Transcript Document

BE A FI$CAL
$.T.A.R.
VR PRACTICES
REORGANIZATION OF THE
DESIGNATED STATE AGENCY AND
THE DESIGNATED STATE UNIT
Presenters:
Jim Doyle,
VR Program Specialist,
SMPID VR Unit
Craig McManus,
Financial Management Analyst,
SMPID Fiscal Unit
OVERVIEW
Organizational Structure
 Reorganization
 Requirements for Reorganizations
 Independent Living Programs
 Randolph-Sheppard Program
 In-Service Training Grants
 State Grant for Assistive Technology
 Client Assistance Program
 Fiscal/Grant Transfer
 Questions

Organizational Structure

The Rehabilitation Act and its implementing
regulations permit states to select from a variety
of options when organizing the VR program
within their governmental structures.

States must identify a designated state agency
(DSA) as the sole state agency to administer the
VR State Plan (34 CFR 361.13(a)), or two state
agencies, one “general” and one “blind” agency,
each responsible for the administration of its
respective portion of the plan (34 CFR
361.13(a)(3)).
Organizational Structure (cont.)
• A designated state agency (DSA) is a state agency
primarily concerned with vocational rehabilitation
or vocational and other rehabilitation of individuals
with disabilities or that includes a vocational
rehabilitation unit.
• A designated state unit (DSU) is the state
vocational rehabilitation bureau, division or other
organizational unit that is primarily concerned with
vocational rehabilitation or vocational and other
rehabilitation of individuals and is responsible for
the administration of the VR program.
Organizational Structure (cont.)
• When considering a change in the organization of
the governmental entity or entities currently
administering the VR program (e.g., the DSA(s)
and/or DSU(s)), states must ensure that the
proposed structure meets the required statutory and
regulatory requirements set forth at section
101(a)(2) of the Rehabilitation Act and 34 CFR
361.13.
• If a state identifies a new DSA to administer the VR
State Plan, the state must ensure that the agency is
primarily concerned with VR, or VR and other
rehabilitation of individuals with disabilities.it
disabilities.
Organizational Structure (cont.)
If the new DSA is not primarily concerned with VR, or VR
and other rehabilitation of individuals with disabilities, the
state must assure the agency contains a DSU that:
• Is primarily concerned with VR, or VR and other
rehabilitation, of individuals with disabilities, and is
responsible for the VR program of the DSA;
• Is administered by a full-time director;
• Employs staff on the rehabilitation work of the
organizational unit or substantially all of whom devote
their full time to such work; and
• Is located at an organizational level and has an
organizational status within the DSA comparable to that
of other major organizational units of the DSA.
Organizational Structure (cont.)
The DSU also is required to carry out the following nondelegable responsibilities:
• The determination of eligibility, the nature and scope of
services, and the provision of those services (34 CFR
361.13(c)(1)(i));
• The determination that individuals have achieved
employment outcomes (34 CFR 361.13(c)(1)(ii));
• Policy formulation and implementation (34 CFR
361.13(c)(1)(iii));
• The allocation and expenditure of VR funds(34 CFR
361.13(c)(1)(iv)); and
• The participation of the DSU in the 0ne-Stop service
delivery system in accordance with Title I of the Workforce
Investment Act (WIA) and the regulatory requirements
specified in 20 CFR Part 662 (34 CFR 361.13(c)(1)(v)).
Reorganization
Reorganizations, for purposes of the VR program, can take
many different forms. For example, a reorganization can
involve:
 the creation of a stand-alone DSA;
 the movement of a DSA or DSU into another
department;
 the division of a combined DSA or DSU into separate
general and blind agencies;
 the combination of separate general and blind DSAs or
DSUs into a single combined agency;
 the relocation of the DSU within the same department;
 the movement of other programs and offices into the
DSU; and
 a combination of these options.
Reorganization (cont.)
Each form of reorganization has
implications for the state’s ability
to comply with the federal
organizational structure
requirements and those
governing the non-delegable
responsibilities of the DSU.
Requirements for Reorganization
A reorganization of the DSA and/or DSU can affect
the structure and composition of the State
Rehabilitation Council (SRC), or the structure of
the VR agency as a consumer-controlled
independent commission.
Each state must provide an assurance that it
meets one of the following requirements:
 Establishes a single or separate SRCs for the VR
agency or agencies in the state; or
 The DSA, or DSAs if more than one exists, is an
independent commission.
Requirements for Reorganization (cont.)
States should contact their RSA state liaison as early as
• .
possible
to determine whether their reorganization is in
compliance with federal requirements, including submitting
proposed legislation or executive order requiring the
reorganization. Information provided should include:
• The effective date of the reorganization;
• The structure of the VR agency, either as a DSA or DSU;
• The location of the DSU, if one exists, within the DSA;
• The director of the VR agency and to whom the director
will report to;
• Any intervening levels of organization between the DSU
and the DSA; and
• The composition and membership of the SRC if the new
DSA will not be an independent commission.
Requirements for Reorganization (cont.)
• . to the implementation of any reorganization, the
Prior
state must complete the following actions:
 Consult with stakeholders;
 Conduct public hearings; and
 Amend its State Plan (if implemented prior to
the end of the fiscal year).
Requirements for Reorganization (cont.)
with stakeholders
•Consult
.
Stakeholders include:
• Tribal organizations and native Hawaiian
organizations;
• Stakeholders of the agency;
• Director of the Client Assistance Program (CAP);
and
• SRC.
Requirements for Reorganization (cont.)
Public Hearings
• Conduct
.
Prior to substantive changes in the administration of the
VR program, public hearings must be conducted that
must:
• Provide sufficient notice pursuant to state law, or
procedures developed by the DSA in the absence of
state law;
• Be held in different locations throughout the state:
Use of technology may be utilized if it allows realtime interaction between participants and speaker at
each location; and
• Allow appropriate modes of communication including
any written material.
Requirements for Reorganization (cont.)
• State
Plan Requirements
.
If the reorganization becomes effective prior to the end of the fiscal year
(September 30th), the VR agency must amend, at a minimum, the following:
• Section 1 of the preprint identifying the agency authorized to submit and
administer the State Plan;
• Section 4.1 of the preprint, which identifies whether the state agency
authorized to administer the State Plan has been designated as a DSA or
DSU;
• Section 4.2 of the preprint specifying whether the VR agency is an
independent commission or has an established SRC;
• Attachment 4.2(c) containing the input from the SRC regarding the
reorganization and the agency’s response, including an explanation of why
any input was rejected, if applicable;
• The signature and date the amended State Plan was submitted by the
authorized signatory; and
• The name of the DSA and/or DSU wherever it appears in the preprint and
attachments, if the reorganization involves a change in the VR agency name.
Independent Living Programs

The state agency (or agencies) responsible for
the administration of the VR program is
responsible for the administration of the state
independent living services (SILS) and centers
for independent living (CIL) programs authorized
under Chapter 1 of Title VII.

The designated state agency for the independent
living services for older individuals who are blind
(OIB) program must be the state agency
authorized to provide rehabilitation services to
individuals who are blind, whether that is a
combined or separate agency.
Independent Living Programs (cont.)
•State
. Plan for Independent Living (SPIL)
When an agency that administers the state’s SPIL is
reorganized, the SPIL must be amended.
Amendments must include, at minimum, the following:
• Section 1, Part I;
• Section 9, Part I; and
• Section 4, Part II.
Independent Living Programs (cont.)
The DSU must retain specific non-delegable duties under
the SILS and CIL programs, such as:
• Receive, account for, and disburse funds distributed to
the state under Chapter 1 of Title VII, in accordance
with the SPIL;
• Provide administrative support services for a program
under part B, and a program under part C in a case in
which the program is administered by the state under
section 723 of the Rehabilitation Act;
• Maintain and afford access to such records as the RSA
Commissioner finds to be necessary with respect to the
programs; and
• Submit additional information or provide assurances, as
the Commissioner may require, with respect to the
programs.
• .
Randolph-Sheppard Program

The Randolph-Sheppard program must be
administered only within the DSA or DSU
responsible for the provision of VR services to the
blind. Any reorganization must place the
Randolph-Sheppard Program within a DSA or
DSU that provides VR services to individuals who
are blind, including both combined and blind
agencies.
Randolph-Sheppard Program (cont.)
The State Licensing Agency (SLA) is the DSA or DSU
that administers the Randolph-Sheppard program
and should provide RSA with the following
information related to reorganization:
• The state authority to operate the RandolphSheppard Program;
• Any changes being considered to its governing
program policies or rules, including the active
participation by its Elected Committee of Blind
Vendors; and
• Any state legislation that provides priority to
Randolph-Sheppard vendors that is appropriately
updated to reflect the reorganization.
In-Service Training Grants
Prior to the effective date of the reorganization, the DSA or
DSU for the VR program must notify RSA and provide the
following assurances:
 Serve all populations specified in the original grant
application; and
 Use the same key personnel to conduct the work of the
grants or substitute personnel who have been approved by
RSA as meeting the same level of qualifications.
In addition, the following documents must be submitted by
the new designated state agency:
 Application for Federal Assistance (Form SF-424);
 Certification Regarding Lobbying Form (ED-80-0013); and
 Budget Information for the grant (Form ED-524).
State Grant for Assistive
Technology (SGAT)
The SGAT is designated by the Governor for each
state. Prior to any redesignation of the SGAT, the
Governor must demonstrate to RSA “good cause”
for a new agency being designated as the lead
agency to administer the AT grant. The Governor
must also demonstrate that the new agency will be
able to effectively administer the AT grant and
meet the requirements of the Assistive Technology
Act. Once approved by RSA, the new entity must
submit a new AT State Plan containing program
goals and activities.
Client Assistance Program (CAP)
If a state has designated its CAP within the DSA,
reorganization may require the CAP to be
redesignated to an independent entity. Pursuant to
Section 112(b) of the Rehabilitation Act, a state
must have an effective and operational CAP prior
to receiving funding for any program authorized
under the Rehabilitation Act.
Client Assistance Program (cont.)
Section 112(c)(1)(B)(ii)(I) of the Rehabilitation Act
states if a DSA “undergoes any change in the
organizational structure of the agency that results in
the creation of 1 or more new state agencies or
departments or results in the merger of the designated
state agency with 1 or more other state agencies or
departments,” the CAP must be redesignated to a
public or private agency independent of any agency
that provides treatment, services, or rehabilitation to
individuals under the Rehabilitation Act.
Fiscal / Grant
Transfer
New Grant PR/Award Numbers
RSA staff will establish a new PR/Award
Number(s) assigned to the transferee in the G5
grants management system.
The transferor’s PR/Award Number(s) will no
longer be used once all grant funds have been
drawn down or transferred, and the award is
closed.
DUNS Numbers and Banking Information
PR/Award Numbers in the G5 system must
have both a Grantee and Payee data universal
numbering system (DUNS) number for the
grantee to access funds.
Grantees must work with RSA and G5 staff to
ensure both Grantee and Payee DUNS
numbers, as well as banking information, are
successfully entered into the G5 system.
G5 Access
The transferee will be required to register in the
G5 system to access grant funds:
https://www.g5.gov
Follow the instructions after selecting the “Non
ED employee Sign Up” link.
Grant Transfer Agreement
The transferor and transferee may enter into
either a single grant transfer agreement (GTA)
covering each federal award, or separate
agreements for each.
The GTA must reference the authorizing state
statute, legislation, or executive order
authorizing the grant transfer.
Grant Transfer Agreement (cont.)
RSA may provide grantees with suggested
language and format for the GTA, but the
state will assume responsibility for the
development of the GTA.
The GTA must be reviewed and approved
by RSA before implementation.
Grant Transfer Agreement (cont.)
The GTA provides:
• Important dates (e.g., implementation,
transfer, final report dates, closeouts);
• Amount of initial transfer to transferee;
• Amount retained by transferor for
allowable obligations incurred prior to
transfer date;
• Transfer of equipment; and
• Reporting responsibilities.
Fund Transfers
The point in the fiscal year that the reorganization is
implemented will determine how immediate the
transferee will need funding:
• Mid-fiscal year: Transferee requires funding
immediately to begin administering the VR program
and providing services; or
• New fiscal year (October 1st): Transferee will have
federal funding through new award when available
from Congress, the match from non-federal
sources, and it may receive any allowable
carryover balances from the transferor.
Final Transfers
After the transferor has liquidated any allowable
unliquidated obligations incurred prior to the
effective date of the transfer, any remaining
balance of funds will be transferred to the
transferee.
Final transfers and transfers of allowable
carryover funds that occur in the second year of
the grant period require RSA to seek approval for
a Request for Use of Prior Year funds.
Match
The match requirement must be met by 9/30 of
the FIRST year of the grant award.
A mid-year transfer will require the collaboration
of the transferor and transferee to ensure that the
match requirement is met through the sum of the
non-federal share of both entities.
Transfers implemented on October 1st will require
the transferor to have met match before any
allowable carryover may be transferred to the
transferee.
Maintenance of Effort (MOE)
The MOE requirement must be met by 9/30
of the first year of the grant award.
Transferee and transferor must collaborate
to ensure the MOE requirement is met.
Reporting
Transferee and transferor are responsible for both
performance and financial reporting to RSA.
Both entities must ensure the appropriate personnel
maintain, obtain, or perhaps terminate their access
to the program and fiscal reports on the RSA
website http://rsa.ed.gov/
To obtain access from the website, select “Info for
new users” on the right side of the home page and
follow the instructions under “OBTAINING MIS
ACCESS.”
Reporting (cont.)
Generally, the transferor is responsible for providing
data required for the transferee to complete all
annual performance and fiscal reports. The
transferee will submit the report for the entire fiscal
year (e.g., RSA-2 and RSA-911 reports).
For reports submitted more frequently, the
transferor is responsible for reports due up until the
date of the reorganization, and the transferee is
responsible thereafter (e.g., SF-425 and RSA-113
reports).
Reporting (cont.)
Final SF-425 Report
The transferor must submit a final SF-425 report for
each grant within 90 days from the date signifying
the end of grant support, typically the
implementation date of the GTA.
Transferor and transferee must coordinate to
determine if all unliquidated obligations were
liquidated, or if the transferee must draw and
expend funds to meet any remaining obligations.
Collaboration
For an efficient and effective reorganization, the
transferee and transferor must collaborate and
communicate regarding the:
• Development of the GTA;
• Transfer of federal award funds;
• Transfer or equipment;
• Match and MOE requirements;
• Ensuring transferor’s obligations are met; and
• Fiscal and programmatic reporting.
For More Information:
Submission, Approval, and Disapproval of the State Plan 34 CFR 361.10;
Non-delegable responsibilities of the DSU: 34 CFR 361.13(c);
Establishment of an Independent Commission or State Rehabilitation Council:
Section 101(a)(21) of the Rehabilitation Act and 34 CFR 361.16(a);
Requirements for a State Rehabilitation Council 34 CFR 361.17;
Public Participation Requirements 34 CFR 361.20;
Matching Requirements 34 CFR 361.60;
IL Program: 34 CFR 364;
OIB Program: 34 CFR 367;
CAP: Section 112(c)(1)(B)(ii)(I) of the Rehabilitation Act: 34 CFR 370;
Matching or Cost Sharing 34 CFR 80.24;
Maintenance of Effort 34 CFR 361.62;
Financial Reporting 34 CFR 80.41;
Closeout 34 CFR 80.50;
Randolph-Sheppard Program: The Randolph-Sheppard Act, 20 U.S.C. 107a(e);
34 CFR 395.2(a);
For More Information:
State Grant for Assistive Technology Program: Assistive Technology Act;
RSA-TAC-13-02 Reorganization of the Designated State Agency and the
Designated State Unit for the Vocational Rehabilitation Program
www.ed.gov/policy/speced/guid/rsa/tac/2013;
TAC 12-03, Organizational Structure and Non-Delegable Responsibilities of the
Designated State Unit for the Vocational Rehabilitation Program
www.ed.gov/policy/speced/guid/rsa/tac/2012;
TAC 12-02, Submission of the FY 2013 State Plan for the Vocational
Rehabilitation Services Program and Supplement for the Supported
Employment Services Program www.ed.gov/policy/speced/guid/rsa/tac/2012;
and
Refer to TAC 12-01, Federal Requirements Governing the Composition and
Membership of, and Appointments to, the State Rehabilitation Councils
www.ed.gov/policy/speced/guid/rsa/tac/2012.
QUESTIONS?