The Department must maintain for each applicant and eligible individual a record of services that includes, to the extent pertinent, the following documentation:
(a) If an applicant has been determined to be an eligible individual, a notice of eligibility and documentation supporting that determination in accordance with the requirements under Section 7062 of these regulations.(b) If an applicant or eligible individual receiving services under an Individualized Plan for Employment (IPE) has been determined to be ineligible, a notice of ineligibility and documentation supporting that determination in accordance with the requirements under Section 7098 of these regulations.(c) Documentation that describes the justification for closing an applicant's or eligible individual's record of services if that closure is based on reasons other than ineligibility.(d) Documentation supporting the priority for services category when the Department is under an Order of Selection pursuant to Chapter 2, Article 2 of these regulations.(e) If an individual with a significant disability requires an exploration of abilities, capabilities, and capacity to perform in realistic work situations through the use of trial work experiences:(1) Documentation supporting the need for, and the plan relating to, trial work experience; and(2) Documentation regarding the periodic assessments carried out during the trial work experiences.(f) The IPE and any amendments to the IPE, consistent with the requirements of Section 7131.(g) Documentation describing the extent to which the applicant or eligible individual exercised informed choice regarding availability of support services for individuals with cognitive or other disabilities, the provision of assessment services, methods used to procure vocational rehabilitation services and the extent to which the eligible individual exercised informed choice in the development of the IPE, consistent with Section 7029.6(b) of these regulations.(h) In the event that an individual's IPE provides for vocational rehabilitation services in a non-integrated setting, a justification to support the need for the non-integrated setting.(i) In the event that an individual obtains competitive integrated employment, verification that the individual is compensated at or above the minimum wage and that the individual's wage and level of benefits are not less than that customarily paid by the employer for the same or similar work performed by non-disabled individuals in accordance with Section 7006.3(b) of these regulations.(j) In the event an individual achieves an employment outcome in which the individual is compensated in accordance with section 14(c) of the Fair Labor Standards Act (FLSA) (29 USC 214(c)), or the Department closes the record of services of an individual in extended employment on the basis that the individual is unable to achieve an employment outcome consistent with Section 7011 of these regulations, or that an eligible individual through informed choice chooses to remain in extended employment, documentation of the results of mandatory reviews after the record of services has been closed required by Section 7181.1(b) of these regulations, the individual's input into those reviews, and the individual's or, if appropriate, the individual's representative's signed acknowledgement that those reviews were conducted.(k) Documentation concerning any action or decision resulting from a request by an individual for a review of determinations made by Department personnel in accordance with Chapter 12 of these regulations.(l) In the event that an applicant or eligible individual requests that documentation in the record of services be amended and the documentation is not amended, documentation of the request.(m) In the event an individual is referred to another program through the Department's information and referral system under Section 7037 of these regulations, including other components of the statewide workforce development system, documentation on the nature and scope of services provided by the Department to the individual and on the referral itself, consistent with the requirements of Section 7037 of these regulations.(n) In the event an individual's record of services is closed with a determination that an employment outcome has been achieved, documentation that demonstrates: (1) Services provided under the individual's IPE contributed to the achievement of the employment outcome; and(2) All of the requirements for closure of the record of services with an employment outcome have been satisfied.(o) Additional documentation, as appropriate, including, but not limited to: (1) Documentation and results of mandatory reviews after the record of services has been closed required by Section 7181.1(a) of these regulations and necessary when the Department determines that an applicant or an individual receiving services under an IPE is ineligible for vocational rehabilitation services based on a finding that the individual is incapable of achieving an employment outcome.(2) Documentation and results of annual reviews of the Individualized Plan for Employment (IPE) conducted pursuant to Section 7133 of these regulations.(3) Any personal information that the Department collects and maintains about an individual for purposes of the administration of the vocational rehabilitation program.(4) Documentation of the appointment of an authorized representative, duly appointed guardian, or conservator provided by an individual or the court.(5) Details of disclosure(s) of personal information about an individual made to that individual pursuant to Section 7141 or made to other persons or entities pursuant to Sections 7142 and 7143 of these regulations.(6) For an individual who is reapplying for vocational rehabilitation services, copies of pertinent records from the individual's previous record of services.(7) Documentation of how the individual requested vocational rehabilitation services under Section 7041(b)(1).(8) Documentation of referrals made to the Department by other agencies and by the Department to other agencies, including agencies that are partners in the one-stop service delivery system, known as America's Job Centers of California, consistent with Sections 7035, 7037, and 7038 of these regulations.(9) Documentation that the Department has made a reasonable number of attempts to contact an applicant who declines to participate in, or is unavailable to complete, the assessment for determining eligibility and priority for services, required before closing a record of services without an eligibility determination pursuant to Section 7179 of these regulations.Cal. Code Regs. Tit. 9, § 7122
Note: Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 721 and 722; 34 CFR Sections 361.5, 361.37, 361.38, 361.41, 361.42, 361.43, 361.44, 361.45, 361.46, 361.47, 361.48, 361.52, 361.53, 361.55 and 361.57; Section 1798 et seq., Civil Code; and Section 19011, Welfare and Institutions Code.
Note: Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 721(a)(19) and (20) and 722(a), (b) and (d); 34 CFR Sections 361.5(b)(11) and (16), 361.37, 361.38, 361.41, 361.42, 361.43, 361.44, 361.45, 361.46, 361.47, 361.48, 361.52, 361.53, 361.55 and 361.57; Section 1798 et seq., Civil Code; and Section 19011, Welfare and Institutions Code.
1. Editorial correction of Reference cite (Register 95, No. 10).
2. Amendment of section heading, section and Note filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-27-95 order, including amendment of Note, transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
4. Change without regulatory effect amending subsection (a)(3) filed 10-2-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 40).
5. Repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
6. Amendment of subsection (d) filed 5-31-2016; operative 7/1/2016 (Register 2016, No. 23).
7. Amendment of subsections (e)-(e)(2), (g), (i), (m), (o)(6)-(8) and amendment of Note filed 11-21-2023; operative 1/1/2024 (Register 2023, No. 47).