Source: http://www.wintac.org/topic-areas/pre-employment-transition-services/resources/pre-ets-implementation-checklist
Timestamp: 2019-04-22 08:12:30+00:00

Document:
Click to download Pre-Employment Transition Services Implementation Checklist.
This checklist was developed to assist States with the implementation and provision of pre-employment transition services. States may use this checklist as a guide in organizing required documents and/or as a plan of action moving forward. We have developed the checklist as a fillable word document that may be used electronically, and as such, under the Status column we have inserted a drop-down menu, just click on "Choose an item", and then click on the arrow to select a response for each item in the checklist.
In structuring the delivery of transition services, the VR agency must consider the various requirements under the Act. For example, pre-employment transition services provided under section 113 of the Act, and 34 CFR §361.48(a) are available only to students with disabilities. However, transition services provided for the benefit of a group of individuals under section 103(b)(7) of the Act and 34 CFR §361.49(a)(7) may be provided to both students and youth with disabilities. Youth with disabilities who are not students may receive transition-related services identified in an individualized plan for employment (IPE) under section 103(a) of the Act, but may not receive pre-employment transition services because these services are limited to students with disabilities. On the other hand, students with disabilities may receive pre-employment transition services with or without an IPE under section 113 of the Act, or may receive pre-employment transition services and/or transition services under an IPE in accordance with section 103(a)(15) of the Act.
Strategies include how VR is making all required activities available to students with disabilities statewide, including those students who are potentially eligible for VR services.
In-house agency staff provide all five, or a portion of the required pre-employment transition service activities in a group or individually directly to students with disabilities.
Local educational agencies (LEAs), through contracts, fee for service agreements, and/or third-party arrangements provide all five, or a portion of the required pre-employment transition service activities. *Written strategies for providing Pre-ETS in a group or individually will include expected outcomes, reporting requirements, and identify services that are new and expanded; and that supplement, not supplant transition services provided under IDEA.
Community rehabilitation providers (CRPs), through contracts and/or fee for service agreements, provide all five, or a portion of the required pre-employment transition service activities. *Written strategies for providing Pre-ETS in a group or individually will include expected outcomes & reporting requirements.
Other vendors or partners such as workforce, universities, CILs, etc. through contracts and/or fee for service agreements provide all five, or a portion of the required pre-employment transition service activities. *Written strategies for providing Pre-ETS in a group or individually will include expected outcomes & reporting requirements.
The VR agency has developed an intake process for pre-employment transition services and updated the referral and application processes for VR services.
The VR agency can identify their use of contracts, interagency agreements, or third-party cooperative arrangements to provide pre-employment transition services and transition services, as appropriate.
The VR agency has innovative or evidenced-based transition-related services to include pre-employment transition services.
In accordance with the requirements for the formal interagency agreement with the State educational agency, outreach to students should occur as early as possible during the transition planning process and must include, at a minimum, a description of the purpose of the VR program, eligibility requirements, application procedures, and scope of services that may be provided to eligible individuals. The definition of "transition services" in 34 CFR §361.5(c)(55) now includes outreach to and engagement of parents or, as appropriate, the representatives of students or youth with disabilities in the definition of "transition services."
Groups or entities included in VR's target population for its outreach efforts (e.g., unserved and underserved populations, students with individualized education programs (IEPs) or served under section 504, and all other students with disabilities, as well as their families) have been identified.
At minimum, a description of the purpose of the VR program, eligibility requirements, application procedures, and scope of services that may be provided to eligible individuals is included in the VR agency's outreach efforts.
The VR agency can identify strategies that have been particularly effective in attracting and engaging students and youth with disabilities; and how they have been able to measure and/or determine these strategies are effective.
The VR services portion of the Unified or Combined State plan must contain plans, policies, and procedures for coordination between the designated State agency and education officials responsible for the public education of students with disabilities that are designed to facilitate the transition of students with disabilities from the receipt of educational services in school to the receipt of VR services under the responsibility of the designated State agency.
The VR agency can describe their methods for identifying students and youth with disabilities in the State and assessing their needs for pre-employment transition services, and transition services, as appropriate.
The VR agency can describe the needs of students and youth with disabilities for transition services and the needs of students with disabilities for pre-employment transition services identified in the most recent Comprehensive Statewide Needs Assessment (CSNA) and the extent to which these services are coordinated with transition services provided under the Individuals with Disabilities Education Act (IDEA). If a CSNA has not been conducted or if it was conducted prior to the enactment of WIOA, the VR agency can describe how the needs will be identified and assessed in the next CSNA.
The VR agency can describe the strategies that have been used or will be used to expand VR services for students and youth with disabilities, including pre-employment transition services for students with disabilities.
The VR agency has developed a plan for ongoing communication and information dissemination.
The VR agency has identified quality assurance and performance measures for pre-employment transition services.
The VR services portion of the Unified or Combined State Plan must include information on a formal interagency agreement with the State educational agency that, at a minimum, provides for the requirements in 34 CFR §361.22(b), including new requirements in 34 CFR §361.22(b)(5) and (6), which address coordination of documentation requirements and contracting limitations for educational agencies imposed by section 511 of the Act.
The formal interagency agreement with the SEA has been revised to be consistent with new requirements in the Rehabilitation Act as amended by WIOA.
Revisions include requirements in §361.22(b).
Revisions include requirements related to the coordination and provision of pre-employment transition services in §361.48(a).
The VR agency can describe its process for determining how programmatic and fiscal responsibilities were developed and implemented in coordinating and facilitating the provision of pre-employment transition services with the SEA & LEA.
The VR agency can describe strategies being implemented to determine responsibility for those services that may be both a special education or related service under IDEA and a VR service under the Act, as amended by WIOA.
The VR agency provided joint guidance, consultation, training, and technical assistance to VR and educational staff, regarding the requirements related to the provision of pre-employment transition services, and their roles and responsibilities under this agreement.
The VR agency can describe strategies implemented in partnership with the State educational agency to ensure LEAs in the State implement and observe the provisions of the agreement between VR and the SEA.
The VR agency developed formal interagency agreements with LEAs, as applicable, and can describe the nature and scope of the agreements.
Revisions to the formal interagency agreement includes a construction clause stating the following: "Nothing under title I of the Rehabilitation Act shall be construed as reducing a LEA's or any other agency's obligation under the IDEA to provide or pay for transition services that are also considered special education or related services and that are necessary for ensuring a free appropriate public education (FAPE) to children with disabilities."
There are five required activities (most beneficial to a student in the early stages of employment exploration) that are provided directly to eligible or potentially eligible students with disabilities. There are nine authorized activities described in 34 CFR §361.48(a)(3) that VR agencies may implement to improve the transition of students with disabilities from school to postsecondary education or an employment outcome. Pre-employment transition coordination activities, described in 34 CFR §361.48(a)(4), include activities that each local VR office must engage in to coordinate and facilitate the provision of pre-employment transition services to students with disabilities in need of such services.
The VR agency can identify the minimum age that students with disabilities may begin receiving pre-employment transition services in the State and how it was determined.
The VR agency can identify the minimum age for the provision of transition services, and maximum age for the receipt of services under IDEA by students with disabilities in the State.
The VR agency can describe how they are providing each of the required activities under pre-employment transition services to students with disabilities including those individuals who are potentially eligible for VR services, VR applicants or eligible individuals, and eligible individuals with an IPE.
(2) Work-based learning experience, including coordination, selection of the work-based learning experience (e.g., type of work, paid or unpaid, actual work or simulated, during or after school) and setting (e.g., in-school or community-based setting, group or individual basis, integrated or non-integrated settings).
If work-based learning experiences are paid, the VR agency can verify that students are earning competitive wages or stipends commensurate with wages or stipends paid to students without disabilities participating in similar experiences.
The VR agency can describe what, if any, services are provided to an individual while participating in a work-based learning experience (including costs incurred by employers and reimbursed by the VR agency).
(3) Counseling on opportunities for enrollment in comprehensive transition or postsecondary educational programs at institutions of higher education (including settings in which it is provided).
(4) Workplace readiness training (coordination and provision, including types of training activities and settings).
(5) Instruction in self-advocacy, which may include peer mentoring.
The VR agency can describe how students with disabilities are informed of their options and involved in the selection of pre-employment transition services and the entity to provide such services.
The VR agency can describe how they monitor and evaluate the provision of the required pre-employment transition services.
Of the students with disabilities who have received pre-employment transition services, the VR agency is able to track how many have applied for VR services.
The VR agency can track additional VR services received by students with disabilities in receipt of pre-employment transition services, and identify what additional services are most frequently provided.
This section also contains items related to fiscal forecasting which may be cross-referenced with the Sections IX and X.
The VR Agency completed a process (e.g., CSNA, fiscal forecasting, or other planning activities) to determine whether funds remain and can share their methodology used to determine the amount of Federal funds that need to be reserved and expended for the provision of the required activities under section 110(d)(1) of the Act, to determine the amount available for the provision of the authorized activities.
Identify the amount, if any, available to spend on authorized activities.
With funds remaining after all necessary required activities have been made available, identify which authorized activities the VR agency has been able to provide that improve the transition of students with disabilities from school to postsecondary education or an employment outcome; and support the arrangement or provision of the "required" activities.
If authorized activities are purchased by the VR agency, a copy of the type of agreement utilized by the agency to provide the authorized services is available.
A student or youth with a disability is not required to have applied or been determined eligible for VR services to receive general transition services provided to groups under section 103(b)(7) of the Act and 34 CFR §361.49(a)(7). Therefore, a VR agency may, but is not required to, provide or collect applications from students and youth with disabilities receiving transition services under 34 CFR §361.49(a)(7). These services may be provided in a variety of settings, including classroom, employment, and community-based settings. However, they should be provided in integrated settings to the maximum extent possible to best prepare students and youth with disabilities for competitive integrated employment.
Students and youth with disabilities may continue to receive generalized transition services under this authority while also receiving individualized VR services under an IPE.
Pre-employment transition services may be provided in a group setting to students with disabilities who have not applied or been determined eligible for VR services, as discussed in 34 CFR §361.48(a). However, pre-employment transition services cannot be provided to students with disabilities as a service for groups under section 103(b)(7) of the Act or 34 CFR §361.49(a)(7).
If the VR agency provides services under the "services to groups" authority, the VR agency can describe services provided as group transition services; and how the VR agency provides or coordinates the provision of these services.
To receive individualized transition services, a youth or student with a disability must be determined eligible for the VR program and have a signed IPE pursuant to section 103(a) of the Act and final 34 CFR §361.48(b).
The VR agency can describe the provision of individualized transition services, including the types of services provided, when and to whom these services are provided, and how they are provided.
The agency will describe how all youth with disabilities will have access to the array of transition services the VR agency provides, which may or may not include pre-employment transition services.
The VR agency must revise policies and procedures related to the provision of pre-employment transition services to students with disabilities and transition services to students and youth with disabilities to bring them into alignment with the requirements of the Act, as amended by WIOA. Many of the focus areas and action items above regarding pre-employment transition services will help inform the VR agency's policy and procedures outlined in this section.
The VR agency has developed, revised or implemented their policies and procedures to address changes related to pre-employment transition services requirements, including the provision of services to students with disabilities who are potentially eligible for VR services.
The VR agency has included in their policy the definition of a student with a disability and a youth with a disability.
The VR agency's policies and procedures include information related to referrals for pre-employment transition services, application for VR services, collaborative service provision, service agreements, and documenting, tracking and reporting such services.
The VR agency has a policy that directs counselors to ensure students with disabilities determined eligible for the VR program have an IPE in place prior to exiting the school setting.
The VR agency's policies and procedures describe the IPE development process for students and youth with disabilities, including the 90-day timeline requirement.
The VR agency uses projected IPE goals for students and youth with disabilities; and the policies and procedures outline a process for when projected goals are used and amended.
The VR agency has a policy that directs counselors to ensure once determined eligible, any pre-employment transition services the student receives will be listed on the IPE.
The VR agencies policies and procedures reflect guidance if a student needs a service that goes beyond the scope of pre-employment transition services, and such additional service is listed on the student's approved IPE, the VR agency will pay for those costs with non-reserved VR funds.
Section 110(d)(1) of the Rehabilitation Act of 1973, as amended (Rehabilitation Act), requires States to reserve at least 15 percent of their VR allotments for the provision of pre-employment transition services. The reserved funds must be spent in providing, or arranging for the provision of, pre-employment transition services outlined in section 13 of the Rehabilitation Act to students with disabilities.
VR agencies must ensure they are able to track pre-employment transition services expenditures properly with the reserved funds (preamble Final VR Regulations at 81 FR 55703); and that their internal control processes ensure the accuracy and validity of the data have been implemented.
The VR agency has developed policies and procedures that implement the agency's internal controls regarding the reservation and expenditure of VR grant funds for the provision of pre-employment transition services to ensure the reserve funds are spent in accordance with the statute and regulations, and reported properly on the SF-425.
The VR agency's internal controls include reporting procedures for monitoring and tracking the funds spent on purchased services and pre-employment transition services provided directly by VR agency personnel.
The VR agency's internal controls include how staff are tracking their time spent providing the required pre-employment transition services, and the coordination activities.
The VR agency's internal controls include the process for how pre-employment transition services expenditures are authorized, approved, and paid to vendors.
Under section 110(d)(2) of the Act and 34 CFR §361.65(a)(3)(ii)(B), funds reserved and expended toward the provision of pre-employment transition services may not be used to pay agency administrative costs associated with the provision of such services. Nothing prevents a State from using regular VR funds to pay agency administrative costs associated with the provision of pre-employment transition services. This provision means that any administrative costs charged to the Federal VR award are not permitted as expenditures to meet the 15 percent reserve, which may only be met with expenditures for the provision of pre-employment transition services either directly through the required activities, or to enhance the provision of such services via the authorized activities.
RSA generally will not require grantees to extract administrative costs that exist within contracts from total contract costs when reporting the cost of the contract as pre-employment transition services expenditures.
The VR agency can describe strategies for tracking expenditures to ensure that administrative costs do not count toward the amount required to be reserved and expended for the provision of pre-employment transition services.
The VR agency can describe strategies for tracking administrative cost expenditures to ensure that any administrative expenditures charged to the VR award are not reported as expenditures meeting the reservation requirement for pre-employment transition services.
If the VR agency uses fee for service or contracts for the provision of Pre-ets, describe how these costs are allocated toward the funds reserved (While section 110(d)(2) of the Act and §361.65(a)(3)(ii)(B) restricts pre-employment transition services reserve funds from being used to pay for administrative costs associated with the provision of such services or any VR service, RSA has determined that this provision is not applicable to contracts for the direct provision of purchased pre-employment transition services. Therefore, administrative costs associated with the direct provision of required pre-employment transition services purchased through a case service contract, which are reasonable, necessary and allocable to the provision of the required activities, may be paid with reserve funds).
RSA uses the data collected through the RSA-911 to describe the performance of the VR and Supported Employment programs in the Annual Report to the Congress and the President as required by sections 13 and 101(a)(10) of the Rehabilitation Act of 1973, as amended (the Act). RSA also uses these data to assess the performance of the VR program through the calculation of evaluation standards and performance indicators as required by section 106 of the Act, which must be consistent with the common performance accountability measures established under section 116 of title I of WIOA for the core programs of the workforce development system.
Resources: PD-16-04 - "Revision of Policy Directive (PD) 14-01 instructions for the completion of the Case Service Report (RSA-911) for the State Vocational Rehabilitation Services Program and the State Supported Employment Services Program"
Whether provided in a group setting or on an individual basis, the VR agency can track and report pre-employment transition services and activities for each student that is receiving such services.
Individual is a student with a disability and has a section 504 accommodation.
Individual is a student with a disability and is receiving transition services under an Individualized Education Program (IEP).
Individual is a student with a disability who does not have a section 504 accommodation and is not receiving services under an IEP.
Individual is not a student with a disability.
As per requirements in 34 CFR 361.47 and 34 CFR 361.56, the VR agency is maintaining supporting documentation of the disability, which may include case note documenting counselor observation, review of school records, statements of education staff; or referral form for pre-employment transition services with the identification of a student's disability, signed by school staff and parent/guardian if the student is under the age of majority in a State (parental consent to participate in pre-employment transition services is governed by State law, as well as policies of the educational programs and the DSU); or a copy of an individualized education program (IEP) document, SSA beneficiary award letter, school psychological assessment, documentation of a diagnosis or disability determination or documentation relating to 504 accommodation(s).
The VR agency's policies and procedures include guidance regarding documentation and reporting requirements for non-applicants, applicants, and eligible individuals who are students with disabilities receiving pre-employment transition services.
The VR agency's policies include procedures for when a student ceases to become a student and pre-employment transition services must stop.
In accordance with 101(a)(15)(A) and (D) of the Act, VR agencies must assess the needs of students and youth with disabilities for transition and pre-employment transition services and identify the strategies, goals, and priorities to address these needs in the VR services portion of the Unified or Combined State Plan.
The VR needs of students and youth with disabilities identified in the CSNA are reflected in the goals of the VR services portion of the Unified or Combined State Plan (34 CFR §361.29(c)(4)(i)).
The VR agency has established measurable goals and objectives or strategies for serving students and youth with disabilities, that reflect collaboration with the SEA, LEAs, as appropriate and other entities providing services to students and youth with disabilities.
The VR agency can describe the outcomes that have been achieved as a result of the above goals or strategies.

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