Changes in RSA-911 Reporting Requirements for VR Agencies

Case Service Report (RSA-911) RSA-PD-19-03 Program Year 2020 Implementation WINTAC/RSA Training Series (4/8)

Training Series Objectives 1. Explain the intent of PD-19-03 reporting requirements. 2. Assist State Vocational Rehabilitation (VR) agencies in the implementation of the Case Service Report (RSA-911). 3. When possible, share examples of what needs to live outside of RSA-911 reporting, in addition to the discussed data elements (e.g., source documentation). 4. Provide considerations and expectations during each training (e.g., policies State VR agencies need to establish and implement, available tools and resources, and internal controls). 2

Presenters Yann-Yann Shieh, RSA Rachel Anderson, WINTAC 3

Supported Employment (SE) Services (4/8 Training Series) November 2019

Todays Training 1. The Why behind SE changes 2. Changes from PD 16-04 to PD 19-03 3. Required SE Data Elements 4. Quarterly Reporting Requirements SE Services Title VI Funds Other (e.g., Customized Employment Services, Extended Services, Exit) 5. Outline for upcoming RSA-911 training topics 6. Tools/resources 5

SE Services The Why Behind RSA-911 Changes

Deleted Data Elements PD 16-04 (1/3) RSA deleted 12 Data Elements related to Training Services using Title VI funds DE 133,140, 147, 154, 161, 167, 174, 181, 188, 195, 202, 209: Example DE 140: Four-Year College or University Training Example DE 181: Job Readiness Training RSA deleted 8 Data Elements related to Career Services using Title VI funds DE 216, 223, 230, 237, 244, 251, 265, 272: Example DE 223: Diagnosis and Treatment of Impairments Example DE 272: Benefits Counseling RSA deleted 8 Data Elements related to Other Services using Title VI funds DE 291, 298, 305, 312, 319, 326, 333, 340: Example DE 291: Transportation services Example DE 326: Reader services 7

Deleted Data Elements PD 16-04 (2/3) In short, SE Services are VR services provided to an individual who is working in supported employment. To reduce burden and streamline the RSA-911, RSA deleted most of the Data Elements used to report specific VR services provided with Title VI funds because this level of specificity is not necessary for reporting purposes. If a VR agency is providing a VR service using Title VI funds to an individual working in supported employment, the service is reported using the more generic Data Elements for Supported Employment Services using Title VI funds under PD 19-03. 8

Deleted Data Elements PD 16-04 (3/3) RSA also deleted these specific Data Elements so that it was clear, in the RSA-911, that Supported Employment Services, using title I or VI funds, may only be provided once a participant begins working. VR agencies had been reporting VR services using Title VI funds, using the now deleted Data Elements, prior to employment. 9

Data Element 45 Significance of Disability In order to receive Supported Employment Services an individual must have a most significant disability and be a participant of the VR program. In Data Element 45, the VR agency reports the individual as being most significantly disabled. Report at time of Disability Data Elements Report quarterly for each individual/participant Code Values: 1=Individual has a significant disability 2=Individual is most significantly disabled (Required for SE) 0=Individual has no significant disability 10

Data Element 49 SE Goal on Current IPE In order to receive SE Services an individual must also have a SE Goal on their current Individualized Plan for Employment (IPE). In Data Element 49, the VR agency reports if the individual has a SE goal on the current IPE. Report at time of IPE or amendment Report quarterly for each participant Data Element is updateable Code Values: 1=Individual has a SE goal on the current IPE 2=Individual does not have a SE goal on the current IPE 11

Data Element 350 Date Employed Supported Employment Services, and use of Title VI funds, start after the participant with a most significant disability is employed. In Data Element 350, the VR agency reports the start date of employment in their primary occupation. Report at time of employment outcome related to the participants IPE goal (must be in the same quarter or prior quarters to individual receiving SE services) Report upon occurrence Data Element is updateable The date must be verifiable through supported documentation 12

SE Services may be provided when Employed SE Goal on IPE MSD Supported Employment Services & Title VI funds or Title I funds 13

SE Services Data Elements 34 C.F.R. 361.5(c)(54)

Data Element 254 260: SE Services (1/4) Supported Employment services are ongoing support services, including customized employment, and other appropriate services needed to support an individual with a most significant disability in maintaining supported employment. Element Number Element Name Data Type Change (from PD1604) Report at Report Updateable after initial reporting (Y/N) Definitions or Instructions Code Values 254 Supported Employment Services, INT 1 No Career Services Data Elements Upon Occurrence Yes Report at the time the service is provided. 1 = Service was provided in whole or part by VR agency staff Leave blank if service was not provided by VR agency staff Service Provided by VR Agency Staff (in house) 15

Data Element 254 260: SE Services (2/4) Element Number Element Name Data Type Change (from PD1604) Report at Report Updateable after initial reporting (Y/N) Definitions or Instructions Code Values 255 SE Services, INT 1 No Career Services Data Elements Upon Occurrence Yes Report at the time the service is provided. 1 = Service was provided in whole or part through purchase by the VR agency Service Provided by Agency Purchase Leave blank if service was not provided through VR agency purchase. 256 SE Services, INT 1 No Career Services Data Elements Upon Occurrence Yes If the service was provided in whole or part through purchase by the VR agency, the Purchased Service Provider Type must be reported. 1 = Public Community Rehabilitation Program (CRP) 2 = Private CRP 3 = Other Public Service Provider 4 = Other Private Service Provider Purchased Service Provider Type For each service category, report the code value that best describes the primary service provider. Leave blank if service was not provided through purchase by VR agency. 16

Data Element 254 260: SE Services (3/4) Element Number Element Name Data Type Change (from PD1604) Report at Report Updateable after initial reporting (Y/N) Definitions or Instructions Code Values 257 SE Services, INT 6 No Career Services Data Elements Upon Occurrence Yes Report the quarterly, VR program expenditure for the purchased service. Expenditures may include non- Federal share and VR program Federal funds, including program income, used to purchase the service. Expenditures do not include unliquidated obligations or encumbrances. XXXXXX Amount of VR Funds Expended for Service (Title I) Report at the time the expenditure is paid. Leave blank if service was not provided through purchase by VR agency. 258 SE Services, INT 6 No Career Services Data Elements Upon Occurrence Yes Report the quarterly Supported Employment Services program expenditures for the purchased service. XXXXXX Amount of SE Funds Expended for Service (Title VI) Recipients of these funds must have a supported employment goal in their IPEs and have already been placed in an employment setting. Report at the time the expenditure is paid. Leave blank if service was not provided through purchase by VR agency. 17

Data Element 254 260: SE Services (4/4) Element Number Element Name Data Type Change (from PD1604) Report at Report Updateable after initial reporting (Y/N) Definitions or Instructions Code Values 259 SE Services, INT 1 No Career Services Data Elements Upon Occurrence Yes Report at the time the service is provided. 1 = Service was provided in whole or part by Comparable Services and Benefits Providers Service Provided by Comparable Services and Benefits Providers Leave blank if service was not provided by Comparable Services and Benefits Providers 260 SE Services, VARCHAR 8 Yes Modified List of Choices Career Services Data Elements Upon Occurrence Yes Report up to three codes, separated by semicolons, that best describes the service providers who provided the individual with a comparable service or benefit. See Appendix 5 for a list of comparable services and benefits providers Comparable Services and Benefits Providers Type Leave blank if service was not provided by a Comparable Services and Benefits Providers PD 19-03 Appendix 5 Examples: Code 12 Intellectual and Developmental Disabilities Agency (Public) Code 14 Mental Health Provider (Public) 18

Customized Employment (CE) Services Data Elements 34 C.F.R. 361.5(c)(11)

Data Element 275 281: CE Services (1/4) Customized Employment Services are designed to meet the specific abilities of each individual with a significant disability and the business needs of the employer; and carried out through flexible strategies such as job exploration. Element Number Element Name Data Type Change (from PD1604) Report at Report Updateable after initial reporting (Y/N) Definitions or Instructions Code Values 275 Customized Employment Services, INT 1 No Career Services Data Elements Upon Occurrence Yes Report at the time the service is provided. 1 = Service was provided in whole or part by VR agency staff Leave blank if service was not provided by VR agency staff Service Provided by VR Agency Staff (in house) 20

Data Element 275 281: CE Services (2/4) Element Number Element Name Data Type Change (from PD1604) Report at Report Updateable after initial reporting (Y/N) Definitions or Instructions Code Values 276 CE Services, INT 1 No Career Services Data Elements Upon Occurrence Yes Report at the time the service is provided. 1 = Service was provided in whole or part through purchase by the VR agency Service Provided by Agency Purchase Leave blank if service was not provided through VR agency purchase. 277 CE Services, INT 1 No Career Services Data Elements Upon Occurrence Yes If the service was provided in whole or part through purchase by the VR agency, the Purchased Service Provider Type must be reported. 1 = Public Community Rehabilitation Program (CRP) 2 = Private CRP 3 = Other Public Service Provider 4 = Other Private Service Provider Purchased Service Provider Type For each service category, report the code value that best describes the primary service provider. Leave blank if service was not provided through purchase by VR agency. 21

Data Element 275 281: CE Services (3/4) Element Number Element Name Data Type Change (from PD1604) Report at Report Updateable after initial reporting (Y/N) Definitions or Instructions Code Values 278 CE Services, INT 6 No Career Services Data Elements Upon Occurrence Yes Report the quarterly, VR program expenditure for the purchased service. Expenditures may include non- Federal share and VR program Federal funds, including program income, used to purchase the service. Expenditures do not include unliquidated obligations or encumbrances. XXXXXX Amount of VR Funds Expended for Service (Title I) Report at the time the expenditure is paid. Leave blank if service was not provided through purchase by VR agency. 279 CE Services, INT 6 No Career Services Data Elements Upon Occurrence Yes Report the quarterly Supported Employment Services program expenditures for the purchased service. XXXXXX Amount of SE Funds Expended for Service (Title VI) Recipients of these funds must have a supported employment goal in their IPEs and have already been placed in an employment setting. Report at the time the expenditure is paid. Leave blank if service was not provided through purchase by VR agency.

Data Element 275 281: CE Services (4/4) Element Number Element Name Data Type Change (from PD1604) Report at Report Updateable after initial reporting (Y/N) Definitions or Instructions Code Values 280 CE Services, INT 1 No Career Services Data Elements Upon Occurrence Yes Report at the time the service is provided. 1 = Service was provided in whole or part by Comparable Services and Benefits Providers Service Provided by Comparable Services and Benefits Providers Leave blank if service was not provided by Comparable Services and Benefits Providers 281 CE Services, VARCHAR 8 Yes Modified List of Choices Career Services Data Elements Upon Occurrence Yes Report up to three codes, separated by semicolons, that best describes the service providers who provided the individual with a comparable service or benefit. See Appendix 5 for a list of comparable services and benefits providers Comparable Services and Benefits Providers Type Leave blank if service was not provided by a Comparable Services and Benefits Providers PD 19-03 Appendix 5 Examples: Code 12 Intellectual and Developmental Disabilities Agency (Public) Code 14 Mental Health Provider (Public) 23

Supported Employment Services vs Customized Employment Services Both Title I and Title VI funds can be used to provide SE Services and CE Services. VR agencies may only use Title VI funds to provide SE and CE Services after the participant with a most significant disability is employed. VR agencies report all SE Services using the SE Data Elements (i.e., 254-260), which can include any service needed to maintain or support the individual s employment. VR agencies can choose to use CE Data Elements (i.e., 275-281) to specifically document the use of Customized Employment services provided during Supported Employment. 24

Example Title I vs Title VI Funds MSD/Participant SE Goal on IPE Customized Employment Services Title I Funds Restoration Services Training Services Job Placement Services Title I Funds Title I Funds Title I Funds MSD/Participant Employed *Reminder* All VR and SE Services can be provided using Title I funds. However, Title VI funds can only be used for Supported Employment Services after the participant has been placed in employment. SE Goal on IPE Supported Employment Services Title I or VI Funds Customized Employment Services Title I or VI Funds 25

Extended Services for Youth with MSD 34 C.F.R. 361.5(c)(19)

Data Element 282 286: Extended Services (1/3) Extended services are ongoing support services and other appropriate services that are needed to support and maintain employment for a youth with a most significant disability. Element Number Element Name Data Type Change (from PD1604) Report at Report Updateable after initial reporting (Y/N) Definitions or Instructions Code Values 282 Extended Services, INT 1 Yes Career Services Data Elements Upon Occurrence Yes Report at the time the service is provided to the youth with a most significant disability. 1 = Service was provided in whole or part by VR agency staff (Modified definition) Service Provided by VR Agency Staff (in house) Leave blank if service was not provided by VR agency staff. 27

Data Element 282 286: Extended Services (2/3) Element Number Element Name Data Type Change (from PD1604) Report at Report Updateable after initial reporting (Y/N) Definitions or Instructions Code Values 283 Extended Services, INT 1 Yes Career Services Data Elements Upon Occurrence Yes Report at the time the service is provided to the youth with a most significant disability. 1 = Service was provided in whole or part through purchase by the VR agency (Modified definition) Service Provided by Agency Purchase Leave blank if service was not provided through VR agency purchase. 284 Extended Services, INT 1 Yes Career Services Data Elements Upon Occurrence Yes If the service was provided to a youth with a most significant disability in whole or part through purchase by the VR agency, the Purchased Service Provider Type must be reported. 1 = Public Community Rehabilitation Program (CRP) 2 = Private CRP 3 = Other Public Service Provider 4 = Other Private Service Provider (Modified definition) Purchased Service Provider Type For each service category, report the code value that best describes the primary service provider. Leave blank if service was not provided through purchase by VR agency. 28

Data Element 282 286: Extended Services (3/3) Element Number Data Type Change (from PD1604) Report at Updateable after initial reporting (Y/N) Element Name Report Definitions or Instructions Code Values Extended Services, INT 6 Yes Career Services Data Elements Upon Occurrence Report the quarterly, VR program expenditure for the purchased service. Expenditures may include non- Federal share and VR program Federal funds, including program income, used to purchase the service. Expenditures do not include unliquidated obligations or encumbrances. 285 Yes XXXXXX (Modified definition) Amount of VR Funds Expended for Service (Title I) Report at the time the expenditure is paid. Leave blank if service was not provided through purchase by VR agency. Extended Services, INT 6 Yes Career Services Data Elements Upon Occurrence Report the quarterly Supported Employment Services program expenditures for the purchased service. 286 Yes XXXXXX (Modified definition) Amount of SE Funds Expended for Service (Title VI) Recipients of these funds must have a supported employment goal in their IPEs and have already been placed in an employment setting. Report at the time the expenditure is paid. Leave blank if service was not provided through purchase by VR agency. 29

Reporting Requirements Extended Services VR agencies report Extended Services provided to youth with the most significant disabilities (14 through 24), provided by VR agency staff or through VR agency purchase, prior to exiting from the VR program. Extended Services may be provided to youth using both Title I and Title VI funds. VR agencies do not use Title I or VI funds to provide extended services to individuals other than youth with the most significant disabilities. Some VR agencies may have State appropriations or other funding sources to provide extended services to other populations. VR agencies do not report data for participants, including youth, who have achieved a supported employment outcome and are receiving extended services provided through other sources after exiting from the VR program. 30

Exit Supported Employment Outcome 34C.F.R. 361.5(c)(53) 31

Exit Data Elements DE 353: Date of Exit Report the date the individual exited from the VR or SE program consistent with the requirements in the regulations The date must be verifiable through supporting documentation. DE 354: Type of Exit Code Value 6=Individual exited after a signed IPE in competitive and integrated employment or supported employment DE 355: Reason for Program Exit PD 19-03 Appendix 6 Reasons for Exit Code Value 14=Achieved Competitive Integrated Employment Outcome 32

Exit Data Elements (continued) DE 356: Employment Outcome at Exit (PD 19-03) Code Value 5=Supported Employment in Competitive Integrated Employment NOT Code Value 1=Competitive Integrated Employment DE 357: Primary Occupation at Exit 2018 SOC Code that best describes the individual s occupation consistent with the IPE goal DE 359: Hourly Wage at Exit Report individual s hourly wage earned at time of exit The data must be verifiable through supporting documentation DE360: Hours Worked in a Week at Exit Report the number of hours the individual worked for earnings in a typical week at the time of exit. 33

Other SE Exit Data Elements DE 355: Reason for Program Exit Appendix 6 in both PD 16-04 and PD 19-03 include Code Value 16=Individual has received VR Services, but requires long-term extended services for which no long-term source of funding is available. This code is used only for individuals who have received VR services. In PD 19-03, RSA added Code Value 20=Short Term Basis Period: The individual achieved supported employment in integrated employment, but did not earn a competitive wage after exhausting the short-term basis period. DE 356: Employment Outcome at Exit In PD 19-03, RSA deleted Code Value 6=Supported Employment on Short- term Basis: Refers to supported employment outcome while working toward competitive integrated employment on a short-term basis. 34

Example SE Services and Funds Diagnosis & Treatment of Impairments Job Readiness Training: Job Placement Assistance: Employment! Supported Employment Services: DE 185 Purchased DE 186 Provider Type DE 187 Title I Funds DE 350: Start Date of Employment All SE Services DE 254- 260, might include: Job coaching Transportation Treatment Benefits Counseling Title I funds or Title VI funds can be used DE 241 Purchased DE 242 Provider Type DE 243 Title I Funds DE 178 Purchased DE 179 Provider Type DE 180 Title 1 Funds VR Participant with a MSD and SE Goal on IPE 35

Reporting SE Data Elements Accurately reporting the provision of supported employment services requires multiple data elements. MSD & SE Goal on IPE For example: Participant/IPE Data Elements An individual with a MSD is identified as receiving SE services when SE is a goal on the current IPE. All applicable IPE and Participant Data Elements are reported. SE Services When participants begin employment, SE services are reported. The appropriate funds (Title I & Title VI) are reported as funds expended on SE services. Title I & Title VI Funds In subsequent quarters, VR must report all applicable data elements,including the provision of any supported employment services and funds. Quarterly Reporting 36

Internal Controls Internal controls should ensure accurate tracking and reporting of all SE services. Internal controls should ensure Extended Services are provided only to youth (14 through 24) with the most significant disabilities. Internal controls should prevent agencies from providing SE services to individuals who are not MSD and do not have SE as a goal on their IPE. Including the use of Title VI funds, as appropriate. Internal controls should prevent agencies from using Title VI funds to provide any services prior to employment. 37

RSA-911 Training Series 1. Background and Implementation 2. Reporting Expenditures for VR Services 3. Pre-Employment Transition Services (Pre-ETS) 4. Supported Employment (SE) Services 5. Measurable Skill Gains (MSG) and Credential Attainment 6. Exit and Post-Exit Data Elements 7. New Data Elements Additional Need to Know Information 8. RSA-911 Information Used in the WIOA Annual Report 38

Resources: Supported Employment Services RSA s Comment Analysis (dated 01/25/2019) included in 30-day ICR Docket Folder https://www.regulations.gov/document?D=ED-2018-ICCD-0100-0032 RSA-PD-16-04 Case Service Report (RSA-911) https://www2.ed.gov/policy/speced/guid/rsa/subregulatory/pd-16-04.pdf RSA-PD-19-03 Case Service Report (RSA-911) https://www2.ed.gov/policy/speced/guid/rsa/subregulatory/pd-19-03.pdf RSA FAQ about SE https://www2.ed.gov/programs/rsasupemp/program-faq.html 39

Contact Yann-Yann Shieh Statistician (202) 245-7247 RSAData@ed.gov rsa.ed.gov Rachel Anderson (435) 764-8487 randerson@ndi-inc.org www.WINTAC.org 40