Chapter 1.3 Contents:

           

[Revised: 7/1/17]

A case record (AWARE, electronic forms and e-mails, and paper information) shall be established at time of application for each applicant who meets applicant criteria  (for applicant criteria, see Chapter 2.1, APPLICATION, Policy 5 and 2001 Federal Regulation 34 CFR § 361.47). For returning former clients, establish a new paper folder and keep the closed case folder (if it hasn’t already been destroyed) with the new one.  For documentation requirements, see Policy 1: Section A3 of this chapter.  The case file shall contain the following documentation, as appropriate:

  1. Documentation supporting the eligibility determination, or ineligibility determination,  or closing the case for another reason;

     
  1. Documentation supporting a determination of significant disability (SD) or most significant disability (MSD),

     
  1. Documentation supporting the need for Trial Work Experience or Extended Evaluation to determine eligibility, and the TWE or EE plan, and results of the periodic review,

     
  2. IPE and any amendments

     
  3. Documentation describing extent to which the client exercised informed choice in selecting eligibility assessment services; and  selecting the IPE employment goal, VR services and providers and methods to procure the services, employment and service settings; and justification if the setting is not integrated with non-disabled individuals

     
  4. For a competitive employment outcome, verification  that the client is compensated at or above the minimum wage and that wage and benefits are not less than that customarily paid by the employer for the same or similar  work performed by non-disabled individuals

     
  5. For an employment outcome in an extended employment setting in an ESO or under Section 14c of the Fair Labor Standards Act, documentation of the annual reviews and  either the client input into the reviews or client acknowledgement that the reviews were conducted

     
  6. Documentation concerning any action or decision resulting from a request for informal administrative review, formal mediation, or hearing (including administrative review of a hearing decision)

     
  7. Client request to amend or challenge the case record if the record is not amended

     
  1. Documentation of information and referral services  provided if the case is in Delayed status under Order of Selection


 

  1. For Closed- Rehabilitated, status, documentation that the provisions for successful case closure are satisfied

 

   12.  If applicable for clients 18 years of age and older, copies of a guardianship order or Power or Attorney in effect.

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B. Client Right To Challenge VR Case Record Contents

          

[REVISED: 5/1/16]

    1. Client right.
      The client has the right to challenge, correct, or explain information contained in the VR case record (per Government Data Collection and Dissemination Practices Act and § 2.2-3806 of the Code of Virginia).

    2. Procedure.  

      1. The client submits in writing (guideline up to 200 words) what is specifically challenged and an accurate and complete version of the information or justificaiton why it should be purged.  If the client has a legal guardian or is under age 18, the request must come from the legal guardina or custodial parent.

      2. The supervisor (or other custodian of record) forwards the client statement to the author/originating entity of the challenged information.  Only the originator can decide whether to amend or purge the challenged information.

      3. If the decision is to purge, the supervisor informs the client, and removes the challenged information from the client record, and noifies everyone to whom the information was already released.    

      1. If the decision is to amend, the supervisor replaces the old information with the amended information, and sends a copy of the amended information to everyone to whom the old information was released, and sends a copy of the amended information to the client.

      2. If the decision is not to amend/purge, the supervisor notifies the client, and adds the client statement to the challenged information so they will be accessed/released together, and sends a copy of the client statement to everyone to whom the information was already released.

         

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    C1. Scanning Standards

                  

    [REVISED: 11/22/16]

     Staff shall follow the standards in Scanning Standards form 262-VR-AD-002.

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    C2. E-mails and other casework communications

     

    [REVISED: 11/22/16]

    Save electronically all e-mails and other casework communications. Where to save them is a judgment call, keeping in mind that information in AWARE case notes is saved forever while the client e-mail folder and shared drive folder is destroyed. Therefore, a combination of both is appropriate over the life of the case.

     

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    [REVISED: 1/21/99]

    See Chapter 11, CLOSURE, Policy 1, Section C.


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    D. Case Record is DRS Property

    [REVISED: 3/1/08]

    The VR case record is the property of DRS. The DRS local offices shall maintain electronic information not stored in AWARE and paper information until the information is properly destroyed.

    Cross reference: For filing system and security, See Policy 2: Section C of this chapter.

    Cross reference: For client access to case record, see Chapter 1.1, CONFIDENTIALITY, Policy 1, Section A3.

    Cross reference: For records disposal, see Chapter 11, CLOSURE, Policy 2.

    [ REVISED: 3/1/08]

    To ensure statewide uniformity and ease of use, all paper folders for open Vocational Rehabilitation program cases shall be filed alphabetically for each caseload (per agency mandate).

     

    [ REVISED: 1/21/99]

    See Chapter 11, CLOSURE, Policy 2, Section A1.


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    [REVISED: 7/1/12]

    DRS staff, DRS medical consultants, and DARS Central Office staff shall safeguard all client information in work areas and outside the office from loss, defacement, unauthorized changes, access by unauthorized persons, or client access to restricted information (per Government Data Collection and Dissemination Practices Act and § 2.2-3800 of the Code of Virginia). The supervisor shall institute office procedures, including storing information out of plain view at the end of the day, and locking the office when it is unattended to safeguard client information. DRS staff who violate DRS policies and procedures to safeguard the confidentiality of client personal information may be subject to disciplinary action under the Commonwealth’s Standards of Conduct.

    Cross reference: For policies and procedures regarding exchange of client confidential information, see Chapter 1.1, CONFIDENTIALITY, Policy 1. For subpoenas, see Chapter 1.1, CONFIDENTIALITY, Policy 4. For mandatory reporting of suspected abuse or neglect, see Chapter 1.1, CONFIDENTIALITY, Policy 5.

    Cross reference: For client and parental access to case record, see Chapter 1.1, CONFIDENTIALITY, Policy 3.

    Cross reference: For custodian of records, See Policy 3 of this chapter

    Cross reference: For policies and procedures for filing paper folders for closed cases and disposing of records, see Chapter 11, CLOSURE, Policy 2.


     
     
     

    [ REVISED: 10/1/15]

    The DARS Commissioner designated the supervisor, or in his or her absence, the DRS Director as the custodian of records for clients of the Vocational Rehabilitation program (including the Supported Employment program).

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    [REVISED: 3/1/08]

    The counselor transferring the case shall:

    1. Obtain pre-approval from your supervisor.

    2. Discuss the transfer with the customer unless it is not feasible.

    3. Discuss the case and transfer with the receiving counselor (or supervisor of the receiving office if a receiving counselor has not been assigned).

    4. Review the case materials to ensure they are up-to-date and in good order, all required materials are present, etc.

    5. Pay all outstanding authorizations possible. Cancel any outstanding authorizations that should be canceled.

    6. Forward the entire paper folder to the receiving counselor or receiving office, as appropriate. (For required contents of paper folder, See Policy 1: Section C of this chapter. ​
     
     

    [REVISED: 10/1/15]

    The counselor receiving the case shall:

    1. Review the case materials to become knowledgeable about the customer and case.

    2. Discuss any documentation issues or other concerns with your supervisor.

    3. Notify (e-mail is acceptable) the originating counselor’s regional office of acceptance of the transfer. Notification must include the customer’s name and case number, and the caseload number of the receiving counselor. Upon notification, the regional office will update AWARE.

    4. If the client is receiving services at Wilson Workforce and Rehabilitation Center (WWRC), notify the Center of the case transfer.

    5. See the consumer within 30 days after the transfer to initiate a counseling relationship.​​

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    Links to the Code of Federal Regulations (CFR) are currently unavailable while we await federal changes to the vocational rehabilitation program. Upon promulgation of the final regulations the links will be updated and activated.