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UNITED
STATES DEPARTMENT OF EDUCATION
Dear Mr. Serraglio: This letter provides a final report of the Kentucky Department of Vocational Rehabilitation's (KDVR) progress on the implementation of the 1998 Amendments to the Rehabilitation Act, which includes he comments provided by KDVR on the draft report. The purpose of the review was to assess KDVR's performance in assisting eligible individuals with disabilities to achieve employment outcomes and to determine compliance with the assurances made in the State plan and with the Evaluation Standards and Performance Indicators established under Section 106 of the Act. The on-site review was conducted by Mr. Darlo Koldenhoven, Regional Representative for Kentucky, and Mr. Dan Hunsberger, Financial Management Specialist, on July 16- 19,2001, utilizing the protocol and monitoring instruments contained in the Rehabilitation Services Administration (RSA) FY 2001 Monitoring and Technical Assistance Guide. The focus areas for the review were as follows: . State Vocational Rehabilitation (VR) Program Participation in the Workforce Investment Act (WIA) and the Impact on Eligible Individuals with Disabilities;. Evaluation Standards and Performance Indicators;. Comprehensive System of Personnel Development; and, . Eligibility.The KDVR was requested to complete the material on the focus areas as a self- assessment and submit it to the RSA Regional Office prior to the on-site visit. Upon receipt, RSA reviewed the materials, relevant draft policies and procedures, KDVR forms and other related information. During the on-site visit, RSA staff discussed and clarified responses and followed up on items of concern. As part of the review activities, an on-site visit was made to the Lincoln Trail Employment Career Center in Elizabethtown, Kentucky. The purpose of the visit was to assess the participation of the VR program in the one-stop center and to examine the impact of the one-stop service delivery system on the individuals with disabilities served by the VR program. RSA also conducted a case service record review of individuals with disabilities referred to the KDVR by the local one-stop. During the review activities, RSA provided feedback and technical assistance to KDVR staff. In addition to the above, a separate financial review focused on compliance with the Maintenance of Effort (MOE) and matching requirements found in Sections 111(a)(2)(B)(ii) and 101(a)(3) of the Rehabilitation Act. The review of each focus area is summarized below. STATE VOCATIONAL REHABILITATION (VR) PROGRAM PARTICIPATION IN THE WORKFORCE INVESTMENT ACT (WIA) AND THE IMPACT ON ELIGIBLE INDIVIDUALS WITH DISABILITES The KDVR continues to implement the provisions of the Workforce Investment Act (WIA). The State has established a Statewide Workforce Investment Board (SWIB). The Secretary of the Kentucky Cabinet for Workforce Development is the head of the Designated State Agency and according to the Department of Labor Interim Final Rule, 20 CFR Part 652, et al., was appointed to the SWIB. The State Board does not expect the agency to use WIA core performance measures or any additional performance measures. However, the State Board has developed a one-stop operating system for data collection--the Employ Kentucky Operating System (EKOS). The system is not fully operational at this time and was not available for demonstration at the time of the review. The system, located on a state Wide Area Network (WAN), is designed to provide both Kentucky VR agencies access to the EKOS and to provide the agencies with a common intake, case management information and job match possibilities. Multiple security levels provide the confidentiality of the case file information. The system is screen reader accessible and Bobby Approved to outside job searchers. The EKOS development team could not assure the reviewers that the system would be accessible or Section 508 compliant for VR agency staff. The Workforce Investment Act (WIA) mandates that Local Workforce Investment Boards (LWIBs), with the agreement of the chief elected official, develop and enter into a Memorandum of Understanding (MOU) between the local board and the one-stop partners concerning the operation of the workforce development delivery system. The MOU provides the LWIB with an opportunity to ensure that all one-stop partners are aware of and accountable for the operation and performance of the one-stop delivery system. The KDVR has entered into a MOU with al111 LWIBs and has established a process and written guidelines for the review of each MOU that includes all elements required by WIA. The State has established 11 LWIBs. The agency is represented on the LWIBs and involved in the planning and implementation of the workforce investment system. A representative of the SWIB has been appointed to the Statewide Rehabilitation Council (SRC). The KDVR Commissioner represents the Client Assistance Program (CAP) on the LWIBs. The agency is involved in the implementation or planning of one-stop career centers. An on-site visit was made to the Lincoln Trail Career Center, a co-located one-stop employment center in Elizabethtown. There is an employment resource room in the career center. The room includes workstations and computers. At the time of the site visit, the computer stations were not accessible to an individual that uses a wheelchair. The Director of the center was in the process of ordering new workstations for the resource room and he modified the order to include accessible workstations. One computer has voice output and screen reader technology to accommodate individuals with low vision or blindness. All of the adaptive programs were on the one computer. A recommendation was made to have the accessible technology available on multiple computers to accommodate multiple individuals that need the accommodations. The office space for the VR counselor is wheelchair accessible. The counselor's office is a separate office and client counseling can occur in a confidential setting. Agency response The Chairperson of the Kentucky Statewide Council for Vocational Rehabilitation, Mr. Jim Fishback, participated in the site and accessibility monitoring review of the Lincoln Trail Career Center. Financial Participation As part of RSA's FY 2001 review of State and local implementation of the WIA requirements related to the VR program, the following financial areas were assessed for compliance with Federal requirements: ~ KDVR's participation in the operating costs of the SWIB (or alternate board used in lieu of a new State Board) and LWIBs; ~ Policies established or implemented by SWIB or LWIBs that affect the participation of the VR program in cost-sharing of operating costs, core service costs, or other service costs at the one-stop centers; ~ Policies or guidelines established or implemented by the DSU for local areas to follow regarding a method or methods to determine its appropriate share of operating costs or other programmatic costs and its payment for them at one-stop centers; and, ~ State level review of local area one-stop center cost sharing agreements (internal controls). The review substantiated that KDVR does not financially contribute to the operating costs of the SWIB or LWIBs, nor have policies been established that negatively affect the VR program related to the sharing of operating costs, core service costs, or other service costs at one-stop centers. As of the date of the on-site review, the agency had entered into Memorandums of Understanding (MOUs) with 11 Local Boards. While internal cost-sharing
policies and guidelines have not been developed by the agency, any agreement that is developed locally must be reviewed and approved at the State Office level. This includes a review by financial staff of any agreement that involves a commitment of VR funds or resources. There were no problems noted during the review related to the agency's financial participation at the one-stop centers. Memorandums of Understanding (MOU)In accordance with 34 CFR 361.23(a)(3), State VR agencies are required to enter into Memorandums of Understanding (MOU's) with LWIBs that meet the requirements of Section 121 (c) of the Workforce Investment Act. At a minimum, these MOUs must contain the following elements: » A description of the services to be provided through the one-stop delivery system; » How the costs of such services and the operating costs of the system will be funded; » Methods of referral of individuals between the one-stop operator and the one-stop partners for appropriate services and activities; and, » The duration of the Memorandum of Understanding (MOU) and the procedures for amending the MOU during the term of the MOU. The agency has entered into 11 MOU's with LWIBs. As part of the FY 2001 review of KDVR's adherence to Federal requirements related to these agreements, RSA reviewed two MOUs, the uniformity and internal controls over the process utilized by the agency to enter into these MOUs, and the allowability of costs allocated to the Vocational Rehabilitation Program. While all MOUs are reviewed at the State Office level and must be signed by the State VR Director, the agreements are developed and negotiated at the local level since the costs to the VR program have been minimal and agreements are not signed locally. The agency has determined that there is no need to establish policies or guidelines for local areas to follow related to the allocation of costs at the one-stop centers. RSA's review determined that the MOUs negotiated met the Federal requirements outlined in 34 CFR 361.23(a)(3). Case Service Record Review A review of 13 case service records that were developed at the career center was conducted. The review focused on eligibility, service planning and delivery, and employment outcomes. Eligibility for 12 of the cases was determined within the 60-day timeline requirement with an extension agreement in the one file that required more time. The cases showed adequate documentation to support the determination of disability and the order of selection priority. Case records supported the determination of a significant or most significant disability. None of the cases was a Supplemental Security Income (SSI) recipient or Social Security Disability Insurance (SSDI) beneficiary. The service planning and delivery showed consumer choice and was supportive of the planned employment outcome. The stated employment outcome was consistent with the individual's strengths, resources, abilities, capabilities, priorities and concerns. The services on the Individualized Plan for Employment (IPE) were supportive of the planned employment outcome. The services were necessary to achieve the outcome and were provided in the most integrated setting consistent with the informed choice of the individual. The cases that had substantive changes in the employment outcome, services, or service providers showed documentation on an amended IPE. None of the 13 cases has achieved employment. Two cases were in the process of applying for jobs with no placement at the time of the review. The services provided by VR assisted the individual's planning for employment. The agency efforts were timely and were significant throughout the service records. The involvement of the VR agency as a one-stop partner is evident in the referrals received at the center from other partners. The cases reviewed did not demonstrate a change in eligibility, services, due process, timelines, access or employment outcomes.
Findings The KDVR is participating in the workforce investment system as a partner. The agency is located at all 11 workforce centers and is a partner in the 11 local workforce boards with the proper MOUs in effect. The practice of the referral of cases to the VR agency is well established. The role of the agency as the expert on disability issues has a positive impact on the physical accessibility and attitudinal awareness of the center. The center is purchasing accessible computer workstations and has made many physical modifications to the center. The case files reviewed show good eligibility and program service planning and delivery. The coordination of core services and other one-stop services is not apparent in the case files. Recommendation It is recommended that the VR agency continue with the positive participation in the workforce investment system. It is recommended that the VR agency explore methods to increase the use of the resources available at the workforce centers. EVALUATION STANDARDS AND PERFORMANCE INDICATORS As required in Section 106 of the Rehabilitation Act of 1973, as amended, RSA published Federal regulations for the State VR Services Evaluation Standards and the Performance Indicators (ESPI s) in 34 CFR 361, Subpart E, 361.80 through 361.89.
The ESPls are based on the FY 1999 RSA-911 data. The definitions for Evaluation Standard and the Performance Indicators are as follows: Evaluation standard is the performance level stated in regulation that KDVR must attain in order to meet an acceptable level of performance in serving individuals with disabilities under the VR program. Performance indicators establish the performance areas that RSA has identified to measure the efficacy of KDVR's performance in serving individuals with disabilities under the VR program. Evaluation Standard I Performance Indicator 1.1. Change in Number of Emolovment Outcomes: The difference between the number of individuals exiting the VR program who achieved an employment outcome during the current performance period and the number of individuals exiting who achieved an employment outcome during the previous performance period. KDVR increased the number of employment outcomes by 446. Performance Indicator 1.2. Percent Emoloved: Of all individuals who exit the VR program after receiving services, the percentage who are determined to have achieved an employment outcome. The required performance level for a general VR agency is 55.8%. KDVR's performance exceeded the requirement at 66.57 %. Performance Indicator 1.3. Employed Competitively: Of all the individuals determined to have achieved an employment outcome, the percentage who exit the VR program in competitive, self, or Business Enterprise Program (BEP) employment with earnings equivalent to at least the minimum wage. Minimum wage is defined in the regulations as the Federal or State minimum wage, whichever is higher. This is a primary indicator. The required performance level for a general VR agency is 72.6%. KDVR's performance exceeded the requirement at 80.53% Performance Indicator 1.4. significant Disabilitv: Of all individuals who exit the VR program in competitive, self, or BEP employment with earnings equivalent to at least the minimum wage, the percentage who are individuals with significant disabilities. The required performance level for a general VR agency is 62.4%. This is a primary indicator. KDVR's performance exceeded the requirement at 98.9%. Performance Indicator 1.5. earnings Ratio: The average hourly earning of all individuals who exit the VR program in competitive, self-, or BEP employment with earnings levels equivalent to at least the minimum wage as a ratio to the State's average hourly earnings of all individuals in the State who are employed. These figures are derived from the Bureau of Labor Statistics report "State Average Pay" for the most recent available year. The required performance level for a general VR agency is a ratio of 0.52. This is a primary indicator. KDVR's performance exceeded this requirement at 0.61. Performance Indicator 1.6. Self-Support: Of all individuals who exit the VR program in competitive, self, or BEP employment with earnings equivalent to at least the minimum wage, the difference between the percentage who report their own income as thelargest single source of economic support at the time they exit the VR program and the percentage who report their own income as the largest single source of support at the time they apply for VR services. The required performance level for a general VR agency is a mathematic difference of 53.0%. KDVR's performance exceeded this requirement at 75.57%. Evaluation Standard II Performance Indicator 2.1. Ratio Minority: The service rate for all individuals with disabilities from minority backgrounds as a ratio to the service rate for all non-minority individuals with disabilities. The required performance level for all VR agencies must attain a ratio level of 0.80. KDVR exceeded this requirement by attaining a ratio of 0.92.COMPREHENSIVE SYSTEM OF PERSONNEL DEVELOPMENT The KDVR continues to make progress on implementing its Comprehensive System of Personnel Development (CSPD) plan. The submitted plan is consistent with the requirements in section 101 (a)(7) of the Act. The data in the Guide and in the agency's CSPD State Plan attachment reflect the information maintained by the agency. The agency has adopted the National standard of a Master's degree with a Certified Rehabilitation Counselor (CRC) accreditation. The data shows that the agency has 140 counselors and that 60 of the counselors meet the standard at the Master's with the CRC. Twenty-five counselors have a Master's but do not have a CRC. Forty-five counselors do not have a Master's degree or a CRC. The KDVR has established strategies to assist existing staff to upgrade their skills and meet the standards. Each staff member is offered training based on CSPD requirements. The agency assists staff in securing stipends to attend a Master's in Rehabilitation Counseling program, distance learning via the Internet. Existing staff seem to be taking full advantage of the supports provided to upgrade their education levels. The plan includes timelines detailing the training for all counselors. The plan reports a current ratio of counselors to clients served is 1: 198. The agency has the staffing goal of adding 35 counselors. The goal is to reduce the caseload ratio to 1: 150. The plan includes efforts to recruit, prepare and retain qualified staff from minority backgrounds as well as individuals with disabilities. The agency has a limited pool of recruits due to salary and the lack of options, e.g., paid internships. The agency would like the emphasis on CSPD to include stipends for internships. The CSPD system includes training in assistive technology, the laws and regulations, current research, informed choice and culturally diverse populations. The agency position announcements demonstrate the emphasis of the agency on recruiting counselors that have skills in American Sign Language (ASL) or Spanish. ELIGIBILITY The KDVR has implemented an order of selection in order to assure the provision of services to individuals with the most significant disabilities. The provision of services to individuals who are recipients of SSI or allowed SSDI has been a long-term priority of the Agency. KDVR has promoted the referral of Social Security Administration (SSA) recipients to the agency by having an agency staff member working within the Disability Determination System (DDS). The staff person reviews files for possible referral to KDVR. The DDS referral will no longer continue with the new regulation of the Ticket to Work Act. The agency also provides incentives to the counselors for eligible SSA cases. The implementation of presumptive eligibility and the use of trial work experiences have not altered the eligibility process of KDVR. The agency does not use a financial needs test for individuals receiving Social Security. The review of service records at the one-stop employment center was conducted. Eligibility for 12 of the 13 cases was determined within the 50-day timeline requirement with an extension agreement in the one file that required more time. The cases showed adequate documentation to support the determination of disability and the order of selection priority. SELECTED FISCAL PROVISIONS Maintenance of EffortThe 1992 amendments revised the requirements in Section 111 (a)(2)(B)(ii) of the Rehabilitation Act with respect to Maintenance of Effort provisions. Effective Federal FY 1993 and each Federal fiscal year thereafter, the MOE level is based on the State expenditures under the Title I State Plan from the non-Federal sources for the Federal fiscal year two years earlier. To comply with this requirement for the fiscal year under review KDVR's total FY 2000 non-Federal expenditures must meet or exceed the agency's non-Federal expenditure level reported for FY 1998. Since the total non- Federal expenditures of $11 ,222,012 for FY 2000 is greater than the FY 1998 level of $10,488,072, the agency has complied with this requirement. Non-Federal MatchWith the passage of the 1992 Amendments to the Rehabilitation Act, the non-Federal share of expenditures in the Basic Support Program, other than for the construction of a facility related to a community rehabilitation program, was established at 21.3 percent. Non-Federal expenditures from allowable sources, as defined in program and administrative regulations governing the Basic Support Program, may be used for satisfying the matching requirement. A review of non-Federal expenditures, reported on the September 30, 2000, Financial Status Report verified the previously reported expenditures of $11 ,222,012. The Federal allotment for KDVR in FY 2000 was $37,953,061, which required a minimum State match of $10,272,020. Since the total FY 2000 non-Federal expenditures exceeded the minimum requirement, KDVR has met the Basic Support Program matching requirement for this year. Program and Fiscal Reports The Rehabilitation Act in Sections 13,14 and 101(a)(10) and the State Vocational Rehabilitation Program Regulations in 34 CFR 361.40 require State VR agencies to submit timely and accurate program and fiscal reports. In determining compliance with these requirements, while on site an examination of work papers and supporting documentation was completed to substantiate the financial and statistical information submitted in those reports. Discussion about the preparation of the reports and technical assistance was provided to agency staff. The following is a summary of reports reviewed, problems noted, and areas requiring additional assistance: 1. RSA-2. Annual Vocational Rehabilitation ProGram/Cost Report The RSA-2 report for FY 2000 was submitted a few days late on February 7, 2001, and appeared accurate. The report was supported by accounting data, computerized printouts and manual spreadsheets. The agency continues to show considerable improvement in the accuracy and timeliness of this report. There were no other areas identified for technical assistance. 2. SF-269's. Financial Status Report The SF-269's for FY 1999, quarter ended September 30, 1999, and for FY 2000, the quarters ended December 31, 1999, March 31, 2000,and June 30, 2000, were submitted timely and appeared accurate. SUMMARY/CONCLUSION The KDVR continues to implement the provisions of the 1998 Amendments to the Rehabilitation Act. The agency has been involved in the implementation of the WIA requirements as they affect the provision of vocational rehabilitation services. Rehabilitation counselors are located in the 11 one-stop centers that are currently operational. The Standards and Indicators exceed the requirements and reflect the effort of the KDVR to provide quality employment outcomes. The agency's CSPD reflects progress toward meeting the federal requirements. Eligibility determinations are completed within the 60-day time limit and individuals that receive Social Security are presumed eligible for services. We want to thank you and your staff for your assistance and cooperation during the review activities. If you have any questions, please contact Mr. Koldenhoven at 404- 562-6331. Sincerely, Ralph N. Pacinelli Regional Commissioner cc: Mr, Jim Fishback, SRC Chair
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