**FORM RSA-722**

**ANNUAL REPORT ON APPEALS PROCESS**

**INSTRUCTIONS**

**Purpose:**

Form RSA-722 was developed to comply with the specific reporting
requirements of Section 102(c) of the Rehabilitation Act as amended in
1998 (Act). This section delineates the procedures by which applicants
for and eligible individuals of State vocational rehabilitation (VR)
programs may appeal decisions made by personnel of the VR unit/agency
that affect the provision of VR services to them. Individuals may
request that their disputes be resolved through mediation and/or an
impartial due process hearing. (In some States, a Fair Hearing Board,
established by a State before January 1, 1985, carries out the
responsibilities of the impartial hearing officer (IHO).) The State may
elect to establish a procedure that enables either party to seek review
of a decision rendered by the IHO. Finally, either party may file a
civil action if either remains unsatisfied with the final administrative
decision.

Section 102(c)(8) of the Act requires the State VR Director to collect
and report data on the appeals process to the Commissioner. A summary of
this information is included in the Commissioner\'s Annual Report
submitted to Congress pursuant to section 13 of the Act. Section
102(c)(8)(B) specifies the information that is to be collected:

1\. A copy of the standards used by State reviewing officials for
reviewing decisions made by IHOs;

2\. Information on the number of hearings and reviews sought from the
IHOs and the State reviewing officials, including the type of complaints
and the issues involved;

3\. Information on the number of hearing decisions made that were not
reviewed by the State reviewing officials;

4\. Information on the number of the hearing decisions that were
reviewed by the State reviewing officials, and, based on the reviews,
the number of hearing decisions that were:

a\. sustained in favor of the individual;

b\. reversed in favor of the individual;

c\. sustained in favor of the agency; and

d\. reversed in favor of the agency; and

5\. Copies of all decisions rendered by the IHOs and State reviewing
officials.

While Form RSA-722 was designed initially to respond to the mandate of
law, it also will enable the Commissioner to monitor the appeals process
in the State agencies that has been set up to safeguard the rights of
individuals with disabilities. The form itself is devised to approximate
the sequence of the appeals process and contains a series of checks and
balances throughout to simplify the completion of the report.

**Line-by-line Instructions:**

[State & Agency]{.underline}: Enter the name of the State and check the
appropriate box to indicate whether the agency is a general or combined
agency, or whether the agency serves only individuals who are blind.

[Fiscal Year]{.underline}: Enter the Federal fiscal year to which the
form relates.

**I. MEDIATION:**

**A. Requests for Mediation:**

**NOTE:** Section 102(c)(4) of the Act sets forth the requirements for
the mediation process. A \"mediation request\" can be counted in several
ways, including: (1) when an individual actually requests mediation
directly; (2) when an individual requests a hearing, but agrees to
mediation when it is suggested by the agency; and (3) when an individual
is in the hearing process and the individual agrees to engage in
mediation upon the IHO's recommendation. Each of these examples would
constitute a \"request for mediation.\"

Line 1: Enter the number of requests for mediation that were pending on
October 1. These mediation requests were carried over from the prior
fiscal year.

Line 2: Enter the number of mediation requests made since October 1. It
does not matter who actually made the request.

Line 3: Enter the total number of mediation requests during the fiscal
year. Add lines I.A1 and I.A2. It does not matter whether a mediator
actually acted on these requests during the fiscal year. This number
also forms the basis for the data in column (a) of Part V of this form
(Types of Complaints/Issues Involved in Disputes).

**B. Disputes Resolved During the Mediation Process:**

Line 1: Enter the number of disputes resolved/settled prior to a written
mediation agreement. There may have been one or more mediation sessions.
However, there is no requirement that any mediation sessions occurred.
The key here is that settlement was reached prior to the development of
a mediation agreement.

Line 2: Enter the number of disputes resolved with a mediation
agreement. In these instances, the parties met with a mediator and
reached a settlement that was put into writing.

Line 3: Add lines I.B1 and I.B2. This is the total number of disputes
resolved during the mediation process.

Line 4: Enter the number of disputes that were not resolved during the
mediation process. In these instances, one or both of the parties halted
the mediation process before it was completed.

**C. Mediation Requests Carried Over:**

Line 1: Enter the number of requests for mediation that were pending on
September 30 and will go through the mediation process during the next
fiscal year. There was insufficient time to act on these requests during
the fiscal year. Subtract lines I.B3 and I.B4 from I.A3.

**II. IMPARTIAL HEARING PROCESS:**

**A. Requests for Impartial Hearings:**

> **NOTE:** Section 102(c)(5) of the Act sets forth the requirements for
> the impartial hearing process.

Line 1: Enter the number of appeals that have yet to be concluded by the
impartial hearing officer (IHO) and remain in any stage of processing as
of October 1, the beginning of the Federal fiscal year. This figure
should be the same as the number of appeals in process on September 30
from the report submitted for the prior fiscal year.

Line 2: Enter the number of requests for an impartial hearing filed
during the fiscal year. This number does not include the number of
requests that were pending at the start of the fiscal year.

Line 3: Add lines II.A1 and II.A2. This is the total number of appeals
requiring action by the IHO during the fiscal year. It does not matter
whether the IHO actually heard these cases during the fiscal year. This
number is also the basis for data reported in column (b) of Part V of
this form (Types of Complaints/Issues Involved in Disputes).

Line 4: Enter the total number of appeals, for which a request for a
hearing was made (from line II.A3), in which the parties attempted
mediation prior to requesting a hearing. The Act makes it clear that
parties are not required to attempt mediation first; however, many will
attempt to resolve the dispute at the lowest possible level (i.e.,
mediation) prior to requesting a formal hearing.

**B. Disputes Resolved during the Impartial Hearing Process:**

Line 1: Enter the number of disputes that were resolved before an IHO
could render a decision. In most of these cases, the parties settled the
dispute prior to actually getting to the hearing. However, sometimes,
the parties reached a settlement just as the hearing was beginning or
soon after it began. The key fact to keep in mind when recording data
for this line entry is that the dispute was resolved without the IHO
rendering a decision.

Line 2: Enter the number of decisions rendered by an IHO that largely or
entirely supported the position of the individual on the major issue(s).
A major issue is one deemed vital to the individual in his/her
initiation or successful completion of VR services.

Line 3: Enter the number of decisions rendered by an IHO that largely or
entirely supported the position of the State VR agency on the major
issue(s).

Line 4: Add lines II.B2 and II.B3. This is the total number of decisions
actually rendered by an IHO during the fiscal year.

Line 5: Add lines II.B1 and II.B4. This is the total number of disputes
that were resolved somehow at some point during the hearing process
(i.e., after a request for a hearing was made)

Line 6: Enter the number of disputes that were not resolved during the
hearing process during the fiscal year. This line entry includes those
situations in which the individual died, left the State, or withdrew
his/her request for a hearing for whatever reason.

**C. Impartial Hearing Requests Carried Over:**

Line 1: Enter the number of requests for impartial hearings that were
pending on September 30 and will go through the impartial hearing
process during the next fiscal year. There was insufficient time to act
on these requests during the fiscal year. Subtract lines II.B5 and II.B6
from II.A3.

**III. REVIEW OF IHO DECISIONS:**

**NOTE 1:** Section 102(c)(5)(D) gives States the option of establishing
procedures by which a party may seek an impartial review of an IHO
decision prior to filing a civil action. If the State has established
such a procedure, either party may request a review of the IHO decision.

The form asks agencies to check the appropriate box as to whether their
State has established these review procedures. If your State has NOT
established these procedures, then you should skip the entire section
III. If your State HAS established these review procedures, you must
provide the data requested in section III.

**NOTE 2:** For those State VR agencies that must complete Section III,
it is important to enter information (in section III.B of this form) for
only those times when the reviewing official actually reviewed the IHO
decision in accordance with the \"standards of review\" established by
the agency.

**A. Requests for Review of IHO Decisions:**

Line 1: Enter the total number of requests for review of IHO decisions
that were pending on October 1 of this fiscal year. These are requests
that were carried over from the prior fiscal year because these requests
had not been acted upon before the end of the prior fiscal year.

Line 2: Enter the total number of new requests for review of IHO
decisions that were made since October 1 of this fiscal year.

Line 3: Add lines III.A1 and III.A2. This is the total number of
requests for review of IHO decisions available during this fiscal year.
This information forms the basis of the data reported in column (c) of
Part V of this form.

**B. Reviews of IHO Decisions Completed:**

Line 1: Enter the number of IHO decisions largely or entirely favoring
the individual that were substantially, if not totally, sustained by the
reviewing official. In other words, the position of the individual was
upheld on the major issue(s) by the reviewing official in this final
administrative decision.

Line 2: Enter the number of IHO decisions largely or entirely favoring
the individual that were substantially, if not totally, reversed by the
reviewing official. In other words, the reviewing official found clear
and convincing evidence that the IHO\'s decision was erroneous as a
matter of law and/or policy. As a result of this final administrative
decision, the position of the State agency was ultimately upheld on the
major issue(s).

Line 3: Enter the number of IHO decisions largely or entirely favoring
the State agency that were substantially, if not totally, sustained by
the reviewing official. In other words, the reviewing official upheld
the position of the agency on the major issue(s) in this final
administrative decision.

Line 4: Enter the number of IHO decisions largely or entirely favoring
the State agency that were substantially, if not totally, reversed by
the reviewing official. As a result of this final administrative
decision, the reviewing official ultimately upheld the position of the
individual on the major issue(s).

Line 5: Add lines III.B1 through III.B4. This is the total number of
reviews of IHO decisions that were completed during the fiscal year.

Line 6: Enter the number of IHO decisions that were not reviewed.
Subtract line III.B5 from II.B4.

**C Review of IHO Decisions Carried Over:**

Line 1: Subtract line III.B5 from line III.A3. This is the total number
of requests for reviews that were unable to be completed during the
fiscal year. These will be carried over to the next fiscal year.

**IV. CIVIL ACTIONS:**

**A. Civil Actions Filed:**

**NOTE:** Section 102(c)(5)(J) grants the right for either party to file
a civil action.

Line 1: Enter the total number of civil actions that were pending on
October 1 of this fiscal year. These civil actions had been filed
(regardless of by whom) in a previous year, but had not been resolved by
the end of the prior fiscal year. These were carried over from last
fiscal year.

Line 2: Enter the number of new civil actions that were filed since
October 1. It does not matter which party filed the civil action.

Line 3: Add lines IV.A1 and IV.A2. This is the total number of civil
actions requiring resolution by the court system during this fiscal
year. This information forms the basis for the data reported in column
(d) of Part V of this form.

**B. Civil Actions Resolved:**

Line 1: Enter the number of civil actions in which the court resolved
the dispute largely, if not entirely, in favor of the individual\'s
position on the major issue(s) and, in so doing, sustained the final
administrative decision, which also had favored the individual\'s
position.

Line 2: Enter the number of civil actions in which the court resolved
the dispute largely, if not entirely, in favor of the individual\'s
position on the major issue(s) and, in so doing, reversed the final
administrative decision, which had favored the agency\'s position.

Line 3: Enter the number of civil actions in which the court resolved
the dispute largely, if not entirely, in favor of the agency\'s position
on the major issue(s) and, in so doing, sustained the final
administrative decision, which also had favored the agency\'s position.

Line 4: Enter the number of civil actions in which the court resolved
the dispute largely, if not entirely, in favor of the agency\'s position
on the major issue(s) and, in so doing, reversed the final
administrative decision, which had favored the individual\'s position.

Line 5: Add lines IV.B1 through IV.B4. This is the total number of civil
actions resolved during this fiscal year.

Line 6: Enter the number of disputes that were not resolved during the
civil action process during the fiscal year. This line entry includes
those situations in which at least one of the parties filed a civil
action but the action was dismissed for some reason. The individual may
have died or left the State or one of the parties may have withdrawn the
request for civil action for any reason.

**C. Civil Actions Carried Over:**

Line 1: Subtract lines IV.B5 and IV.B6 from IV.A3. This is the total
number of civil actions that were still pending on September 30 of this
fiscal year and will be carried over to the next fiscal year.

**V. TYPES OF COMPLAINTS/ISSUES INVOLVED IN DISPUTES:**

It is possible for two or more of the complaints/issues listed on lines
1 through 7 to be involved in any given appeal. To complete Part V,
State agencies are asked to record each complaint/issue that can be
identified per dispute in the appropriate column.

[Column (a) \-- Mediation]{.underline}: For each line entry in Part V,
enter the number of requests for mediation, according to the type of
complaint or issue involved. It does not matter whether the dispute was
resolved during the mediation process. The total number of requests for
mediation is found on Line I.A3.

[Column (b) \-- Impartial Hearings]{.underline}: For each line entry in
Part V, enter the number of requests for an impartial hearing, according
to the type of complaint or issue involved. It does not matter whether
the issue was resolved during the hearing process or whether the IHO
actually rendered a decision. The total number of requests for an
impartial hearing is found on Line II.A3.

[Column (c) \-- Reviews of IHO Decisions]{.underline}: For each line
entry in Part V, enter the number of requests for review of IHO
decisions, according to the type of complaint or issue involved. It does
not matter whether the reviewing official actually completed the review.
The total number of requests for a review of IHO decisions is found on
Line III.A3.

[Column (d) \-- Civil Actions]{.underline}: For each line entry in Part
V, enter the number of civil actions filed, according to the type of
complaint or issue involved. It does not matter whether the civil action
was resolved. The total number of civil actions available to the court
is found on Line IV.A3.

Line 1: **Applicant Eligibility for VR:** Enter the number of disputes
in which the major issue involved the applicant\'s eligibility for VR
services. An example of a situation that would fit this category is: the
State VR agency closes an individual\'s service record before a
determination of eligibility, but the applicant believes he/she should
receive services.

Line 2: **Nature/content/scope of IPE:** Enter the number of disputes in
which the individual\'s major issue involved the nature or content or
scope of the Individualized Plan for Employment (IPE). This would
include disagreements about what course of action should be taken and
what services should be provided to affect an employment outcome. It
would also include disagreements about the employment goal desired by
the individual.

Line 3: **Quality of Counseling Services:** Enter the number of disputes
in which the individual\'s major issue involved the delivery and quality
of counseling services that the individual received. Examples would
include complaints about counselor responsiveness, attentiveness and
competence.

Line 4: **Delivery/quality of other VR Services:** Enter the number of
disputes in which the individual\'s major issue involved the delivery or
quality of one or more services other than counseling (i.e., diagnostic
and evaluative testing, restoration, training, placement, etc.). This
category also includes those disputes in which the individual is
complaining about how useful or effective the services were, the
location of sites where the services were to be provided, and the timing
and frequency of services.

Line 5: **Cost of Services:** Enter the number of disputes in which the
individual\'s major issue involved some aspect of the cost of services.
This category could include complaints regarding issues of comparable
services and benefits, fee for services, needs-based determinations, an
agency\'s refusal to pay for certain services, etc.

Line 6: **Termination of Services/Service Record Closure:** Enter the
number of disputes in which the individual\'s major issue involved the
suitability and desirability of the service record closure. For example,
this category could include situations in which the individual is
dissatisfied with a particular job placement for which the State agency
has claimed or will claim that an employment outcome has been achieved.
This category should also be used to report those disputes in which the
agency wants to terminate services and close the service record on the
ground that the individual is not cooperating.

Line 7: **All other Complaints/Issues:** Enter the number of disputes in
which the individual\'s major issue involves a complaint that is not
covered by any of the above categories.

VI. **DESCRIPTION OF DUE PROCESS PROCEDURES:**

Section 102(c)(1) of the Act requires that State agencies establish
procedures for mediation and review through an impartial due process
hearing in order for disputes regarding determinations made by agency
personnel to be resolved. Section 102(c)(8)(B)(i) requires that the
State develop standards of review to be used by the reviewing official
when reviewing IHO decisions.

State agencies should describe fully in this narrative portion of the
report their mediation, due process procedures, and standards for
review. This descrip­tion should be sufficiently detailed so that
responses can be summarized and reported to the Congress in the Annual
Report. State agencies are required to describe the review process as an
attachment to their State plan. Any agency that has revised its
procedures for review since the last State Plan submission should attach
a copy of those revisions to Form RSA-722. In no event, however, should
the data in Parts I through V of Form RSA-722 be withheld because of any
timing, legal or other problem in providing a revised description of the
review process.

## VII. FINAL IHO and REVIEW DECISIONS

Section 102(c)(8)(A) requires RSA to collect copies of the final
decisions issued by IHOs and reviewing officials conducting the reviews
of IHO decisions. Please send copies of all of these decisions along
with the completed RSA-722.

**Person to Contact about this Form:** Print the name of a person who
can answer questions about the contents of Form RSA-722 should they
arise. Include this person\'s phone number and e-mail address (if
applicable).

**Authorized Signature:** The appropriate State agency official should
sign the form to certify that it is complete and correct. The person
should also date the form.

**TRANSMITTAL OF THE REPORT:**

Within 30 days after the end of the fiscal year covered by the report,
send copy of Form RSA-722 to RSA.

The RSA-722 reports may be sent by mail or electronically using one of
the options listed below.

[Electronic Mail addresses]{.underline}

Specific instructions and the URL for key entry/on-line and editing of
data directly into the RSA MIS: [http://rsamis.ed.gov]{.underline}

The RSA Central Office E-Mail address for the RSA-722 is:
[Vernita.Washington@ed.gov.]{.underline}

### US Mail and Facsimile

This report may be faxed to the RSA Central Office at 202-245-7593, or
mailed via U.S. mail to:

U.S. Department of Education

State Monitoring and Program Improvement Division

Data Collection and Analysis Unit

Attn: Vernita Washington

550 12^th^ Street, S.W.

PCP 5047

Washington, DC 20202-2800