16.0 Case Closure

Table of Contents

1.0 – Policy Summary
2.0 – Definitions
3.0 – Procedures
4.0 – Exceptions

State of Alaska

Department of Labor and Workforce Development

Division: Vocational Rehabilitation

Policy No.: CS 14.0

Subject: Case Closure

Reference:

34 CFR § 361.5(b)(16); 361.44, 361.55; 361.56

Effective Date: 9/16/2009

Revised Date:

Approved: ____________________________________ 9/16/2009___________

Cheryl A. Walsh, Director Date

1.0 – Policy Summary

The vocational rehabilitation (VR) counselor shall close an individual's record of services at any time in the VR process when the counselor determines the individual:

Is either not or no longer eligible for VR services;
Is unavailable to participate in the VR program;
Declines to participate in the VR program or
Achieves an employment outcome.

Regardless of the status from which the record of service is closed, the VR counselor must make a reasonable review of attempts to contact the individual or as appropriate, his/her representative prior to case closure to discuss the pending case closure.

A closure letter or appropriate form of communication is also sent to all individuals whose case is being closed. The letter will include:

The date of case closure;
The reason for closure;
The process to appeal the closure decision; and
Information about the services available from the Client Assistance Program.

2.0 – Definitions

Competitive employment mean s work In the competitive labor market that is performed on a full-time or part-time basis in an integrated setting for which an individual is compensated at or above the minimum wage, but not less than the customary wage and level of benefits paid by the employer for the same or similar work performed by individuals who are not disabled.

Employment outcome means, with respect to an individual, entering or retaining full-time or, if appropriate, part-time competitive employment, in the integrated labor market, supported employment, or any other type of employment in an integrated setting, including self-employment, telecommuting, or business ownership, that is consistent with an individual's strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice.

3.0 – Procedures

Prior to closing all cases, the VR counselor by regulation is required to make a reasonable attempt to contact the individual. ADVR’s preference in all cases is that the VR counselor speaks with the individual prior to closing their case. Therefore, the first attempt by the VR counselor to contact the individual shall be a telephone call to the individual to discuss the proposed case closure. If the individual is not reached by telephone, a second attempt shall be made via letter or other appropriate form of communication informing the individual of the pending case closure. All attempts to reach the individual will be documented in the case record.

A closure letter is then sent to the individual specifying the date of closure and the reason for closure. Also included is information on the process for the individual to appeal the decision to close the case and on the Client Assistance Program.

A closure summary is required for all closed cases, regardless of the status. The closure summary should explain the reason for case closure, including the individual’s views, the counselor’s involvement and professional skills used throughout the rehabilitation process. This summary reflects the VR counselor’s professional utilization of their knowledge and experience. Do not simply list the services VR purchased.

3.1 - Closed with an Employment Outcome

The following criteria must be met and documented in the case record in order to make a determination that an individual has achieved an employment outcome:

The employment outcome is consistent with the individual's strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice.

There may be isolated situations where, despite ADVR attempts to work with the individual to develop a goal that is consistent with all of the above criteria (strengths, resources, etc.), the individual’s choice continues to clearly be inconsistent with their abilities, resources, etc. In cases where it is determined that it is not likely that the individual can be placed in employment that is both consistent with his/her informed choice and his/her abilities, it may be appropriate to close a case rehabilitated if the remaining criteria are nonetheless met.
The employment outcome is in the most integrated setting possible, consistent with the individual's informed choice.
Rehabilitation services provided under an Individualized Plan for Employment have contributed to the achievement of the employment outcome.
The individual has maintained the employment outcome for a minimum of ninety (90) days or for an appropriate period of time necessary to ensure the stability of the employment outcome after closure and the individual no longer needs vocational rehabilitation services as the individual and the VR counselor consider the employment outcome to be satisfactory.

There may be situations where it is appropriate to leave a case open beyond the ninety days of employment. For example, persons in supported employment who require additional time-limited services until the transition to extended services is completed may need to have their cases remain open for a longer period of time. Other persons who need assistance to maintain employment (such as individuals who are self-employed or who need other job-related supports) may also need the case open longer to ensure success on the job.
The individual has been informed through appropriate modes of communication of the availability of post-employment services.

Closed Below Minimum Wage

A case may be considered a successful employment outcome even though the individual is not earning minimum wage and is therefore not competitively employed. The goal would be that the person would eventually be able to increase skills, etc. in order to become competitively employed.

The following procedures apply for those individuals closed with wages below minimum wage:

An annual review must be conducted on individuals who are compensated below minimum wage or below the prevailing wage paid to non-disabled individuals performing the same or similar functions at the time of case closure. The purpose of the review is to determine the interests, priorities and needs of the individual with respect to competitive employment or training for competitive employment.

The AWARE case management system tracks these individuals and generates a report of required actions.
This review must be done for two years after the individual achieves an employment outcome, and thereafter if requested by the individual or his/her representative.
The individual or, if appropriate, his/her representative must be given the opportunity to provide input into the review and reevaluation and documents that are put into the case record.
The individual or, as appropriate, his/her representative must provide a signed acknowledgement that the review and reevaluation have been conducted.
During the review, ADVR must make maximum efforts to assist the individual in engaging in competitive employment. This includes identifying and providing vocational rehabilitation services, reasonable accommodations and other necessary support services.

Closed in Non-Traditional Employment

Homemaker

When closing a case rehabilitated as a homemaker, the homemaking activities the individual can now perform more independently as a result of VR services shall be described in the closure summary. The performance of these responsibilities must positively impact the family’s economic circumstances. These include, but are not limited to family financial management, cleaning, meal preparation, laundry, mending, childcare and other household activities.

Self-Employment

The following must be achieved, as appropriate to the individual’s particular needs and goal, prior to closure of the case:

The business is operational and meeting all federal, state and local laws governing the operation of the business, including maintaining adequate insurance coverage for business requirements.
The business is generating sufficient income to cover all required business expenses and the agreed upon income goal has been reached.
The individual and counselor agree that technical and managerial skills are adequate for on-going business management and continued growth without further VR services.

Due to the time required for businesses to develop and become stable, the follow-up period for self-employment will likely exceed the minimum 90-day period required for all successful closures.

Business Enterprise Program (BEP)

For an individual to be closed as a vendor in the BEP, they must be assigned to a BEP facility and demonstrate the ability to successfully operate the facility for a minimum of ninety (90) days. More often than not, these cases will remain open longer than 90 days due to the need to ensure the business is stable and the individual is able to function independently.

Subsistence

(See ADVR Policy and Procedures CS 10.0 – Individualized Plan for Employment for more information.) Subsistence has been legally defined to include the customary and traditional uses of fish and game in all of Alaska's rural areas. While food is one of the most important subsistence uses of wild resources, there are other important uses of subsistence products, such as clothing, fuel and transportation.

In a case closed as rehabilitated with subsistence as the employment goal, the individual will be able to demonstrate the successful completion of the criteria of those activities identified in the IPE negotiated with the activities the individual will be able to accomplish based upon the above definition. The VR counselor must be able to document how the VR services have contributed to the individual’s ability to successfully pursue a subsistence lifestyle.

In an IPE with a traditional employment goal, the measurable outcome is the individual working for 90 days. With a subsistence goal, the VR counselor and the individual will need to negotiate what events must occur in order for the individual to be considered successful.

Supported Employment (SE): SE cases are closed successfully employed when the individual:

Has met the goal for hours of employment as stated in the IPE;
Is earning the minimum wage;
Is working in an integrated setting;
Has extended supports in place; and
Has been working for 90 days in a job that is satisfactory to both the individual and the employer.

Closure Summary

For a case closed employed, the VR counselor must document both the rationale for closure and how substantial services contributed to the successful outcome.

Rationale for closure should include the following type of information:

Job title, employer, wages and benefits
Employment has been maintained for at least 90 days
Individual is satisfied/not satisfied with employment situation/process
Planned services are complete, or if not, why
Expectation of post-employment services

In discussing how substantial services contributed to the successful outcome, the VR counselor should summarize the actions and document the counselor’s involvement and professional skills used to assist the individual through the rehabilitation process. Examples of professional skills that may have been used during the rehabilitation process are:

Counseling and guidance on specific issues: expectations, job seeking skills, disability management, etc.

Appropriate referrals to medical professionals or other community agencies,
Collaborate and/or seek comparable benefits,
Identify and interpret assessment information,
Encourage self-awareness and understanding of strengths and abilities,
Negotiate OJT and/or job placement,
Identify when assistive technology and/or job accommodations would assist in overcoming employment related barriers,

3.2 - Closed as Ineligible

An individual is ineligible for vocational rehabilitation services based upon a determination that the individual has no disability, no substantial impediment to employment or does not require ADVR services to achieve an employment outcome.

If an applicant is determined to be ineligible for vocational rehabilitation services or a person receiving services under an Individualized Plan for Employment (IPE) is no longer eligible for services, ADVR shall:

Make the determination of ineligibility for services only after providing an opportunity for full consultation with the individual or, as appropriate, with the individual's representative.

Consultations do not have to be face-to-face; they may be by phone, e-mail, etc. The results of the consultation must be documented in the record of services. The VR counselor should also document if the individual chooses not to participate in a consultation.
Inform the individual in writing, supplemented as necessary by other appropriate modes of communication consistent with the informed choice of the individual, of the ineligibility determination. The written notice must include the reasons for that determination and the means by which the individual may seek remedy for any dissatisfaction (see ADVR Policy and Procedures CS 3.0 – Appeals for more information).
Provide the individual with a description of services available from the Client Assistance Program and information on how to contact that program; and
Refer the individual to other training or employment-related programs that are part of the One-Stop service delivery system under the Workforce Investment Act; and
Review within 12 months and annually thereafter if requested by the individual or, if appropriate, by the individual’s representative any ineligibility determination that is based on a finding that the individual is incapable of achieving an employment outcome. This review need not be conducted in situations in which the individual has refused it, the individual is no longer present in the State, the individual’s whereabouts are unknown, or the individual’s medical condition is rapidly progressive or terminal.

The individuals requiring this review are tracked in the ADVR case management system and a list is available to the VR counseling team on demand.

Reasons for Closures

No impediment to employment

Use this code for applicants who are not eligible for VR services because their physical or mental impairment does not constitute a substantial impediment to employment.

No disabling condition

Use this code only for applicants who are not eligible for VR services because no physical or mental impairment exists, such as when the reported disability is an acute condition with no residual impairment, e.g., a broken bone that heals.

Does not require VR services

Use this code for applicants who do not require VR services to prepare for, enter into, engage in, or retain gainful employment consistent with their strengths, resources, priorities, concerns, abilities, capabilities, and informed choice.

Disability too significant to benefit from VR services

Use this code to identify an individual whose mental or physical disability is so significant that the individual cannot benefit from VR services in terms of employment.

This determination requires the use of one or more trial work experiences in real work situations and/or extended evaluation. Trial work experiences are designed to explore the individual’s abilities, capabilities, and capacity to perform in work situations. (See ADVR Policy and Procedures CS 7.0 – Trial Work and Extended Evaluation )

It is important to remember that an individual is presumed to be able to benefit in terms of an employment outcome unless DVR can demonstrate by clear and convincing evidence that the person is incapable of benefiting from DVR services due to the severity of the disability of the individual.

Clear and convincing evidence means that the VR counselor shall have a high degree of certainty before he/she can conclude that an individual is incapable of benefiting from services in terms of an employment outcome. This must be well documented in the case file.

The ‘‘clear and convincing’’ standard constitutes the highest standard used in our civil system of law and is to be individually applied on a case-by-case basis. The term clear means unequivocal. For example, the use of an intelligence test result alone would not constitute clear and convincing evidence. Clear and convincing evidence might include a description of assessments, including situational assessments and supported employment assessments, from service providers who have concluded that they would be unable to meet the individual’s needs due to the severity of the individual’s disability.

Closure Summary

The summary will include the documentation why the individual is ineligible for VR services including, as appropriate, the clear and convincing evidence as to why the individual is too severely disabled as to benefit from VR services.

3.3 - Closed Other than Ineligible or Successfully Employed

ADVR may not close an applicant’s case prior to making an eligibility determination unless the applicant declines to participate in, or is unavailable to complete, an assessment for determining eligibility and priority for services, and the VR counselor or VR assistant have made a reasonable number of attempts to contact the applicant or, if appropriate, the applicant’s representative to encourage the applicant’s participation.

Reasons for Closure

Decline Services

Use this code for individuals who choose not to participate or continue in their VR program at this time.

Extended employment

Extended Employment refers to work for wages or salary in a non-integrated setting for a public or nonprofit organization. Such settings are variously referred to as sheltered workshops. Individuals are compensated according to the Fair Labor Standards Act and the organization provides any needed support services that enable the individual to train or prepare for competitive employment.

Extended employment is not considered an employment outcome and thus is not successful employment closure. The following apply to individuals closed in extended employment:

An annual review must be conducted on individuals whose case is closed in extended (sheltered) employment. The purpose of the review is to determine the interests, priorities and needs of the individual with respect to competitive employment or training for competitive employment.
The review must be conducted for two years after the case is closed, and thereafter if requested by the individual or his/her representative.
The individual or, if appropriate, his/her representative must be given the opportunity to provide input into the review and reevaluation and documents that are put into the case record.
The individual or, as appropriate, his/her representative must provide a signed acknowledgement that the review and reevaluation have been conducted.
During the review, BRS must make maximum efforts to assist the individual in engaging in competitive employment. This includes identifying and providing vocational rehabilitation services, reasonable accommodations and other necessary support services.

Extended services not available

Use this code for individuals who would have benefited from the provision of supported employment services but for whom no source of extended services was available.

Failure to cooperate

Use this code to indicate when an individual's actions (or non-actions) make it impossible to begin or continue a VR program. Failure to cooperate includes repeated failures to keep appointments for assessment, counseling, or other services.

Individual in Institution

Use this code when an individual has entered an institution and will be unavailable to participate in a VR program for an indefinite or considerable period of time. An institution includes a hospital, a nursing home, a prison or jail, a treatment center, etc.

Transportation not feasible or available

Use this code to indicate that the individual was unable to accept or maintain employment because suitable transportation was either not feasible or not available.

Unable to locate or contact

Use this code when the individual has moved without a forwarding address or is otherwise unavailable. Also use this code for persons who have left the State and show no intentions of continuing in their VR program.

All other reasons

This code is used for all reasons not covered by the other categories.

Closure Summary

Summarize the circumstances that support the reason for closure. Typical reasons for case closure are lack of contact, no longer interested in services, moved/relocate, failure to cooperate, institutionalized, etc.

If a case is closed and significant services were provided, the closure documentation should summarize the actions and document the counselor’s involvement and professional skills used to assist the individual, as if it were being successfully closed. More often than not, ADVR has provided substantial services that impact people’s lives even without a successful closure and this should be documented.

4.0 – Exceptions

Any exception to policy must be approved by the Chief of Rehabilitation Services or his/her designee.