#### 1. Guidelines for the Administration of a Self-Employment Plan

+------------+---------------------------------------------------------+
| ##### In   | > This topic provides guidelines for the administration |
| troduction | > of a self-employment plan, including                  |
|            |                                                         |
|            | -   philosophical framework                             |
|            |                                                         |
|            | -   components of the philosophical framework, and      |
|            |                                                         |
|            | -   standards of practice (SOP).                        |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > December 29, 2006                                     |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > The philosophical framework provides the principles   |
| ### a. Phi | > which direct the scope and practice of utilizing the  |
| losophical | > standards of practice for self-employment plans.      |
|  Framework |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### b. C | > The philosophical framework is composed of the        |
| omponents  | > following eight principles.                           |
| of the Phi |                                                         |
| losophical | -   Enhance vocational opportunities for veterans for   |
|  Framework |     whom self-employment is the most viable option to   |
|            |     become suitably employed                            |
|            |                                                         |
|            | -   Assist veterans in identifying self-employment      |
|            |     potential and candidacy based on eligibility        |
|            |     criteria for Category I or Category II levels of    |
|            |     service                                             |
|            |                                                         |
|            | -   Complete, coordinate, or contract for a preliminary |
|            |     evaluation of a veteran's potential for             |
|            |     self-employment, including identifying any areas of |
|            |     concern or barriers to the successful pursuit of a  |
|            |     self-employment plan                                |
|            |                                                         |
|            | -   Conduct a thorough and adequate feasibility         |
|            |     analysis of all proposed business plans             |
|            |                                                         |
|            | -   Establish realistic self-employment goals based on  |
|            |     sound business research                             |
|            |                                                         |
|            | -   Provide services based on economic viability and    |
|            |     the severity of disability                          |
|            |                                                         |
|            | -   Monitor, evaluate, measure, and verify all          |
|            |     self-employment plans/goals, and                    |
|            |                                                         |
|            | -   Provide services and assistance that produce a      |
|            |     sustaining and successful self-employment business  |
|            |     which continues after rehabilitation services are   |
|            |     completed.                                          |
+------------+---------------------------------------------------------+

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1\. Guidelines for the Administration of a Self-Employment Plan,
Continued

+------------+---------------------------------------------------------+
| ##### c.   | > The table below describes the standards of practice   |
| SOP for a  | > (SOP) for the development and implementation of a     |
| Self-Emplo | > self-employment plan.                                 |
| yment Plan |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **Step 1.** **Orient the veteran to the self-employment process.**  |
| > Assist the veteran in understanding rights and responsibilities in  |
| > the self-employment process.                                        |
+-----------------------------------------------------------------------+

+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **A.** Orient the veteran to the         | **Title 38 USC, Chapter   |
| self-employment process using *VA Form   | 31**                      |
| 28-0793, Self-Employment Program         |                           |
| Orientation*.                            | Section 3100 (Purposes),  |
|                                          | 3101 (Definitions), 3104  |
| After a joint review                     | (Scope of services and    |
|                                          | assistance), 3107         |
| -   the case manager and the veteran     | (Individualized           |
|     will sign *VA Form 28-0793*          | vocational rehabilitation |
|                                          | plan), 3111 (Regulations  |
| -   a copy of the signed form will be    | to promote satisfactory   |
|     provided to the veteran, and         | conduct and cooperation)  |
|                                          |                           |
| -   the original form will be placed on  | **38 CFR**                |
|     the right side of the CER folder.    |                           |
|                                          | 21.35 (Definitions),      |
|     **[Mandatory Job Aid]{.underline}**  | 21.257 (Self-employment), |
|                                          | 21.258 (Special           |
| ###### Self-Employment Program           | assistance for veterans   |
| Orientation (28-0793) {#self-employment- | in self-employment),      |
| program-orientation-28-0793 .unnumbered} | 21.362 (Satisfactory      |
|                                          | conduct and cooperation), |
|                                          | 21.364 (Unsatisfactory    |
|                                          | conduct and cooperation)  |
|                                          |                           |
|                                          | **28.II.2.A** Folder/File |
|                                          | Maintenance               |
|                                          |                           |
|                                          | **28.III.4** (Veterans'   |
|                                          | Resp                      |
|                                          | onsibilities-Satisfactory |
|                                          | Conduct and Cooperation), |
|                                          | (Failure to Maintain      |
|                                          | Satisfactory Conduct and  |
|                                          | Cooperation)              |
|                                          |                           |
|                                          | **28.III.2.A** Protection |
|                                          | of Privacy and Release of |
|                                          | Information to Facilities |
|                                          |                           |
|                                          | **28.II.A.3** Documenting |
|                                          | the Planning Process      |
|                                          |                           |
|                                          | **28.I.1.B.5** Functions  |
|                                          | of the Case Manager       |
|                                          |                           |
|                                          | **M28-1, Part IV, Chapter |
|                                          | 7**                       |
|                                          |                           |
|                                          | Self-Employment           |
|                                          |                           |
|                                          | **CRCC Code of Ethics**   |
|                                          | *--* A-1, A-2, A-3,       |
|                                          | Section B, C, F           |
+------------------------------------------+---------------------------+

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1\. Guidelines for the Administration of a Self-Employment Plan,
Continued

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  c\. SOP for a Self-Employment Plan (continued)

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+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **B.** Assign the veteran to either      | **Title 38 USC, Chapter   |
| Category I or Category II based on       | 31**                      |
| information developed during             |                           |
| comprehensive evaluation. This           | Section 3104 (Scope of    |
| assignment will determine the level of   | services and assistance)  |
| self-employment assistance and services  |                           |
| that may be provided.                    | **38 CFR**                |
|                                          |                           |
| **Veterans designated as Category I**    | 21.258 (Special           |
|                                          | assistance for veterans   |
| -   have the most severe                 | in self-employment),      |
|     service-connected disabilities       | 21.420 (Informing the     |
|                                          | veteran)                  |
| -   will likely achieve vocational       |                           |
|     rehabilitation only through          | **M28.III.2.B**           |
|                                          |                           |
| ```{=html}                               | (Informing the Veteran of |
| <!-- -->                                 | Adverse Actions),         |
| ```                                      | (Appellate Procedures)    |
| -   self-employment, and/or              |                           |
|                                          | **M28-1, Part IV, Chapter |
| -   homebound training                   | 7**                       |
|                                          |                           |
| ```{=html}                               | Paragraph 7.06 (Supplies  |
| <!-- -->                                 | and Related Assistance    |
| ```                                      | Which VA May Not          |
| -   have limitations to employability    | Authorize)                |
|     that are so severe they require      |                           |
|     self-employment as a vocational      | **Circular 28-97-1,       |
|     goal, and                            | Revision 10/29/04**       |
|                                          | Paragraph 5 ("Special     |
| -   all other reasonable employment      | Services," included in    |
|     goals and/or means of accomplishing  | self-employment and       |
|     rehabilitation are unsuitable due to | homebound training        |
|     the severity of their                | programs, only for        |
|     service-connected disabilities.      | veterans with the most    |
|                                          | severe service-connected  |
|     Veterans designated as Category II   | disabilities)             |
|                                          |                           |
| -   have an employment handicap (EH), or | **CRCC Code of Ethics**   |
|                                          | *--* A-1, A-2, A-3,       |
| -   have a serious employment handicap   | Section B, C-1, D-1       |
|     (SEH), but their service-connected   |                           |
|     disability(ies) are not considered   |                           |
|     most severe.                         |                           |
|                                          |                           |
| ######## **[Guidanc                      |                           |
| e]{.underline}** {#guidance .unnumbered} |                           |
|                                          |                           |
| *Self-Employment Fact Sheet*             |                           |
+------------------------------------------+---------------------------+

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1\. Guidelines for the Administration of a Self-Employment Plan,
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  c\. SOP for a Self-Employment Plan (continued)

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+-----------------------------------------------------------------------+
| > **Step 2. Conduct or arrange a preliminary evaluation of the        |
| > suitability of self-employment as the veteran's rehabilitation      |
| > goal**.                                                             |
+-----------------------------------------------------------------------+

+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **C.** Conduct or arrange a preliminary  | **Title 38 USC, Chapter   |
| self-employment evaluation to assess the | 31**                      |
| veteran's                                |                           |
|                                          | Section 3100 (Purposes),  |
| -   needs                                | 3104 (Scope of services   |
|                                          | and assistance), 3111     |
| -   potential, and                       | (Regulations to promote   |
|                                          | satisfactory conduct and  |
| -   readiness or suitability to          | cooperation)              |
|     participate in a self-employment     |                           |
|     plan.                                | ###### 3                  |
|                                          | 8 CFR  {#cfr .unnumbered} |
| During the preliminary self-employment   |                           |
| evaluation                               | 21.70 (Vocational         |
|                                          | rehabilitation), 21.140   |
| -   the issues or barriers to successful | (Evaluation and           |
|     pursuit of a self-employment option  | improvement of            |
|     must be                              | rehabilitation            |
|                                          | potential), 21.184        |
| ```{=html}                               | ("Evaluation and          |
| <!-- -->                                 | planning" status), 21.420 |
| ```                                      | (Informing the veteran)   |
| -   identified                           |                           |
|                                          | **28.III.4** (Veterans'   |
| -   addressed by the proposed            | Resp                      |
|     rehabilitation plan, or              | onsibilities-Satisfactory |
|                                          | Conduct and Cooperation), |
| -   resolved prior to final approval of  | (Failure to Maintain      |
|     a formal self-employment plan, and   | Satisfactory Conduct and  |
|                                          | Cooperation)              |
| ```{=html}                               |                           |
| <!-- -->                                 | **M28-1, Part IV, Chapter |
| ```                                      | 7**                       |
| -   necessary case support issues will   |                           |
|     be considered.                       | Paragraphs 7.01           |
|                                          | (Introduction), 7.02(a)   |
|     If use of the *Preliminary           | (Feasibility Analysis)    |
|     Self-Employment Evaluation* reveals  |                           |
|     that self-employment                 | **CRCC Code of Ethics**   |
|                                          | *--* A-1, A-2, A-3,       |
| -   is not warranted, the case manager   | Section B, Section C,     |
|     will consider alternative            | D-1, Section F            |
|     rehabilitation services, or          |                           |
|                                          | **VR&E Letter 28-03-05**  |
| -   is warranted, the case manager will  |                           |
|     help the veteran begin the process   | (Corporate WINRS Cost     |
|     of developing a business plan.       | Centers and Codes)        |
|                                          |                           |
| ######## **[Guidance]                    |                           |
| {.underline}** {#guidance-1 .unnumbered} |                           |
|                                          |                           |
| *Preliminary Self-Employment Evaluation* |                           |
|                                          |                           |
| *Case Support*                           |                           |
|                                          |                           |
| ***Note:*** The preliminary evaluation   |                           |
| for self-employment may be contracted by |                           |
| the case manager using the appropriate   |                           |
| Budget Object Code (BOC 4157) during the |                           |
| evaluation process.                      |                           |
+------------------------------------------+---------------------------+

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1\. Guidelines for the Administration of a Self-Employment Plan,
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  c\. SOP for a Self-Employment Plan (continued)

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+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **D.** Coordinate services and assist    | **Title 38 USC, Chapter   |
| the veteran in developing a proposed     | 31**                      |
| business plan. The proposed business     |                           |
| plan will address all issues identified  | Section 3100 (Purposes),  |
| in *VA Form 28-0795, Business Plan       | 3104 (Scope of services   |
| Review Guide.*                           | and assistance), 3111     |
|                                          | (Regulations to promote   |
| The veteran is responsible for           | satisfactory conduct and  |
| developing a written business plan for   | cooperation)              |
| consideration by VR&E. The case manager  |                           |
| will ensure that the veteran works with  | ###### 38                 |
| a professional business consultant,      | CFR  {#cfr-1 .unnumbered} |
| either on a voluntary or contractual     |                           |
| basis, to develop a proposed business    | 21.257 (Self-employment), |
| plan.                                    | 21.258 (Special           |
|                                          | assistance for veterans   |
| Consider the following resources to      | in self-employment),      |
| assist in the development of a proposed  | 21.290 (Training and      |
| business plan                            | rehabilitation resources) |
|                                          |                           |
| -   Small Business Administration (SBA)  | **28.III.4** (Veterans'   |
|                                          | Resp                      |
| -   Small Business Development Center    | onsibilities-Satisfactory |
|     (SBDC)                               | Conduct and Cooperation), |
|                                          | (Failure to Maintain      |
| -   Center for Veterans Enterprise       | Satisfactory Conduct and  |
|     (CVE), and                           | Cooperation)              |
|                                          |                           |
| -   other public or private small        | **CRCC Code of Ethics**   |
|     business consulting agencies.        | *--* A-1, A-2, A-3,       |
|                                          | Section B, Section C,     |
|     **[Mandatory Job Aid]{.underline}**  | D-1, Section F            |
|                                          |                           |
|     *Business Plan Review Guide          |                           |
|     (28-0795)*                           |                           |
+------------------------------------------+---------------------------+

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1\. Guidelines for the Administration of a Self-Employment Plan,
Continued

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  c\. SOP for a Self-Employment Plan (continued)

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+-----------------------------------------------------------------------+
| > **Step 3. Before developing a rehabilitation plan, determine if the |
| > veteran is likely to achieve rehabilitation through self-employment |
| > by conducting a feasibility analysis of the proposed business       |
| > plan.**                                                             |
+-----------------------------------------------------------------------+

+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **E.** The case manager will ensure      | **Title 38 USC, Chapter   |
|                                          | 31**                      |
| -   an assessment of the economic        |                           |
|     viability of the proposed business   | Section 3100 (Purposes),  |
|     plan is                              | 3104 (Scope of services   |
|                                          | and assistance)           |
| ```{=html}                               |                           |
| <!-- -->                                 | **28.III.2.A** Protection |
| ```                                      | of Privacy and Release of |
| -   conducted                            | Information to Facilities |
|                                          |                           |
| -   arranged, or                         | **M28-1, Part IV, Chapter |
|                                          | 7**                       |
| -   contracted for                       |                           |
|                                          | Paragraphs 7.02(a)        |
| ```{=html}                               | (Feasibility Analysis),   |
| <!-- -->                                 | 7.03 (Developing the      |
| ```                                      | Feasibility Analysis)     |
| -   professional consultations on either |                           |
|     a voluntary or contractual basis are | **CRCC Code of Ethics**   |
|     arranged to assist with the          | *--* A-1, A-2, A-3,       |
|     assessment, and                      | Section B, Section C,     |
|                                          | D-1, E-2                  |
| -   the veteran's business plan          |                           |
|     addresses all eight issues in the    | **VR&E Letter 28-03-05**  |
|     *Business Plan Review Guide*.        |                           |
|                                          | (Corporate WINRS Cost     |
|     To assist with the analysis, the     | Centers and Codes)        |
|     case manager may use                 |                           |
|                                          |                           |
| -   business associations                |                           |
|                                          |                           |
| -   economic development corporations    |                           |
|                                          |                           |
| -   college business programs, and       |                           |
|                                          |                           |
| -   other appropriate organizations and  |                           |
|     offices.                             |                           |
|                                          |                           |
|     **[Mandatory Job Aid]{.underline}**  |                           |
|                                          |                           |
|     *Business Plan Review Guide          |                           |
|     (28-0795)*                           |                           |
+------------------------------------------+---------------------------+

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1\. Guidelines for the Administration of a Self-Employment Plan,
Continued

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  c\. SOP for a Self-Employment Plan (continued)

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+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **F.** Summarize information from the    | **Title 38 USC, Chapter   |
| above analysis of the plan for           | 31**                      |
| self-employment into a written report or |                           |
| obtain the written report from           | Section 3100 (Purposes),  |
| contractor/vendor who assisted in        | 3104 (Scope of services   |
| completing the evaluation of feasibility | and assistance)           |
| for a proposed business plan.            |                           |
|                                          | ###### 38                 |
|                                          | CFR  {#cfr-2 .unnumbered} |
|                                          |                           |
|                                          | 21.257 (Self-employment), |
|                                          | 21.258 (Special           |
|                                          | assistance for veterans   |
|                                          | in self-employment),      |
|                                          | 21.290 (Training and      |
|                                          | rehabilitation resources) |
|                                          |                           |
|                                          | **M28-1, Part IV, Chapter |
|                                          | 7**                       |
|                                          |                           |
|                                          | Paragraph 7.02(a)         |
|                                          | (Feasibility Analysis)    |
|                                          |                           |
|                                          | **CRCC Code of Ethics**   |
|                                          | *--* A-1, A-2, A-3,       |
|                                          | Section B, C, D-1, F      |
+------------------------------------------+---------------------------+
| **G.** Determine if it is realistic for  | **Title 38 USC, Chapter   |
| the veteran to achieve rehabilitation    | 31**                      |
| through self-employment.                 |                           |
|                                          | Section 3100 (Purposes),  |
| If the analysis reveals                  | 3104 (Scope of services   |
|                                          | and assistance), 3111     |
| -   it is currently realistic for the    | (Regulations to promote   |
|     veteran to achieve rehabilitation    | satisfactory conduct and  |
|     through self-employment, then        | cooperation)              |
|     develop a rehabilitation plan        |                           |
|                                          | **38 CFR**                |
| -   it is not currently realistic for    |                           |
|     the veteran to achieve               | 21.140 (Evaluation and    |
|     rehabilitation through               | improvement of            |
|     self-employment, then                | rehabilitation            |
|                                          | potential), 21.257        |
| ```{=html}                               | (Self-employment), 21.420 |
| <!-- -->                                 | (Informing the Veteran)   |
| ```                                      |                           |
| -   consider alternative rehabilitation  | **28.III.4** (Veterans'   |
|     options based on the veteran's       | Resp                      |
|     assigned category, or                | onsibilities-Satisfactory |
|                                          | Conduct and Cooperation)  |
| -   investigate and provide further      |                           |
|     services and/or assistance if they   | **M28.III.2.B**           |
|     will result in the viability of      |                           |
|     self-employment as an option.        | (Informing the Veteran of |
|                                          | Adverse Actions),         |
|                                          | (Appellate Procedures)    |
|                                          |                           |
|                                          | **CRCC Code of Ethics**   |
|                                          | *--* A-1, A-2, A-3,       |
|                                          | Section B, Section C,     |
|                                          | D-1, Section F            |
+------------------------------------------+---------------------------+

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1\. Guidelines for the Administration of a Self-Employment Plan,
Continued

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  c\. SOP for a Self-Employment Plan (continued)

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+-----------------------------------------------------------------------+
| > **Step 4. Develop a Rehabilitation Plan.** Write a self-employment  |
| > plan which specifies services to address the identified             |
| > rehabilitation needs and incorporates required services from the    |
| > business plan.                                                      |
+-----------------------------------------------------------------------+

+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **H.** Considering the level of          | **Title 38 USC, Chapter   |
| assistance that may be provided based on | 31** Section 3101         |
| assignment to Category I or II, develop  | (Definitions), 3104       |
| either an individualized written         | (Scope of services and    |
| rehabilitation plan (IWRP) or            | assistance), 3105         |
| individualized employment assistance     | (Duration of              |
| plan (IEAP) using *VA Form 28-8872,      | rehabilitation programs), |
| Rehabilitation Plan.*                    | 3107 (Individualized      |
|                                          | vocational rehabilitation |
| Ensure the objectives                    | plan), 3108 (Allowances), |
|                                          | 3117 (Employment          |
| -   specifically address all identified  | assistance)               |
|     needs to prepare for, obtain, and    |                           |
|     maintain self-employment, including  | **38 CFR**                |
|                                          |                           |
| ```{=html}                               | 21.35 (Definitions),      |
| <!-- -->                                 | 21.80 (Requirement for a  |
| ```                                      | rehabilitation plan),     |
| -   allocating resources                 | 21.84 (Individualized     |
|                                          | written rehabilitation    |
| -   purchasing equipment, inventory, and | plan), 21.88              |
|     supplies                             | (Individualized           |
|                                          | employment assistance     |
| -   training                             | plan), 21.92 (Preparation |
|                                          | of the plan), 21.98       |
| -   licenses and permits, and            | (Appeal of disagreement   |
|                                          | regarding development of, |
| -   funding                              | or change in, the plan),  |
|                                          | 21.100 (Counseling),      |
| ```{=html}                               | 21.120 (Educational and   |
| <!-- -->                                 | vocational training       |
| ```                                      | services), 21.156 (Other  |
| -   include specific expected outcomes   | incidental goods and      |
|     that are measurable and/or           | services), 21.257         |
|     verifiable, and                      | (Self-employment), 21.258 |
|                                          | (Special assistance for   |
| -   facilitate a successful outcome.     | veterans in               |
|                                          | self-employment), 21.420  |
| **I.** VA may not, under any             | (Informing the Veteran)   |
| circumstances, authorize assistance for  |                           |
|                                          |                           |
| -   full or partial payment to purchase  |                           |
|     land or buildings                    |                           |
|                                          |                           |
| -   lease or rental payments             |                           |
|                                          |                           |
| -   purchase or rentals of cars, trucks, |                           |
|     or other vehicles, or                |                           |
|                                          |                           |
| -   stocking either a farm for animal    |                           |
|     husbandry operations or a fishery.   |                           |
|                                          |                           |
|     ***Note:*** Services provided under  |                           |
|     an IEAP cannot exceed 18 months.     |                           |
+------------------------------------------+---------------------------+

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1\. Guidelines for the Administration of a Self-Employment Plan,
Continued

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  c\. SOP for a Self-Employment Plan (continued)

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+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **I.** Continued                         | **M28-1, Part I, Chapter  |
|                                          | 10**                      |
|                                          |                           |
|                                          | Paragraphs 10.01          |
|                                          | (Veterans'                |
|                                          | Resp                      |
|                                          | onsibilities-Satisfactory |
|                                          | Conduct and Cooperation), |
|                                          | 10.04 (Review and Appeal  |
|                                          | of Disagreement With the  |
|                                          | Rehabilitation Plan),     |
|                                          | 10.05 (Informing the      |
|                                          | Veteran of Adverse        |
|                                          | Actions), 10.06           |
|                                          | (Appellate Procedures)    |
|                                          |                           |
|                                          | **28.II.A.3**             |
|                                          | Documentation Approval    |
|                                          |                           |
|                                          | **28.IV.iv.2** Developing |
|                                          | and Administering the     |
|                                          | Veteran's Plan            |
|                                          |                           |
|                                          | **M28-1, Part IV, Chapter |
|                                          | 7**                       |
|                                          |                           |
|                                          | Paragraph 7.06 (Supplies  |
|                                          | and Related Assistance    |
|                                          | Which VA May Not          |
|                                          | Authorize)                |
|                                          |                           |
|                                          | **Circular 28-97-1,       |
|                                          | Revision 10/29/04**       |
|                                          | Paragraph 5 ("Special     |
|                                          | Services," included in    |
|                                          | self-employment)          |
|                                          |                           |
|                                          | **CRCC Code of Ethics**   |
|                                          | *--* A-1, A-2, A-3,       |
|                                          | Section B, Section C,     |
|                                          | D-1, Section F            |
+------------------------------------------+---------------------------+

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1\. Guidelines for the Administration of a Self-Employment Plan,
Continued

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  c\. SOP for a Self-Employment Plan (continued)

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+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **J.** Submit the self-employment plan   | **Title 38 USC, Chapter   |
| and *VA Form 28-0794, Self-Employment    | 31**                      |
| Plan Approval Request* to the VR&E       |                           |
| Officer for concurrence prior to any     | Section 3101              |
| parties signing the plan or authorizing  | (Definitions), 3104       |
| any services included in the plan.       | (Scope of services and    |
|                                          | assistance), 3105         |
| If the VR&E Officer approves the         | (Duration of              |
| self-employment plan, then the veteran   | rehabilitation programs), |
| and the case manager will review the     | 3107 (Individualized      |
| plan and                                 | vocational rehabilitation |
|                                          | plan), 3108 (Allowances), |
| -   each sign *VA Form 28-8872,          | 3117 (Employment          |
|     Rehabilitation Plan*                 | assistance)               |
|                                          |                           |
| -   a copy of the signed form will be    | **38CFR**                 |
|     provided to the veteran, and         |                           |
|                                          | 21.98 (Appeal of          |
| -   the original form will be placed on  | disagreement regarding    |
|     the right side of the CER folder.    | development of, or change |
|                                          | in, the plan), 21.257     |
|     If the VR&E Officer does not approve | (Self-employment), 21.258 |
|     the self-employment plan, the case   | (Special assistance for   |
|     manager must                         | veterans in               |
|                                          | self-employment), 21.420  |
| -   take the recommended corrective      | (Informing the Veteran)   |
|     action(s) for approval of a revised  |                           |
|     self-employment plan, or             | ###### 28.III.            |
|                                          | 3 (Review and Appeal of D |
| -   consider alternative rehabilitation  | isagreement With the Reha |
|     options based on the veteran's       | bilitation Plan) {#iii.3- |
|     assigned category, if revision will  | review-and-appeal-of-disa |
|     not result in approval.              | greement-with-the-rehabil |
|                                          | itation-plan .unnumbered} |
|     ***Note:*** VR&E Officer must        |                           |
|     request approval from Director, VR&E | ###### 28.III.2.          |
|     Service for annual program costs of  | B (Informing the Veteran  |
|     a self-employment plan exceeding     | of Adverse Actions)(Appel |
|     \$25,000.                            | late Procedures) {#iii.2. |
|                                          | b-informing-the-veteran-o |
|     **[Mandatory Job Aid]{.underline}**  | f-adverse-actionsappellat |
|                                          | e-procedures .unnumbered} |
|     *Self-Employment Plan Approval       |                           |
|     Request (28-0794)*                   | **28.II.A.3** Documenting |
|                                          | the Planning Process      |
|     **[CWINRS/BDN                        |                           |
|     Activity]{.underline}**              | **M28-1, Part IV, Chapter |
|                                          | 7**                       |
|     Update case status and notes as      |                           |
|     appropriate.                         | **Paragraph 7.02(b)**     |
|                                          | (Employment Plan)         |
+------------------------------------------+---------------------------+

Continued on next page

1\. Guidelines for the Administration of a Self-Employment Plan,
Continued

  -----------------------------------------------------------------------
  c\. SOP for a Self-Employment Plan (continued)

  -----------------------------------------------------------------------

+-----------------------------------------------------------------------+
| > **Step 5. Provide self-employment services.** Provide all services  |
| > and assistance outlined in the veteran's self-employment plan.      |
+-----------------------------------------------------------------------+

+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **K.** During plan implementation and    | **Title 38 USC, Chapter   |
| provision of services, the case manager  | 31**                      |
| will                                     |                           |
|                                          | Section 3100 (Purposes),  |
| -   conduct supervision at least monthly | 3104 (Scope of services   |
|     to monitor the veteran's progress    | and assistance), 3111     |
|     using all available methods of       | (Regulations to promote   |
|     communication (telephone, e-mail,    | satisfactory conduct and  |
|     mail) including face-to-face         | cooperation), 3117        |
|     meetings                             | (Employment assistance)   |
|                                          |                           |
| -   discuss any concerns with the        | **38 CFR**                |
|     veteran and take appropriate         |                           |
|     action(s) to address the concerns    | 21.94 (Changing the       |
|                                          | plan), 21.96 (Review of   |
| -   schedule follow-up contacts at least | the plan), 21.98 (Appeal  |
|     once per month, and                  | of disagreement regarding |
|                                          | development of, or change |
| -   conduct follow-up contacts for a     | in, the plan), 21.100     |
|     minimum of 12 months.                | (Counseling), 21.362      |
|                                          | (Satisfactory conduct and |
|     **[Guidance]{.underline}**           | cooperation), 21.364      |
|                                          | (Unsatisfactory conduct   |
|     *Case Support*                       | and cooperation), 21.420  |
|                                          | (Informing the Veteran)   |
|     **[CWINRS Activity]{.underline}**    |                           |
|                                          | **28.III.4** (Veterans'   |
|     Document the veteran's progress      | Resp                      |
|     and/or concerns and any corrective   | onsibilities-Satisfactory |
|     action(s) taken.                     | Conduct and Cooperation), |
|                                          | (Failure to Maintain      |
|                                          | Satisfactory Conduct and  |
|                                          | Cooperation)              |
|                                          |                           |
|                                          | **28.III.2.A** Protection |
|                                          | of Privacy and Release of |
|                                          | Information to Facilities |
|                                          |                           |
|                                          | **28.III.2.B** (Informing |
|                                          | the Veteran of Adverse    |
|                                          | Actions)(Appellate        |
|                                          | Procedures)               |
+------------------------------------------+---------------------------+

Continued on next page

1\. Guidelines for the Administration of a Self-Employment Plan,
Continued

  -----------------------------------------------------------------------
  c\. SOP for a Self-Employment Plan (continued)

  -----------------------------------------------------------------------

+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **K.** Continued                         | **M28-1, Part III,        |
|                                          | Chapter 3**               |
|                                          |                           |
|                                          | Program Assistance        |
|                                          |                           |
|                                          | **M28-1, Part IV, Chapter |
|                                          | 1**                       |
|                                          |                           |
|                                          | Paragraph 1.04 (Veteran's |
|                                          | Responsibility)           |
|                                          |                           |
|                                          | **CRCC Code of Ethics**   |
|                                          | *--* A-1, A-2, A-3,       |
|                                          | Section B, Section C, D-1 |
+------------------------------------------+---------------------------+

+-----------------------------------------------------------------------+
| > **Step 6. Concluding activities.** Complete all necessary actions   |
| > to determine whether the veteran has achieved rehabilitation. If    |
| > rehabilitation will not be achieved, move the case to the           |
| > appropriate case status.                                            |
+-----------------------------------------------------------------------+

+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **L.** Based on the results of plan      | **Title 38 USC, Chapter   |
| implementation and provision of          | 31** Section 3100         |
| services, move the case to               | (Purposes), 3101          |
|                                          | (Definitions), 3104       |
| -   **Rehabilitated status** when        | (Scope of services and    |
|                                          | assistance), 3105         |
| ```{=html}                               | (Duration of              |
| <!-- -->                                 | rehabilitation programs), |
| ```                                      | 3111 (Regulations to      |
| -   the veteran has successfully         | promote satisfactory      |
|     completed the self-employment        | conduct and cooperation), |
|     program goal, and                    | 3117 (Employment          |
|                                          | assistance)               |
| -   the business has been operating and  |                           |
|     generating income for at least 12    | **38 CFR**                |
|     months                               |                           |
|                                          | 21.184 ("Evaluation and   |
| ```{=html}                               | planning" status), 21.196 |
| <!-- -->                                 | ("Rehabilitated" status), |
| ```                                      | 21.197 ("Interrupted"     |
| -   **Interrupted status** when          | status), 21.283           |
|                                          | (Rehabilitated), 21.362   |
| ```{=html}                               | (Satisfactory conduct and |
| <!-- -->                                 | cooperation), 21.364      |
| ```                                      | (Unsatisfactory conduct   |
| -   there is a need to suspend services  | and cooperation), 21.420  |
|     being provided under the veteran's   | (Informing the veteran)   |
|     self-employment program, or          |                           |
|                                          | M28-1, Part I, Chapter 7, |
| ```{=html}                               | Change 2                  |
| <!-- -->                                 |                           |
| ```                                      | Paragraph 7.02 (Case      |
| -   **Evaluation and Planning status**   | Status Management)        |
|     when                                 |                           |
|                                          |                           |
| ```{=html}                               |                           |
| <!-- -->                                 |                           |
| ```                                      |                           |
| -   the determination is made that       |                           |
|     significant redevelopment of the     |                           |
|     IWRP or IEAP is required, or         |                           |
|                                          |                           |
| -   development of an alternative plan   |                           |
|     of services is being considered, and |                           |
|                                          |                           |
| -   the veteran reports for scheduled    |                           |
|     appointment.                         |                           |
|                                          |                           |
|     ***Note:*** Closure in Rehabilitated |                           |
|     status requires the case manager to  |                           |
|     provide the veteran with due         |                           |
|     process.                             |                           |
|                                          |                           |
|     **[CWINRS/BDN                        |                           |
|     Activity]{.underline}**              |                           |
|                                          |                           |
|     Update case status and notes as      |                           |
|     appropriate.                         |                           |
+------------------------------------------+---------------------------+

Continued on next page

1\. Guidelines for the Administration of a Self-Employment Plan,
Continued

  -----------------------------------------------------------------------
  c\. SOP for a Self-Employment Plan (continued)

  -----------------------------------------------------------------------

+------------------------------------------+---------------------------+
| Job                                      | References/Regulations    |
| A                                        |                           |
| ids/Tools/Documents/Resources/Activities |                           |
+------------------------------------------+---------------------------+
| **L.** Continued                         | **28.III.4** (Veterans'   |
|                                          | Resp                      |
|                                          | onsibilities-Satisfactory |
|                                          | Conduct and Cooperation), |
|                                          | (Failure to Maintain      |
|                                          | Satisfactory Conduct and  |
|                                          | Cooperation)              |
|                                          |                           |
|                                          | **28.III.2.A** Protection |
|                                          | of Privacy and Release of |
|                                          | Information to Facilities |
|                                          |                           |
|                                          | **28.III.2.B** (Informing |
|                                          | the Veteran of Adverse    |
|                                          | Actions)(Appellate        |
|                                          | Procedures)               |
|                                          |                           |
|                                          | **VR&E Letter 28-02-10**  |
|                                          |                           |
|                                          | (Requirement for the      |
|                                          | Vocational Rehabilitation |
|                                          | and Employment (VR&E)     |
|                                          | Officer's Signature on    |
|                                          | all Outcome Cases)        |
|                                          |                           |
|                                          | **CRCC Code of Ethics**   |
|                                          | *--* A-1, A-2, A-3,       |
|                                          | Section C, D-1, Section F |
+------------------------------------------+---------------------------+

#### 2. Required Documents for a Self-Employment Plan

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains the list of documents used for    |
| troduction | > self-employment plans.                                |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > December 29, 2006                                     |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > The table below lists the documents that are required |
| ### a. Lis | > to be used during the development of a                |
| t of Docum | > self-employment plan.                                 |
| ents for S |                                                         |
| elf-Employ |                                                         |
| ment Plans |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------+-----------------------------------+
| Document                          | Description                       |
+-----------------------------------+-----------------------------------+
| *VA Form 28-0793, Vocational      | Provides an orientation to the    |
| Rehabilitation & Employment       | self-employment process, and      |
| (VR&E) Self-Employment Program    | includes information about        |
| Orientation*                      |                                   |
|                                   | -   mission                       |
|                                   |                                   |
|                                   | -   goals                         |
|                                   |                                   |
|                                   | -   qualification requirements    |
|                                   |                                   |
|                                   | -   types of services offered,    |
|                                   |     and                           |
|                                   |                                   |
|                                   | -   case support.                 |
+-----------------------------------+-----------------------------------+
| *Self-Employment Fact Sheet*      | -   Defines Category I and II     |
|                                   |     veterans and outlines the     |
|                                   |     types of assistance available |
|                                   |     in each category              |
|                                   |                                   |
|                                   | -   Describes the business        |
|                                   |     consultant's role in the      |
|                                   |     self-employment process, and  |
|                                   |                                   |
|                                   | -   Identifies supplies and       |
|                                   |     related assistance which VA   |
|                                   |     may not authorize.            |
+-----------------------------------+-----------------------------------+
| *Preliminary Self-Employment      | Provides guidance on gathering    |
| Evaluation*                       | information to determine the      |
|                                   | veteran's suitability and         |
|                                   | readiness to start a business.    |
+-----------------------------------+-----------------------------------+
| *VA Form 28-0795, Business Plan   | Provides guidance on conducting a |
| Review Guide*                     | feasibility analysis of a         |
|                                   | proposed business plan.           |
+-----------------------------------+-----------------------------------+

Continued on next page

2\. Required Documents for a Self-Employment Plan, Continued

  -----------------------------------------------------------------------
  a\. List of Documents for Self-Employment Plans (continued)

  -----------------------------------------------------------------------

  ----------------------------------- -----------------------------------
  Document                            Description

  *VA Form 28-0794, Self-Employment   Submitted to VR&E Officer to
  Plan Approval Request*              request concurrence with proposed
                                      self-employment plan.

  *VA Form 28-8872, Rehabilitation    Outlines the services necessary to
  Plan*                               obtain and maintain suitable
                                      self-employment.

  *Case Support*                      Guidelines for monitoring services
                                      to a veteran in a self-employment
                                      plan.
  ----------------------------------- -----------------------------------