of law. Thus, judgmental statements, labels, innuendoes, etc. should never be included in the progress notes. The expected practice is that progress notes should be written so the content, if read by the consumer, would not cause harm. When complete, the progress note needs to be hand initialed by the writer. Assistants may also write case notes reflecting the conversation and other pertinent work done with or on behalf of the consumer.
Emails should be placed in the progress note section if they provide information on the casework flow and are interactive communications. For organizational purposes, correspondence between staff and the other party, where there have been multiple responses, should include the final email that contains the entire electronic conversation. When email correspondence is not to be used as a progress note, it should be filed chronologically with all other correspondence. An example of an email that belongs in the correspondence section of a case file would be scheduling an appointment.
2.5 Case Review Process
OFB Regional Managers conduct case reviews on a regular basis through the Group Review to Improve Professional Skills (G.R.I.P.S.) process. At the beginning of each calendar year, a schedule is sent out to staff to inform them of the case review topics that will be examined through the G.R.I.P.S. process each year. Managers review cases based on selected topics seven months out of the year. Cases that meet the criteria for the topic of the month are randomly selected using Crystal Reports. Cases are reviewed to make sure that they meet the requirements of the law and the agency as well as to ensure that the provision of vocational rehabilitation services is appropriate for the consumer based on their individual needs, interests, abilities, capabilities, and informed choice. The case review form is updated each year and can be located on the M drive. Once a year, counselors gather as a group to review a case and discuss the strengths of the case and the areas in which the case could improve. The case is sanitized so that it is not obvious to the group who the consumer or counselor is or where the consumer is located.
2.6 Case Transfer
If a consumer with an open case asks for his/her case to be transferred to another office for a legitimate reason, i.e. moved, the following procedures should be observed:
The counselor will give the case to their Regional Manager, who will review the case to ensure:
· Updated address or contact info for the consumer is provided.
· Case has all appropriate documentation for current case status; i.e.: signed IPE, Eligibility Statement, etc.
· All authorizations have been paid or cancelled if appropriate.
· Case has required paperwork and is organized so the receiving counselor can easily ascertain the pertinent issues and details of the case.
The transferring counselor should contact the consumer informing them their case has been sent to the Regional Manager. Once the new counselor receives the case from the Regional Manager, they should then contact the consumer to set up an appointment to discuss the case.
Communication between counselors is encouraged to assist in the continuation of services. A courtesy call to the receiving counselor is recommended and should include details related to the progress of the case, impending issues related to the potential success of the case (family issues, consumer motivation, transportation, etc.) as well as the communication style and preferences of the individual.
2.7 Archiving of Case Files
Case records must be maintained in hard copy format for three full fiscal years after the last action. Last action includes not only case closures, but also Post Employment and any legal proceedings such as appeals, mediation, fair hearing, etc. The case file will be scanned and archived by designated staff during the fourth fiscal year after the last action. The archived case documents will be available in the Case Management System. Access of archived case records is restricted to staff who had permissions on the closing caseload or on a current caseload, if the consumer has an open additional case. Documents for services provided at the McDowell Center should be included in the hard copy case record and will not be scanned separately by McDowell Center staff.