## Chapter 4. Responsibilities of the Individual

#### 1. Satisfactory Conduct and/or Cooperation of the Individual

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information on the conduct and    |
| troduction | > cooperation of the individual including               |
|            |                                                         |
|            | -   general information                                 |
|            |                                                         |
|            | -   individual's responsibilities                       |
|            |                                                         |
|            | -   Vocational Rehabilitation and Employment (VR&E)     |
|            |     staff responsibilities                              |
|            |                                                         |
|            | -   monitoring conduct and cooperation                  |
|            |                                                         |
|            | -   documenting conduct and cooperation, and            |
|            |                                                         |
|            | -   filing documentation.                               |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > December 15, 2005                                     |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a.   | > The rehabilitation process requires teamwork. This    |
|  General I | > means that the individual is an active and essential  |
| nformation | > participant in the rehabilitation process.            |
|            | >                                                       |
|            | > An individual is responsible for satisfactory conduct |
|            | > and cooperation under [38 CFR                         |
|            | > 21.362](http://ecfr.gpoaccess.gov/cgi/t/tex           |
|            | t/text-idx?c=ecfr&sid=22a98a66a4fc9e12d6ba98dd66ad2445& |
|            | rgn=div8&view=text&node=38:2.0.1.1.6.1.198.127&idno=38) |
|            | > if he/she is requesting or receiving benefits and/or  |
|            | > services under the following                          |
|            |                                                         |
|            | -   Chapter 18                                          |
|            |                                                         |
|            | -   Chapter 31, and                                     |
|            |                                                         |
|            | -   Chapter 35.                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### b.   | > An individual is responsible for                      |
|  Individua |                                                         |
| l's Respon | -   cooperating with VR&E staff throughout the          |
| sibilities |     rehabilitation process                              |
|            |                                                         |
|            | -   allowing time to pursue their rehabilitation        |
|            |     program, and                                        |
|            |                                                         |
|            | -   seeking assistance as needed from VR&E staff to     |
|            |     resolve problems that may impede their ability to   |
|            |     pursue the rehabilitation program                   |
+------------+---------------------------------------------------------+

Continued on next page

1\. Satisfactory Conduct and/or Cooperation of the Individual, Continued

+------------+---------------------------------------------------------+
| b\.        | -   abiding by rules and regulations guiding their      |
| In         |     rehabilitation, and                                 |
| dividual's |                                                         |
| Respon     | -   informing VR&E staff                                |
| sibilities |                                                         |
| (          | ```{=html}                                              |
| continued) | <!-- -->                                                |
|            | ```                                                     |
|            | -   when they enroll in or drop a course                |
|            |                                                         |
|            | -   when they change the rate of their pursuit          |
|            |                                                         |
|            | -   when they need to take a leave of absence (see M28  |
|            |     III.4.2 for further details)                        |
|            |                                                         |
|            | -   when they need or purchase supplies, and            |
|            |                                                         |
|            | -   when they are in need of medical care and           |
|            |     treatment.                                          |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### c.   | > The Counseling Psychologist (CP), Vocational          |
| Vocational | > Rehabilitation Counselor (VRC) or other VR&E staff    |
|  Rehabilit | > members will                                          |
| ation and  |                                                         |
| Employment | -   inform the individual about benefits and services   |
|  (VR&E) St |     under the chapter they are pursuing                 |
| aff Respon |                                                         |
| sibilities | -   discuss the individual's responsibilities regarding |
|            |     conduct and cooperation before each phase of the    |
|            |     program                                             |
|            |                                                         |
|            | -   assist the individual in maintaining satisfactory   |
|            |     conduct and cooperation in their rehabilitation     |
|            |     program, and                                        |
|            |                                                         |
|            | -   take timely and corrective action to ensure         |
|            |     successful pursuit of the rehabilitation program    |
|            |     goals and objectives.                               |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ###        | > Early problem identification provides the best        |
| ## d. Moni | > opportunity to avoid unnecessary program              |
| toring Con | > interruptions in an individual's rehabilitation       |
| duct and C | > program.                                              |
| ooperation | >                                                       |
|            | > Development of cooperative arrangements with the      |
|            | > individual, facilities, community resources, VA       |
|            | > medical centers (VAMC), and other service providers   |
|            | > should enable the case manager to make a reasonable   |
|            | > effort to resolve the problem(s) and take preventive  |
|            | > measure(s) as needed.                                 |
|            | >                                                       |
|            | > ***Example***: Intensive tutoring services can be     |
|            | > provided when an individual is having difficulty in a |
|            | > course.                                               |
+------------+---------------------------------------------------------+

Continued on next page

1\. Satisfactory Conduct and/or Cooperation of the Individual, Continued

+------------+---------------------------------------------------------+
| ####       | > The case manager will document                        |
| # e. Docum |                                                         |
| enting Con | -   all contacts with or on behalf of the individual    |
| duct and C |     regarding conduct and cooperation                   |
| ooperation |                                                         |
|            | -   ongoing assessment of the individual's ability to   |
|            |     meet the prescribed program criteria                |
|            |                                                         |
|            | -   notification to the individual concerning problems  |
|            |     and the consequences of failure to cooperate in     |
|            |     their resolution, and/or                            |
|            |                                                         |
|            | -   all efforts to assist the individual in maintaining |
|            |     conduct and cooperation.                            |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: These records must detail the main facts of the         |
| > situation and provide a basis for later communication with the      |
| > individual or other subsequent actions.                             |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### f.   | > The case manager will file documentation in the       |
| Filing Doc | > Counseling/Evaluation/Rehabilitation (CER) folder     |
| umentation | > using either the following:                           |
|            |                                                         |
|            | -   *VA Form 1902b (Counseling Record---Narrative       |
|            |     Report)*                                            |
|            |                                                         |
|            | -   *VA Form 1905d (Special Report of Training)*, or    |
|            |                                                         |
|            | -   CWINRS notes.                                       |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: The CER folder must contain dated copies of all         |
| > notification letters and other correspondence as documentation of   |
| > compliance with the due process provisions in [38 CFR               |
| > 21.420](http://e                                                    |
| cfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=22a98a66a4fc9e12d6ba |
| 98dd66ad2445&rgn=div8&view=text&node=38:2.0.1.1.6.1.204.141&idno=38). |
+-----------------------------------------------------------------------+

####  

#### 2. Failure to Maintain Satisfactory Conduct and/or Cooperation

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information regarding failure to  |
| troduction | > maintain satisfactory conduct and/or cooperation      |
|            | > including                                             |
|            |                                                         |
|            | -   general information                                 |
|            |                                                         |
|            | -   problem identification                              |
|            |                                                         |
|            | -   corrective actions and follow-up                    |
|            |                                                         |
|            | -   actions following findings of unsatisfactory        |
|            |     conduct and/or cooperation, and                     |
|            |                                                         |
|            | -   re-entrance following discontinuance.               |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > December 15, 2005                                     |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a.   | > [38 CFR                                               |
|  General I | > 21.362](http://ecfr.gpoaccess.gov/cgi/t/tex           |
| nformation | t/text-idx?c=ecfr&sid=22a98a66a4fc9e12d6ba98dd66ad2445& |
|            | rgn=div8&view=text&node=38:2.0.1.1.6.1.198.127&idno=38) |
|            | > and                                                   |
|            | > [21.364](http://ecfr.gpoaccess.gov/cgi/t/tex          |
|            | t/text-idx?c=ecfr&sid=22a98a66a4fc9e12d6ba98dd66ad2445& |
|            | rgn=div8&view=text&node=38:2.0.1.1.6.1.198.128&idno=38) |
|            | > require VR&E staff members to help individuals to     |
|            | > maintain satisfactory conduct and cooperation. When   |
|            | > these efforts are unsuccessful, the case manager must |
|            | > ensure the individual understands                     |
|            |                                                         |
|            | -   the case manager's assessment of the situation, and |
|            |                                                         |
|            | -   the action or steps needed to remedy the situation. |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #          | > Failure to meet one of the following may result in a  |
| #### b. Pr | > determination of failure to maintain satisfactory     |
| oblem Iden | > conduct and cooperation                               |
| tification |                                                         |
|            | -   cooperate with VR&E staff throughout the            |
|            |     rehabilitation process                              |
|            |                                                         |
|            | -   allow time to pursue their rehabilitation program   |
|            |                                                         |
|            | -   seek assistance as needed from VR&E staff to        |
|            |     resolve problems that may impede their ability to   |
|            |     pursue the rehabilitation program                   |
|            |                                                         |
|            | -   abide by rules and regulations guiding their        |
|            |     rehabilitation plan including compliance with       |
|            |     appropriate medical treatment, and                  |
|            |                                                         |
|            | -   conform to the rules and regulations of the         |
|            |     training or rehabilitation facility.                |
+------------+---------------------------------------------------------+

Continued on next page

2\. Failure to Maintain Satisfactory Conduct and/or Cooperation,
Continued

+------------+---------------------------------------------------------+
| #          | > Upon identification of a problem or potential         |
| #### c. Co | > problem, the case manager will                        |
| rrective A |                                                         |
| ctions and |                                                         |
|  Follow-up |                                                         |
+------------+---------------------------------------------------------+

  -------- --------------------------------------------------------------
  Step     Action

  1        Schedule a meeting with the individual.

  2        Arrange for services and assistance to resolve the problem.

  3        Amend the rehabilitation plan, if necessary, to show newly
           planned services and assistance

  4        Timely and frequently monitor progress to determine if the
           problem has been resolved.

  5        Document interactions with individual using CWINRS notes or
           *VA Form 28-1905d, Special Report of Training*.
  -------- --------------------------------------------------------------

+-----------------------------------------------------------------------+
| > ***Note***: If the individual's situation improves adequately, then |
| > the individual's program may continue without interruption.         |
+-----------------------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### d. A | > If there is insufficient evidence of substantial      |
| ctions Fol | > improvement following counseling and other corrective |
| lowing Fin | > actions, the case manager will notify the individual  |
| dings of U | > of a proposed adverse action. The following table     |
| nsatisfact | > outlines the steps for adverse action following       |
| ory Conduc | > unsatisfactory conduct and/or cooperation.            |
| t and/or C |                                                         |
| ooperation |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | The case manager will send a letter to the individual        |
|       | proposing program interruption in 30 days. The notification  |
|       | letter will inform the individual of the following           |
|       |                                                              |
|       | -   VA will first interrupt the case for 30 days.            |
|       |                                                              |
|       | -   VA will suspend payment of subsistence allowance, if     |
|       |     any, as of the date of interruption.                     |
+-------+--------------------------------------------------------------+
| 2     | If problems do not resolve during the interruption VA will   |
|       | discontinue the individual's program and explain the         |
|       | consequences of discontinuance for future entitlement to     |
|       | benefits.                                                    |
+-------+--------------------------------------------------------------+
| 3     | If the problem is resolved within the 30-day period continue |
|       | the                                                          |
+-------+--------------------------------------------------------------+
|       | individual's program without interruption. If the problem is |
|       | not resolved proceed to step 4.                              |
+-------+--------------------------------------------------------------+

Continued on next page

2\. Failure to Maintain Satisfactory Conduct and/or Cooperation,
Continued

  -----------------------------------------------------------------------
  d\. Actions Following Findings of Unsatisfactory Conduct and/or
  Cooperation (continued)

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

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 4     | If the problem is not resolved within 30 days, the case      |
|       | manager will:                                                |
|       |                                                              |
|       | -   interrupt the individual's case,                         |
|       |                                                              |
|       | -   immediately suspend payment of subsistence allowance, if |
|       |     any, and                                                 |
|       |                                                              |
|       | -   inform the individual in writing of the above action(s). |
|       |                                                              |
|       |     The letter must contain information regarding the        |
|       |     individual's appellate rights and notification that VA   |
|       |     may discontinue the individual's program unless the      |
|       |     problem is satisfactorily resolved.                      |
+-------+--------------------------------------------------------------+
| 5     | If the problem is resolved during interrupted status, notify |
|       | the veteran in writing of the change in status and re-enter  |
|       | the individual into his/her program. If the problem is not   |
|       | resolved, proceed to step 6.                                 |
+-------+--------------------------------------------------------------+
| 6     | If the case manager has made every reasonable effort to      |
|       | assist the individual and the problem has not been           |
|       | satisfactorily resolved, then the case manager will:         |
|       |                                                              |
|       | -   discontinue the case, and                                |
|       |                                                              |
|       | -   notify the individual in writing of the adverse action.  |
|       |                                                              |
|       | The letter must include either *VA Form 4107, (Notice of     |
|       | Procedural and Appellate Rights)*, or a description of these |
|       | rights in the text of the letter.                            |
+-------+--------------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: A copy of all notification letters regarding proposed   |
| > and final adverse actions must be sent to the individual's          |
| > designated representative.                                          |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Reference***: See [38 CFR                                        |
| > 21.362](http://                                                     |
| ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=22a98a66a4fc9e12d6b |
| a98dd66ad2445&rgn=div8&view=text&node=38:2.0.1.1.6.1.198.127&idno=38) |
| > and                                                                 |
| > [21.364](http://                                                    |
| ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=22a98a66a4fc9e12d6b |
| a98dd66ad2445&rgn=div8&view=text&node=38:2.0.1.1.6.1.198.128&idno=38) |
| > for additional information on satisfactory and unsatisfactory       |
| > conduct and cooperation.                                            |
+-----------------------------------------------------------------------+

Continued on next page

2\. Failure to Maintain Satisfactory Conduct and/or Cooperation,
Continued

+------------+---------------------------------------------------------+
| #####      | > A re-determination of entitlement must be made prior  |
|  e. Re-ent | > to re-entrance following discontinuance. In addition  |
| rance Foll | > the case manager must determine that                  |
| owing Disc |                                                         |
| ontinuance | -   the problem that led to the discontinuance has been |
|            |     resolved, and                                       |
|            |                                                         |
|            | -   the unsatisfactory conduct or cooperation is not    |
|            |     likely to recur.                                    |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Reference***: See [38 CFR                                        |
| > 21.58(c)](http:/                                                    |
| /ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=22a98a66a4fc9e12d6 |
| ba98dd66ad2445&rgn=div8&view=text&node=38:2.0.1.1.6.1.180.20&idno=38) |
| > for more information on re-entrance following discontinuance.       |
+-----------------------------------------------------------------------+

####