Rule-making#: / 14-3-10-1
Office/Division or Program: Office of Community Access and Independence/ Division of Vocational Rehabilitation / Rule Author: Joelle Brouner / Phone: 303-866-4886
E-Mail:
(as amended)
STATEMENT OF BASIS AND PURPOSE
Summary of the basis and purpose for the rule or rule change. (State what the rule says or does, explain why the rule or rule change is necessary and what the program hopes to accomplish through this rule.)
Rule changes will ensure consistency with proposed policy changes within the Division of Vocational Rehabilitation (DVR); allow increased efficiency through DVR’s utilization of a new electronic case management system; and address initial audit findings from the 2013 DVR Performance Audit completed by the Office of the State Auditor.
Proposed policy includes changes in the areas of: dispute resolution, mediation and appeals; wait list management, verification of client income related to the provision of vocational rehabilitation services; increased frequency of contact between DVR clients and staff; changes in how services are provided to clients; and changes on how closure occurs for clients receiving sub-minimum wage.
Changes are required to align the intake, eligibility determination, wait list management process, service delivery process and closure process with DVR’s new electronic case-management system.
The 2013 Performance Audit by the Colorado Office of the State Auditor resulted in audit findings within the following DVR programmatic areas: eligibility determinations; comparable services and benefits; severity of disability determinations; fiscal management; client use of state-owned equipment; and client contributions. Audit findings require changes in current rule.
An emergency rule-making (which waives the initial Administrative Procedure Act noticing requirements) is necessary:
to comply with state/federal law and/orto preserve public health, safety and welfare
Explain:
Initial Review / 07/11/2014 / Final Adoption / 08/08/2014Proposed Effective Date / 10/01/2014 / EMERGENCY Adoption / N/A
DOCUMENT 2
______
[Note: “Strikethrough” indicates deletion from existing rules, “all caps” indicates addition of new rules,
and brackets denote changes since initial review.]
STATEMENT OF BASIS AND PURPOSE (continued)
Authority for Rule:
State Board Authority: 26-1-107, C.R.S. (2013) - State Board to promulgate rules; 26-1-109, C.R.S. (2013) - state department rules to coordinate with federal programs; 26-1-111, C.R.S. (2013) - state department to promulgate rules for public assistance and welfare activities.
Program Authority: (give federal and/or state citations and a summary of the language authorizing the rule-making)
24-4-103(13), C.R.S. (2013) – conduct of hearing
26-8-101, C.R.S., et seq. (2013) - administration of the program under the Department of Human Services
26-8-104(1)(a), (b), C.R.S. (2013) - requires the Department to make rules governing Vocational Rehabilitation
34 CFR Part 361 (2001) – State Vocational Rehabilitation Services Program; Final Rule
X / Yes / NoYes / X / No
Does the rule incorporate material by reference?
Does this rule repeat language found in statute?
If yes, please explain.
Proposed rules incorporate federal references, which include complete citations and/or contact information for the public’s ease of location and access.
The program has sent this proposed rule-making package to which stakeholders?
DVR’s extensive list of stakeholders was notified via email about the period of public comment and was provided an opportunity for comment via an online period that was from December 20, 2013 until January 21, 2014.
The State Rehabilitation Council (SRC) was provided the full text of the proposed rules in advance of their regularly-scheduled January 8, 2014 meeting.
Public comment on DVR’s proposed revisions to the policy was made available using the posting of an announcement on the DVR website, emails soliciting feedback to DVR’s stakeholder list (including the State Rehabilitation Council and the Client Assistance Program) and the availability of feedback postcards for clients, applicants and the public at each DVR office.
Attachments:
Regulatory Analysis
Overview of Proposed Rule
Stakeholder Comment Summary
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Title of Proposed Rule: / Implementation of a New Case Management System, Alignment of Service Delivery, and Correction of Audit FindingsRule-making#: / 14-3-10-1
Office/Division or Program: Office of Community Access and Independence/ Division of Vocational Rehabilitation / Rule Author: Joelle Brouner / Phone: 303-866-4886
REGULATORY ANALYSIS
(complete each question; answers may take more than the space provided)
1. List of groups impacted by this rule:
Which groups of persons will benefit, bear the burdens or be adversely impacted by this rule?
Applicants for services provided by the Division of Vocational Rehabilitation (DVR) and individuals eligible for DVR services will be positively affected by the revisions in the proposed rules. The proposed rule changes are anticipated to make the DVR process more efficient and more understandable for DVR clients, stakeholders and the public-at-large. Additionally, the proposed rules will allow DVR to collect more accurate data, and will clarify the due process and related rights of individuals who are dissatisfied with decisions made by the Department.
2. Describe the qualitative and quantitative impact:
How will this rule-making impact those groups listed above? How many people will be impacted? What are the short-term and long-term consequences of this rule?
9.103 will impact all individuals with disabilities served by DVR who are dissatisfied with a decision made by DVR, by providing written procedures for informal review of decisions and by offering access to mediation during any type of review or appeal process. The benefit of this rule change will be positive for clients as a result of more and better-informed choices for resolution of disputes.
9.104 clarifies the DVR eligibility process for stakeholders and for applicants of DVR through the addition of language regarding presumptive eligibility, trial work experiences, extended evaluation and client notification. This rule change will be positive for clients of DVR.
9.105 repeals the Order of Selection section of the current rules due to its complete duplication of federal regulation. Language clarifying the criteria used to establish significance/severity of disability is added to this section. Language will simplify and clarify understanding by clients and the public-at-large.
9.106 adds language clarifying how DVR services are provided to applicants and eligible individuals. Language is also added to require that DVR staff contact individuals within the DVR system, every thirty (30) days. The language additions will encourage increased communication and bring positive benefit to DVR stakeholders, applicants and clients.
9.107 clarifies the use of DVR resources for several services, and clarifies the definition of the family unit. It requires individuals who are served by DVR to provide proof of financial status when determining financial need. Service delivery policy will allow exception when proof is unavailable and services will be delayed as a result. The rules require documentation of this situation in the case record. This rule will benefit DVR by allowing the capture of more and better data, which will result in appropriate resource usage and expenditure. The rule will benefit DVR clients who are financially independent of their family unit.
9.108 eliminates language repetitive of federal regulatory language and replaces this with short, succinct explanations of why individual case records are closed by DVR. This language will positively impact the understanding of stakeholders, applicants and clients.
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Title of Proposed Rule: / Implementation of a New Case Management System, Alignment of Service Delivery, and Correction of Audit FindingsRule-making#: 10-1 / 14-3-10-1
Office/Division or Program: Office of Community Access and Independence/ Division of Vocational Rehabilitation / Rule Author: Joelle Brouner / Phone: 303-866-4886
REGULATORY ANALYSIS (continued)
3. Fiscal Impact:
For each of the categories listed below explain the distribution of dollars; please identify the costs, revenues, matches or any changes in the distribution of funds even if such change has a total zero effect for any entity that falls within the category. If this rule-making requires one of the categories listed below to devote resources without receiving additional funding, please explain why the rule-making is required and what consultation has occurred with those who will need to devote resources.
State Fiscal Impact (Identify all state agencies with a fiscal impact, including any Colorado Benefits Management System (CBMS) change request costs required to implement this rule change)
None
County Fiscal Impact
None
Federal Fiscal Impact
None
Other Fiscal Impact (such as providers, local governments, etc.)
None
4. Data Description:
List and explain any data, such as studies, federal announcements, or questionnaires, which were relied upon when developing this rule?
None
5. Alternatives to this Rule-making:
Describe any alternatives that were seriously considered. Are there any less costly or less intrusive ways to accomplish the purpose(s) of this rule? Explain why the program chose this rule-making rather than taking no action or using another alternative.
None. Due to the 2013 Audit’s initial findings, the implementation of the DVR electronic management system, and the proposed DVR policy changes, this rule-making is necessary.
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Title of Proposed Rule: / Implementation of a New Case Management System, Alignment of Service Delivery, and Correction of Audit FindingsRule-making#: / 14-3-10-1
Office/Division or Program: Office of Community Access and Independence/ Division of Vocational Rehabilitation / Rule Author: Joelle Brouner / Phone: 303-866-4886
OVERVIEW OF PROPOSED RULE
Compare and/or contrast the content of the current regulation and the proposed change.
Section Numbers / Current Regulation / Proposed Change /Stakeholder Comment
9.101 / Mission / Repealed / _X_ / Yes / _ / No9.101.1 / Personnel Standards / Renumbers section to 9.101 and revised “will” to “shall” / _X_ / Yes / _ / No
9.102.1 / Confidential information / Revises “will” to “shall” / _X_ / Yes / _ / No
9.102.2 / Release of information to applicants and eligible individuals / Revises language and changes “will” to “shall” / _X_ / Yes / _ / No
9.102.3, A / Release to other programs or authorities / Revises “will” to “shall” / _X_ / Yes / _ / No
9.102.3, B, 6 / Release to other agencies by DVR Director / Corrects federal citation / __ / Yes / X / No
9.103.1 / Review and appeal of counselor determinations / Revises title / _X_ / Yes / _ / No
9.103.1, A / An applicant or eligible individual may request an appeal of a DVR decision / Replaces formal appeal language with language that explains that the individual may request a timely review of the DVR decision either through an informal or formal process or through mediation. Add that the individual’s authorized representative may make the request for review of a decision. / _X_ / Yes / _ / No
9.103.1, B / Notification of appeal rights / Adds language that the individual shall be notified of the established procedures for review of determinations and removes the wording “and goods being provided”. / _X_ / Yes / _ / No
Section Numbers / Current Regulation / Proposed Change /
Stakeholder Comment
9.103.1, C / Applicants and individuals are responsible for costs associated with appeal unless otherwise ordered / Adds clarifying language regarding costs / _X_ / Yes / _ / No9.103.1, D / An individual’s DVR services shall not be stopped or reduced pending resolution of his or her appeal / Replaces “as” with “if” for clarification and adds clarification regarding fraud / _X_ / Yes / _ / No
New Section 9.103.2 / Mediation of disputes / Adds explanation of the role and process of mediation of DVR disputes, and how mediation fits into the overall dispute resolution process / _X_ / Yes / _ / No
New Section 9.103.3 / Informal Review / Adds explanation of the purpose and process of the DVR informal review option for dispute resolution / _X_ / Yes / _ / No
9.103.4 through 9.103.5 / Formal Appeal and CDHS Office of Appeals functions / Renumbers from 9.103.3 and 9.103.4. Technical language clean-up and clarification of formal appeal section language / _X_ / Yes / _ / No
9.104.1, A / Explains criteria needed for determination of eligibility for DVR services / Clarifies that an impairment should be documented by qualified personnel and defines qualified personnel. Explains use of trial work experiences / _X_ / Yes / _ / No
9.104.1, A, 4 / Explains criteria needed for determination of eligibility for DVR services / Strikes confusing wording and adds clarifying language about the provision of trial work experiences and/or extended evaluation. Adds that evidence shall be documented and used to determine eligibility or ineligibility / _X_ / Yes / _ / No
Section Numbers / Current Regulation / Proposed Change /
Stakeholder Comment
9.104.1, B / Explains the length of time between application and eligibility determination / Adds the language “Once eligibility is determined, the client shall be provided with an agency-approved letter to document his/her eligibility and assigned priority classification.” / _X_ / Yes / _ / No9.104.2 / Explains the concept of presumptive eligibility for DVR services based on an individual receiving SSI or SSDI / Adds the language “due to the severity of the disability(ies)” to indicate that trial work experience and/or extended evaluation may be necessary and spells out acronyms / _X_ / Yes / _ / No
9.104.3 / Explains the purpose and process of trial work experiences within the DVR eligibility determination process / Replaces vague wording “the fourth eligibility criteria” with rule reference of 9.104.1,A,4; changes “must” to “shall”. Clarifies that an individual’s capabilities, abilities and capacity to work are being assessed through trial work experiences and that the trial work experience plan shall be written. / _X_ / Yes / _ / No
9.104.4 / Extended evaluation is explained / Revises the language / _X_ / Yes / _ / No
9.105 / Order of selection / Repeals Order of Selection / __ / Yes / X / No
9.105.1 / Severity of disability / Renumbered to 9.105 / __ / Yes / X / No
9.105, A / Explains how severity of disability classifications are made for those with a “most significant” disability / The sequence of disability classifications is reordered. Adds paragraph to clarify that persons who are presumptively eligible can be classified with “a most significant disability” and describes the classification criteria / _X_ / Yes / _ / No
Section Numbers / Current Regulation / Proposed Change /